Integration der patchens r1877 - 1902:

Beitrag von Terry:
- Neues Import Format fuer terms: SKOS
- Keyphrase extraction utility, nutzbar um Kategorien vorschlagen zu lassen,
  die zu einem content item passen.

Update Script: 
ccm upgrade ccm-ldn-terms --from-version 6.5.0 --to-version 6.5.1

Es sind Änderungen am theme erforderlich, um die Funktionen nutzen zu können:
siehe:
ccm-ldn-aplaws/src/com/arsdigita/aplaws/ui/TermWidget.java
ccm-ldn-aplaws/web/__ccm__/themes/aplaws/types/ContentTypes.xsl
ccm-cms/web/__ccm__/static/cms/admin/category-step/category-step.xsl
ccm-ldn-navigation/src/com/arsdigita/london/navigation/cms/CategoryDataCollectionDefinition.java

Damit ist trunk hb auf Stand r1902 aplaws trunk
(1871 bis 1876 waren eigene patches, die bereits enthalten sind, ebenso 1894)
Patch 1879 uebersprungen, fuegt dictionary fuer eclipse in das root Verzeichnis 
von trunk ein. Da gehoert aber nichts hin, ausserdem Eclipse im Moment nicht
in Benutzung hier.


git-svn-id: https://svn.libreccm.org/ccm/trunk@235 8810af33-2d31-482b-a856-94f89814c4df

ccm-cms/web/__ccm__/static/cms/admin/category-step/category-step.xsl

@@ -89,14 +89,31 @@
   </xsl:template>
 
   <xsl:template match="cms:categoryWidget" mode="cms:javascript">
+    <xsl:if test="cms:autoCategories">
+    <h3>Suggested categories</h3>
+    <xsl:choose>
+        <xsl:when test="cms:autoCategories/cms:category">
+            <xsl:for-each select="cms:autoCategories/cms:category">
+                <div style="padding: 5px 15px 5px 5px; float: left;">
+                <input name="{../../@name}" type="checkbox" value="{@id}"><xsl:value-of select="@fullname"/></input>
+                </div>
+            </xsl:for-each>
+            <br clear="both"/>
+        </xsl:when>
+        <xsl:otherwise>
+            None
+        </xsl:otherwise>
+    </xsl:choose>
+    </xsl:if>
     <script type="text/javascript" src="/assets/prototype.js"/>
     <script type="text/javascript" src="/assets/category-step/category-step.js"/>
+    <h3>Select categories</h3>
     <div>
       <xsl:apply-templates select="cms:category" mode="cms:javascriptCat">
         <xsl:with-param name="expand" select="'block'"/>
       </xsl:apply-templates>
     </div>
-    <h3>Selected categories</h3>
+    <h4>Selected categories</h4>
     <select id="catWd" size="5" onClick="catDeselect()" style="width: 400px; height=200px">
     </select>
     <select id="catWdHd" name="{@name}" size="5" multiple="multiple" style="display: none">

ccm-ldn-aplaws/src/com/arsdigita/aplaws/ui/TermWidget.java

@@ -19,26 +19,6 @@
 
 package com.arsdigita.aplaws.ui;
 
-import com.arsdigita.london.terms.Domain;
-import com.arsdigita.london.terms.Term;
-
-import com.arsdigita.aplaws.Aplaws;
-import com.arsdigita.bebop.form.Widget;
-import com.arsdigita.bebop.PageState;
-import com.arsdigita.bebop.parameters.ArrayParameter;
-import com.arsdigita.bebop.parameters.StringParameter;
-import com.arsdigita.bebop.parameters.BigDecimalParameter;
-import com.arsdigita.categorization.Category;
-import com.arsdigita.domain.DomainCollection;
-import com.arsdigita.domain.DomainObjectFactory;
-import com.arsdigita.persistence.DataCollection;
-import com.arsdigita.persistence.SessionManager;
-import com.arsdigita.xml.Element;
-import com.arsdigita.xml.XML;
-
-import com.arsdigita.cms.CMS;
-import com.arsdigita.cms.ContentSection;
-
 import java.math.BigDecimal;
 import java.util.HashMap;
 import java.util.HashSet;
@@ -48,6 +28,27 @@ import java.util.List;
 import java.util.Map;
 import java.util.Set;
 
+import com.arsdigita.aplaws.Aplaws;
+import com.arsdigita.bebop.PageState;
+import com.arsdigita.bebop.form.Widget;
+import com.arsdigita.bebop.parameters.ArrayParameter;
+import com.arsdigita.bebop.parameters.BigDecimalParameter;
+import com.arsdigita.bebop.parameters.StringParameter;
+import com.arsdigita.categorization.Category;
+import com.arsdigita.cms.CMS;
+import com.arsdigita.cms.ContentItem;
+import com.arsdigita.cms.ContentSection;
+import com.arsdigita.domain.DomainCollection;
+import com.arsdigita.domain.DomainObjectFactory;
+import com.arsdigita.london.terms.Domain;
+import com.arsdigita.london.terms.Term;
+import com.arsdigita.london.terms.indexing.Indexer;
+import com.arsdigita.london.terms.indexing.RankedTerm;
+import com.arsdigita.persistence.DataCollection;
+import com.arsdigita.persistence.SessionManager;
+import com.arsdigita.xml.Element;
+import com.arsdigita.xml.XML;
+
 /**
  * A Widget for selecting Terms. Based heavily on CategoryWidget.
  *
@@ -129,6 +130,37 @@ public class TermWidget extends Widget {
         }
 
         Element el = generateCategory(widget, domain.getModel(), ids, null);
+        
+        /**
+         * Used by kea based keyphrase extraction facility.
+         * (Added r1885) 
+         * 
+         * @Author: terry_permeance
+         */
+        Indexer indexer = Indexer.retrieve(domain);
+        if (indexer != null) {
+            ContentItem item = CMS.getContext().getContentItem();
+            List<RankedTerm> autoTerms = indexer.index(item, 16);  
+            Element autoCategories = widget.newChildElement("cms:autoCategories", CMS.CMS_XML_NS);      
+            for (Iterator<RankedTerm> i = autoTerms.iterator(); i.hasNext(); ) {
+                RankedTerm nextRankedTerm = i.next();
+                Category cat = nextRankedTerm.getTerm().getModel();
+                if (!ids.contains(cat.getID())) {
+                    String fullname = cat.getQualifiedName(" > ", false);                    
+                    if (fullname != null) {
+                        Element catEl = autoCategories.newChildElement("cms:category", CMS.CMS_XML_NS);
+                        catEl.addAttribute("id", XML.format(cat.getID()));
+                        catEl.addAttribute("name", cat.getName());
+                        catEl.addAttribute("description", cat.getDescription());
+                        catEl.addAttribute("isAbstract", cat.isAbstract() ? "1" : "0");
+                        catEl.addAttribute("isEnabled", cat.isEnabled() ? "1" : "0");
+                        catEl.addAttribute("sortKey", nextRankedTerm.getRanking().toString());
+                        catEl.addAttribute("fullname", fullname);
+                    }
+                }
+            }
+        }
+        
     	if (Aplaws.getAplawsConfig().ajaxExpandAllBranches()) {
      	    // add attribute to the parent node, so that in stylesheet 
     	    // we can look for any ancestor with this attribute (can't 
@@ -136,6 +168,7 @@ public class TermWidget extends Widget {
     	    // visible when subbranches are transformed)
     	    el.addAttribute("expand",  "all" );
     	}	
+
     	for (Iterator i=roots.iterator(); i.hasNext(); ) {
             TermSortKeyPair pair = (TermSortKeyPair) i.next();
             Term term = pair.getTerm();

ccm-ldn-aplaws/web/__ccm__/themes/aplaws/types/ContentTypes.xsl

@@ -21,7 +21,6 @@ version="1.0">
 <xsl:import href="LegalNotice.xsl"/>
 <xsl:import href="Minutes.xsl"/>
 <xsl:import href="Service.xsl"/>
-<xsl:import href="Person.xsl"/>
 <xsl:import href="PressRelease.xsl"/>
 <xsl:import href="NewsItem.xsl"/>
 <xsl:import href="InlineSite.xsl"/>
@@ -58,9 +57,6 @@ version="1.0">
 <xsl:template match="cms:item[objectType='com.arsdigita.cms.contenttypes.Service' and not(@useContext = 'itemAdminSummary')]">
 <xsl:call-template name="CT_Service_graphics"/>
 </xsl:template>
-<xsl:template match="cms:item[objectType='com.arsdigita.cms.contenttypes.Person' and not(@useContext = 'itemAdminSummary')]">
-  <xsl:call-template name="CT_Person_graphics"/>
-</xsl:template>
 <xsl:template match="cms:item[objectType='com.arsdigita.cms.contenttypes.PressRelease' and not(@useContext = 'itemAdminSummary')]">
 <xsl:call-template name="CT_PressRelease_graphics"/>
 </xsl:template>

ccm-ldn-navigation/src/com/arsdigita/london/navigation/cms/CategoryDataCollectionDefinition.java

@@ -29,14 +29,6 @@ public class CategoryDataCollectionDefinition extends CMSDataCollectionDefinitio
     private Category m_category = null;
 
     public void setCategoryByPID(String pid, String domain) {
-	setCategoryByPID(Integer.parseInt(pid), domain);
-    }
-
-    public void setCategoryByPID(int pid, String domain) {
-	setCategoryByPID(new Integer(pid), domain);
-    }
-
-    public void setCategoryByPID(Integer pid, String domain) {
 	Domain dom = Domain.retrieve(domain);
 	Term term = dom.getTerm(pid);
 	Category cat = term.getModel();

ccm-ldn-terms/data/indexing/test/foodfirst_ff08ne.txt

@@ -0,0 +1,524 @@
+<title>Needless hunger: voices from a Bangladesh village</title>
+Betsy Hartmann
+James K. Boyce
+IFDP
+INSTITUTE FOR FOOD AND DEVELOPMENT POLICY
+145 NINTH STREET, SAN FRANCISCO, CA 94103 U.S.A. (415) 864-8555
+Hartmann, Betsy.
+Needless hunger: voices from a Bangladesh village/Betsy Hartmann, James K. Boyce-San Francisco, Calif.: Institute for Food and Development Policy. c1979.
+Bibliography: P. 66-68
+1. Food supply - Bangladesh. 2. Hunger. 3. Agriculture - Bangladesh. 4. Bangladesh-Rural conditions. 1. Boyce, James K., joint author. II. Institute for Food and Development Policy, San Francisco. III. Title.
+HD9016.B352H37
+338,195492-dc19
+ISBN: 0-935028-03-X
+© 1979, 1982 by Institute for Food and Development Policy
+Second printing, revised: January 1982; Third printing, 1987
+To order additional copies, call or write:
+Institute for Food and Development Policy
+145 Ninth Street
+San Francisco, CA 94103 USA
+Please add 15 percent for postage and handling ($1 minimum). Bulk discounts available.
+Distributed in United Kingdom by:
+Third World Publications
+151 Stratford Road
+Birmingham B11 1RD
+England
+Cover photo by Hartmann/Boyce. Designed by Barbara Garza
+Map
+Formerly East Pakistan, Bangladesh was founded in 1971 following the Bengali revolt against Pakistan. Officially known as Gana Prajatantri Bangladesh (People's Republic of Bangladesh) and lying in the delta of the Ganges and Brahmaputra rivers, Bangladesh is 55,126 square miles (142,776 square kilometers) in area, approximately the size of Wisconsin. Bangladesh is the fourth largest agricultural society in the world: 90 percent of its 83 million people are rural and 80 percent depend directly upon agriculture as a livelihood. According to the Food and Agriculture Organization of the United Nations, "Bangladesh is possibly the richest country in the world as far as inland fishery resources are concerned."
+<section>Hunger in a fertile land</section>
+<section>1. The paradox</section>
+In U.S. news media Bangladesh is usually portrayed as an "international basketcase," a bleak, desolate scene of hunger and despair. But when we arrived in Bangladesh in August 1974 we found a lush, green, fertile land. From the windows of buses and the decks of ferry boats, we looked over a landscape of natural abundance, everywhere shaped by the hands of men. Rice paddies carpeted the earth, and gigantic squash vines climbed over the roofs of the bamboo village houses. The rich soil, plentiful water and hot, humid climate made us feel as if we had entered a natural greenhouse.
+As the autumn days grew clear and cool and the rice ripened in the fields, we saw why the Bengalis in song and verse call their land "golden Bengal." But that autumn we also came face to face with the extreme poverty for which Bangladesh has become so famous. When the price of rice soared in the lean season before the harvest, we witnessed the terrible spectacle of people dying in the streets of Dacca, the capital. Famine claimed thousands of lives throughout the country. The victims were Bangladesh's poorest people who could not afford to buy rice and had nothing left to sell.
+As we tried to comprehend the contrast between the lush beauty of the land and the destitution of so many people, we sensed that we had entered a strange battleground. All around us silent struggles were being waged, struggles in which the losers met slow, bloodless deaths. In 1975 we spent nine months in the village of Katni, collecting material for a book on life in the Third World. There we learned more about the quiet violence which rages in Bangladesh.
+Katni is a typical village. The majority of its 350 people are poor: most families own less than two acres of land, and a quarter of the households are completely landless. The poorest often work for landlords in neighboring villages who own over 40 acres apiece. Four-fifths of the villagers are Muslims and one-fifth are Hindus. Except for two rickshaw pullers, all make their livings from agriculture.
+"Bangladesh is rich enough in fertile land, water and natural gas for fertilizer not only to be self-sufficient in food, but a food exporter, even with its rapidly increasing population size."
+To minimize the differences between ourselves and the villagers, we lived in a small bamboo house, spoke Bengali and wore local clothing. By approaching the villagers as equals we were eventually able to win their trust. Jim spent most of his time talking with the men as they worked in the fields or went to the market, while Betsy spent most of her time talking with the women as they worked in and around their houses. The villagers taught us what it means to be hungry in a fertile land.
+Golden Bengal
+Bangladesh lies in the delta of three great rivers-the Brahmaputra, the Ganges and Meghna-which flow through it to empty into the Bay of Bengal (see map). The rivers and their countless tributaries meander over the flat land, constantly changing course, since most of the country lies less than 100 feet above sea level. The waters not only wash the land, they create it; their sediments have built the delta over the centuries. The alluvial soil deposited by the rivers is among the most fertile in the world.
+Abundant rainfall and warm temperatures give Bangladesh an ideal climate for agriculture. Crops can be grown 12 months a year. The surface waters and vast underground aquifers give the country a tremendous potential for irrigation in the dry winter season. The rivers, ponds and rice paddies are alive with fish; according to a report of the United Nations Food and Agriculture Organization (FAO), "Bangladesh is possibly the richest country in the world as far as inland fishery resources are concerned."^1
+The country's dense human population bears testament to the land's fertility; historically the thick settlement of the delta, like that along the Nile River, was made possible by agricultural abundance. Today, with more than 80 million people, Bangladesh is the world's eighth most populous nation. Its population density is the highest of any country in the world except for Singapore and Hong Kong,^2 a fact which is all the more remarkable in light of the country's low level of urbanization. Nine out of 10 Bangladeshis live in villages, where most make their living from the land.
+Bangladesh's soil may be rich, but its people are poor. The average annual income is less than $100 per person, the life expectancy only 47 years, and like all averages these overstate the wellbeing of the poorest.^3 A quarter of Bangladesh's children die before reaching the age of five^4 .Malnutrition claims many. Over half of Bangladesh's families consume less than the minimal calorie requirement, and 60 percent suffer from protein deficiencies.^5 Health care is poorly developed and concentrated in the urban areas. Less than a quarter of the population is literate.^6
+A United States Senate study notes that Bangladesh "is rich enough in fertile land, water, manpower and natural gas for fertilizer not only to be self-sufficient in food, but a food exporter, even with rapidly increasing population size."^7 But despite rich soil, ideal growing conditions and an abundant supply of labor, Bangladesh's agricultural yields are today among the lowest in the world. According to a World Bank document, "Present average yields of rice are about 1.2 metric tons per hectare, compared with 2.5 tons in Sri Lanka or 2.7 in Malaysia, which are climatically similar, or over 4 tons in Taiwan where labor inputs are greater."^8 Production has stagnated; today's yields are similar to those recorded 50 years ago.^9
+Why is a country with some of the world's most fertile land also the home of some of the world's hungriest people? A look at Bangladesh's history sheds some light on this paradox. The first Europeans to visit eastern Bengal, the region which is now Bangladesh, found a thriving industry and a prosperous agriculture. It was, in the optimistic words of one Englishman, "a wonderful land, whose richness and abundance neither war, pestilence nor oppression could destroy."^10 But by 1947, when the sun finally set on the British Empire in India, eastern Bengal had been reduced to an impoverished agricultural hinterland.
+Many who read Food First: ; Beyond the Myth of Scarcity find among its most shocking revelations the fact that Bangladesh isn't a hopeless basketcase: there are indeed enough resources in that country to provide for all. The media-generated image of an entire people condemned to perpetual hunger is now being challenged. The truth is more hopeful, if paradoxical: despite its current low productivity, Bangladesh may already produce enough grain for all its people. Moreover, it has barely tapped its agricultural potential-among the greatest in the world.
+Many people want to learn more about Bangladesh, for they sense, as we do, that Bangladesh provides lessons with implications well beyond its national scope. If hunger is needless in this foremost "basketcase," it is indeed needless in every other country in the world.
+Here in Needless Hunger, Betsy Hartmann and James Boyce share their own direct experiences and lessons drawn from the villages of Bangladesh. Hartmann and Boyce, Bengali-speaking Americans and Fellows of the Institute for Food and Development Policy, spent two years (1974-1976) living in Bangladesh and nine months in one typical rural village. Their growing familiarity with the daily struggles and conflicts within the village allowed them to cut through the seeming irrationality of hunger to find its political and economic roots. The authors describe how the few have gained effective control over productive resources, leading to both the underuse and misuse of these resources. We learn of the perceptions, fears and frustrations of those who strain to survive in rural Bangladesh against the weight of unjust social and economic structure.
+But the authors do not only present us with a microscopic view of Bangladesh society. They describe in concise terms how the local hierarchy is supported at the national level. Indeed, Hartmann and Boyce demonstrate how we in the West are directly linked to the very forces that generate hunger in Bangladesh. The United States, Canada, Great Britain, Norway, Sweden, Holland, Saudi Arabia, Japan, France, Germany, etc., all have large "development assistance" programs in Bangladesh. These programs-together with those of the multilateral agencies like the U. N.'s World Food Program and the World Bank-now total well over $1 billion a year. Hartmann and Boyce show from their own on-site investigations that such aid often undermines the very people with whom we would most wish to ally ourselves - the hungry and impoverished. Similarly, the authors help us understand that no matter how good our government's intentions, the massive food aid we are told is for the hungry in fact ends
+up feeding and enriching a privileged minority.
+But Needless Hunger is not a story without hope. Hartmann and Boyce reveal the strength and potential of the Bangladesh people. They argue that social reconstruction could bring genuine economic progress for all. And they show that there is a way that we in the West can help: we can work to remove the obstacles to social change being built by forces of intervention which shore up the hunger status-quo.
+The global analysis of our book Food First is vividly captured here in a single country-in a single village.
+Frances Moore Lappé
+Joseph Collins
+<section>2. Riches to rags</section>
+The Colonial Legacy
+We in the industrialized nations often view development as a straightforward historical progression: poor countries are simply further behind on the path to development than rich ones. But this view ignores the fact that the destinies of nations have been linked, in ways which have often benefited one nation at the expense of another. In eastern Bengal, as in most of the third world, involvement with the West began with trade, and later gave way to direct political control by a colonial power. The legacy of Bangladesh's colonial history is a variation on a familiar theme: as the region became a supplier of agricultural raw materials to the world market, local industry withered and food production stagnated. The country not only did not develop, it actually underdeveloped.
+European traders-first the Portuguese in the 16th century and later the Dutch, French and English-were lured to eastern Bengal by its legendary cotton textile industry, which ranked among the greatest industries in the world. Today, in a Dacca museum, one can see a specimen of the famous Dacca muslin, once prized in the imperial courts of Europe and Asia. A pale turban rests in a glass display case. Thirty feet long and three feet wide, the turban is so fine that it can be folded to fit inside an ordinary match box. The weavers of Dacca once produced this cloth on their handlooms, using thread spun from the cotton which grew along the banks of the nearby Meghna River. Today both the cotton and the weavers have disappeared. The variety of cotton plant adapted to the moist Bengali climate is extinct, and Bangladesh must import virtually all its cotton from abroad.
+What happened to Bengal's cotton industry? After the British East India Company wrested control of Bengal from its Muslim rulers in 1757, the line between trade and outright plunder faded. In the words of an English merchant, "Various and innumerable are the methods of oppressing the poor weavers... such as by fines, imprisonments, floggings, forcing bonds from them, etc."^1 By means of "every conceivable form of roguery," the Company's merchants acquired the weaver's cloth for a fraction of its value.
+Ironically, the profits from the lucrative trade in Bengali textiles helped to finance Britain's industrial revolution. As their own mechanized textile industry developed, the British eliminated competition from Bengali textiles through an elaborate network of restrictions and prohibitive duties. Not only were Indian textiles effectively shut out of the British market, but even within India taxes discriminated against local cloth^2 The rapid decimation of local industry brought great hardship to the Bengali people. In 1835 the Governor-General of the East India Company reported to London, "The misery hardly finds a parallel in the history of commerce. The bones of the cotton weavers are bleaching the plains of India."^3
+The population of eastern Bengal's cities declined as the weavers were thrown back to the land. Sir Charles Trevelyan of the East India Company filed this report in 1840:
+The peculiar kind of silky cotton formerly grown in Bengal, from which the fine Dacca muslins used to be made, is hardly ever seen; the population of the town of Dacca has fallen from 150,000, to 30,000 or 40,000, and the jungle and malaria are fast encroaching upon the town Dacca, which used to be the Manchester of India, has fallen off from a flourishing town to a very poor and small one.^4
+As Britain developed, Bengal underdeveloped.
+With the decline of local industry, eastern Bengal assumed a new role as a supplier of agricultural raw materials. At first, using a contract labor system not far from slavery, European planters forced the Bengali peasants to grow indigo, the plant used to make blue dye. But in 1859 a great peasant revolt swept Bengal, and after this "indigo mutiny" the planters moved west to Bihar. Jute, the fiber used to make rope and burlap, soon became the region's main cash crop. By the turn of the century, eastern Bengal produced over half the world's jute, but under British rule not a single mill for its processing was ever built there. Instead, the raw jute was shipped for manufacture to Calcutta, the burgeoning metropolis of west Bengal, or exported to Britain and elsewhere.
+The British not only promoted commercial agriculture, they also introduced a new system of land ownership to Bengal. Before their arrival, private ownership of agricultural land did not exist; land could not be bought and sold. Instead, the peasants had the right to till the soil, and zamindars, notables appointed by the Muslim rulers, had the right to collect taxes. Hoping to create a class of loyal supporters as well as to finance their own administration, the British in 1793 vested land ownership in the zamindars, who were henceforth required to pay a yearly tax to the British. In one stroke, land became private property which could be bought and sold. If a zamindar failed to pay his taxes, the state could auction his land.
+The British set their original tax assessment so high that many estates were soon sold for arrears, and as a result, land rapidly changed hands from the old Muslim aristocracy to a rising class of Hindu merchants. In eastern Bengal, where the majority of peasants were Muslim, Hindu zamindars came to own three-quarters of the land. Conflicts between landlords and tenants began to take on a religious coloring.
+The architects of the land settlement expected that the new landlords would devote their energies to improving their estates. But the zamindars found it far easier to collect rent than to invest in farming. Instead of agricultural entrepreneurs they became absentee landlords. Numerous intermediaries (sometimes as many as 50), each of whom subleased the land and took a share of the rent, arose between the zamindars and the actual tillers of the soil.^5 This led to exorbitant rents, which had a disastrous effect upon the peasants. Many were forced to borrow from moneylenders whose usurious interest rates further impoverished them. As early as 1832, a British inquiry commission concluded: "The settlement fashioned with great care and deliberation has to our painful knowledge subjected almost the whole of the lower classes to most grievous oppression.^6
+Little of the wealth extracted from the peasant producers by way of commercial agriculture, rent and land taxation was ever productively invested in Bengal. The budget of the colonial government clearly revealed the colonists' sense of priorities. Resources which could have financed development were instead devoted to subjugating the population. For example, in its 1935-36 budget, the Indian government devoted 703 million rupees to military services and the administration of justice, jails and the police. Another 527 million rupees were paid as interest, largely to British banks. Only 36 million were invested in agriculture and industry.^7
+Throughout their rule, the British also consciously exploited Hindu-Muslim antagonisms in a divide-and-rule strategy.^8 When they finally departed in 1947, Bengal was split along religious lines between the new independent nations of India and Pakistan. West Bengal, which was mainly Hindu and included Calcutta, went to India. Predominantly Muslim East Bengal became East Pakistan joined in an awkward union with West Pakistan, a thousand miles away.
+"In one stroke, land became private property which could be bought and sold."
+Pakistan and the Birth of Bangladesh
+With the creation of Pakistan many Hindu zamindars fled to India. In 1950 the oppressive zamindari system was legally abolished. Control of the land passed into the hands of a predominantly Muslim rural elite. Although the members of this new elite lived in the villages, they were reluctant to invest in agricultural production, preferring the easier profits to be made by moneylending and trade.
+As East Pakistan, the east Bengal region did experience a limited amount of industrial development. The first jute mills were finally built in the world's foremost jute-producing region. Growth remained stunted, however, by a new colonial relationship in which the West Pakistanis replaced the British. The majority of Pakistan's people lived in the eastern wing, yet westerners dominated the military and civil service. East Pakistan's jute was the main source of the nation's foreign exchange, but development expenditures were concentrated in West Pakistan. Incomes grew in the west but not in the east, and the widening disparities created political tensions between the two wings.
+In 1971 these tensions culminated in civil war. The stage was set by the December 1970 national elections, when Sheikh Mujibur Rahman's Awami League won an overwhelming victory in East Pakistan on a platform of regional autonomy. The West Pakistani rulers responded by launching a vicious military crackdown. Bangladesh's bloody birth trauma began. As the Bengalis waged a guerilla struggle and millions of refugees poured across the border into India, Bangladesh was suddenly catapulted from relative obscurity into the headlines of the world press. The Indian government, straining under the refugee burden and worried lest the liberation struggle assume more radical overtones, finally sent its army into Bangladesh in December, and the Pakistanis surrendered two weeks later.
+Independence brought hope that the country, freed at last from the shackles of colonial domination, could begin to develop its abundant resources and address the needs of its people. But beneath the euphoria of independence lurked the deeply rooted problems of economic stagnation and impoverishment. When we arrived in Dacca in 1974, the triumphant flush of enthusiasm had faded, giving way to growing anger and despair. Many Bengalis blamed soaring rice prices and the autumn famine on the corruption of Mujib's ruling party, and on the hoarding of grain by merchants. A Dacca rickshaw puller told us, "First the English robbed us. Then the Pakistanis robbed us. Now we are being robbed by our own people."
+Since independence Bangladesh has received a massive influx of foreign aid-over $1 billion per year. Yet the country's agriculture and industry continue to stagnate and the living conditions of the poor steadily deteriorate. Bangladesh's colonial legacy cannot be easily erased. The British and Pakistani rulers may be gone, but they left a social order which condemns millions to needless hunger.
+<section>The making of hunger</section>
+<section>3. Who owns the land</section>
+The pattern of landownership in Bangladesh profoundly affects both the production and distribution of food. Although Bangladesh is often called a "land of small farmers," the reality in the villages is more complex. On the one hand, many villagers own no land at all and depend upon wage labor for their livelihoods. On the other hand are landlords whose holdings, though modest by American standards, are large enough to free them from the necessity of working in the fields.
+A recent study commissioned by the United States Agency for International Development (AID) found that a "dichotomy between ownership of land and labor on it" is widespread in Bangladesh. Less than 10 percent of Bangladesh's rural households own over half the country's cultivable land, while 60 percent of rural families own less than 10 percent of the land. One third own no cultivable land at all, and by including those who own less than half an acre, the study concludes that 48 percent of the families of rural Bangladesh are "functionally landless." Pointing to the difficulties of collecting reliable data, the authors of the study note that these figures probably underestimate the actual extent of landlessness and the true level of concentration of landownership.^1
+Based on their different relationships to the land, the villagers of Bangladesh fall into five basic classes:
+o Landlords do not work on the land themselves, except sometimes to supervise their workers. Instead they hire labor or let out land to sharecroppers.
+o Rich peasants work in the fields but have more land than they can cultivate alone. They gain most of their income from lands they cultivate with hired labor or sharecroppers.
+o Middle peasants come closest to our image of the selfsufficient small farmer. They earn their livings mainly by working their own land, though at times they may work for others or hire others to work for them.
+o Poor peasants own a little land, but not enough to support themselves. They earn their livings mainly by working as sharecroppers or wage laborers.
+o Landless laborers own no land except for their house sites, and sometimes not even that. Lacking draft animals and agricultural implements, they seldom can work as sharecroppers, and must depend upon wages for their livelihoods.
+A villager in Katni told us, "Without land, there is no security." Indeed, without land there is often no food. An International Labor Organization study reports that landless laborers consume only 78 percent as much grain as those who own over seven and one-half acres of land, despite the fact that the landless need 40 percent more calories because they work harder.^2 As we shall see, landownership not only determines who will have enough to eat, but also affects how much food is actually produced.
+Not surprisingly, the small minority of rural families who own over half the country's farmland are, in the words of the AID study, "at the apex of the structure of power in rural Bangladesh; the political economy of the countryside is controlled by them."^3 Land is the key to their power, power which in turn brings them control over other food-producing resources such as irrigation facilities and fertilizer. Since these agricultural inputs are often highly subsidized by the government, they are all the more desirable to the rural elite.
+"Land, the ultimate source of wealth and power in rural Bangladesh, is becoming concentrated in fewer and fewer hands."
+Similarly, the large landowner is better able to receive low interest loans from government banks. His land serves as collateral, and he knows how to deal with the bank officials: how to fill out the necessary forms and when to propose a snack at the nearest tea stall. The large landowners also usually dominate village cooperatives which have access to government credit.
+The rural poor meanwhile must turn to the village moneylender when they need cash, often paying interest rates of more than 100 percent a year. Not coincidentally, the moneylender and the large landowner are often one and the same person. Since Islam, Bangladesh's main religion, condemns the taking of interest, moneylenders ease their consciences through such simple expedients as buying a peasant's crop before the harvest-at half the market rate. To get credit small farmers frequently mortgage their land, forfeiting the right to cultivate it until they repay the loan.
+The large landowners' control of food-producing resources- land, inputs and credit-allows them to appropriate much of the wealth produced in the countryside. As a result, they are able to buy out hard-pressed smaller farmers, driving them into the ever growing ranks of the landless. One study found that peasants who own less than an acre of land sell half their remaining land every yearn Land, the ultimate source of wealth and power in rural Bangladesh, is becoming concentrated in fewer and fewer hands.
+<section>Shaha Paikur: landlord, merchant and moneylender</section>
+Shaha Paikur lives with his four wives in a cement house in Dosutari, a village adjoining Katni. He is typical of the local merchants, for he is also a landlord and moneylender. He deals in jute, rice and mustard seed, and his warehouse is large enough to hold the produce of many local peasants as well as that of his own extensive landholdings. When he sells his jute, a caravan of 50 oxcarts carries it to town. Villagers often speculate about his riches, and some claim he buries gold in his courtyard.
+Shaha Paikur's moneylending has earned him an unsavory reputation. "He began life with nothing but a sharp eye," recalls our neighbor Aktar Ali. "First he married an orphan girl who had some land, and then he worked himself up by moneylending, charging interest rates so high that borrowers could seldom pay him back. When we first came here, he took some of our land too. Now we have learned never to borrow from him; when in need, we borrow from our relatives.
+"Shaha is clever, though. When a man falls on hard times, Shaha offers money. He acts so friendly, 'You have no rice? You have no clothes? Here, take this! You can pay me back at harvest time.'
+"Men are weak. They know they shouldn't take his money, but they think: 'Let me eat today. Let the future bring what it may.' At harvest time Shaha is back, demanding payment in rice at half the market rate. When a man cannot repay, Shaha takes his land-he never lends money to a landless man.
+"Our Koran tells us that moneylending is a great sin. In Allah's eyes, taking interest is as evil as murder. Let me tell you a story to prove it. Last year, when caterpillars attacked my rice crop, I tried all kinds of chemical sprays with no effect. Finally someone suggested the old method of writing a moneylender's name on pieces of paper and tying them to stakes at three corners of the field. You leave one corner open so the insects can escape. I wrote Shaha Paikur's name, tied it to the stakes, and in two days those caterpillars were gone! That is how much Allah despises the moneylender-even pests flee his name!''
+Today the villagers are wary of Shaha Paikur's advances, and turn to him for money only in desperation. But Shaha has found other avenues to expand his fortune. He is now the biggest landlord in Dosutari, with holdings scattered in neighboring villages. At harvest time his agents ply the local markets and his warehouse fills. When the price is right an oxcart caravan takes his goods to town. He sells jute to the government and to bigger merchants, rice to the grain dealers in the nearest town, and mustard seed to a company which presses it for oil. With his profits he buys more land.
+Although trade is not as morally repugnant as moneylending, many villagers resent Shaha Paikur as much for his merchant activities as for his usury. "I grow the jute in Shaha's warehouse,'' said one middle peasant. "Without me, where would he be? What do I get for my labor? Worn hands, aching muscles, and just enough to eat so that I can live to work another day. Meanwhile Shaha sits and eats, and counts his taka."
+<section>4. Siphoning the surplus</section>
+Just as Bangladesh is often called a land of small farmers, so the country's agriculture is sometimes described as "subsistence farming." The implication is that the peasants grow barely enough to feed themselves, with little left over for anyone else. Once again, reality is more complex. Much of the wealth which the peasants produce in the fields is siphoned by large landowners, moneylenders and merchants. The hunger of Bangladesh's poor majority is intimately related to the ways this wealth is extracted and used.
+Who Works, Who Eats?
+Surplus is siphoned from poor peasants and landless laborers by the twin mechanisms of sharecropping and wage labor, production relationships which determine who works the land and who eats its fruits.
+Sharecropping, according to a 1977 AID study, covers at least 23 percent of Bangladesh's farmland.^1 In Katni's vicinity, landlords and rich peasants generally cultivate about three-fourths of their land by means of sharecroppers and the remaining one-fourth with hired labor. The landowner and sharecropper normally split the crop equally, although in some districts the landowner often takes two-thirds.^2 The sharecropper usually must bear the costs of seed and fertilizer, so that in practice his share is really less than half the crop.
+Although the rewards from sharecropping may seem meager, those of wage labor are even less. In Katni the standard wage for male laborers is about 33 U.S. cents per day, paid in a combination of rice, cash and a morning meal which insures that the laborer has enough strength to work all day in the fields. Women from poor families who work processing crops in well-to-do households earn even less-about 20 cents for a day's hard labor.
+The number of landless laborers in Bangladesh is rising rapidly due to population growth and the displacement of small farmers. The dramatic rise in landlessness has not been matched by a rise in employment opportunities. As a result, in 1974 real wages for agricultural laborers had fallen to less than two-thirds of their 1963 level.^3 As Dalim, a landless laborer, told us: "I earn two pounds of rice, one taka (about 7 cents) and a meal for a day's work. With that taka I used to be able to buy two more pounds of rice, with a little left over for oil, chills and salt. But today one taka won't even buy one pound of rice. Employers used to let their workers take a few free vegetables when they went home in the evening, but nowadays they aren't so generous. Times are getting harder for men like me."
+With wages declining, it is becoming more profitable for the landowner to cultivate with hired labor than to give land to sharecroppers. The large landowners in Katni's vicinity calculate that wage labor only costs them one-fourth to one-third of the crop. They are slowly shifting more and more land to hired labor.
+In some countries this shift has been associated with the "green revolution"-the introduction of new crop varieties, chemical fertilizers and irrigation-which by raising yields also makes wage labor more attractive to the landowner than sharecropping. But in Katni the main reason for the shift is not that yields are going up, but rather that wages are going down.
+Poor peasants and landless laborers are caught on an economic treadmill. No matter how hard they run they keep slipping backwards. The siphoning of the surplus makes it almost impossible for them to save enough money to buy land of their own. Instead, illness and unemployment often force them to sell their remaining tiny plots of land and their meager household possessions (The Trials of A Poor Peasant Family, p. 27). Though they devote their lives to growing and processing food, they face perpetual hunger.
+What happens to the surplus once it passes into the landowners' hands? If it were used productively, the suffering of the poor might not be entirely in vain. After all, any society must generate a surplus for investment if the economy is to grow. But in Bangladesh very little of the surplus finds its way into productive investment. Luxury consumption absorbs much of the income of the rural elite. For example, Nafis, a big landlord, bought himself a new Japanese motorcycle while we were in Katni. It cost him as much as a laborer working on his land would earn in 20 years.
+Large landowners are reluctant to invest in agriculture, for farming is a difficult and risky business. They may buy more land, but this is simply a transfer of resources (usually from small farmers), which adds nothing to the nation's productive base. Even less of the surplus is mobilized for investment elsewhere in the economy through taxes or savings because the government does not want to tax the large landowners for fear of losing their political support, and the interest paid on savings deposits cannot compare with other more profitable uses to which the landowner can put his money. Trade and moneylending-both of which siphon surplus from the peasants while leaving the production process untouched-offer by far the most lucrative and easy avenues for investment.
+The Market
+Through the exchanges of the marketplace, merchants are able to siphon surplus from Bangladesh's peasants. Receiving low prices for the crops they sell and often paying high prices for the goods they buy, the peasants lose whether they enter the market as producers or as consumers. The transfer of wealth is often hidden by the seemingly impersonal movement of prices, but in Katni we found several examples which throw the relationship between peasants and merchants into sharp relief.
+"In Bangladesh we call our jute `the golden fiber,'"said one peasant. But tell me, who gets the gold?"
+Jute, the fiber used to make rope, burlap and carpet backing, is the main cash crop of Bangladesh's peasants and provides about four-fifths of the country's export earnings. After independence jute prices stagnated, while rice prices soared. As a result, peasants grew less jute and more rice, so that by 1975 jute acreage had shrunk to two-thirds of its pre-independence level. Worried about export earnings, the government announced a floor price for jute which it hoped would check the decline in production. Government purchasing centers throughout the country were instructed to buy jute from the growers for about 90 taka per maund (one maund is about 80 pounds).
+One such purchasing center was located three miles from Katni. Nevertheless, the villagers sold their jute in the local markets for 60 taka per mound, two-thirds of the government rate. At this price jute was decidedly a losing venture. As the rich peasant Kamal complained: "I sold my jute for less than half of what it cost me to grow it!"
+A visit to the local jute procurement center yielded some clues as to the reasons for the striking discrepancy between the official support price and the actual market rate received by the peasants. The purchasing center consisted of a half dozen large warehouse buildings which had once belonged to a West Pakistani company. The buildings were piled high with rough bales and loose mounds of the golden fiber.
+The manager, a heavyset young man dressed in Western clothing, was happy to explain how the jute is graded and how to operate the baling press. But when asked where the jute in his warehouse came from, his reply was guarded: "We buy from the growers."
+"At what price?"
+"We pay the government rate, 91.50 take per mound."
+"How curious. In the markets a few miles from here, the growers are selling their jute for only 60 taka."
+"Oh, they must be selling to the merchants."
+"Ah, the merchants. And do you buy from them too?"
+"Yes, we buy from the licensed traders." The manager stressed the word "licensed," to emphasize the legitimacy of such transactions.
+"The jute in this warehouse-did you buy most of it from growers, or from merchants?"
+The manager began to look uneasy. "Well, actually we buy mostly from the merchants. You see, these growers only bring in eight or ten mounds at a time, so it is very inconvenient to buy from them. From the merchants we can buy hundreds of mounds at once."
+The manager declined to elaborate as to why the growers are willing to sell so cheaply in the local markets, if they could receive the much higher government price simply by coming to the warehouse a few miles away. The villagers were less reticent. "If I bring in a cartload of jute," said one middle peasant, "the warehouse people say, 'Today we are closed-come back tomorrow.' So my time has been wasted. If I return the next day they will have another excuse: 'We've already bought our quota for the day,' or 'We have to wait for funds from Dacca.' We can never sell our jute to the government."
+Why do the warehouse people turn the peasants away? Our middle peasant friend explained: "We sell our jute in the market at 60 taka. The merchants then sell it to the government at 90 taka, making a 30 taka profit on each mound. They share this profit with the warehouse manager, giving him maybe half. So of course he won't buy from us!" Besides paying kickbacks, the merchants are said to pay the warehouse manager a monthly retainer in order to ensure his cooperation. The manager accordingly buys only from those who make it "convenient" for him to do so. Perhaps he does buy directly from a few growers-local landlords who make suitable arrangements.
+In previous years jute prices in the local markets had been somewhat higher, because much jute was smuggled to India and this demand had helped to keep prices up. But in 1975, following the assassination of Sheikh Mujib, the political connections which had protected the smugglers unraveled and the illegal flow of jute across the border slowed to a trickle. In collusion with the government authorities, a few merchants were then able to strengthen their control over the local jute market, pushing prices to the abysmally low level of 60 taka per mound.
+"In Bangladesh we call our jute 'the golden fiber,' " said one peasant. "But tell me, who gets the gold?"
+While some merchants buy cash crops from the peasants, others sell various goods to them. No villager is entirely selfsufficient; all rely on the market to meet some of their needs. Landless laborers and poor peasants must buy food, everyone has to buy salt and cloth, and those who can afford them purchase such items as medicine and footwear. The prices the villagers pay are often high, in part because of hoarding by merchants.
+Sometimes hoarding is a reaction to genuine scarcities, but other times it is a means to deliberately raise prices. Merchants not only manage at times to control the supply of a particular good within a given locality; on occasion they are able to corner a market throughout the country. For example, in the autumn of 1974 a cartel cornered the market for salt in Bangladesh. The price rose to 50 times its normal level, and salt riots broke out in major towns. For two weeks the merchants who hoarded the nation's salt reaped tremendous profits. Then they loosened their grip, and prices returned to normal.
+Most hoarding is less spectacular, and it is often hard to say where natural scarcities end and artificial ones begin. For example, rice prices are generally lowest at harvest time and highest just before the next harvest. This predictable fluctuation makes speculation in rice attractive to merchants. If they hold stocks in anticipation of rising prices, this in itself helps to lift prices. Landless laborers and poor peasants, who rely on the market for much of their food needs, must pay the price. Middle peasants often lose coming and going: they sell their rice cheaply at harvest time because they need cash for consumption, investment in the next crop and repayment of debts; a few months later they have to buy rice at inflated prices.
+The rice trade was not particularly lucrative in the 1960s, but after independence this changed. In 1974 the price of rice climbed to 10 times its pre-independence level. Peasants were particularly vulnerable in parts of the country where floods had damaged crops. As prices rose, many sold their animals, their land and their household possessions in order to buy rice. The poorest, with nothing left to sell, came to the towns in search of work or relief. An estimated 100,000 people starved to death.
+A villager recalls: "Lalganj (a town five miles from Katni) became a town of beggars. Whole families were living, sleeping and dying in the streets. Each day there were new bodies along the roadside."
+Officially, the government blamed the famine on floods, but many observers believed that hoarding by merchants and a breakdown in government administration were responsible for turning a manageable, localized shortage into a catastrophe. According to an AID official in Dacca: "The food supply was there; it just didn't get to the right people."
+The 1974 famine brought terrible suffering to many people, but to some it brought profit. The merchants who hoarded grain were not the only ones to benefit. Moneylenders did a brisk business, and large landowners were able to buy land cheaply from their poor neighbors. In the hardest hit areas land registry offices had to stay open late into the night to handle the record sales.
+The villagers are well acquainted with many of the merchants who profit at their expense. The men who buy their jute, for example, are local landlords who have diversified into trade and moneylending (Shaha Paikur: Landlord, Merchant and Moneylender, p. 19). A pyramid of trade extends above these local merchants to regional, national and sometimes even international economic interests. At the base of this pyramid are the peasants. They sum up their situation with a simple phrase: "The merchants drink our blood."
+<section>The trials of a poor peasant family</section>
+Abu and Sharifa live with their six children in a one-room bamboo house with broken walls and a leaky straw roof. They are poor peasants, and year by year they are becoming poorer.
+"I wasn't born this way," says Abu. "When I was a boy I never went hungry. My father had to sell some land during the '43 famine, but still we had enough. We moved to Katni when he died-my mother, myself, and my three brothers. We bought an acre and a half of land. As long as none of us brothers married that was enough, but one by one we married and divided the land."
+''I was young," recalls Sharifa, "and I worked very hard. I husked rice in other women's houses to earn money, and finally I saved enough for us to buy another half acre of land. But my husband's mother was old and dying, and he wanted to spend my money to buy medicines for her. He threatened to divorce me if I didn't give him the money, so I gave in. The money was wasted-she died anyway-and we were left with less than half an acre. Then the children came. Our situation grew worse and worse, and we often had to borrow to eat. Sometimes our neighbors lent us a few taka, but many times we had to sell our rice to moneylenders before the harvest. They paid us in advance and then took the rice at half its value."
+"People get rich in this country by taking interest," Abu interjects bitterly. "They have no fear of Allah-they care only for this life. When they buy our rice they say they aren't taking interest but really they are."
+"No matter how hard we worked," continues Sharifa, "we never had enough money. We started selling things-our wooden bed, our cattle, our plow, our wedding gifts. Finally we began to sell the land."
+Today Abu ant Sharifa own less than one-fifth of an acre of land. Most of this is mortgaged to Mahmud Hazi, a local landlord. Until Abu repays his debt, he must work his own land as a sharecropper, giving Mahmud Hazi half the crop. "I can't even earn enough to feed my family," he says, "let alone enough to pay off the mortgage."
+Sharecropping is difficult. "When I work for wages," he explains, "at least we have rice, even if it's not enough to fill our stomachs. But I don't eat from my sharecropping until the harvest. To plow the land I have to rent oxen from a neighbor, plowing his land for two days in exchange for one day's use of his animals. In this country a man's labor is worth half as much as the labor of a pair of cows !"
+When Sharifa can find work husking rice, she usually receives only a pound of rice for a day's labor. Often she cannot find employment. ''If we had land I would always be busy," she says. "Husking rice, grinding lentils, cooking three times a day. Instead I have nothing to do, so I just watch the children and worry. What kind of life is that?" She unwraps a piece of betel nut from the corner of her sari. "Without this we poor people would never survive. Whenever I feel hungry I chew betel nut and it helps the pain in my stomach. I can go for days without food. It's only worrying about the children that makes me thin."
+Soon after our arrival in Katni, Abu fell ill with a raging fever. For a month he was unable to work. Sharifa husked rice in other households and their children collected wild greens, but finally hunger and the need to buy medicine forced the family to sell another bit of land: threehundredths of an acre. They slipped a little further towards total landlessness.
+Six months later, in the lean season before the autumn harvest, Abu and Sharifa could not find any work. Again the family faced a crisis. "Sharifa will tell you she lost her gold nose pin," a neighbor whispered to Betsy. "It's a lie. If she had really lost it, her husband would be beating her. He sold it in the bazaar. How else would they be eating rice tonight?''
+The money from the nose pin was soon gone, so one sunny afternoon Abu cut down the jackfruit tree beside his house. He had planted it four years earlier, and in another year it might have borne its first fruit. By selling it as firewood in town he hoped to get 25 taka. Sharifa and a young son watched as he dug up the roots, which he could also sell as fuel. ''Do you know what it is like when your children are hungry?" asked Sharifa. ''They cry because you can't feed them. I tell you, it's not easy to be a mother."
+She brushed a strand of hair from her forehead and unconsciously fingered the small twig stuck in the hole where her nose pin used to be. ''Why do you sit here listening to our troubles? When people in this country are happy and their bellies are full, they won't listen to tales of sorrow. They say, 'Why are you telling me this? I don't want to hear.' "
+Abu nodded. "Our religion says that the rich man should care for the poor man. He should ask him whether he has eaten. But in this country a rich man won't even look at a poor man."
+Sharifa gazed into the fields and mused aloud: "They say that Allah makes men rich and poor. But sometimes I wonder-is it Allah's work or is it the work of men?"
+<section>5. The inefficiency of inequalily</section>
+From the pages of economic texts and the documents of government planners the familiar theme often emanates that inequalities in income distribution are economically efficient. We are led to believe that the concentration of wealth in the hands of a few leads to higher savings and investment, which ultimately benefits society as a whole. But a look at the realities of rural Bangladesh has already revealed that the surplus the elite extracts from the peasants is not invested productively. The squandering of wealth which could potentially finance development is only one side of the inefficiency of inequality in Bangladesh. The other side is the chronic underutilization of existing resources: land, labor and water.
+Bigger isn't Better
+In Bangladesh the concentration of land in the hands of a few large farmers is a major cause of low agricultural productivity. Several studies indicate that in Bangladesh, as in many countries, small farms have per acre yields equal to or higher than those of large farms. As one report noted: "This may be considered remarkable in view of the heavy discrimination against marginal farmers as far as distribution of modern inputs is concerned."^1 Even though they reap the advantages of subsidized fertilizer, irrigation and credit, Bangladesh's large farmers still don't produce more than their smaller neighbors!
+The reasons for this discrepancy are not hard to fathom. The large landowners tend to cultivate their lands less intensively than small owners. The small landowning peasant, who tills the soil with his own hands, knows that his work determines how much he and his family will have to eat. He invests more labor in his agriculture, and strives to use every bit of land and every drop of water to its utmost. The large landowner's incentive is not so great, and the incentive of the sharecroppers and wage laborers who actually work his land is often minimal.
+The sharecropper knows that half the fruits of his labor will go to the landowner, so he saves his extra effort for the little land he owns himself. He has little incentive to invest in agricultural inputs, not only because the landowner will reap half the benefits, but also because he knows that next year he may not be around to enjoy the returns to his investment. According to the AID land survey, more than 70 percent of all sharecroppers have cultivated their tenant lands for a period of three years or less. This leads the authors to conclude, "It may be reasonably assumed that with such a high turnover in tenant-operated areas that tenants might be less than enthusiastic concerning the need to invest in improvements in such land-including the use of fertilizers having residual impact in succeeding years."^2 The landowner also displays a marked reluctance to invest in improvements, for he has easier ways to make money. The AID study found that less than one percent of
+landowners supplied any inputs to their tenants.^3
+If the large landowner cultivates with hired labor, he may be more likely to invest in inputs, but once again yields are likely to be lower than if the same land were owned and tilled by a smaller farmer. Hired laborers have even less incentive to produce than sharecroppers: they worry about their wage, not about the landowner's yields. And since the landowner must pay for their labor, he uses it sparingly. Moreover, large landowners are often poor farm managers. They usually disdain the dirty work of farming, preferring instead to devote their entrepreneurial talents to such refined activities as trade and moneylending.The villagers of Katni described the incompetence of one big landlord: "Nafis understands nothing about farming. He seldom even goes to the fields. His workers cheat him all the time, and laugh at him behind his back."
+Since small farmers cultivate their land more intensively, they also tend to make more efficient use of credit and agricultural inputs-when they can get them. But most of these resources flow to the large landowners, by virtue of their political power. Commenting on the Bangladesh government's latest rural credit scheme, the World Bank notes: "As usual for such programs, the small farmers demonstrated a better repayment record but did not get a large share of the credit outlays."^4
+While in Katni, we had the chance to see the government's agricultural extension service in action. One day the village children ran to tell us that a "foreigner" had come to see us. It turned out to be the local agricultural extension agent. With his immaculate clothing and upper-class accent, the children were sure he was not a Bengali. The agent's job was to give technical advice to farmers, but he was a stranger to the poor and middle peasants of Katni. We learned that his main role was simply apportioning subsidized fertilizer among the local landlords. These realities are what the AID study calls "institutional impediments" to the dissemination of new agricultural technology.
+In Japan and Taiwan, the groundwork for a highly productive agriculture was a far-reaching land reform, which put control of food-producing resources into the hands of small farmers. In the absence of such a land reform, to imagine that one could redirect credit, inputs and agricultural extension services to the small farmers of Bangladesh is wishful thinking. Moreover, even if by some stroke of political magic one could reorient development programs in favor of the poor and middle peasants, this would still leave out the large and growing numbers of landless.
+Underemployment of Labor
+The chronic underemployment of Bangladesh's- landless and poor peasants represents a terrible waste of the country's greatest resource: the labor of its people. The demand for agricultural labor is highly seasonal-in the peak periods of harvesting, weeding the spring rice and transplanting the rainy season rice, most of the poor can find work. But between these periods they are often unemployed, with no income at all. Taking these seasonal fluctuations into account, a United Nations study set the unemployment rate in rural Bangladesh at a staggering 42 percent.^5 For many, this figure translates into chronic hunger and even starvation (The Death of A Landless Laborer, p. 36).
+Massive underemployment means that millions of people cannot afford to buy basic consumer goods. This lack of what economists call "effective demand" is in itself a cause of economic stagnation. Industry cannot grow without a market, but families who can hardly afford to eat are not about to become consumers of even basic items such as footwear and soap. Indeed, their lack of buying power may act as a brake on food production too. Discussing the prospect of rising unemployment, a cable from AID's Dacca mission states, "These findings in turn cast doubt upon the feasibility of current foodgrain production strategies, implying as they do a general reduction in the level of demand."^6
+The rural poor of Bangladesh represent a huge, untapped work force for labor-intensive agricultural and industrial projects. Mobilized for development, they could be transformed from a drain on the nation's economy into a powerful asset. Yet despite the fact that labor-intensive rural works projects are frequently endorsed as a key to development in Bangladesh, efforts to implement such projects run aground on hard political realities; the government has other priorities. As the AID cable notes: "The government's Rural Works Program is widely reported to have been in a state of deterioration in recent years owing to a variety of management difficulties. "^ 7
+For their part, the rural poor have no incentive to undertake such projects as long as they are deprived of the land which would be improved by their labor. Even if more rural works projects were instituted, the extent to which the landless would benefit is open to question. As an AID study points out:
+Such projects (e.g., the building of a farm to market road) provide income to rural workers for a specified period, but do nothing generally to change the fundamental economic conditions that produced unemployment in the first place. At the same time, such projects tend to provide long-term benefits to landholders who, in this example, use the road to gain access to local markets.^8 In the same vein, the World Bank warns that the scope for reducing unemployment and poverty through rural works projects "would be offset by the inequitable distribution of secondary benefits of the program."^9 As one experienced Bank official told us, "It's hard to see much we can really do for the landless." Hard, that is, under the present inequitable social order.
+Water, Water Everywhere, But . . .
+The present structure of landownership in Bangladesh results in the underutilization of another precious agricultural resource: water. Although Bangladesh has vast surface and ground water resources, only 12 percent of the country's cropland is currently irrigated. Irrigation would bring tremendous production increases in the dry winter season, would insure the regular spring and monsoon season crops against drought, and would allow earlier plantings which reduce the risk of flood damage. But today the uneven distribution and fragmentation of landholdings blocks the cooperative effort needed to harness Bangladesh's great water resources.
+Although it would be a formidable engineering challenge, there is certainly great potential for taming Bangladesh's rivers through construction of dams, embankments and canals. These could provide not only irrigation but also much-needed flood control and drainage for millions of acres. Bangladesh has no shortage of manpower to undertake these tasks but, as we have seen, the mobilization of this labor is almost impossible under the present social order. Moreover, the fact that land is fragmented into many individual holdings poses great difficulties for any such scheme. For instance, who would decide whose precious plots would be sacrificed to the construction of canals and channels?
+"The chronic underemployment of Bangladesh's landless and poor peasants represents a terrible waste of the country's greatest resource: the labor of its people."
+Indeed, fragmentation and unequal distribution of landholdings today undermine even modest efforts to provide irrigation with low-lift pumps and tubewells. For example, a deep tubewell can irrigate 60 acres of land. But even the biggest landlords seldom own so much in a single block-their holdings are scattered here and there. So to use such a well to its full capacity requires cooperalion, which is hard to come by as long as a few large landowners control irrigation resources for their own benefit. An AID cable points to "the well known fact that pump group cooperatives exist only on paper or are otherwise captured by the large landowners."^10
+The World Bank, which has financed several tubewell projects in Bangladesh, has found persistent "organizational problems arising in conveying the water to the farmers' fields." ^11 They are pouring an extra million dollars into one deep tubewell project to facilitate the digging of water channels. "You or I could go out there and dig those channels," one Bank official admitted. "The problem is not that the farmers don't know how to dig ditches, but that they don't want to." In rural Bangladesh political realities not only make large-scale irrigation works impossible-even the use of a single tubewell is problematic!
+The Priorities of the Elite
+There is another important dimension to the inefficiency of inequality in Bangladesh. The priorities of the government reflect the interests of a narrow elite rather than the needs of the poor majority. For instance, expenditures for "defense, justice and police" have risen from 20 percent of the revenue budget under Sheikh Mujib to 30 percent under the present regime Major-General Ziaur Rahman.^12 Government leaders meanwhile make innumerable pronouncements about the importance of attaining agricultural self-sufficiency. But although agriculture generates almost 60 percent of the Gross National Product (GNP) and employs over 80 percent of the labor force, its share of the government's development budget is scheduled to drop from 30 percent in 1976-78 to 25 percent in 1979-80.^13 And the little money devoted to agriculture will mainly be used to subsidize the price of fertilizer.
+Agriculture suffers not only from a lack of funds, but from a lack of commitment on the part of government officials. The World Bank notes pointedly; "Examples of the few countries which have been successful in rural development (e.g. China, Taiwan and Korea) show that government officials have diligently and persistently worked with local people."^14 In Bangladesh, even the most optimistic foreign aid officials admit this diligence and persistence in rural development is hard to come by. The concept of public service is alien to most members of Bangladesh's elite, who look upon the poor majority with disdain. For them, villages are to be escaped, not to be served.
+In fact, the main development which has taken place in Bangladesh in recent years is the development of the elite. Bangladesh's most pressing employment problem is providing work for the millions of landless rural people, but as the World Bank reports, "The only sector which has been booming in terms of employment is public administration."^15 While real wages of landless laborers are plummeting, the government recently increased the salaries of civil servants by 20 to 25 percent.^16
+Although Bangladesh suffers from a shortage of skilled workers, ranging from doctors to mechanics, the government is now encouraging such workers to go abroad so they will send home foreign exchange. (One reason the government needs foreign exchange is to repay foreign aid loans.) At present more than 3000 Bangladeshis migrate to the Middle East each month.^17 More of Bangladesh's senior nurses now work there than in their own country! The New York Times reports from Dacca that the mass exodus of skilled labor is "so serious that the Agency for International Development has all but stopped sending Bangladeshis to the United States for training, even though specialized skills are badly needed here to promote development."^18 Exporting labor which is needed at home is like exporting food when people are hungry: resources go where the profits are highest, not where the needs are greatest.
+Hunger in Bangladesh is neither natural nor inevitable. Its causes are deeply rooted, but they are man-made. The surplus siphoned from the peasants is squandered; land, labor and water are underutilized; and, at the national level, financial resources and skilled manpower are allocated for the benefit of a few rather than for the well-being of the majority Although we have painted a bleak picture, Bangladesh's future is by no means hopeless. Identifying the barriers to development is an important first step to formulating a positive alternative.
+<section>The death of a landless laborer</section>
+''Between the mortar and the pestle, the chili cannot last. We poor are like chills. Each year we are ground down a little more, until there is nothing left of us."
+These are the words of Hari, a Hindu landless laborer who lived in Katni with his wife Komla, their three young children, and a niece whose parents died in the 1974 famine. Their house consisted of a packed mud floor, a sagging straw roof and walls made of a few dried palm leaves hanging from bamboo poles. Inside there was no furniture-the family slept on burlap bags, covering themselves with straw on cold winter nights. Hari did not even own the land on which the house was built.
+Hari's father once owned six acres, enough land to support his wife and five sons. He sold some land to pay for his sons' weddings, but most of it was stolen by powerful Muslim landowners who rose to fill the vacuum left by the departure of the Hindu zamindar. Through fraud, force and moneylending, men like Shaha Paikur wrested Hari's father's land.
+At the time of his death, Hari's father owned only one acre of land, which was then divided among the five brothers. Hari's one-fifth of an acre was not enough to feed his growing family, so he worked as a wage laborer and Komla husked rice in other households. Little by little, Hari sold his land to buy food, clothing and medicine and to repay his debts. By 1971 the land was gone, but Hari and Komla still had a few objects of value-a wooden bed, and a house with solid walls of woven bamboo mats. Then came the independence war.
+The Hindus of Katni had to flee to India to escape the ravages of the Pakistani army, for whom any Hindu was fair game. In the crowded refugee camps across the border, two of Hari's brothers died, probably of cholera. In retrospect, Hari said he had more to eat in the camps than he did when he returned to Bangladesh. Still he told us, "If we Hindus ever have to Bee again, I'll just stay here. Everyone has to die once, and I would rather do it at home."
+When Hari and Komla returned to Katni after the war, they had nothing. Their house had been looted; even the walls had been stolen. Despite the promises of government officials, they received no reliefno food, no clothing, no blankets. Echoing poor people throughout Bangladesh, they maintained that corrupt local leaders sold these relief goods on the black market. Hari and Komla struggled to make ends meet, but rising rice prices cut into the value of their already meager wages.
+In the autumn of 1974, when rice sold at 10 times its preindependence level, Hari and Komla came face-to-face with famine. "I had no work, and we had nothing to eat," Hari recalled. "We begged from house to house, but no one had much to give. One day when l went to town, I saw hundreds of poor people living in the streets. The gutters were filled with their excrement. What an awful stench! People sat outside restaurants waiting for the cook to throw out a few scraps. I saw people fighting over the intestines of a chicken. I saw people selling their children in the bazaar."
+"Later the government set up a gruel kitchen in the town. One day I went with my brother Kirot. We waited all day, and each got one roti (a piece of unleavened bread). Who can live on one roti a day? I decided I would rather die here than in town. My wife and I collected wild greens and roots, and when we weren't looking for food, we slept. When the children's cries woke us, we went out again to search for food. Kirot and his wife died at the gruel kitchen. That's why their daughter Gopi lives with us now."
+The famine had passed by the time we arrived in Katni, but Hari and Komla were still living dangerously close to the margin. During the planting and harvesting of the crops they could find work, but in the slack seasons they often went for days without a decent meal. Hari's health slowly deteriorated. He was trapped in a vicious cycle: without work he could not eat, not eating made him weak, and because he was weak, employers did not want to hire him.
+In the lean season before the autumn harvest of 1975 rice prices were unusually low because hoarders had unloaded their rice stocks in the uncertainty following Sheikh Mujib's assassination. But the low prices did not help Hari, who had no cash. Komla spent hours foraging for edible weeds and roots, while Hari searched from village to village for work. They sent their children to the town bazaar to collect the grains which spilled around the rice merchants' stalls. As the cool, damp nights of winter set in, Hari caught a cold. His body, weakened by hunger, could not resist it. Within a week he was dead.
+Komla's face was knit in a permanent expression of despair. Villagers promised her work after the harvest, and some gave her a little rice when she begged at their houses, but their generosity was limited by their own poverty. Komla worried about her sari, which was falling to pieces. "This sari will last another month, no longer," she told Betsy. "What will I wear after that? How will I leave my house to look for work? My husband never earned much, but at least he shared my worries. Now I have to face the world alone."
+Komla realized she would share the same fate as the other beggar women who passed through Katni-a life of unrelenting hunger. ''People say I will die like my husband, like his brothers and their wives," she confided. "But until then I must try to feed the children."
+<section>6. What is the alternative?</section>
+With fertile land, abundant water and and vast reserves of natural gas, Bangladesh clearly has the potential to afford all its citizens a decent livelihood. The basic obstacles to realizing this potential are social, not technical. True, agricultural output can be increased somewhat by providing more inputs, more credit and better extension services, and by raising prices to give large landowners more incentive to produce. But this will not help those who have no land on which to grow food and are too poor to buy it; in fact, such production increases may actually result in greater hunger by accelerating the concentration of land in fewer hands. Moreover, the inefficiencies inherent in an inequitable social structure will continue to seriously limit the scope for increasing production.
+Social Reconstruction
+What is the alternative to the needless hunger of Bangladesh's poor majority? Only a far-reaching social reconstruction can break the fundamental barriers to increased production and at the same time ensure that the poor majority shares in the fruits of development. The key to such a reconstruction is land reform. If a ceiling of 10 acres per family were perfectly implemented and the excess land redistributed among the landless, each family would receive less than 0.4 acre. A more drastic four-acre ceiling would yield enough surplus to provide each landless and near landless family with a total of 0.86 acre.^1 But even if such a radical reform were implemented, over time lands would be subdivided among children, and for one reason or another some peasants would end up selling out to others, so that eventually a landless group would reemerge. This suggests that land reform, though necessary, would not alone be sufficient to overcome the roots of poverty in Bangladesh. Access
+to the land is only half of the answer to the needs of the rural poor the other half lies in the cooperative use of the land.
+Cooperation in agricultural production would enable the peasants of Bangladesh to undertake self-help development projects which remain impossible as long as agriculture is organized on a fragmented, individual basis. Through labor-intensive construction of irrigation facilities, drainage canals and embankments, the peasants could collectively begin to master the forces of nature in the face of which single individuals are powerless. As the people of our village remarked: "One bamboo alone is weak; many bamboos lashed together are unbreakable." The certainty that the peasants themselves would reap the fruits of their labor, rather than the village landlords, would release tremendous popular energy and initiative.
+Western experts tend to disparage such an alternative approach to development. The authors of the AID land study, for example, dismiss this possibility:
+It is difficult to imagine the people in the countryside (even the landless), committed as they are by tradition to venerate individual rights in land, being amenable to joint farming activities of any kind. Only under circumstances in which the state was able and willing to employ extraordinary coercive power can such joint farming cooperatives be envisaged in Bangladesh. Therefore, for reasons that are practical rather than ideological, joint farming cooperatives do not appear to be a viable option within a general program for rural development.^2
+But are joint farming cooperatives in Bangladesh really such a farfetched idea? Certainly no one should underestimate the difficulties involved in such a major social transformation, but one must distinguish between difficulties and insurmountable obstacles.
+The assertion that the peasants of Bangladesh are committed by tradition to "venerate individual rights in land" is an overstatement. Land ownership in Bangladesh has been far from stable. After 1947, the breakup of the zamindari system resulted in the transfer of ownership of three-fourths of the country's land to new hands.^3 It was through such transfers that many of the landlords in Katni's vicinity acquired their extensive landholdings. The peasants recall this with bitterness; they hardly venerate the landlords' rights to the land.
+While we were in the village, we witnessed the constant turnover of land, the buying and selling through which small farmers are being gradually dispossessed. Certainly, land is more than just another commodity to the peasants of Bangladesh, for land ownership can spell the difference between survival and starvation. But this is a question of economic security, not of quasi-religious attitudes.
+Furthermore, the notion of cooperation was far from alien to the peasants of our village. Many small landowners worked together in informal mutual aid groups. Five or six peasants would join together during the plowing, transplanting or weeding of the fields or at harvest time, working one day on one man's land, the next day on another's and so on. Mostly this was done by middle and poor peasants, but sometimes landless friends would join the group, being paid by whomever owned the land that was worked on a particular day. The villagers explained, "When you work alone, time passes slowly. Working in a group, we talk and sing and the work gets done much faster."
+A transition to joint farming in Bangladesh would necessarily pass through stages, perhaps building at first upon the existing tradition of mutual aid groups. It would have to rely on the peasants' own initiative-it could never be imposed upon them. Once convinced that change was possible, the landless and small farmers could be expected to actively support land redistribution and the growth of agricultural cooperation, for these would bring them improved living standards and greater control over their lives and labor.
+Rich landowners would probably be less than enthusiastic about such changes, and force might be necessary to break their resistance. Coercion and the violence of state repression, as well as the more subtle violence of starvation, are today routine in Bangladesh. What would be "extraordinary" about any coercion involved in a social reconstruction would not be its scale but rather that it would be employed against the wealthy minority, instead of against the poor majority.
+Who could exercise the necessary force to bring about a basic land reform ? Only the poor themselves, whose numbers give them strength. The act of joining together to bring about social change would help to set the stage for cooperation in agricultural production itself. Industry as well as agriculture would benefit from such a social reconstruction, since those who today are too poor to buy consumer goods would be transformed into a vast internal market.
+To suggest that the road to development in Bangladesh lies in this direction is not to say that the "Chinese model" can or should be exactly duplicated. The people of each country must chart their own path of development. What the Chinese have shown is that change is not impossible and that starvation is not inevitable. Development is a great challenge, and one which can only be met through the mobilization of the talents and energies of the poor themselves. It will take patience, organization and dedication. There are no magic words and no instant solutions.
+"Only far reaching social reconstruction can break the fundamental barriers to increased production and at the same time insure that the poor majority shares in the fruits of development. The key to such a reconstruction is land reform."
+Too Optimistic?
+Some might argue that this scenario is too optimistic. A World Bank staff member told us, "The poor people I knew would not be able to mobilize themselves for development or revolution. In Latin America maybe, but the poor in Bangladesh are too submissive and ignorant. "
+Privately, however, many aid officials view a far-reaching social reconstruction in Bangladesh not as a wishful dream but rather as a sad inevitability. AID's Dacca mission states in a 1978 memorandum: "More pessimistically, we foresee that the time will come when the organization of productive forces will have to be radically transformed in such a fashion that rural people will only be able to find security, employment and income in some form of communal agriculture."^4
+Are Bangladesh's peasants too "submissive and ignorant" to see the need for change? Bangladesh has a long history of peasant rebellions.^5 In 1947 and 1971 the peasants saw that political power can and does change hands. But to struggle against the rural elite is to invite retaliation. The large landowners are backed when necessary by the force of arms. Peasants are not by nature passive; on the contrary, they are among the most energetic, hardworking people in the world. The problem lies not in their ability to act, but in the powerful forces that prevent them from acting.
+The rural elite which rules the countryside is not the only obstacle to change. The urban elite which controls the government also benefits from the present social order and wishes to preserve it. Moreover, in Bangladesh most members of the urban upper and middle classes are first or second generation city dwellers with roots still in the villages. The urban and rural elites are not only natural allies, they are also blood relations. Government patronage to the large landowners, in the form of subsidized inputs, credit and funds for local public works projects, serves to strengthen this alliance. The cross fertilization of the two elites has recently taken a new twist, as reported by The Washington Post: "Many of the land transfers recently recorded are to army officers, senior bureaucrats and police."^6
+There is no natural barrier to the satisfaction of the basic human needs of Bangladesh's people. But there is the man-made barrier of a social order which benefits a few at the expense of many. In the cautious language of an AID report, "A local government may lack the political will to implement needed agrarian reforms, however obvious the need for such reforms."^7 No such shortage of political will however is likely to handicap the government when it comes to crushing any challenge to the vested interests it protects.
+Just as Bangladesh's large landowners rely on the backing of the elite-based government, so the government relies on financial and logistical support from wealthier countries. Each year the United States government and U.S.-supported multilateral institutions provide hundreds of millions of dollars of foreign aid to the Bangladesh government. If we as Americans are concerned about the needless hunger of Bangladesh's poor majority, our first duty is to understand the effects of the aid given in our name.
+<section>Us and them</section>
+<section>7. Foreign helping hand ?</section>
+Foreign aid is big business in Bangladesh. The vehicles of aid agencies ply the streets of Dacca, their offices buzz with activity, and new luxury housing to accomodate their personnel sprouts in Dacca's suburbs. Although private voluntary agencies, of which there are more than one hundred in Bangladesh, are highly visible, they account for only four percent of the aid flowing into the country. The other 96 percent comes from official government agencies and international organizations.
+Independence launched Bangladesh on its aid bonanza. Within three years of its break with Pakistan, the nation received $2.5 billion in aid commitments, more than it had received in its 25 years as East Pakistan. The flow is increasing: in fiscal year 1979 new aid commitments are projected to reach $1.6 billion.^1 Much of this aid comes from the United States and U.S.-supported multilateral institutions, such as the World Bank. Aid currently finances about half of the government's budget, and is equivalent to nearly 10 percent of the GNP.
+On the surface, Bangladesh seems like a worthy recipient of foreign aid. It is an ideal testing ground for the new "basic needs" strategy so popular among major donors like the World Bank and AID. By meeting the basic needs of the poor-food, shelter, health care and education-the aid agencies hope to lay the groundwork for "growth with equity" instead of economic growth alone, which in the past has usually bypassed the poor. But unfortunately, it is far easier to talk about "basic needs" development programs than to implement them. Implementation is the responsibility of the recipient government, which is often more interested in meeting the not-so-basic needs of the rich and powerful than in helping the poor. As we discovered in Bangladesh, programs which on paper help the needy often look very different in the field.
+Food Aid for the Elite
+About one-quarter of the aid to Bangladesh comes in the form of food aid. The United States provides roughly one-third of this food aid under Titles l, ll, and Ill of the Agricultural Trade Development and Assistance Act (Public Law 480). Under Title I, the Bangladesh government buys American food with concessionary loans and then distributes it according to its own policies. Title II food, given as a grant for disaster relief and humanitarian purposes, is usually disbursed through private voluntary agencies. Under the newly created Title III program, food will be provided to the government as under Title I, but the loan will be written off if the government uses the revenues from the sale of the food for development projects.
+Since 1974, most American food aid has come to Bangladesh under the Title I program, giving the Bangladesh government virtually total control over food aid distribution. The Bangladesh government sells the Title I food at subsidized prices through its ration system. Ironically, most of the food aid goes to those who can best afford to pay the market price: the urban middle class. Twentyseven percent of rationed food grains is allotted to members of the military, police and civil service, and to the employees of large enterprises; another 30 percent goes to the predominantly middleclass ration holders in the six urban areas. Nine percent is supplied to mills which sell flour to bakeries catering to the urban consumer.^2 It is no secret that the primary purpose of the ration system is to keep prices low for the politically volatile urban population.
+The urban ration system is rife with corruption. A December 1977 AID memorandum reports: "The number of urban ration recipients appears now to equal or exceed the total urban population, a finding that would seem to suggest large-scale system leakages." As examples of these leakages, the document cites "double listing of recipients, padded rolls, black marketing of all types."^3
+Although 90 percent of Bangladesh's people live in the countryside, only one-third of the government's rationed foodgrains are allotted to rural areas. In theory, the ration of rural inhabitants is half that of city dwellers, but in practice they receive even less The rural ration dealers siphon a substantial portion of the foodgrains and sell them on the black market. For this reason, a dealership is a key form of political patronage. The local dealer in Katni's area received the job because his father-in-law had been head of the local administrative body, the union council. As a result of "leakages," only an estimated 14 percent of the rural population receive any grain from the ration system.^4
+During our nine-month stay in Katni, the villagers were able to buy rationed foodgrains on only five occasions. Each time their quota was only one-half pound of grain per family member. As one villager remarked in disgust, "That is not enough for a single meal-it's hardly worth my time to go and buy it."
+Although they recognize the shortcomings of the government's ration system, many aid donors insist that food aid has the beneficial effect of increasing the overall availability of foodgrains in Bangladesh. However, the main problem of the poor is not lack of supply, but lack of purchasing power. Even when rice was plentiful and selling at a reasonable price in the bazaar, the poor of our village went hungry. Title II foodgrains, distributed by voluntary agencies through food-for-work projects, sometimes provide temporary relief to the rural poor but in the long run as we have noted, these rural works projects primarily benefit the large landowners.
+Food aid also has adverse long-term effects on agricultural development. Despite the stipulation in P.L. 480 that American food aid should relate to "efforts by aid-receiving countries to increase their own agricultural production," the U.S. Embassy in Dacca acknowledged in a 1976 cable that, "The incentive for Bangladesh government leaders to devote attention, resources, and talent to the problem of increasing domestic foodgrain production is reduced by the security provided by U.S. and other donors' food assistance."^5 Moreover, food aid undermines domestic food production by reducing the government's need to procure grain from local farmers and thus support prices at harvest time.
+The new Title III "Food for Development" agreement with the Bangladesh government is designed to reduce these adverse consequences. Theoretically, government revenues from the sale of the 800,000 tons of American Title III wheat will be devoted to "selfhelp" rural development and health care projects. But this is little more than an accounting procedure, as money which would otherwise be allocated for these purposes will be released for other uses. As one experienced aid official told us, "Most of the money will probably end up being used to build new staff quarters for the military."
+In fact, as this official explained, the main reformist thrust of Title III in Bangladesh lies not in the use of funds, but rather in policy changes tied to the agreement. Chief among these is the stipulation that the Bangladesh government must distribute at least half the wheat through open market sales to private traders. These sales are designed to keep prices from soaring beyond the reach of the poor in the lean season before the harvest-a tacit admission that food aid is more likely to reach the poor if sold on the open market than if distributed through the government's ration system. But whether or not the open market sales will succeed in holding down lean season prices is questionable. Prices soar primarily because of hoarding by merchants, so selling them more food may simply give them greater opportunities for profit. The World Bank notes that in order for open market sales to succeed, the government must "make no announcement as to the quantity available for this
+operation, thereby minimizing speculation by private dealers."^6 Given the cozy relationship between merchants and government officials, prospects do not seem bright.
+Proponents of continued food aid to Bangladesh argue that even though the vast majority of food goes to feed the middle and upper classes, the poor would be worse off without it. Without food aid to supply the ration system, the rich would buy their rice on the market. If domestic foodgrain production falls short of the country's requirements, market prices would then soar beyond the reach of the poor. This dilemma leaves the rich of Bangladesh in a position to blackmail the donors: if you cut off our food aid, we won't be the ones to starve.
+But the extent to which there is a shortfall between the country's production and its consumption needs is not clear. The sale of foodgrains through the ration system is a major source of government income, providing about one-fifth of the government revenue budget in fiscal year 1977. To ensure continuing food aid and revenue from its sale, the Bangladesh government is said by aid officials to consistently underestimate the amount of each harvest in its reports to the international donors.^7 Today Bangladesh must produce about 15 million metric tons of foodgrains to feed its people.^8 Estimates of current production vary widely. The World Bank estimate for 1977-78 is 13.3 million metric tons,^9 but the FAO figure for 1977 is 19.6 million.^10 No one really knows, but Bangladesh might even now be self-sufficient in the production of foodgrains.
+"Ironically, most of the food aid goes to those who can best afford to pay the market price, the urban middle class."
+Notwithstanding various "self-help" provisions, food aid by its very nature can only address the symptoms of hunger, not its underlying causes. The logic is simple and compelling: if people are hungry, give them food. But instead of feeding needy people, food aid often strengthens the very forces which create hunger. In Bangladesh, food aid bolsters the elite and undermines any impulse towards self-reliance. In 1976, a U. S. Senate study recommended the phasing out of food aid to Bangladesh over a five-year period, following the advice of experts who believed that a commitment to terminate food aid "was the only way to force the government to take the necessary actions for eventual self-sufficiency.''^11 This of course raises the question of why it should be necessary to "force" a government to act in the interests of its own people. This recommendation has not interrupted the flow of American food aid to Bangladesh.
+Project Aid: A Tubewell for the Village Landlord
+Aid to specific development projects would seem to offer donors greater scope for translating their concern for the poor into concrete action. Indeed, much project aid goes to the rural areas, where most of Bangladesh's needy people live. In their project descriptions, the donors frequently identify their "target group" as Bangladesh's small farmers. Unfortunately, most of their aid misses the mark.
+Project aid reached Katni in the form of a deep tubewell for irrigation, one of 3000 installed in northwestern Bangladesh by a World Bank project. On paper, the tubewell will be used by a farmers' cooperative formed especially for the purpose. According to the press release which announced the project, each tubewell "will serve from 25 to 50 farmers in an irrigation group."^12 In reality, the tubewell in our village was the personal property of one man: Nafis, the biggest landlord of the area. The irrigation group, of which Nafis was supposedly the manager, was no more than a few signatures he had collected on a scrap of paper.
+Nafis and his younger brothers inherited 70 acres of land from their father, who had become rich by serving as a rent collector and a procurer of village women for the local zamindar during the colonial era. While attending college, Nafis joined the late Sheikh Mujib's Awami League and soon became an influential figure in local politics. Shortly after independence he was appointed vice chairman of the union council, in which position he misappropriated the few blankets and sheets of corrugated tin which came to the village as postwar relief supplies.
+The tubewell was by far Nafis's greatest patronage plum. Although each tubewell cost the donors and the government about U.S. $12,000, Nafis paid less than $300 for his, mostly in bribes to local officials. The tubewell sits in the middle of a 30-acre tract of Nafis's best land. Since it will yield enough water to irrigate twice that area, Nafis says the smaller farmers who till adjacent plots will be able to use his water-at a price. But the hourly rate he intends to charge is so high that few of his neighbors are interested. As a result his tubewell will not be used to its full capacity.
+At first we were surprised that the beneficiary of the World Bank's aid should be the richest man in our village, but on closer inspection we learned that this was not so strange. A foreign expert working on the project told us, "I no longer ask who is getting the well. I know what the answer will be, and I don't want to hear it. One hundred percent of these wells are going to the big boys. Each thana (county) is allotted a certain number of tubewells. First priority goes to those with political clout: the judges, the magistrates, the members of parliament, the union chairmen. If any are left over, the local authorities auction them off. The rich landlords compete, and whoever offers the biggest bribe gets the tubewell. Around here the going price is 3000 taka (less than U.S. $200)."
+"You see," he explained, "On paper, it's a different story. On paper, all the peasants know these tubewells are available. If they want to have one, they form themselves into a democratic cooperative, draw up a proposal and submit it to the union council, which judges the application on its merits. The union council then passes the proposal to the Thana Irrigation Team, which again judges the case on its merits. If the proposal is accepted, the foreign consultants verify that the site is technically sound. So on paper it all sounds quite nice. Here are the peasants organizing to avail them selves of this wonderful resource. When the high-level officials fly in from Washington for a three-day visit to Dacca, they look at these papers. They don't know what is happening out here in the field, and no one is going to tell them."
+An evaluation sponsored by the Swedish International Development Authority (SIDA), which helped to finance the tubewell project, confirms that the experience of our village was typical. The evaluator concluded after examining 270 tubewells:
+It is not surprising that the tubewells have been situated on the land of the well-to-do farmers who are the chairmen and managers of the irrigation groups. It (would have) been more surprising if the tubewells had not been located on their land, with the existing rural power structure, maintained largely because of the unequal distribution of land.^13
+Given the social realities of rural Bangladesh, the outcome of the World Bank's tubewell project was entirely predictable.
+For the poor of our village, the only conceivable benefit of the project will be the employment generated by Nafis's extra rice crop. Nafis plans to work part of his tubewell land with hired labor and to lease part to sharecroppers. (Since the yield on this irrigated land will be higher, Nafis intends to take two-thirds rather than his customary one-half of the crop: "After all," he says, "I bought the well.")
+Against any employment benefits one must weigh the negative effects of the tubewell: with his extra income, Nafis will be better able to buy out smaller farmers when hard times befall them, driving them into the ever-growing ranks of the landless. He already has an eye on the plots nearest his tubewell.
+What lessons has the World Bank learned from this project? One Bank official told us that the tubewell project "should not be used as an example of the Bank's current programs in Bangladesh," because it was conceived in 1969 before the Bank had adopted the basic needs strategy. But while new ideas may become fashionable among aid donors, the realities of rural Bangladesh remain the same. A look at the Bank's "Rural Development One" (RD-1) pilot project, launched in 1976, reveals the old contradictions present in the Bank's new directions.
+New Directions?
+RD-1 provides $16 million spread over seven of Bangladesh's 410 thanas for everything from rural works, credit and agricultural extension to the construction of government buildings. According to a Bank press release, "One of the most important goals of the project will be to reduce the domination of rural institutions by the more prosperous and politically influential farmers and to make farm credits and agricultural inputs (fertilizer, pumps, tubewells, insecticide and fuel) available to the 'small farmers' through the cooperative system."^14
+What has happened in reality? An unusually frank internal World Bank memorandum, evaluating the first year of RD-1, concludes that the implementation of the project is "unsatisfactory." The memo cites one cooperative as a typical example: "The manager (of the cooperative) owns 20 acres of land and has held his managerial position since inception, although he has been in jail for the past one and a half years . . . the TPO (Thana Project Officer) approved a loan of Tk/17,000 to this society in July/August 1977. Other members of this KSS (cooperative) were not aware of this loan. The TPO is unable to give any logical reason for approval of this credit."^15
+The memo also notes that the local project staff "appears to consider the filling out of innumerable forms to be its main function."^16 Because of widespread corruption and incompetence in the public works constructed under the project, roads were washing away and market buildings crumbling within months of their completion.
+RD-1 has earned such notoriety in Bangladesh that even AID officials are quick to disassociate themselves from it. One AID official told us: "Don't assume our programs are like that. In our view, RD-1 is a project which has been captured by the rich." Nevertheless, in early 1979 Bank officials in Washington told us that the project is a success, and that they plan to launch a second project on the same lines in the near future.
+Despite much talk of "targeting" assistance to the rural poor, AID's rural development projects face the same basic obstacle: the unequal distribution of land and power in rural Bangladesh means that large landowners will inevitably seize the lion's share of scarce aid-provided resources. One of AID's main activities in Bangladesh is the provision of fertilizer; in fact, the recent Title III food aid agreement specifies that over half the proceeds from the sale of the food will be used to purchase and distribute fertilizer.^17 Fertilizer prices are highly subsidized by the Bangladesh government, ostensibly to help small and large farmers alike to increase their production. But who does the subsidy really benefit? According to the World Bank: "By most accounts farmers usually have to pay the market rather than the subsidized price, the margin benefiting the middleman instead of the farmer."^18 The middlemen are the same merchants, landowners and local officials who hold the
+reins of power in rural Bangladesh. As usual, not much "trickles down" to the poor.
+AID is also becoming involved with rural electrification, which is enjoying a new upsurge of popularity among aid donors in Bangladesh. According to one AID official, electrification will bring such tangible benefits as supplying power for tubewells, increasing the use of radio for agriculture extension services, spurring the growth of local industries, and, at last but not least, making government officials less reluctant to get out into the countryside.
+Of all these ostensible benefits, the growth of rural industry would seem most likely to help the poor, who are desperately in need of employment. But what kind of industries are likely? In an interview with OXFAM-America, an experienced foreign field worker described how the Germans and Japanese are trying to market high technology rice mills in Bangladesh. Rather than generating employment, these mills would displace the labor of millions of poor rural women who earn their livelihood by manually processing rice. "It's generally true that expensive technology introduced into an unequal situation increases the inequality," the field worker explained. "The poorest people suffer most . . . In the present situation, large-scale electrification would lead to large numbers of high technology mills, resulting in the immediate unemployment of these women who would become destitute because there is no other alternative."^19
+Who Is to Blame?
+Confronted with the failure of rural development aid to benefit the poor, foreign donors predictably blame the Bangladesh government, not themselves. "The Bank is not blind to these things," one World Bank official told us, "but our ability to do anything about them is limited. If the government doesn't have the will to help the small farmers, we can't force them to do it. We can advise, we can write provisions into our projects, but without that genuine commitment on the part of the government it just won't work."
+But when we spoke to a high-ranking Bengali diplomat, he put it another way: "We have no control over these projects. The World Bank and the other international agencies tell us what to do, and we do it. If they want to give us tubewells or fertilizers because it's good for business in their countries, what are we to do? After all, they have the money."
+Both arguments contain an element of truth. Drawing its support from the urban and rural elites, the Bangladesh government does lack the political will to help the poor. But aid donors design and finance projects which time and again benefit these same elites. In veiled statements in confidential documents, the donors occasionally criticize the government, but money speaks louder than words. Indeed, quantity rather then quality seems to be the prime concern of many international aid agencies. That there is a contradiction between self-reliance and the absorption of an ever growing volume of foreign aid seems to escape them.
+Why do aid institutions push money on Bangladesh? Partly because aid is good for business back home. The U.S. Commerce Department's publication Commerce America reports happily: "In fiscal year 1977 AID commodity expenditures [worldwide] amounted to $771,132,000, 98 percent of which was in the U.S."^20 Moreover, foreign aid has spawned vast bureaucracies with a vested interest in their own survival and expansion.
+"For Bangladesh's poor, the quiet violence of starvation and the less subtle violence of state repression are two sides of the same shiny foreign coin."
+But the main motives behind foreign aid are related to longterm political and economic interests. A prominent aid official wrote in 1964, before the basic needs rhetoric became fashionable:
+In the most general sense, the main objective of foreign assistance, as of many other tools of foreign policy, is to produce the kind of political and economic environment in the world in which the United States can best pursue its own social goals ... The second objective, which concerns the immediate future, is internal stability, which is sought by giving politically popular types of aid to existing governments, by the prevention of internal disorders . . . The third major objective of foreign assistance is security of the United States and its allies from external aggression.^21
+In Bangladesh foreign aid helps to insure that the government will look kindly on foreign investors, whose eyes are above all on the country's vast reserves of natural gas.^22 It helps to promote "internal stability" by allowing the government to buy the support of the urban elite with subsidized food and government jobs, and the support of the rural elite with patronage given under the guise of rural development.
+In its 1978 budget presentation to Congress, AID notes: "The U. S. political interests in Bangladesh are limited and reflect a concern for the impact that instability in Bangladesh could have on the subcontinent as a whole."^23 Bangladesh borders on the politically volatile Indian state of West Bengal and on hill areas where India has been fighting tribal insurgents for years. Recently Zbigniew Brzezinski, the National Security Advisor for the President of the
+United States, has hinted at Bangladesh's strategic importance: "Today the area of crisis is a group of states on the shores of the Indian Ocean-literally an arc of instability, which can be drawn on a map from Chittagong in Bangladesh, through Islamabad, all the way to Aden. Their internal fragility, social and political, could interact with the projection of Soviet power . . . "^24
+But foreign development aid alone can not buy political "stability" in Bangladesh-it must be backed up by the force of arms. While food aid provides indirect financing for the government's repressive apparatus, military assistance directly bolsters forces which crush any challenge to the status quo. For Bangladesh's poor, the quiet violence of starvation and the less subtle violence of state repression are two sides of the same shiny foreign coin.
+Arming the Status Quo
+Early one morning as we rode on a bus north from Dacca, we passed a military cantonment. Through the heavy mist we saw a line of prisoners, their heads shaven and their arms chained, marching under armed guard near the road. The genial chatter in the bus stopped abruptly as the passengers absorbed the scene in silence. We had just caught a glimpse of the realities of political repression in Bangladesh.
+The governments which have come and gone in Bangladesh have one thing in common: each has used force to suppress opposition. Sheikh Mujib, whose overwhelming victory in the 1970 elections precipitated the independence struggle, originally enjoyed tremendous popular support. But within two years disenchantment set in, as the corruption and incompetence of the ruling Awami League plunged the country into economic chaos. In response to growing opposition, Mujib declared a state of emergency in late 1974, suspending civil liberties and instituting press censorship. In January 1975, he scrapped the parliamentary system, outlawed all political parties except his own, and declared himself president. The prisons filled with his political opponents.
+Mujib was assassinated in August 1975 by disgruntled junior army officers, paving the way for a series of coupe. In November 1975, after a convulsive army mutiny, Major-General Ziaur "Zia" Rahman seized power as head of a new martial law regime. In July 1976, Zia's government hung Colonel Abu Taher, a hero of the independence war and leader of the November army mutiny, in Bangladesh's first official political execution since the days of British colonial rule. When a mutiny again broke out in the armed forces in October 1977, Zia responded with mass executions of hundreds of soldiers, setting yet another ominous precedent.
+In its 1977 Annual Report, Amnesty International estimated that there were from 10,000 to 15,000 political prisoners in Bangladesh, most held without trial. Within the jails, the organization reported that treatment of prisoners "borders on conditions that are inhuman."^25 This dismal human rights situation soon began to tarnish Zia's image in the West. In order to both appease critics abroad and legitimize his rule at home, Zia decided to gradually return Bangladesh to "democracy."
+"Until Americans take a hard look at the political realities in countries like Bangladesh, they can expect their foreign aid dollars to perpetuate rather than alleviate poverty."
+In June 1978, Zia ran for president in an election held under martial law, and won a predictable victory. Then in parliamentary elections held in February 1979, his party won a large majority of seats. However, only 40 percent of the electorate turned out to vote.^26 A senior Bangladesh army officer candidly revealed the motives behind the elections: "The West, and especially the U.S. Congress, likes it if we can be called a democracy," he told a foreign journalist. "It will make it easier for us to get aid. That is the main importance of the election."^27
+Zia himself echoed this view in a speech to foreign reporters: "Now, with this election and the democratic process being restored more private investment should come into this country."^28
+Despite some improvements, the human rights situation in Bangladesh is still far from rosy. During Zia's five years in power, more than 1,000 military personnel are reported to have been executed. On May 30, 1981, the illusion of stability was shattered when Zia himself died in a hail of gunfire in an abortive coup attempt.^29
+The most serious human rights violations in Bangladesh today are in the southeastern Chittagong Hill Tracts, where the government is trying to crush a movement for limited autonomy. A statement by the tribal movement, the Shanti Bahini (Peace Army), published in a prominent Indian journal, charges that the Bangladesh army has unleashed a reign of terror, including rapes, summary executions, indiscriminate burnings and lootings of entire villages, and the creation of "strategic villages" which resemble concentration camps.^30 One of the few foreign journalists who managed to visit the area reported "The only able-bodied young civilians I saw roped together, through the town bazaar at Kaptai, 30 miles east of Chittagong."^31
+Foreign aid dollars are directly supporting Bangladesh's military and police forces. The British government is providing U.S. $1.3 million worth of telecommunications equipment to the Bangladesh police, and eight British military officers are helping to establish a military staff college north of Dacca. Several foreign governments are providing financing for a road in the Chittagong Hill Tracts which will facilitate troop movements.^32
+The United States, for its part, is providing aid under the International Military Education and Training Program (IMET), which brings Bengali officers to the United States to study "management techniques." The State Department's rationale for the IMET program is "to improve an institution which contributes to stability in Bangladesh and in the region."^33 But the stability to be purchased by propping a regime which rules in favor of Bangladesh's narrow elite is likely to prove illusory.
+In the long run, economic development is the key to political stability. But it does not follow that in the short run political stability is the key to economic development. This is especially true if what is stabilized is the political power of a narrow elite which puts its own interests above those of the country's poor majority. Until Americans take a hard look at the political realities in countries like Bangladesh, they can expect their foreign aid dollars to perpetuate rather than alleviate poverty.
+<section>Family planning comes to Bangladesh</section>
+"Overpopulation" is not the cause of poverty in Bangladesh. The country could easily feed its present population-and more-if the social constraints on agricultural production were removed. Even though population growth is not the main problem, many villagers want access to family planning.
+As we learned in Katni, villagers have good reasons for wanting children. Children's labor is a vital part of the household economy, and parents rely on their sons to support them in their old age. Because the infant and child mortality rate is so high in Bangladesh, parents must have many children in order to ensure that at least one son will survive. But once villagers have enough children to meet their needs, they are often very interested in birth control. Women are tired of constant pregnancies, and parents realize that too many children can be a drain on the family's resources.
+Soon after our arrival in Katni, we were bombarded with pleas for birth control pills. AID had already given millions of dollars worth of pills to the Bangladesh government to be distributed free of charge, but the only pills the village women had seen were marketed by a travelling merchant woman at a price of eight taka-more than the average daily wage-for a month's cycle. Several daring women had bought them without their husbands' knowledge, but lacking instructions on how to use the pills, they soon became pregnant.
+In response to the villagers' pleas, we visited the government family planning office in the nearest town and requested that extension workers come to our village. After their arrival, we learned why the demand for birth control in the villages was not being met. Wearing expensive jewelry and silk saris, the extension workers were educated, middle-class town women, separated from the village women by a gulf of arrogance and indifference. They addressed the villagers in upperclass Bengali and in their presence asked us how we could stand the "inconvenience" of living in a dirty village. After they left, the villagers inquired if they were our sisters from America.
+The family planning workers promised to return within three days with a supply of pills, but it was many weeks before the villagers saw them again. They claimed that they could not come because their jeep had broken down, and they were unable to walk the five miles to the village from the town, a distance many villagers covered by foot every day. This explanation did not inspire confidence. Nor did the ensuing discussion. The extension workers told the village women it was immodest not to wear blouses beneath their saris. Unable to afford blouses, the village women sat for a moment in embarrassed silence.
+Although the extension workers left behind a carton of pills, the villagers doubted they would ever return to replenish the stock, much less to supervise the women's taking of the pill. As one village woman told us, ''All government officers care about is their salary. They sit in offices and drink tea. What do they care about us?"
+Our village's encounter with the family planning service illustrates the failure of Bangladesh's health care system to reach the poor. Over three-fourths of Bangladesh's doctors serve the 10 percent of the people who live in urban centers; in the rural areas there is only one doctor for every 40,000 people.^1 The few health care workers employed in the countryside often share the attitude of the women who visited our village: they look down on the rural poor.
+Although the aid donors are now recognizing the limitations of using upper-class government servants for family planning work in the villages, the alternatives they have developed may actually be making matters worse. AID has launched a "contraceptive inundation" program for birth control in Bangladesh. The countryside is literally being flooded with cheap birth control pills, distributed by undertrained field workers or sold through small village shops. In the words of Dr. Ravenholt, the head of AlD's population program: "The principle involved in the household distribution of contraceptives can be demonstrated with Coca Cola . . . If one distributed an ample, free supply of Coca Cola into each household, would not poor illiterate peasants drink as much Coca Cola as the rich literate residents?"^2
+But as Stephen Minkin, the former head of UNICEF's nutrition program in Bangladesh, points out, birth control pills are a powerful drug, not a soft drink. Given without adequate supervision, they are potentially harmful to women and children. Pregnant women who take the pill increase the risk of cardiovascular birth defects in their children. Moreover, the use of the pill by nursing mothers may decrease their milk supply, contributing to infant malnutrition.^3
+In the absence of a health care system designed to meet the needs of the rural poor, aid for family planning, like aid for rural development, more often hurts than helps.
+<section>8. What can we do?</section>
+We as Americans can help to end the needless hunger in Bangladesh.
+First, we can work to halt military and economic assistance which bolsters Bangladesh's narrow elite at the expense of the country's poor majority. Conventional wisdom suggests that we should give more aid to Bangladesh, not less. Many concerned Americans are dismayed at how little of our national wealth we devote to "helping the poor countries." But we must re-examine this charity impulse. We must look beyond the symptoms of hunger to the causes. In particular, we must ask whether the best way to help the poor is to give arms, money and food to the rich. Only the Bangladeshi people can carry out the social reconstruction which alone can bring an end to hunger in Bangladesh. But we, as Americans, have both the power and the responsibility to remove those obstacles which our government's "aid" places in their way.
+Secondly, we can assist the many people in Bangladesh and throughout the third world who are working to mobilize the poor fo. developement and social change. We can offer financial support to groups working in their own communities, using local organizers, and starting with the immediate needs of their people.
+Thirdly, we can continue to educate ourselves and others about the needless hunger of millions of people throughout the world. No issue more clearly reveals the gap between technological possibilities and social realities, or points more vividly to the urgent need for social change. As we in the United States learn about the role of our political and economic institutions in perpetuating hunger, we will find that we must reshape our own society. Here, as in Bangladesh, we must work to ensure that the well-being of many is not sacrificed to the narrow interests of a few. In this struggle, the poor of Bangladesh are our allies.
+Betsy Hartmann and James Boyce, Fellows of the Institute for Food and Development Policy, were in Bangladesh from 1974-1976 on grants from Yale University. Their articles on Bangladesh have appeared in The Nation, The Christian Science Monitor, Le Monde Diplomatique, Food Monitor and other journals. Betsy Hartmann is currently writing a novel set in the Third World; James Boyce is studying for a doctorate in economics at Oxford University.
+<section>Notes</section>
+1. The Paradox
+1. Food and Agriculture Organization, Bangladesh: Country Development Brief, 1973, cited in Food First, p. 19.
+2. World Bank, Bangladesh: Development in a Rural Economy, Volume 1: The Main Report, September 15, 1974, p. 1.
+3. According to World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. iv, per capita income is $91. Life expectancy from United States Agency for International Development (A. l. D. ), FY 1978, Submission to Congress: Asia Programs, February, 1977, p. 16.
+4. World Bank, Bangladesh: Development in a Rural Economy, Volume 1: The Main Report, September 15, 1974, p. 2.
+5. Nutrition Survey of Rural Bangladesh, 1975-76, Institute of Nutrition and Food Science, University of Dacca, December, 1977.
+6. World Bank, Bangladesh: Current Trends and Development Issues, December, 15, 1978, country data, p. 1.
+7. "World Hunger, Health and Refugee Problems: Summary of Special Study Mission to Asia and the Middle East," report prepared for the Subcommittee on Labor and Public Welfare and the Subcommittee on Refugees and Escapees, Senate Committee on the Judiciary, January 1976, p. 99.
+8. World Bank, Bangladesh: Current Economic Situation and Development Policy Issues, May 19, 1977, p. 34.
+9. Rice yields for 1928-32 can be found in Nafis Ahmad, An Economic Geography of East Pakistan, London: Oxford University Press, 1968, p. 129.
+10. Ibid, p. 75.
+2. Riches to Rags
+1. William Bolts, Considerations on Indian Affairs, London, 1772, cited in Ramkrishna Mukherjee, The Rise and Fall of the East India Company, New York: Monthly Review Press, 1974, pp. 302-303.
+2. Helen Lamb, "The 'State' end Economic Development in India," in S. Kuznets et al, ea., Economic Growth: Brazil, India, Japan, Durham, N.C.: Duke University Press, 1955, p. 468.
+3. Cited in Mukherjee, p. 304.
+4. Cited in Mukherjee, pp. 337-338.
+5. Abu Abdullah, "Land Reform and Agrarian Change in Bangladesh," The Bangladesh Development Studies, volume IV, no. 1, January 1976, p. 69.
+6. Cited in A.R. Mallick, British Policy and the Muslims in Bengal, Dacca: 1961.
+7. Lamb, p. 490.
+8. For example, Home Minister Sir Herbert Risley frankly described the motives behind the 1905 partition of Bengal along religious lines: "Bengal united is a power. Bengal divided will pull in different ways. . . . One of our main objects is to split up and thereby weaken a solid body of opponents to our rule." Quoted in A. Tripathi, The Extremist Challenge: India Between 1890 and 1910, Calcutta: Orient Longmans, 1967, p. 95.
+3. Who Owns the Land?
+1. F. Tomasson Jannuzi and James T. Peach, Report on the Hierarchy of Interests in Land in Bangladesh, Washington, D.C.: Agency for International Development, September 1977, pp. xxi, 30.
+2. Azizur Rahman Khan, "Poverty and Inequality in Rural Bangladesh," in Poverty and Landlessness in Rural Asia, Geneva: International Labor Organization, 1977, p. 142.
+3. Jannuzi and Peach, p. 70.
+4. Khan, p. 159.
+4. Siphoning the Surplus
+1. Jannuzi and Peach, pp. 41-42, 81.
+2. Ibid, pp. 42-43.
+3. Edward J. Clay, "Institutional Change and Agricultural Wages in Bangladesh," paper presented at Agricultural Development Council Seminar on Technology and Factor Markets, Singapore, August 9-10,
+5. The Inefficiency of Inequality
+1. "Bangladesh: Rural Development in four thanas in Kushtia District," Netherlands Ministry of Foreign Affairs, International Technical Assistance Department, February, 1978.
+2. Jannuzi and Peach, pp. 43-44.
+3. Ibid., p. xxvii.
+4. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. 3.
+5. Agricultural Employment in Bangladesh, Government of Bangladesh- UNDP/FAO Mission, April 1977. Cited in "Agricultural Unemployment in Bangladesh, Prospects for the Next Decade," USAID/DACCA cable A-57, September z7, 1977.
+6. USAID/DACCA cable A-57, September 27, 1977.
+7. Ibid.
+8. Jannuzi and Peach, p. 88.
+9. World Bank, Rural Development: Sector Policy Paper, February 1975.
+10. "Land Reform and Related Matters," cable from American Embassy, Dacca to Secretary of State, Washington, D.C., December 1977.
+11. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. 32.
+12. Ibid., pp. 24, 29-30, 87.
+13. Ibid., p. 24.
+14. Ibid., p. 22.
+15. Ibid., p. 25.
+16. Ibid., p. 7.
+17. Ibid., p. 49.
+18. James P. Sterba, "Bangladesh Losing Skilled Workers by Thousands," New York Times, March 11, 1979.
+6. What Is the Alternative?
+1. Figures based on data in Jannuzi and Peach.
+2. Jannuzi and Peach, p. 87.
+3. Rounaq Jahan, Pakistan: Failure in National Integration, Dacca: Oxford University Press and New York: Columbia University Press, 1973, pp. 18-19.
+4. "A. l. D. Development Strategy for Bangladesh," USAID Mission to Bangladesh, January 1978, submitted to strategy meeting in Washington, D.C., February 6-7, 1978, p. 9.
+5. See Premen Addy and Ibne Azad, "Politics and Culture in Bengal," New Left Review, no. 79, May-June 1973.
+6. Kevin Rafferty, "'Lucky' in Bangladesh," The Washington Post, September 3, 1978.
+7. Jannuzi and Peach, p. 73.
+7. Foreign Aid: A Helping Hand?
+1. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. 18.
+2. Figures on distribution through the ration system are based on information in World Bank, Bangladesh: Food Policy Review, December 12, 1977.
+3. "Aspects of the Public Food Distribution System," AID/Dacca memorandum, December 1, 1977.
+4. Ibid.
+5. Cable cited in Donald McHenry and Kai Bird, "Food Bungle in Bangladesh," Foreign Policy, Summer 1977.
+6. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. 35.
+7. McHenry and Bird.
+8. Calculated as follows: According to the 1978 World Bank report (p. 27), the Government of Bangladesh estimates the average daily foodgrain requirement at 15.5 ounces per capita; multiplied by the World Bank Bangladesh population estimate of 85 million, we get ]3.66 million metric tons; adding 10 percent for seed, feed and wastage the figure comes to 15 million metric tons.
+9. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. 2.
+10. FAO, Production Yearbook, 1977, Rome, 1978.
+11. "World Hunger, Health, and Refugee Problems: Summary of Special Study Mission to Asia and the Middle East," report prepared for the Subcommittee on Health, Committee on Labor and Public Welfare and the Subcommittee on Refugees and Escapees, Committee on the Judiciary, United States Senate, January 1976, p. 104.
+12. International Development Association Press Release No. 70/38, July 1, 1970.
+13. Per Arne Stroberg, "Water and Development: Organizational Aspects of a Tubewell Irrigation Project in Bangladesh," mimed, Dacca, March 1977.
+14. IDA Press Release No. 76/22, May 24, 1976.
+15. World Bank Office Memorandum, Dacca, September 19, 1977, p. 5.
+16. Ibid., p. 3.
+17. "Agreement Between the Government of the United States of America and the Government of the People's Republic of Bangladesh for a Public Law 480 Food for Development (Title III) Program," Annex B. August 1978, p. 5.
+18. World Bank, Bangladesh: Current Trends and Development Issues, December 15, 1978, p. ii.
+19. Michael Scott, Aid to Bangladesh: For Better or Worse?Oxfam-America/ Institute for Food and Development Policy Impact Series No. 1, 1979, p. 10.
+20. "AID Today-A Suppliers' View," Commerce America, September 11, 1978.
+21. Hollis B. Chenery, "Objectives and Criteria for Foreign Assistance," in G. Rains, ea., The United States and the Developing Economies, New York: 1964, p. 81.
+22. On the prospects of foreign investment in natural gas, see: N. M. J., "Murder in Dacca: Ziaur Rahman's Second Round," Economic and Political Weekly (Bombay), March 25, 1978. On the Bangladesh government's efforts to attract foreign investment, see James P. Sterba, "Bangladesh Wooing Businesses," The New York Times, April 9, 1979
+23. United States Agency for International Development, FY 1978 Submission to the Congress: Asia Programs, February 1977, p. 16.
+24. "The World According to Brzezinski," Interview by James Reston, The New York Times Magazine, December 31, 1978.
+25. Amnesty International, Report of Amnesty International Mission to Bangladesh (4-12 April 1977), February 1978.
+26. "Zia Party Set for Landslide in Polls," The Guardian (U. K. ), February 19, 1979. See also: "Turnout Is Not Heavy In Bangladesh Voting for Parliament of 300," The New York Times, February 19, 1979.
+27. S. Kamaluddin,"Bangladesh: Electing for Time to Think," Far Eastern Economic Review, January 12, 1979.
+28. James P. Sterba, "Bangladesh Voters Support President," New York Times, Feb. 20, 1979.
+29. Kai Bird, "The Unknown Zia," The Nation (New York), June 13, 1981.
+30. "Revolt in Chittagong Hill Tracts," Economic and Political Weekly, Bombay, April 29, 1978.
+31. Brian Eads, "Thousands Trapped in Bangladesh Terror," The Observer London, August 20, 1978.
+32. Simon Winchester, "Where Britain may be aiding an armed dictatorship," The Guardian (London), December 20, 1977.
+33. U.S. State Department, Congressional Presentation, FY Z978, Security Assistance Program, Volume 1.
+Family Planning Comes to Bangladesh
+1. World Bank, Bangladesh: Development in a Rural Economy, Volume 1, September 15, 1974, p. 197.
+2. Stephen F. Minkin, "Abroad, the U. S. Pushes Contraceptives Like Coca Cola," Los Angeles Times, September 23, 1979.
+3. Ibid.
+<section>Further reading on Bangladesh</section>
+Abdullah, Abu, "Land Reform and Agrarian Change in Bangladesh," Bangladesh Development Studies, vol. IV, No. 1, January 1976.
+Abdullah, A., M. Hossain and R. Nations, "Agrarian Structure and the IRDP - Preliminary Considerations," Bangladesh Development Studies, Vol. IV, No. 2, 1976.
+Addy, Premen, and Ibne Azad, "Politics and Culture in Bengal," New Left Review, No. 79, May-June 1973.
+Ahmad, Nafis, An Economic Geography of East Pakistan, London: Oxford University Press, 1968.
+Ahmed, Feroz, "The Structural Matrix of the Struggle in Bangladesh," in Kathleen Cough and Hari Sharma, eds., Imperialism and Revolution in South Asia, New York: Monthly Review Press, 1973.
+Alamgir, Mohiuddin, "Some Aspects of Bangladesh Agriculture: Review of Performance and Evaluation of Policies," Bangladesh Development Studies, vol. III, No. 3, July 1975.
+Arens, Jenneki, and Jos van Beurden, Jhagrapur: Poor Peasants and Women in a Village in Bangladesh, Birmingham, England: Third World Publications, 1977.
+Bertocci, Peter, "Elusive Villages: Social Structure and Community Organization in Rural East Pakistan," Unpublished Ph.D. thesis, Michigan State University, 1970.
+Blair, Harry, "Rural Development, Class Structure and Bureaucracy in Bangladesh," World Development, vol. 6, no. 1, January 1978.
+Bose, S. R. "The Comilla Cooperative Approach and the Prospects for Broad-based Green Revolution in Bangladesh," World Development, vol. 2, no. 8, August 1974.
+Briscoe, John, "Politics of an International Health Programme," Economic and Political Weekly (Bombay), March 18, 1978.
+Chowdhury, Anwarullah, A Bangladesh Village: A Study of Social Stratification, Dacca: Center for Social Studies, Dacca University, January 1978.
+Clay, Edward, "Institutional Change and Agricultural Wages in Bangladesh," Dacca: Agricultural Development Council, mimeo, November 1976.
+Clay, Edward, "Fool Aid and Food Policy in Bangladesh," Food Policy, vol. 4, no. 2, 1979.
+Haq, M. Nurul, Village Development in Bangladesh, Comilla: Bangladesh Academy for Rural Development, 1973.
+Haque, Wahidul, et al., "Towards a Theory of Rural Development," Development Dialogue (Uppsala, Sweden), 1977: 2.
+Hartmann, Betsy, and James Boyce, "Bangladesh: Aid to the Needy?" International Policy Report, Washington, D. C.: Center for International Policy, May 1978.
+Huq, M. Ameerul, ea., Exploitation and the Rural Poor, Comilla: Bangladesh Academy for Rural Development, March 1976.
+Islam, A. K. M. Aminul, Victorious Victims: Political transformation in a traditional society, Cambridge, Mass.: Schenkman Pub. Co., 1978.
+Jahan, Rounaq, Pakistan: Failure in National Integration, New York: Columbia University Press, 1972.
+Jannuzi, F. Tomasson, and James T. Peach, "Report on the Hierarchy of Interests in Land in Bangladesh," Washington, D. C.: United States Agency for International Development, September 1977.
+Khan, Akhter Hameed, "A History of the Food Problem," Michigan State University Asian Studies Center, South Asia Series, Occasional Paper No. 20, reprinted by Agricultural Development Council, New York, October 1973.
+Khan, Azizur Rahman, "Poverty and Inequality in Rural Bangladesh," in Poverty and Landlessness in Rural Asia, Geneva: International Labor Organization, 1977.
+Khan, Azizur Rahman, "The Comilla Model and the Integrated Rural Development Program in Bangladesh," World Development, vol. 7, no. 4/5, April-May 1979.
+Kinley, David, and Joseph Collins, "Rural Advances in Bangladesh," Food Monitor, no. 4, May-June 1978.
+Lapp' Frances Moore, and Joseph Collins, Food First: Beyond the Myth of Scarcity, Boston: Houghton Mifflin, 1977, New York: Ballantine Books 1979.
+Lifschultz, Lawrence, "Bangladesh: A State of Seige," Far Eastern Economics Review, August 30, 1974.
+Lifschultz, Lawrence, Bangladesh: The Unfinished Revolution, London, Zed Press, 1979.
+Maniruzzaman, T., "Radical Politics and the Emergence of Bangladesh," in P. Brass and M. Franda, eds., Radical Politics in South Asia Cambridge, Mass.: M. l. T. Press, 1974.
+Maniruzzaman, T., "Bangladesh: An Unfinished Revolution?" Journal of Asian Studies, vol. 34, no. 4, August 1975.
+McHenry, Donald, and Kai Bird, "Food Bungle in Bangladesh," Foreign Policy, no. 27, Summer 1977.
+Mukherjee, Ramkrishna, "The Social Background of Bangladesh," in K.
+Gough and 11. Sharma, eds., Imperialism and Revolution in South Asia, New York: Monthly Review Press, 1973.
+Mukherjee, Ramkrishna, The Rise and Fall of the East India Company, New York: Monthly Review Press, 1974.
+Nations, Richard, "The Economic Structure of Pakistan: Class and Colony," New Left Review No. 68, July-August 1971.
+Scott, Michael, Aid to Bangladesh For Better or Worse, Oxfam-America/lnstitute for Food and Development Policy Impact Series, no. 1, 1979.
+Stepanek, Joseph, Bangladesh-Equitable Growth? New York: Pergamon Press, 1979.
+Stevens, Robert D., Hamza Alavi and Peter I. Bertocci, Rural Development in Bangladesh and Pakistan, Honolulu: University Press of Hawaii, 1976.
+Van Schendel, Willem, "At Bay: The Peasantry of Bangladesh," Thesis, University of Amsterdam, 1974.
+<section>Institute publication</section>
+Now We Can Speak: A Journey through the New Nicaragua
+features interviews with Nicaraguans from every walk of life telling how their lives have changed since the 1979 overthrow of the Somoza dictatorship. Frances Moore Lapp' and Joseph Collins, 124 pages with photographs. $4.95
+What Difference Could a Revolution Make? Food and Farming in the New Nicaragua
+provides a critical yet sympathetic look at the agrarian reform in Nicaragua since the 1979 revolution and analyzes the new government's successes, problems, and prospects. Joseph Collins and Frances Moore Lapp', with Nick Allen, 185 pages. $5.95
+Trading the Future: Farm Exports and the Concentration of Economic Power in Our Food System
+is a scholarly investigation which develops a comprehensive analysis of U.S. farming and food systems. It demonstrates how the increasing concentration of control over farmland, rapid erosion of soil, loss of water resources, and our growing reliance upon a narrow range of export crops parallels the process of underdevelopment experienced in the third world. Alterations in America's farm landscape threaten us not only with severe imbalances in control over resources, but also with rising prices in the midst of huge surpluses. James Wessel with Mort Hantman, 250 pages. $8.95
+Diet for a Small Planet: Tenth Anniversary Edition
+, an updated edition of the bestseller that taught Americans the social and personal significance of a new way of eating. Frances Moore Lapp', 432 pages with charts, tables, resource guide, recipes, Ballantine Books. $3 50
+Food First: Beyond the Myth of Scarcity
+, 50 questions and responses about the causes and proposed remedies for world hunger. Frances Moore Lapp' and Joseph Collins, with Cary Fowler, 620 pages, Ballantine Books, revised 1979. $3.95
+Comer es Primero: Mas Alla del Mito de la Escasez
+is a Spanishlanguage edition of Food First, 409 pages, Siglo XXI-Mexico $9.95
+Food First Comic
+, a comic for young people based on the book Food First: Beyond the Myth of Scarcity. Leonard Rifas, 24 pages. $1.00
+Aid as Obstacle: Twenty Questions about our Foreign Aid and the Hungry
+demonstrates that foreign aid may be hurting the very people we want to help and explains why foreign aid programs fail. Frances Moore Lapp', Joseph Collins, David Kinley, 192 pages with photographs. $5.95
+Development Debacle: The World Bank in the Philippines
+, uses the World Bank's own secret documents to show how its ambitious development plans actually hurt the very people they were supposed to aid-the poor majority. Walden Bello, David Kinley, and Elaine Elinson, 270 pages with bibliography and tables. $6.95
+Against the Grain: The Dilemma of Project Food Aid
+is an indepth critique which draws extensively from field research to document the damaging social and economic impacts of food aid programs throughout the world. Tony Jackson, 132 pages, Oxfam-England $9.95
+A Quiet Violence
+is an in-depth portrayal of village life in Bangladesh revealing the human joys, intracacies and tragic events in the lives of the Kantni villagers. Betsy Hartmann and James Boyce. 275 pages. Zed Press. $9.95
+World Hunger: Ten Myths
+clears the way for each of us to work in appropriate ways to end needless hunger. Frances Moore Lapp' and Joseph Collins, revised and updated, 72 pages with photographs. $2.95
+El Hambre en el Mundo: Diez Mitos
+, a Spanish-language version of World Hunger: Ten Myths plus additional information about food and agriculture policies in Mexico, 72 pages. $1.45
+Needless Hunger: Voices from a Bangladesh Village
+exposes the often brutal political and economic roots of needless hunger. Betsy Hartmann and James Boyce, 72 pages with photographs. $3.50
+Food for Beginners
+is an irreverent primer tracing the history of food and agriculture. Susan George and Nigel Paige. 175 illustrated pages with bibliography. Writers and Readers Beginner Series, Norton and Norton. $4.95
+Circle of Poison: Pesticides and People in a Hungry World
+documents a scandal of global proportions, the export of dangerous pesticides to Third World countries. David Weir and Mark Schapiro, 101 pages with photos and tables. $3.95
+Circulo de Veneno: Los Plaguicidas y el Hombre en un Mundo Hambriento
+is a Spanish-language version of Circle of Poison, 135 pages, Terra Nova-Mexico. $3.95
+Seeds of the Earth: A Private or Public Resource?
+examines the rapid erosion of the earth's gene pool of seed varieties and the control of the seed industry by multinational corporations. Pat Roy Mooney, 126 pages with tables and corporate profiles. $7.00
+A Growing Problem: Pesticides and the Third World Poor
+, a startling survey of pesticide use based on field work in the Third World and library research. This comprehensive analysis also assesses alternative pest control systems. David Bull, 192 pages with charts, photos, and references. Oxfam-England. $9.95
+What Can We Do?
+An action guide on food, land and hunger issues. Interviews with over one dozen North Americans involved in many aspects of these issues. William Valentine and Frances Moore Lapp', 60 pages with photographs. $2.95
+Mozambique and Tanzania: Asking the Big Questions
+looks at the questions which face people working to build economic and political systems based on equity, participation, and cooperation. Frances Moore Lapp' and Adele Negro Beccar-Varela, 126 pages with photographs. $4.75
+Casting New Molds: First Steps towards Worker Control in a Mozambique Steel Factory
+, a personal account of the day-to-day struggle of Mozambique workers by Peter Sketchley, with Frances Moore Lapp', 64 pages. $3.95
+Agribusiness in Africa
+exposes the disruptive influence of transnational food corporations and the devasting effect that their centralized control over land, crops and marketing has on Africa's poor majority. Barbara Dinham and Colin Hines. 224 pages with tables, bibliography, index. Earth Resources Research Publication. $9.95
+Agrarian Reform and Counter-Reform in Chile
+, a firsthand look at some of the current economic policies in Chile and their effect on the rural majority. Joseph Collins, 24 pages with photographs.$1.45
+Research Reports.
+"Land Reform: Is It the Answer? A Venezuelan Peasant Speaks." Frances Moore Lapp' and Hannes Lorenzen, 17 pages. $1.50
+"Export Agriculture: An Energy Drain." Mort Hantman, 50 pages $3.00
+"Breaking the Circle of Poison: The IPM Revolution in Nicaragua." Sean L. Swezey and Rainer Daxl, 23 pages.$4.00
+Food First Curriculum Sampler
+offers a week's worth of creative activities to bring the basics about world hunger and our food system to grades four through six. 12 pages. $1.00
+Food First Slideshow/Filmstrip
+in a visually positive and powerful portrayal demonstrates that the cause of hunger is not scarcity but the increasing concentration of control over food producing resources, 30 minutes. $89 (slideshow), $34 (filmstrip)
+Agribusiness Goes Bananas Slideshow
+illustrates how multinational corporations and their system of plantation farming have affected the agricultural economy and lives of the Filipino people. 18 minutes. 140 color slides. Purchase only. $65.00
+"Four Myths of Hunger: An Evening with Frances Moore Lapp' and Dr. Joseph Collins"
+Videotape focuses on the four of the fundamental misconceptions about the causes and solutions to world hunger: scarcity, production, the trade-off between justice and production, and the effects of foreign aid. 35 minute color videotape with resource guide. Purchase only. ½-inch VHS $86.50; ¾-inch $106
+Write for information on bulk discounts.
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+Please include shipping charges of 15% ($1.00 minimum) with each order for book post delivery. Add 20% for UPS delivery within the U.S.; and add 45% ($4.00 minimum) for Air Mail delivery outside of the U.S. Postage for Audio-visual materials will be billed.
+Food First Books
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+About the Institute
+The Institute for Food and Development Policy, publisher of this book, is a nonprofit research and education center. The Institute works to identify the root causes of hunger and food problems in the United States and around the world and to educate the public as well as policymakers about these problems.
+The world has never produced so much food as it does today- more than enough to feed every child, woman, and man as many calories as the average American eats. Yet hunger is on the rise, with more than one billion people around the world going without enough to eat.
+Institute research has demonstrated that the hunger and poverty in which millions seem condemned to live is not inevitable. Our Food First publications reveal how scarcity and overpopulation, long believed to be the causes of hunger, are instead symptoms-symptoms of an ever-increasing concentration of control over food-producing resources in the hands of a few, depriving so many people of the power to feed themselves.
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ccm-ldn-terms/data/indexing/test/gtz_g24ine.txt

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+<title>Introduction of Animal-Powered Cereal Mills</title>
+Wulf Boie
+A Publication of the Deutsches Zentrum für Entwicklungstechnologien - GATE , a Division of the Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH - 1989
+The author:
+Wulf Boie, born in 1957, studied mechanical engineering in Cologne and pedagogics of vocationaltraining in Kassel. From 1983-1986 free-lance contributor to the GTZ project "Documentation, Improvement and Propagation of animal-Powered Technology". Since 1987 staff member of Projekt-Consult GmbH, Frankfurt.
+<section>Acknowledgements</section>
+Deutsches Zentrum für Entwicklungstechnologien- GATE
+Deutsches Zentrum für Entwicklungstechnologien - GATE - stands for German Appropriate Technology Exchange. It was founded in 1978 as a special division of the Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH. GATE is a centre for the dissemination and promotion of appropriate technologies for developing countries. GATE defines "Appropriate technologies" as those which are suitable and acceptable in the light of economic, social and cultural criteria. They should contribute to socio-economic development whilst ensuring optimal utilization of resources and minimal detriment to the environment. Depending on the case at hand a traditional, intermediate or highly-developed can be the "appropriate" one. GATE focusses its work on the key areas:
+- Technology Exchange: Collecting, processing and disseminating information on technologies appropriate to the needs of the developing countries: ascertaining the technological requirements of Third World countries: support in the form of personnel, material and equipment to promote the development and adaptation of technologies for developing countries.
+- Research and Development :Conducting and/or promoting research and development work in appropriate technologies.
+- Cooperation in Technological Development: Cooperation in the form of joint projects with relevant institutions in developing countries and in the Federal Republic of Germany.
+- Environmental Protection. The growing importance of ecology and environmental protection require better coordination and harmonization of projects. In order to tackle these tasks more effectively, a coordination center was set up within GATE in 1985.
+GATE has entered into cooperation agreements with a number of technology centres in Third World countries.
+GATE offers a free information service on appropriate technologies for all public and private development institutions in developing countries, dealing with the development, adaptation, introduction and application of technologies.
+Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH
+The government-owned GTZ operates in the field of Technical Cooperation. 2200 German experts are working together with partners from about 100 countries of Africa, Asia and Latin America in projects covering practically every sector of agriculture, forestry, economic development, social services and institutional and material infrastructure. - The GTZ is commissioned to do this work both by the Government of the Federal Republic of Germany and by other government or semi-government authorities.
+The GTZ activities encompass:
+- appraisal, technical planning, control and supervision of technical cooperation projects commissioned by the Government of the Federal Republic or by other authorities
+- providing an advisory service to other agencies also working on development projects
+- the recruitment, selection, briefing, assignment, administration of expert personnel and their welfare and technical backstopping during their period of assignment
+- provision of materials and equipment for projects, planning work, selection, purchasing and shipment to the developing countries
+- management of all financial obligations to the partner-country.
+Deutsches Zentrum für Entwicklungstechnologien - GATE
+in: Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH
+P. O. Box 5180
+D-65726 Eschborn
+Federal Republic of Germany
+Tel.: (06196) 79-0
+Telex: 41523-0 gtz d
+Fax: (06196) 797352
+A Publication of
+Deutsches Zentrum für Entwicklungstechnologien -GATE
+in: Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH
+Cereal grinding takes a considerable portion of the daily working time of women in rural areas in the third world.
+Work with the traditional grinding stones or the mortar is very hard. In many regions, the women join up in order to organise the purchase of a motor mill. However' experience has shown that especially in remote regions and small villages motor mills often do not work any more after a short time.
+In many cases, animal-powered cereal mills can be an alternative to motor mills. Since 1984, GATE has worked on the introduction of animal-powered mills in West Africa within the framework of a pilot programme. This brochure reflects the experience gained so far. It is designed to provide information and help to interested projects and organisations for the planning and implementation of projects for the dissemination of animal-powered mills.
+<section>Introduction</section>
+Today, power gears are still widely spread in large parts of North Africa, Asia and Latin America. For most parts of the rural population they are the only practicable alternative to manual labour for works such as water raising, sugar cane crushing, and grinding of cereals and oil producing fruits. In Europe, power gears were used until the first half of this century.
+The GTZ project ,,Documentation, Improvement and Dissemination of Animal-Powered Technology", which was begun in 1984, was based on the consideration, that power gears can facilitate work for the rural population even beyond their traditional dispersal area, provided that the use of draft animals is already known.
+So far, the project has concentrated on disseminating animal-powered cereal mills in West Africa. The present guideline is based on the experience made in Senegal, Burkina Faso, Sierra Leone, Cameroon and the Central African Republic. Furthermore, individual pilot and demonstration power gears for water raising, rice husking and manioc grinding were tested in these countries.
+In many African regions dishes made of flour are the main food component. Normally, the women are responsible for flour production. They grind the cereals in traditional, labour- extensive processes using wooden mortars or grinding stones.
+Investigations conducted in West Africa have shown that motor mills can only work economically when they have a customer range of 1000 to 1500 consumers. Furthermore, motor mills pose quite a number of maintenance and repair problems as well as bottlenecks in fuel supply, so that often they are no practicable alternative to manual work in particular for the population in very poor, remote regions.
+The animal-powered mill developed by Project-Consult on behalf of GATE, however, can be operated economically even in small villages. All maintenance and repair works can be performed by the users themselves or by local craftsmen. Nevertheless, it facilitates work very much in comparison with manual labour.
+This guideline is designed to provide help for the implementation of animal-powered mills in developing countries. In Part I, the technical foundations and socioeconomic frame conditions are explained. Part II deals with the construction of animal-powered mills. The work conducted by the project so far has shown that initial difficulties of the introduction of the mill were rarely due to clearly classifiable problems, but to a complicated network of technical, cultural, economic and organisatorial problems.
+The use of animal-powered mills affects several fields of problems, influences them and is influenced by them:
+- Animal-powered mills are designed to facilitate the women's work, women shall use the mill and organise its operation. This is often contradictory to the roles traditionally played by men and women.
+- The power of draft animals is used for driving the power gear of the mill. However, this power can only be roughly estimated and depends very much on feeding, health conditions, care and training. Often particularly the women are denied the use of draft animals.
+- Animal-powered mills serve for the production of basic food. This food has to meet certain requirements, which differ very much regionally and individually. This fact calls for constructional adaptations of the mills and alterations of the traditional process of food preparation.
+- The device is to be manufactured by local craftsmen, whose qualifications may vary considerably from one location to the other. The construction must always be adapted to the abilities and equipment of the craftsmen.
+Every first introduction of animal-powered mills must be preceded by a thorough analysis of these framework conditions. Such an analysis is the basis for discussing all possible ways of organising the use of the animal-powered mill with the women; for planning the training of users and craftsmen; for adapting the mill to the actual local requirements; for recognizing the cause of any problems which may arise.
+In most of the locations in question the thought of driving mills by draft animals is an entirely new idea. This means that every demonstration unit is judged much more critically and skeptically than a familiar technology, e.g. a motor mill. Therefore, even slight faults can result in a fundamental disapproval of the power gear technology on the part of the village population.
+Hence every implementation in a village should be preceded by a trial and demonstration phase, in the course of which the technical problems can be solved and the acceptance of the flour can be tested.
+<section>Part I: General Conditions for the use of Animal-Powered Mills</section>
+<section>1. Objectives of the Introduction of Animal-Powered Mills</section>
+Grinding is one of the most power- and time-consuming daily tasks of women in rural Africa. Often the women give highest priority to the mechanization this work. It could give them time for other economic and social activities, thus being a precondition for other projects designed to improve the situation of women in rural areas.
+The animal-powered mills installed so far are mostly operated by rural women's cooperatives. The concrete and difficult task of organising the operation of the mill often leads to a clear consolidation and strengthening of such self-help organisations.
+The animal-powered mill utilizes the work of draft animals, i.e. a renewable source of energy, which is available in many developing countries. It contributes to the preservation of the environment, the saving of fossil fuels and thus also to the saving of foreign currencies.
+The local artisans play a central role in their propagation. In order to enable a commercial dissemination of the device in the internal economic circulation in the long run, the power gear is so designed that it can be manufactured by metal craftsmen with comparatively simple . workshop equipment. The local craftsmen are also responsible for repairs and for training the maintenance staff. This means that a successful implementation of animal- powered mills must always be combined with a punctual promotion of artisans by means of training activities, acquisition of tools and loans etc.
+<section>2. Framework Conditions for the Use of Animal-Powered Mills</section>
+2.1 Nutritional habits and working rhythm
+2.2 Possible problems for the use of draft animals and power gears by women
+2.3 Questions concerning animal keeping
+2.4 Manufacture of animal-powered mills by craftsmen
+2.1 Nutritional habits and working rhythm
+So far, the project has gained experience mainly in the field of animal-powered mills used for millet grinding. First tests were performed for maize milling, as well as for driving rice hullers and manioc mills, by means of power gears.
+In those regions where millet is the basic food, fermented millet flour is often preferred. After removal of the indigestible husks, the millet is soaked in water overnight for fermentation, so that its taste becomes slightly sour. In times of overwork, e.g. during the harvest, however, fermentation, and in some regions even the removal of husks, is dispensed with.
+Two different traditional milling procedures are used in West Africa:
+- pounding of millet in a mortar
+- grinding of millet between two grinding stones
+The two procedures are based on different working rhythms. In those regions, in which the cereals are ground with grinding stones, the grains are dried before grinding, whereas in the mortar the millet is pounded while it is humid.
+If the grains ground by the animal-powered mills are too humid, the mill becomes sticky, so that no acceptable flour can be produced. Therefore, in those regions where the mortar is traditionally used, the grains must be dried in the morning after the overnight fermentation, before they can be ground in the afternoon, or soaking of the millet must be dispensed with, which would, however, cause a difference in taste.
+Tab. 1: The traditional working rhythm of flour production, shown by the examples of Senegal and Burkina Faso, and the change required by the introduction of animal-powered mills.
+Grinding stones fermented flour
+unfermented flour
+Wooden mortar fermented flour
+Animal powered mill fermented flour
+unfermented flour
+Afternoon
+glume removal
+glume removal
+Evening
+grain washing preparation of fermentation
+grain washing preparation of fermentation
+glume removal
+glume removal
+Night
+fermentation
+fermentation
+fermentation
+Morning
+glume removal
+grinding
+Noon
+drying
+drying
+further fermentation or drying
+drying
+short drying grinding
+Afternoon
+grinding
+grinding
+Evening
+food preparation
+food preparation
+food preparation
+Table 1 shows traditional working rhythms and their alterations required by the introduction of animal-powered mills. Work with animal-powered mills requires coordination among the women, which was not necessary when grinding stones or mortars were used individually. If the millet is dried before grindings the flour can be stored for a few days, which is a positive secondary consequence. This feature can facilitate the organisation of the mill use if the women can be convinced to grind millet on stock.
+The consumers test the quality of the flour optically, haptically (i.e. by touching) and in terms of taste. The following parameters influence the quality:
+- the fineness (average size distribution of the individual particles)
+- the homogeneity (uniformity of size distribution)
+- the hardness (depends on the grain size and humidity content)
+- the colour (depends on the humidity and on whether extracts or the whole grain were used).
+Tab. 2: Characteristic curve of the flour produced by traditional processes.
+Grinding with grinding stones
+Grinding with mortar
+Fineness
+relatively fine
+relatively coarse
+Homogeneity
+relatively homogenous
+relatively inhomogeneous
+Humidity
+dry
+humid
+Hardness
+hard
+soft
+Colour
+bright
+bright
+Table 2 shows the flour qualities achieved using the traditional processes. The fineness is probably the most important criterion for the evaluation of the flour. This is not only due to its taste, but fine flour also signals wealth, because the fineness of the flour produced by traditional processes indicates how much working time the family can spend on grinding. The flour ground with the help of the power gear is furthermore compared with the product of the motor mill, so that fine flour is also regarded as an indication of progress.
+Still, often the consumers disapprove of flour which is fine, but inhomogeneous, because it is not fine enough. This can be remedied by sieving out the coarse particles after the first grinding process. If fine, humid flour is compared with equally fine, but dry flour by ,,touching", the humid flour appears to be finer ("woollen granularity"). The use of cereals with too high a humidity content can lead to differences in colour and taste. Furthermore, insufficient cleaning of the mill influences the colour and taste, because spoilt particles mix with the flour.
+Investigation and counseling steps
+examination of the traditional organisation of work
+evaluation of the quality of the flour produced by traditional procedures regarding
+- fineness
+- homogeneity
+- humidity
+- hardness
+-colour
+determination of the necessary processing capacity and of the processing peaks which must be covered by the capacity of the mill.
+trials with the animal
+-powered mill:
+- adjustment of the millstones
+- drying oftrains
+- sieving of flour
+food test with consumers until a satisfactory flour quality is achieved
+counseling of the women regarding the organisation of work and coordination among themselves, advantages of stockkeeping
+technical counseling of the women with respect to mill adjustment, drying, sieving procedure, cleaning of the mill.
+2.2 Possible problems for the use of draft animals and power gears by women
+Often the women's fear of handling the draft animals and mainly the resistance of the men, who mostly have the disposing power of the draft animals, still prevent the women from working with draft animals.
+Traditionally, the preparation of food is a female duty; and the men are responsible for handling the technical equipment. In West Africa, the social position of women is determined above all by the quality of their housework. With respect to housekeeping, the men totally depend on the women. Therefore, the social position of the women would certainly be weakened if a considerable part of the housework, namely grinding, was taken over by the men. For this reason' in the case of most power gears installed so far the women were familiarized with handling the draft animals and the animal-powered mill. The women organise the operation of the mill, operate the device and harness and unharness the draft animals themselves. But they often leave those works- they consider to be technical jobs, such as cleaning the mill, to the men.
+The experience made so far shows that women are certainly willing to work with draft animals, if this is clearly advantageous for them. In this case they mostly have energy enough to convince their husbands to make concessions. It proved to be advantageous that, if the men still refuse their consent, the women's group buys one or two draft animals designed exclusively to drive the power gear.
+Usually it is more readily accepted socially if the women work with donkeys than with, e.g., oxen.
+Investigation and counseling steps
+examination, in how far resistance on the part of the men and women against the use of draft animals by women is to be expected
+training of women for handling draft animals
+2.3 Questions concerning animal keeping
+So far, donkeys, oxen and horses have been used as draft animals for animal powered mills. The employment of donkeys as draft and pack animals is very widespread, they are also frequently used by women. They are easy to handle, relatively insensitive, live on very little and are much cheaper than other draft animals.
+Oxen are more expensive, more difficult to train and make more demands regarding feeding and care, but are more powerful than donkeys.
+As far as horses are concerned, the situation varies very much, depending on the country and the region. In Burkina Faso, e.g., horses are very expensive. They are mostly owned by rich people, for whom the horse is more of a status symbol than of a work animal. In Senegal, however, horses are frequently used as draft animals.
+The regular employment of draft animals for animal-powered mills makes higher demands regarding their care and feeding than their temporary use for soil treatment and transportation. This means that care for the draft animals must be improved by targeted training and counseling activities. First of all it must be ascertained whether the economic basis for sufficient feeding of the draft animals is secured during the dry season, too.
+Investigation and counseling steps
+register available draft animals find out disposing powers
+examine feeding situation
+select draft animals with respect to the factors
+- disposability
+- disposing power
+- costs
+- care capacity
+- basis of feeding
+training of the future mill users in handling the draft animals
+counseling with regard to feeding of and care for the animals, training of care staff
+2.4 Manufacture of animal powered mills by craftsmen
+Animal-powered mills can be manufactured by local craftsmen with relatively simple workshop equipment. In addition to the usual tools, such as hammers, spanners, pliers, and manual saws, a welding unit and a drilling machine are needed. A forging equipment is desirable, but it is not a necessary precondition for building animal-powered mills.
+Since animal-powered mills can be produced locally and are competitive with motor mills, a strategy can be chosen which aims at an automatic commercial dissemination of the device in the medium term. Therefore, local private craftsmen must be integrated into the production of and the post-support for the installed power gears as early as possible.
+The craftsmen should:
+- be open to innovations and improvisation
+- have a certain spatial faculty of imagination
+- be able to work with a high degree of exactitude
+- possibly have knowledge in forging.
+Investigation and counceling steps
+selection of an adequate workshop
+training of the craftsman "on the job"
+<section>3. Technical Foundations</section>
+3.1 Functional principle of animal-powered mills
+3.2 Grinding output
+3.3 Evaluation of output and flour quality
+3.1 Functional principle of animal-powered mills
+The driving gear of the animal-powered mill is so designed that it can be produced by craftsmen in developing countries. The grinding unit used so far is an industrially manufactured cereal mill produced by the company Moulis and imported from France. It is a disk mill with stone disks, which was originally designed for manual and motor operation. In principle, all disk mills with a disk diameter of 18-20 cm can be used in connection with a power gear. However, comparative examinations of small commercial mills showed that the Moulis mill is the best, although it also has numerous constructional deficiencies. The selection of the grinding unit should be determined not only by the size of the millstones, but also by a solid construction, good bearings and easy cleaning, which are necessary because of the great torques exerted at the power gear. A grinding unit which can also be manufactured by local craftsmen is still under development.
+The grinding unit has a horizontal axle. This means that the power gear must meet two requirements:
+- it must convert the movement of the draft animals around a vertical axis into the rotation of a horizontal axis;
+- it must gear up the slow circular movement of the animals (2-3 rounds/minute at a circle diameter of 8 m) to 40-100 times this speed.
+The power gear designs known from the traditional usage areas and from Europe mostly achieve this goal by means of a multistage toothed gearing. This interlocking type of power transmission had the consequence that the power gears had to be over dimensioned in order ta resist overloads, e.g. when the working machine blocked.
+In the animal-powered mill, power deviation and the first transmission are achieved by means of a wheel which runs on a circular wall. This wheel is connected to a centralized axle via a frame and is pulled by the animal running round in a circle. A chain drive links the wheel and the grinding unit, which is fixed to the frame, thus forming the second transmission stage (Fig. 5).
+This system offers two advantages:
+- A high transmission is achieved by two gear steps (up to 1/140).
+- Contrary to toothed-wheel power gears only series components are used, which are available in many developing countries.
+- The friction principle limits the tractive power exerted by the draft animal, so that over dimensioning of components can be dispensed with (important e.g. in case the cereal mill blocks).
+- By using series components and since over dimensioning can be dispensed with, the material costs are low compared to the traditional toothed-wheel power gears.
+3.2 Grinding output
+The grinding output of animal-powered mills varies very much, depending on the desired flour quality and the capability of the draft animals. Table 3 shows the grinding output determined for the animal-powered mills installed so far.
+If very fine flour is desired, and if only badly fed and weak draft animals are available, the lower values indicated in the table are more likely to be achieved, whereas the higher values can be assumed in the case of stronger draft animals and more coarse flour.
+3.3 Evaluation of output and flour quality
+Especially in the initial phase of the introduction of animal-powered mills it is necessary to systematically monitor the quality of the flour ground with the help of this mill type and the per hour output of the mill. Any deficiencies of the mill can usually be evaluated only if these parameters are compared to those of other animal-powered mills, which have already been tested, on the basis of possibly objective standards.
+The users normally express their criticism of the mill and the flour quality in a relatively general way. It is the duty of the supporting team to find out the precise reason for any possible discontent.
+For example, if the output is too low? this can be due to constructional faults, but also to a bad organisation of work, too weak animals or wrong adjustment of the mill.
+The output can be judged only if the flour quality is determined at the same time. If fine flour is ground the output is usually lower than in the case of coarse flour.
+The decisive criterion for the evaluation of the flour quality is the fineness of the flour. It is described by a particle-size distribution curve and the fineness index. With the help of the fineness index it is possible to compare the flour ground by the animal-powered mill with the traditional product and the flour produced by a motor mill (Annex 1, p. 61).
+Tab. 3: Output of the animal-powered mills installed so far. (The figures are based on the determination of the grinding time needed for quantities of 2 kg.)
+Country
+traditional process
+grinding stock
+intended use
+draft animal
+grinding output
+remarks
+Burkina Faso
+grinding stones (relatively fine flour)
+millet
+food flour
+donkey
+5-15 kg/h
+animals are in bad health and food conditions
+Burkina Faso
+grinding stones (relatively fine flour)
+millet
+Dolo (only coarse grinding required)
+donkey
+30-50 kg/h
+Senegal
+mortar (relatively coarse flour)
+millet
+food flour
+donkey
+10-12 kg/h
+Senegal
+mortar (relatively coarse flour)
+millet
+food flour
+horse
+15-20 kg/h
+Senegal
+mortar (relatively coarse flour)
+maize
+food flour
+donkey
+8 kg/h
+Sierra
+mortar
+maize
+food flour
+ox
+14 kg/h
+Leone
+(relatively coarse flour)
+Sierra
+mortar
+maize
+food flour
+pair of oxen
+20 kg/h
+Leone
+(relatively coarse flour)
+Central African Republic
+mortar (relatively coarse flour)
+millet
+food flour
+ox
+15 kg/h
+mortar(relatively coarse flour)
+manioc
+manioc flour
+ox
+34-38 kg/h
+with modified grinding unit of the company Irus (modified hopper and feeding screw)
+Investigation and counseling steps
+performance of test meals or distribution of flour samples to families. Interviews with the consumers. Systematization of the criticism.
+determination of the output of the animal-powered mill, comparison with other power gears that have already been tested
+determination of the particle-size distribution curve and of the fineness index, comparison with the particle size distribution curve and the fineness index of the traditional product
+evaluation of the test results, identification of deficiencies and problems in the field of technology and organisation of work. If necessary, technical and organisatorial alterations.
+<section>4. Economic Efficiency and Acceptance of the Animal-Powered Mill in Comparison with the Motor Mill</section>
+Investigations conducted in West Africa have shown, that even small motor mills with a capacity of 80 kg/in can work economically only in the case of a user circle of 1000 to 1500 consumers. Therefore, motor mills which work on a commercial basis are mostly found in towns or bigger villages.
+The animal-powered mill is designed for a consumer circle of approximately 100 persons with a daily operation time of four hours, or 200 persons with a daily operation time of eight hours. This results in 10 to 25 actual female users - a number which can be justified also with respect to organisatorial considerations, if a family size of 8-10 persons is assumed.
+Although the employment ranges of animal-powered mills and motor mills differ substantially, as shown in Annex 3 (p. 65) and Fig. 7 (p. 19), animal-powered mills are often compared to motor mills.
+In fact, motor mills have the advantage over animal-powered mills, that they apparently ,,automatically" produce flour of almost any fineness. Animal-powered mills, on their part, have a relatively low grinding capacity, require a certain degree of coordination among the users, require a draft animal, which must be harnessed and unharnessed, and produce a more inhomogeneous flour. Although the flour quality certainly corresponds to that achieved by traditional methods, and although the time consumption, including the travelling and waiting times, necessary for the use of the animal-powered mill is not higher than in the case of the motor mill, the motor mill is often regarded as the "more progressive" solution.
+This is a problem particularly in those regions, where the motor mill is known by mere report, but not by own experience. When the population has already gathered experience in terms of maintenance problems and costs caused by a motor mill, it is much easier to explain the advantages of the animal-powered mill.
+When selecting the locations for animal powered mills, care must be taken that the number of persons to be equipped with this milling facility does not become too big, because this may lead to disputes about the right to use the mill. If necessary, several mills must be installed in one village.
+The women should pay an adequate price for the use of the mill, which allows them to finance the maintenance and repair works themselves, and to replace the mill after expiry of the estimated useful life. It would probably be best if the women paid this grinding price in the form of a monthly contribution to a common fund, other types of organisation are also conceivable.
+Annex 3 (p. 65) lists comparative figures for the determination of the necessary grinding price.
+Investigation and counseling steps
+examine prior experience with motor mills
+establish a public image on the question ,,motor or animal-powered mill,,, with particular regard to influential persons (chiefs, missionaries, etc.)
+examine and point out the economy and easy maintenance of the animal powered mill in comparison with the motor mill in the respective context
+examine and compare the time consumption required for the use of animal-powered and motor mills
+determine the potential user circle
+determine the required grinding price
+give organisatorial counseling with respect to the payment of the grinding price
+<section>5. Organisation Models</section>
+In most existing locations, the animal-powered mills are owned collectively by women's groups. In Senegal, the groups elected two women, who are responsible for monitoring the operation, and a mechanic for servicing the device. In Burkina Faso, control mostly lies with "mill committees", with equal representation of men and women.
+The grinding price is usually paid in the form of a weekly or monthly contribution to a common fund. As a rule, all members of the women's group, or all women who have shared the costs of the installation, have access to the mill.
+In most cases every woman uses her own donkey, or that of her family, as draft animal. If the men do not accept this, or if other organisatorial problems occur, the women's group can also purchase several draft' animals (at least two), which are exclusively used to drive the power gear. In this case a person must be appointed who is responsible for the care for the animals.
+The women's group should not be big, and its members should possibly live in the same neighbourhood in order to facilitate the coordination of the mill use.
+Other types of organisation are conceivable as an alternative. For example, the women could hire a miller, who would be responsible for all questions concerning the mill operation, maintenance and care for the animals. This model has the advantage of clear responsibilities and optimum mill operation, which would certainly have effects on the flour quality and the grinding output. On the other hand, the grinding price would increase' knowledge would be monopolized, and the women would become dependent on the miller.
+Another conceivable model would be the commercial operation of the mill by a private miller. In this case it is doubtful, however, whether an animal-powered mill could satisfy the profit expectations of a private entrepreneur. Such a model would also have the above-mentioned advantages, but would totally cut off the women from flour production.
+Because of profitability reasons, the last two models can be realized, if at all, only if oxen are used as draft animals, since the miller's income can be achieved only by a higher flour output.
+Investigation and counseling steps
+examine in how far women's groups already exist, which organisation structures they have
+judge the dynamics and readiness for innovations
+find out the responsibilities within the group - overall responsibility - organisation of the fund
+- maintenance of the power gear - if necessary, care for the draft animal
+determine the organisation of the mill use - which draft animals are used - who may grind when
+<section>6. Organisation of the Project Implementation and Counseling of the Target Groups</section>
+The network of problems in the different fields, which are inherent in the first implementation of animal-powered mills requires an implementation strategy which allows to disentangle the problems.
+It has turned out to be useful if first a trial and demonstration programme is performed in a technological centre, a demonstration farm or similar. The centre should be situated in a place where demonstrations for interested farmers and peasant women can be held. Local projects and organisations, which are likely to be the future executing organisations of the project, should be integrated at an early stage into the trial and demonstration programme.
+These organisations may include rural development projects, women's projects, projects working in the field of animal power or projects active in the branch of food processing.
+The trial and demonstration programme has four objectives:
+- to create interest for the use of animal powered mills among the rural population,
+- to adapt the milling power gear to local requirements (in particular to the flour quality desired in the respective region),
+- to evaluate the chances of the power gear to be accepted in the village,
+- to judge the local executing organisations.
+Good experience was made with the installation of a first demonstration mill on the premises of particularly innovative private individuals, e.g. the family of the craftsman together with whom the power gear was built.
+The demonstration programme should particularly be aimed at the inhabitants of those villages, in which the animal-powered mill can probably be installed in a further step.
+The following criteria should be applied when selecting the villages in which such a pilot project could be installed:
+- adequate size of the village;
+- there are no functioning motor mills, or they are not used by the population;
+- population is ready for innovations;
+- functioning women's groups;
+- readiness to participate in the installation of the mill financially and by means of work.
+The financial participation of the village population should be proportionate to the relatively high risk they run by testing a widely unknown technology. In Senegal and Burkina Faso, the villages normally contribute 10-20 % of the installation costs. In many cases the foundations and the circular wall are built by the villages by self-construction.
+Within the framework of a pilot programme, animal-powered mills may be installed in villages only when it is foreseeable that the flour is accepted by the population, and that the users are able to organise the operation of the animal-powered mill.
+During the pilot programme the villages need intensive support of a counseling team.
+The team should include at least a technician, a craftsman and a female village counselor. The latter two should be local staff.
+In particular the counselor must be familiar with the culture and the way of living of the women in the villages (especially their cooking and food habits) and understand their language - in the double sense of the word.
+She will have the following training and counseling duties
+- to train the women for handling the draft animals
+- counseling with respect to possibly necessary changes in the working rhythm and the organisation of the mill use
+- counseling regarding the food preparation, taste tests, cooking tests, experiments with different fermentation times and flour finenesses
+- technical training: handling and maintenance of the machine
+The craftsman will also be responsible for technical counseling, if this is not realised by the counselor, and for training the maintenance staff, insofar as men are concerned.
+The technician should solve difficult technical problems.
+Investigation and counseling steps
+identification of a suitable location for a trial and demonstration programme
+identification of potential executing agencies
+performance of demonstrations for village inhabitants
+selection of suitable villages for a pilot programme
+selection and training of counseling staff
+working and organisation scheme for the counseling activities
+- responsibilities
+- investigations to be performed
+- time schedule
+- reporting
+<section>Part II: Construction of the Animal-Powered Mill</section>
+<section>1. Preface</section>
+The second part of this guide is intended for the technically proficient reader who considers the animal-powered mill a practicable alternative to both manual labor and motor-driven mills in his field of activities, and who wants to test, construct and possibly propagate it. This construction guide should not be used as a conventional manual. We take the view that instructions which precisely dictate the arrangement, dimensions and materials to the reader are not in line with the concept of appropriate technology. Moreover, they make it impossible for the reader and his co-workers to contribute their own ideas and experiences and thus help to improve the device. The development of the animal-powered mill is yet to be completed. There remains a lot of work to be done before the animal-powered mill, including all its components, can be constructed in countries which are short in material supplies, and before it fully satisfies the needs of its users. We would like to invite
+the readers of this guide to help us with this work. We do not intend to offer universal solutions but rather construction examples. The main emphasis will be put on the explanation of the reasons why we opted for certain solutions, why other solutions turned out to be less suitable, and why some components involve specific problems.
+This guide is not designed to take away the role of the reader in constructing his own animal-powered mill. On the contrary' it is our prime intention to give the reader an incentive to think over his own needs and then design his own adaptations to specific problems of application. Another purpose of this guide is to help the reader avoid experiencing difficulties which others have already encountered.
+<section>2. How Efficient is a Draft Animal and how much Power is Required for Driving a Mill?</section>
+Table I surveys the performance of different draft animals. In view of the fact that the average performance of draft animals can be compared with the efficiency of electric kitchen appliances, it may seem hardly understandable that the mastery of the animal tractive power can pose actual problems for the mechanical engineer. It is, however, necessary to bear in mind that the maximum tractive power of the animals, which can be maintained for a very limited time, can be ten times the normal optimum level. Although their maximum performance is relatively low, they can develop enormous tractive power because they move very slowly.
+The dimensioning of the driving gear of the power gear depends on the maximum torque the draft animal can exert on the power gear. If the machine of a traditional toothed power gear without predetermined breaking points blocks, when driven by an ox of 500 kg, the maximum torque would be approximately 15 000 Nm, thus corresponding to 15 times the maximum motor torque of a Peugeot 504 Diesel.
+For this reason it is necessary to limit the torque that can act upon the power gear by means of predetermined breaking points as e.g. shearing pins or by means of torque limiters such as belt drives or frictional wheels.
+On the other hand, the machine - in this case the grinding unit - must be designed for the average performance of draft animals i.e. for 200 to 500 W because it has to be operated for several hours a day.
+In spite of the low efficiency, the daily continuous - operation requires a solid construction of the grinding unit. During the initial stages of the project, relatively small grinding units were used which had been designed for the actuation by means of small motors (3 to 5 cont.hp.) The power required for driving these mills was reduced by operating them with a lower number of revolutions (60 to 150 rpm) than originally planned (400 to 600 rpm).
+Tab. 1: Tractive power of different draft animals in developing countries
+Animal
+Average weight of animal (kg)
+Approx. draft (continuous) (kg)
+Average speed (m/s)
+Power developed (W)
+Light horse
+Bullock
+Buffalo
+Cow
+Mule
+Donkey
+At the same time, however, the development of a grinding unit adapted to the power gear began; a grinding unit which, moreover, could be constructed by local craftsmen.
+The construction is determined by the power to be transmitted and by the ratio of transmission. For the time being, these parameters can only be calculated roughly. Their actual values differ very much from region to region depending on the condition of the draft animals, the cereals, and the desired fineness of the flour. When a power gear is tested in a certain region for the first time it is always likely that further modifications will be necessary after the installation.
+The power to be transmitted corresponds to the average performance of the draft animals available in the respective region (see Table 1).
+Experience shows that the required speed of the mill varies between 60 and 150 rpm. For donkeys, a lower value can be assessed, for oxen a higher one, and for horses a medium value.
+<section>3. The Frictional Wheel -Principle of the Animal-Powered Mill</section>
+At first sight the technician might consider a number of solutions more appropriate than the somewhat unconventional construction principle of the animal-powered mill (for a more detailed description see Chapter 3.1 of the first part of this guide). Toothed power gears, rope power gears, chain power gears (Fig. 1-3) are only a few of the numerous constructions known in the history of technology.
+All the solutions have two things in common:
+- due to the high torque exerted by the animals the machine parts of the first gear stage have to be extremely large and are therefore expensive.
+- the gearing has to be connected by means of underground shafts and cardan joints.
+Fig. 1: A 19th century German toothed power gear
+Fig. 2: A rope power gear patented in Germany in 1882
+Since high-quality and expensive machine parts must be used, small farmers in Third World countries cannot afford these animal-powered mills. Today, a power gear like the one shown in Fig. I would cost as much as a small car. We take the view that a modern-day comeback of traditional animal powered mills as shown for instance in Fig. I will only make sense if they are already used widely in the respective area, and if the stone required for the grinding unit and the necessary know-how for the production of the stones are available locally. Even in this case it is doubtful whether such a mill would be cheaper than a mill with small, high- speed grinding stones and a gearing.
+In comparison with conventional power gears, the principle of the "runner wheel power gear" has the following main technical advantages:
+- for the often problematic first gear stage of the power gear, a concrete path that can be easily constructed locally and a universally available car wheel are used
+- since the grinding unit runs round in a circle with the animal, long subterranean shafts and cardan joints can be dispensed with
+- the frictional wheel principle effectively protects the power gear as well as the machine against
+overload.
+<section>4. The Idea and its Realization</section>
+Before going into technical details, we want to give the reader a first insight into the construction of the animal powered mill and its specific problems by presenting the "ancestral portrait gallery" of the power gear.
+The idea in the history of technology
+in technical cooperation
+Further development
+<section>5. Functional Structure of the Animal-Powered Mill</section>
+In order to tackle the construction in a structured manner, a number of conditions must be established. These conditions must be considered when dividing the overall function into several partial functions which are then assigned functional units (Fig. 12, p. 34). Most of the conditions were already defined in the previous chapters.
+The precondition that the animal goes round in a circle might be considered banal. One could, however, conceive a device whose wheel runs on a straight path (i.e. a kind of cart whose wheels drive the mill). The most important advantage of the circular movement is that the animal moves almost without guidance once it gets used to it. Another advantage of the circular movement is that there is no loss of time because the animals must not turn round as is the case with a straight path.
+Before a functional principle can be established, first decisions with regard to the basic construction of the individual functional units must be made:
+Drive mechanism: The car wheel which runs along on a circular path is the heart of the drive mechanism. The transmission obtained in this way is, however, not sufficient for driving the mill. A second transmission by means of a chain, a belt drive, or similar' is essential. The wheel is connected to the second gear stage by a shaft.
+Central axle, frame: The wheel must be guided in a circle. For this purpose the drive unit is connected to a bearing unit at the central point of the path by means of a frame, or similar.
+Grinding unit: A high-speed, small-size mill with a grinding mechanism made of stone disks, similar to the one used with small-power motors, serves as a grinding unit.
+The combination of these functional units results in the functional principle shown in Fig. 11.
+<section>6. Construction of the Functional Units</section>
+6.1 Harnessing
+6.2 The path
+6.3 The drive unit
+6.4 The frame
+6.5 The central axle
+6.6 The grinding unit
+6.7 Protection devices
+6.1 Harnessing
+The harnessing is designed to transmit the tractive power of the animal with the least possible loss to the power gear. The slightest loss is attained when the power transmission is
+- as tangential as possible and
+- as horizontal as possible.
+Tangential power transmission
+It is easier for the draft animal to move along a circular track if the front and hind legs move on the same radius.
+Therefore, power transmission will always be subject to losses of power when transmitted to the power gear behind the animal, since in this case power transmission at a right angle is impossible (Fig. 14).
+For this reason it is advisable to transmit the force to the power gear between the front and hind legs of the animal (Fig. 15)
+Horizontal power transmission
+When a draft animal draws a load under a vertical angle, this load can be divided into a horizontal tractive load component and a vertical carrying load component (Fig. 16). When the power gear is in operation the carrying load component results in a loss in efficiency. After all, the draft animal is supposed to pull the power gear and not to lift it. The ideal solution would be to harness the draft animal horizontally to the power gear by means of a pull rope or a pull chain. This is only possible with horses and donkeys, because these animals draw mainly with their breasts and shoulders, whereas oxen and cows draw with their necks. For pressing the yoke onto the necks of the cows a slightly angular guide of the pull rope or the pull chain is required. With regard to the size of the angle no definite statement can be made. It should, however, be as wide as necessary and as small as possible.
+Construction examples
+Most of the power gears that have been constructed so far have a semi-circular harnessing consisting of two curved pipes (Fig. 17).
+The two pipes are welded together in such a way that from above they look like a trapezoid.
+On the outer side of the semi-circular harness there are hooks at various heights to which the animal's outer pull chain can be fastened.
+It is advisable to construct the harnessing in such a way that it can be removed after use of the mill. This construction helps to prevent children playing with the mill and furthermore makes its unauthorized use impossible. For example, the semi-circular harness may be inserted into two pipes that are welded to the frame. In this case limit stops must be provided for at the two inner pipes.
+It must be decided from case to case whether such a relatively costly harness should be used or whether the disadvantages of a more simple harness, as shown in Fig. 10, p. 32, can be accepted for the sake of cost saving.
+Dimensioning proposal
+Harness:
+pipe d = 40 mm, s = 3 mm
+Harnessing hooks:
+round steel d = 10 - 12 mm
+Limit stops: round steel
+d = 10-12 mm
+Fastening of the harness to the framepipe
+d = 50 mm, s = 3 mrn
+- The height of the semi-circular harness depends on the height of the wall, the diameter of the wheel and the height of the draft animals.
+- The width of the semi-circular harness depends on the breadth of the draft animals.
+Construction tips
+- To bend the pipes, they are first filled with sand, then heated and finally curved.
+6.2 The path
+The main function of the path is to ensure a good power transmission between the ground and the car wheel. Concrete has proved to be a good material for this purpose, since the coefficient of friction between concrete and the car wheel is between 0.85 and 1. For two reasons the path should be slightly raised:
+- to prevent the path from filling with sand and dirt
+- to facilitate a horizontal power transmission
+If possible, the power should be transmitted at the height of the contact surface of the wheel and the path. Otherwise the torque acting upon the frame could result in a major distortion of the frame.
+The height of the path is limited by its costs. The paths of most animal powered mills constructed so far consist of ringshaped walls made of two rows of concrete blocks. This corresponds to a height of 40 to 50 cm. Attempts have been made to cast the entire wall in one concrete block. The construction of the shuttering, however, turned out to be much more costly and time-consuming than the construction of the path walls.
+The capacity of resistance to wear of conventional concrete blocks is not sufficient to resist the continual stress caused by the circulating wheel. Therefore, the wall must be reinforced by a more solid concrete covering of 5 - 10 cm thickness which must contain more cement and be mixed with small laterite stones. The laterite stones help considerably to reduce abrasion. Moreover, the covering should be fortified with concrete reinforcing round steel.
+The construction of the wall is difficult because
+a) it has to be almost perfectly round
+b) it has to be almost perfectly level
+Dimensioning proposal
+Average diameter of the path:
+6 m
+(see also Chapter 6.3)
+Width of the path:
+at least 25 cm
+Height of the path (from ground).
+40 - 50 cm
+Height of the foundation:
+5cm
+Height of the covering:
+5cm
+Ratio of components:
+foundation: 150 kg/m³
+concrete blocks: 110 kg/m³
+covering: 350 kg/m³
+Construction tips
+- Before beginning with the construction, the central point of the ring should be marked with the help of a concrete reinforcing round steel of 1 m length. A rope which should be as inflexible as possible serves as a compass. The excavation required for the foundation is drawn on the ground with the help of the compass. Later, the rope compass is used for controlling the position of the concrete blocks.
+- A level foundation of the wall is obtained by driving a concrete reinforcing round steel into the ground to be excavated at its highest point. 5 cm of the reinforcing round steel must jut out of the ground. Further reinforcing bars must now be driven into the ground at 1 m intervals. Each reinforcing bar has to be adjusted to the previous one with the help of a water balance. The concrete for the foundation is then filled up to the very top of the concrete reinforcing round steel.
+- An easily removable shuttering for the concrete covering can be produced with plywood strips 5 - 8 mm thick and 20 cm wide. The plywood strips are pressed against the wall from the inside as well as from the outside by means of simple clamps (consisting of concrete reinforcing round steel of 12 - 14 mm thickness. The covering should, however, not be higher than 5 - 8 cm, because otherwise the shuttering could collapse (Fig. 19).
+Potential problems
+The concrete path is one of the most expensive component parts of the animal powered mill.
+A reliable but cheaper solution could certainly be considered as a major contribution to making the device more economical.
+6.3 The drive unit
+The drive unit is designed to transmit the force required for driving the mill from the draft animal to the mill and at the same time increase the "number of revolutions" of the draft animal.
+The drive mechanism consists of the following components - a car wheel - a second gear stage (chain, belt drive, etc.) - a shaft - bearings
+The car wheel
+The force that can be transmitted by the car wheel depends on the coefficient friction between path and wheel and on the load on the wheel. The maximum peripheral force which can be transmitted by the wheel is
+F max = µ x Fg
+Fg: weight
+µ: coefficient of friction
+(for rubber tires running on concrete µ is 0.85 - 1. On a dry path a higher coefficient of friction can be achieved with bald tires than with new ones).
+The maximum power that can be transmitted is
+Pmax =µ x Fg x d x pi x n/60 x e
+e= efficiency of the power transmission
+d = diameter of the wheel (m)
+n = revolutions of the wheel (1/min)
+Fg = weight (N)
+Losses occur in the first gear stage. Primarily, these losses are a result of boring friction and rolling resistance.
+Boring friction occurs when a cylindrical body (an automobile tire is a cylindrical body) runs on a circular path. In principle, the tire has the tendency to run straight ahead. When forced to move on a circular path the tire runs too slowly on the outer radius of the circular path and too fast on the inner radius. This relative motion is the reason for increased wear and power loss.
+The wider the tire becomes in relation to the path, the higher the boring friction. The diameter of the path should therefore be as large as possible, whereas the width of the tires should be as small as possible.
+The rolling resistance is a result of the elastic deformation of the tires and of the path. For a car wheel loaded with 200 kg which has the proper tire pressure, the rolling resistance is 30 - 40 N (3-4 kg). By increasing the tire pressure the rolling resistance can be reduced.
+Dimensioning proposal
+Size of tire 155 - 13. These tires can be obtained almost everywhere. Their outside diameter is approximately 60 cm. A transmission ratio of 1:10 can be achieved with a path diameter of approximately 6 m.
+The second gear stage
+Assuming that
+- a transmission ratio of 1:10 is achieved in the first gear stage,
+- the draft animal walks 2-3 rounds per minute,
+- a speed of 60 - 140 rpm is required to drive the mill, a transmission ratio of 1:3 - 1:7 is needed in the second gear stage.
+The structural components of the second gear stage should not demand a very precise mounting. Taking this into account
+- a roller chain gearing - a V-belt drive gearing - a flat belt drive gearing - or a friction gear in which the car wheel serves as a driving pulley (see also p. 32, Fig. 10) could be used.
+Dimensioning examples:
+The power to be transmitted should on average be 1 kW, the transmission ratio 1:5, and the speed of the driving gear should be 20 rpm.
+Chain drive:
+chain:
+10 B. 5/8"
+wheel:
+76 teeth
+d = 391 mm
+pinion:
+15 teeth
+d = 83 mm
+Flat belt drive:
+driving disk:
+d = 500 mm
+driven disk:
+d = 100 mm
+leather belt:
+belt width approx.200 mm, thickness of belt: 3 mm
+synthetic belt:
+belt width approx. 60 mm, thickness of belt: 1.4 mm
+V-belt drive:
+driving disk:
+500 mm
+driven disk:
+100 mm standard V-belt: width 17 mm
+Due to the large belt width which would otherwise be necessary, a flat belt drive can only be used if high-quality belts are available. With narrow axle bases and a vertical installation, the required high initial tension of the belt causes problems. The most important advantage of flat belt drives is the fact that the pulleys can be produced locally. To prevent wear of the belt the bearing surface of at least one pulley must have a crowned surface.
+The biggest disadvantage of V-belts is the high price of the pulleys, which can hardly be produced locally (the lathe must have a turning diameter of 500 mm!). The required V-belts are difficult to obtain in developing countries.
+Roller chains can be bought in almost all developing countries. Even though the chain wheels can only be produced by extremely gifted craftsmen or with the help of expensive machine tools, they are cheaper than industrially manufactured V-belts or flat belt pulleys.
+The length of the chain can easily be varied by removing or adding chain links. Tensioning devices are unnecessary.
+For these reasons chain drives were used for the second gear stage of all animal powered mills that have been installed so far.
+Dimensioning proposal
+Roller chain 10 B 5/8", wheel 76 teeth If it is the first installation in a region, it is advisable to keep a number of pinions ready (13, 17, 21, 25 teeth), for adapting the transmission to the performance of the draft animals and to the required flour fineness.
+Bearings and shafts
+Fig. 21 shows appropriate and less appropriate arrangements of the wheel, the bearings and the chain wheel.
+The shaft must be capable of resisting and/or transmitting the following forces and torques:
+- the weight of the frame
+- the longitudinal force of the tires - the chain and/or belt forces
+- the torque necessary for driving the mill
+The shaft material of most of the so far installed animal powered mills was bright drawn round steel with a diameter of 40 mm. Bright drawn material fits if it has a slightly smaller dimension than specified (h 11 - h 8). It need not be turned to size, but it is quite expensive.
+The necessity of using bright drawn shafts is primarily a consequence of the use of ball bearings for the animal powered mills already installed.
+In most cases Y-bearing units have been used so far, They have a crowned outer ring and can, if necessary, be adjusted in the bearing housing for compensating alignment errors.
+The inner ring has an eccentric ring, headless pins or an adapter sleeve which serves for pressing the bearing to the shaft. Self-aligning ball bearings are also available with such mounting devices.
+A conventional round steel shaft can of course be used, provided that a lathe for turning is available.
+In this case ordinary deep groove ball bearings can also be used (press fit indispensable). With deep groove ball bearings a more rapid wear must be accepted in the case of alignment errors.
+Potential problems
+The rolling bearings account for a relatively high share of the total costs of the device. We favored this solution because we wanted to ensure a high reliability and a high efficiency of the power gear in the introductory phase. It should be considered whether lower costs would possibly justify a less complicated bearing construction and a lower efficiency. The use of wood bearings might, for instance, be an alternative. Wood bearings (Fig. 22) made of hardwood could easily be produced locally. In order to increase the wear resistance, the wood bearings should be soaked in hot oil for 24 hours.
+Installation of the drive unit
+The easiest way of installing the chain wheel on the shaft is to install it by means of a headless pin (M 8 or larger). The necessary boring inside the shaft should fit precisely because otherwise it will widen very soon. The car wheel is best mounted on the hub of a donkey or ox cart and should be fastened to the shaft with a bolt. In case there is no hub, it can be constructed by using sheet steel and a suitable pipe (Fig. 23). The drive unit and the bearings are fastened to two crossheads of the frame (Fig. 28).
+6.4 The frame
+The frame has several functions:
+- to fasten the drive unit, the grinding unit and the harnessing
+- to carry the seat for the user, so that the user need not go round in a circle behind the power gear
+- to connect the wheel and the central axle so that the central axle can keep the wheel on its circular path.
+The frame must resist a vertical bending moment which is primarily produced by the weight of the user. A horizontal bending moment results from the tractive power of the animal which must be supported by the central axle. It is, however, the torsional moment that acts upon the with latticework reinforcement frame via the lever arm of the frame (Fig. 25) which is of crucial importance for the considerations regarding the stability of the frame.
+For this reason the torsional resistance of the frame must be as high as possible.
+Construction examples
+Channel steel frame with latticework reinforcement
+The frame of the first animal powered mills was made of channel steel. Since channel steel has a relatively low section modulus of torsion, the frame was rein forced by a latticework construction (Fig. 26)
+Frame made from pipes
+Later, water pipes were used for the frame construction. Due to the higher polar section modulus of pipes in comparison with channel steel, the latticework construction could be dispensed with (Fig. 27). The water pipes can be replaced by a square tube of a similar dimension. In this way the drive unit, the grinding unit etc. can be mounted even more easily.
+In the final analysis, however, the choice of the materials will be determined by their costs.
+Arrangement of the grinding unit, the drive unit, the seat and the holding device for the calabash (Fig. 28)
+The height of the table on which the grinding unit is mounted depends primarily on the required axle base between the two chain wheels. The axle base should be at least 400 mm.
+The table should be very rigid' because the grinding unit must not vibrate under the influence of the chain forces. Of particular importance is the reinforcement of the table around the mounting holes for the grinding unit. The table is only necessary if a separately bought grinding unit is used. If the grinding unit is produced locally, the table can be integrated into the grinding unit. It should be made sure that the crossheads for mounting the drive unit are connected as securely as possible to the frame. The arrangement of the seat and of the holding device for the calabash should be determined by ergonomic considerations.
+Dimensioning proposal
+Frame:
+-pipe (round) 60 x 3 or 48 x 4
+-square tube 50 x 4
+-channel steel U 60 x 6
+Latticework reinforcement: round steel (concrete reinforcing round steel) 12 mm Holding device for the calabash: round steel (concrete reinforcing round steel) 10 or 12 mm
+Crossheads for mounting the bearings: channel steel U 60 x 6
+Table for mounting the grinding unit: angle steel L 40 x 3, sheet metal 3 mm
+Seat. angle steel L 40 x 3, sheet metal 2 mm
+6.5 The central axle
+In order to guide the wheel precisely' the axle must be exactly central and must be absolutely vertical.
+Foundation
+The central axle must be connected to a concrete foundation in the center of the concrete path.
+Dimensioning proposal
+For saving concrete, a cross-shaped construction of the foundation has proved to be advantageous. The dimensions are shown in Fig. 30. Ratio of mixture: 200 kg/m³. The foundation should be fortified by concrete reinforcing round steel.
+Construction tip
+It has turned out to be difficult to embed the bolts for the attachment of the central axle in the foundation in such an exact manner that they are all level with the mounting holes in the central axle.
+It is therefore advisable to reserve holes for subsequent filling out. At the bottom of these holes rod irons are anchored in the concrete. These holes can be produced with the help of tins, polystyrene blocks or sand-filled plastic bags. Subsequently, the bolts with a hook at one end are hung in the rod irons (Fig. 30). In this way, the bolts have enough play for adjusting their position to the mounting holes in the central axle and thus make a precise alignment of the axle possible. It is advisable to complete the entire metal structure before completing the foundation. The height of the foundation can then be adjusted to the dimensions of the animal powered mill (Fig. 31).
+Metal construction
+The design of the central axle of the animal powered mills installed so far has often been- modified.
+The factors that determine the construction are
+- the rigidity of the construction (Considerable power peaks may occur. The resulting vibrations of the animal powered mill have a negative effect on the grinding process.)
+- saving of material (Due to the use of roller bearings - as in the case of the drive unit - expensive bright drawn shaft has up to now been used for the central axle. As a consequence, the axle must be as short as possible).
+Construction examples
+Fig. 32 shows several construction examples
+Dimensioning proposals
+Cross-shaped foundation: channel steel 60 x 6
+Axle: bright drawn shaft d = 40 mm
+Reinforcements: sheet metal 3 mm
+Attachment of the frame: channel steel 100 x 6
+Hub: channel steel 60 x 6 or pipe 80 x 5 and channel steel 80 x 6
+In order to compensate possible inaccuracies of the path and the central axle, the frame of the animal powered mills constructed so far was mounted to the central axle in a vertically flexible installation. Initially, wood bearings were used for this purpose. Practice has shown, however, that the excursions are so negligible that it is sufficient mount the frame direct on rubber plates or rubber strips (Fig. 33).
+Potential problems
+Up to now, rolling bearings have been used for the central axle and driving shaft. As to the possibility of replacing the rolling bearings with wood bearings, see also Chapter 5. Due to the lower forces and the lower speed of the central axle, it is less difficult to replace the rolling bearings by wood bearings in this case than in the case of the driving shaft. The bright drawn shaft can therefore be dispensed with. As regards the coupling of the frame to the central axle, it should be considered whether inaccuracies of the path could not be compensated by the elasticity of the frame and whether in this way a flexible fastening could be unnecessary.
+6.6 The grinding unit
+Initially, an industrially manufactured grinding unit of the French manufacturer Moulis was used for the animal powered mill. This device came off best in several tests even though it has a number of major deficiencies. For this reason and also for saving costs, the development of a grinding unit that can be constructed by African craftsmen began. The construction of a grinding unit requires, however, a great deal of experience and precision. A technician should therefore only undertake the construction of a grinding unit, if he has already had practical experience with the animal powered mill. For the first installation of an animal powered mill, we recommend the use of a Moulis grinding unit. Another possibility is to order via Gate a grinding unit constructed by one of the craftsmen who cooperate with the project. The Moulis grinding unit and the grinding unit built by craftsmen have the same functional principle. In the course of the development of the locally
+constructible grinding unit other construction principles were tried. Eventually it turned out that the traditional construction was the most appropriate one. It consists of one static and one rotating and axially adjustable grinding disk made of stone. The grain flows through a hole in the static grinding disk into the space between the disks. Due to the structure of the grinding stones, the grain moves on a spiral between the disks, leaving the grinding space at the outer side of the spiral as flour (Fig. 35).
+When driven by a power gear, the use of the Moulis mill poses the following problems:
+1. The case and the outlet opening are too small. Flour sticking to the inner walls of the case causes blockages that result in a reduction of the grinding capacity.
+2. The case is manufactured inaccurately. The supports of the grinding unit and of the shaft are not parallel. As a result, it is difficult to mount the shaft of the grinding unit and the shaft of the power gear so that they are parallel.
+3. The grinding disks are not parallel. As a consequence, the clearance between the grinding disks differs at least during the feeding phase.
+4. The cover of the case does not fit properly. Since the second bearing of the shaft is inside the cover, the shaft has too much play so that the clearance between the grinding disks changes continually.
+5. Inside the case cover, between the shaft and the adjusting screw, there are a small bearing and some other components which fall off whenever the cover is removed, e.g. for cleaning the grinding unit.
+One of the purposes of the construction of special grinding units for animal powered mills was to avoid such deficiencies. The construction of this grinding unit will be described later. First, however, we want to describe the installation of the Moulis grinding unit.
+Installation of the Moulis grinding unit
+At its feeding opening the Moulis grinding unit has a vibration mechanism which ensures a steady feeding of the grain. This mechanism is not only very fragile but also unnecessary when driven by a power gear, since the vibrations of the power gear are sufficient for guaranteeing a steady feeding. The vibration mechanism should therefore be dismantled. Once this has been done, the funnel provided for by the manufacturer, can no longer be installed. This does not matter because it is too small anyway. As a consequence, a new funnel must be constructed (see also Fig. 36).
+This funnel should be equipped with a watertight cover since grinding particles, which deteriorate as a result of humidity in the grinding unit, can have a negative impact on the quality of the freshly ground flour. The grinding unit is fastened to the grinding table by means of two screws. In order to achieve a parallel position of the mill shaft and the driving shaft, inaccuracies of the support of the grinding unit have to be compensated by welding sheet metals onto it. The table must have a hole at the outlet openings of the grinding unit. A pipe (which must not be too thin) or a sheet metal guide directs the flour into the calabash and prevents it being blown away by the wind.
+Construction of a locally constructible grinding unit
+Fig. 36 shows the design of the grinding unit. It is constructed in such a way that it can, in principle, be constructed by craftsmen with simple tools. The craftsmen should, however, be able to work with the utmost accuracy. A lathe is required for the construction of some of the components. For the construction of the grinding unit the following factors are of decisive importance.
+1. A parallel position of the two grinding disks
+It is quite obvious that an optimum grinding result will only be achieved if the clearance between the grinding disks does not differ at any point. The carrier disk of the rotating grinding stone must therefore be constructed with the help of a lathe. First, a disk (140 mm) consisting of 8 mm sheet metal is cut to size. A hole (40 mm) must be drilled in its middle.
+The disk is then welded onto a piece of shaft (40 mm). On the lathe the shaft is first drilled in the middle (25 mm) and, when this is done, the disk is faced. Since the static grinding disk is fastened to the case, the bearings (i.e. the bearing housings) must be welded to the housing with the shaft installed and the grinding disks pressed together. The two halves of the housing must fit precisely so that they cannot move.
+2. Rigidity of the housing
+In order to guarantee that the grinding disks are parallel at each stage of the grinding process, the housing must be resistant to torsion. For this reason it should be made of sheet metal of at least 6 mm thickness.
+3. Sufficient clearance between the grinding disks and the housing; large outlet openings
+The grinding disks have a diameter of 180 mm, the inside diameter of the housing of the locally constructible mill is 250 mm. The housing of the Moulis mill has a diameter of 210 mm. The Moulis mill has only a small outlet opening whereas the entire lower side of the locally constructible mill is left open in order to guarantee that the flour can flow off without difficulties.
+The grinding stones, the stone guard springs and the conveyor spiral (which also presses the grinding stones apart) are identical to those of the Moulis mill. The stone guard springs protect the grinding disks against stones and other hard objects that may be contained in the grain. Two valve springs of a Honda motorbike could also be used for this purpose. The friction bearing fastened to the housing cover is made of cast iron turned on a lathe. The second bearing is a deep groove ball bearing. The outer ring of the bearing is axially fixed inside a pipe which must be opened on a lathe. There is a fixed clearance fit between the shaft and the inner ring. For adjusting the grinding disks it is essential that the shaft can be moved axially within the inner ring of the bearing. This is necessary despite the fact that it also constitutes a disadvantage because the shaft moves on the inner ring and, as a consequence, wears out. The wear- which in practice is almost negligible -
+does not justify the considerably higher construction costs which a driving fit between the shaft and the bearing would imply.
+The shaft of the Moulis grinding unit is borne against the adjusting screw with a small thrust ball bearing. The disadvantages of this construction have been pointed out already.
+The bearing between the shaft and the adjusting screw of the locally constructible grinding unit only consists of one single bearing ball (d = 15 mm). The ball is held on the shaft by a sheet metal ring which is welded onto the shaft, and in which it can rotate.
+The part of the housing to which the static grinding disk is fastened is welded to a crosshead made of channel steel 60. The crosshead is fastened to the pipe frame by means of clips which can be made either of pipe or of square steel.
+6.7 Protection devices
+The protection devices (Fig. 38) serve primarily to prevent accidents which can happen e.g., when someone gets trapped between the wheel and the frame or gets with his hands or clothing caught in the chain. They are also designed to protect the chain against dirt and rain water.
+It is advisable to weld the protection devices to the frame. Experience has shown that dismountable protection devices are often not returned to their appropriate place after removal. Hinges allow access to the covered components.
+Dimensioning proposals
+Coverings:
+sheet metal 2 mm
+Hinges:
+flat steel 20 x 2, round steel: 8 mm
+Construction tips
+The flap of the hood should slightly underlap the static part in order to prevent rain water from seeping into the mill. For the same reason, seals made from the inner tube of a car wheel should be affixed to the edges of the flap.
+<section>7. Dear Reader...</section>
+This guide was not designed as a "construction manual". We know from experience that such manuals often cause trouble and annoyance because very often they do not explain why certain solutions are favored, because the recommended materials and tools are not available, or because passages can be misinterpreted. The latter cannot be avoided altogether, and we are sure that some readers will have the same problems; with this guide.
+Nevertheless we hope that our description of the construction is precise enough that you will be able to overcome the difficulties not mentioned. Although the power gear has proved its worth in practical operation, its construction can certainly be further improved.
+On request we will offer updated information if improvements are found to be effective in practical operation or if the power gear is used for new purposes (e.g. for driving rice hullers, oil presses, etc.).
+We will be very grateful for your critical remarks concerning this guide and will do our best to consider your comments and suggestions in further publications of this kind.
+In particular, we would like to ask you to keep us informed of your experience with the power gear and improvements which you have tested yourself; and we would also appreciate accounts of failures and problems. They will help others to learn from your experience.
+<section>Annex</section>
+<section>1. Technical foundations for the evaluation of animal-powered mills</section>
+Output
+The theoretical and the actual output of animal-powered mills are not identical. The calculation of the theoretical output is based on the assumption of a continuous, constant and faultless operation of the mill, whereas the actual output is usually lower because of interruptions in work, set-up times, fatigue of the animals etc.
+The theoretical output is determined by grinding a small amount of grains (1-2 kg), timing the grinding process and calculating the value for one hour. The determination of the actual output should be based on monitoring the work for several days. Then the daily flour quantity must be related to the daily working time.
+The employment of "bicycle computers" as measuring instruments has proved successful.
+They store the total of wheel revolutions and the time during which the mill actually works.
+This method is helpful not only for the precise determination of the theoretical output, but also for the identification of frequent disturbances, rapid fatigue of the animal, bad organisation of work etc., if the daily working time and flour quantity are recorded, too.
+(2) Particle-size distribution curve of a flour suitable for the preparation of couscous, according to the same housewife.
+Flour quality
+The decisive criterion for the evaluation of the flour quality is the fineness It can be described by means of a flour particle size distribution curve, which is determined by sieving the individual fractions using sieves with mesh widths 1.4 mm, 0.8 mm, 0.4 mm and 0.2 mm. With the help of the particle-size distribution curve the homogeneity of the flour can be determined (Figs. I, 2). The particle-size distribution curve of the flour produced with the help of the animal-powered mill should be similar to that produced traditionally in the respective region.
+The numerical value of the flour fineness is usually given as the average size of the flour particles and the deviation of particles from this average size. However' this method does not give any information as to the power required for the production of a certain flour type.
+This information can be obtained using the formula developed by the Institut Technologique Dello for the calculation of a fineness index. It is based on the hypothesis that the power required for grinding is in proportion to the enlargement of the surface resulting from grinding. The enlargement of the surface' on its part, is in proportion to the reduction of the diameter. This results in the following fineness index for millet:
+Imillet = d1/d1 x P1 + d1/d2 x P2 + d1/d3 x P3 + d1/d4 x P4 + d1/d5 x P5 - 100
+d is the average diameter of the particles of the respective fraction. d1 is the average diameter of the unground millet.
+Furthermore, the following applies:
+P1: portion (%) of the particles :> 1.4 mm
+P2: portion (%) of the particles < 1.4 mm, > 0.8 mm
+P3: portion (%) of the particles < 0.8 mm, > 0.4 mm
+P4: portion (%) of the particles < 0.4 mm, > 0.2 mm
+P5: portion (%) of the particles < 0.2 mm
+If d1 = 1.5 mm hence it follows
+I[millet] = 1 P1 + 1.36 P2 + 2.5 P3 + 5 P4 + 15 P5- 100
+For Sorghum and maize bigger sieves should be used additionally.
+For Sorghum (d, = 3 mm) the following holds
+I[sorghum] = 1 P1 + 1.43 P2 + 2.73 P3 + 5 P4 + 10 P5 + 30 P6 - 100
+with P1: portion (%) of the particles > 2.8 mm,
+P2 - P6 corresponds to P1 - P5 for millet, with
+P2> 1.4 mm < 2.8 mm
+For maize (d1 = 6 mm) the following holds
+I[maize] = 1 P1 + 1.43 P2 + 2.86 P3 + 5.46 P4 + 10 P5 + 20 P6 + 60 P7- 100
+with P1: portion (%) of particles > 5.6 mm
+P2: portion (%) of particles > 2.8 mm
+P3 - P7 corresponds to P1 - P5 for millet
+<section>2. Curriculum for project implementation</section>
+Phase
+Field of problems
+Investigation and counseling tasks
+Participants
+Feasibility study
+Organisation of the use of the power gear
+- examine in how far women's groups already exist and which organisation structures they have
+women, rural population, women's projects
+- judge the dynamics and readiness for innovations
+- examine the traditional organisation of work
+- determine the potential user circle
+Acceptance/ economy
+- examine prior experience with motor mills
+women, rural population, notabilities, administration, political decision makers, projects in the field of food technology
+- establish a public image on the question"motor or animal powered mill" with particular regard to influential persons (chiefs, missionaries, etc.)
+- examine in how far resistance on the part of the men and women against the use of draft animals by women is to be expected
+- determine the necessary processing capacity and the processing peaks which must be covered by the capacity of the mill
+Draft animals
+- register available draft animals, find out disposing powers
+rural population, veterinary medical services, projects in the field of animal power craftsmen, projects for trade promotion
+- examine the feeding condition of the animals
+Production
+- examine whether local craftsmen would be able to produce power gears
+Preparation of the demonstration phase
+Executing agency
+- identification of a suitable location for a test and demonstration programme
+projects and organisations in the field of
+- identification of potential executing agencies
+- animal power
+- women
+- appropriate technology
+- promotion of artisans
+- rural development
+- food technology
+Draft animals
+- select the draft animals with respect to the factors
+- rural population
+- disposability - care capacity
+- projects in the field of animal power
+- disposing power - basis of feeding
+- veterinary medical
+- costs services
+Production
+- selection of a suitable craft workshop promotion projects
+- craftsmen, trade
+Demonstration phase
+Acceptance/ economy
+- examine and compare the time consumption required for the use of animal powered and motor mills
+executing agency, craftsmen,
+- determine the output of the animal powered mill, compare with already tested animal powered mills
+women, rural population, projects in the field of food technology
+- examine and point out the economy and easy maintenance of the animal powered mill in comparison with the motor mill in the respective context
+- evaluate the quality of the flour produced by t raditional procedures regarding
+- fineness - hardness
+- homogenity - colour
+- humidity
+- trials with the animal powered mill:
+- adjustment of the millstones
+- drying of grains
+- sieving of flour
+- evaluate the test results, identify deficiencies
+and problems in the field of technology and
+organisation of work; if necessary, technical and organisatorial alterations.
+- perform demonstrations for the rural population
+- food test with consumers, until a satisfactory flour quality is reached
+Organisation of the use of the animal powered mill
+- examine in how far women's groups already exist, which organisation structures they have
+women, rural population,
+- judge the dynamics and readiness for innovations
+executing agency, women's projects
+Production trade promotion projects
+- craftsman training "on the job"
+executing agency, craftsmen,
+Preparation of the pilot programme
+- selection of suitable villages for a pilot programme
+executing agency, rural population, rural development projects
+Pilot programme.
+Executing agency
+- selection and training of counseling staff village counselor, women's
+executing agency, craftsmen,
+- work and organisation scheme for the counseling activities
+projects, trade promotion
+- responsibilities
+projects, projects in the field
+- investigations to be performed
+of food technology
+- time schedule
+- reporting
+Draft animals
+- training of the future mill users in handling the draft animals
+executing agency, women, village counselor, rural population, projects in the field of "animal power", veterinary medical services
+- counseling with regard to feeding of and care for the animals, training of care staff
+Organisation of the mill use
+- find out the responsibilities within the group
+executing agency, rural women's groups, village counselor
+- overall responsibility
+- organisation of the fund
+- maintenance of the power gear
+- if necessary, care for the draft animals
+- determine the organisation of the mill use
+- which draft animals are used?
+- who may grind when?
+Acceptance/ economy
+- evaluate the quality of the flour produced by traditional procedures regarding
+executing agency, women, village counselor, craftsmen, projects in the field of food technology
+- fineness - hardness
+- homogenity - colour
+- humidity
+- trials with the animal powered mill:
+- adjustment of the millstones
+- drying of grains
+- sieving of flour
+- examine and compare the time consumption required for the use of animal powered and motor mills
+Production/ maintenance
+- continuous counseling and assistance for the craftsman
+executing agency, craftsman, trade promotion projects
+- training of maintenance staff in the village
+<section>3. Comparison of the economic efficiency of animal-powered mills and motor mills (100 FCFA <= 0.33 $ US)</section>
+Animal powered mill (25 families).
+Motor mill
+(50 families)
+(100 families)
+(200 families)
+1.General data
+pilot lot
+improved model
+(25 families)
+1.1 Investment costs ($US)^1
+- mill
+- building
+1.2 Working hours (h/d) 8
+(d/a) 300
+(h/a) 2400
+1.3 Output (kg/h)²
+Output (kg/d)
+Output (kg/a)
+1.4 Fuel/oil ($US/h)^3
+1.5 Useful life (h)^4
+Write off time (a)
+2. Annual costs
+2.1 Writeoffs ($US/a)^5 155
+2.2 Donkey food ($US/a)^6 124
+2.3 Staff costs ($US/a)^7 (animal power: animal care; motor mill: miller)
+2.4 Maintenance and repair^8 ($US/a)
+2.5 Fuel/oil ($US/a)
+3. Grinding costs ($US/a)
+Grinding costs ($US/kg)
+Diouf, D. et al. (Senegal): The investment costs of a motor mill are assumed to be 1285000 FCFA
+(motor Hatz, 11 H.P:and hammer mill Skiold).
+M.D.R. (Burkina Faso): The investment costs are assumed to be 1 200 000 FCFA (motor
+Anil, 8 H.P. and disk mill Hunt)
+Altarelli-Herzog, V. (Burkina Faso): The investment costs for the same mill are claimed to be
+636 500 FCFA, the investment costs for the mill building 60 000 FCFA (written off for 10 years).
+According to our own experience, these figures are obviously too low. For the cost comparison the following values were assumed:
+Mill and motor: 1 200 000 FCFA
+Building: 240 000 FCFA
+Diouf, D. et al. (Senegal): The theoretical grinding output of the mill is 300 kg/h. However, this value was not achieved in practice. The following actual grinding times (incl. idle time) are assumed:
+small villages: 100 kg/4 h
+large villages: 250 kg/4 h
+paid grinding: 400 kg/8 h
+M.D.R. (Burkina Faso): Grinding output 100 kg/h. The assumption of 100 kg/in was taken over for the cost comparison.
+Diouf, D. et al. (Senegal):
+Fuel consumption
+in small villages: 1 1/60 kg
+in large villages: 1 1/80 kg
+paid grinding: I 1/50 kg
+Fuel price:
+155 FCFA/I
+Oil consumption
+in small villages: 0.1 1/100 kg
+in large villages: 0.041/100 kg
+paid grinding: 0.1 1/100 kg
+Oil price: 860 FCFA/l
+M.D.R. (Burkina Faso):
+Fuel consumption: 21/h
+Fuel price: 250 FCFA/l
+Oil consumption: 0.16 l/h
+Oil price: 600 FCFA/l
+Altarelli-Herzog (Burkina Faso):
+Fuel consumption: 0.77l/h - 1 l/h
+Fuel price: 252 FCFA/l
+Oil consumption: 17 - 35 FCFA/h
+For the cost comparison the following values are assumed:
+Oil consumption: 0.05l/h at 700 FCFA/l
+Diouf, D. et al. (Senegal): The write-off time for the motor mill is assumed to be alternatively
+15 or 5 years.
+M.D.R. (Burkina Faso): A 5-year write-off time is assumed for the motor mill.
+Altarelli-Herzog, V. (Burkina Faso): The write-off of the motor mill is assumed to be 4 years, of the building over 10 years.
+For the cost comparison the useful life of the motor mill was assumed to be 12 000 h when fully utilized (8-hour operation), which corresponds to 5 years. For l-hour operation, the useful life was assumed to be only 4500 h (corresponds to 15 years). The other values were straight-line interpolated.
+Since the animal-powered mill has only very few components which cannot be produced locally, and the grinding unit runs only with one sixth of the number of revolutions for which it was designed when motor-driven, a useful life of 24 000 h was assumed (corresponds to 10 years).
+without interest
+When feeding additionally 50 kg peanut shells, maize etc./month during 6 months/year. 50 kg a 6000 FCFA
+Diouf, D. et al. (Senegal): small village: 5 000 FCFA/month large village: 12 500
+FCFA/month paid grinding: 10 000 FCFA/month M.D.R. (Burkina Faso): 10 % of the grinding price of 15 FCFA/kg corresponds to 1.5 FCFA/kg. Altarelli-Herzog, V. (Burkina Faso): same as MDR
+<section>4. List of the studies, reports an brochures elaborated within the framework of the project</section>
+Information booklets
+Peter Lowe: Der Gopel - eine Alternative bei der Mechanisierung der Landwirtschaft (Animal-powered systems) Eschborn 1983 German, English, French
+Projekt-Consult: Gopeltechnologie - ein Programm von GATE/GTZ in Westafrika (Animal power gears - a programme of GATE/GTZ in West Africa) Frankfurt 1986, German, English
+Technical reports - not country-specific
+Status reports:
+Bernard Gay: Moulins et Maneges (Mills and power gears), Verberie, 1984, French
+Jacques Sarda: Pompes et Maneges (Pumps and power gears), Verberie, 1984, French
+Wulf Boie: Reibradgopel und Kettengopel (Power gears with friction wheels and chains)?
+Frankfurt, 1984, German
+Wulf Boie: Industriell gefertigte Antriebselemente fur Gopelwerke (Industrially manufactured driving elements for power gears), Frankfurt 1984, German
+Short reports, test reports:
+Jacques Sarda: Construction d'un prototype de moulin de fabrication artisanale (Development of a cereal mill for artisan manufacturing), Verberie, 1985, French
+Wulf Boie: Anpassung einer Pumpe an den Universalgopel - Testbericht (Adaptation of a pump to the universal power gear - test report), Frankfurt 1985, German
+Wulf Boie: Anpassung von Reisschalmaschinen an den Universalgopel - Testbericht (Adaptation of rice husking machines to the universal power gear - test report), Frankfurt 1985, German
+Wulf Boie: Marktubersicht und Beurteilung industriell hergestellter Gopel (Market survey and evaluation of industrially manufactured power gears), Frankfurt 1986, German
+Peter Lowe: Technischer Kurzbericht industrieller Universalgopel (Short technical report of industrial universal power gears), Frankfurt 1984, German
+Country-specific studies
+Senegal:
+Peter Lowe: Moglichkeiten der Erprobung und des Einsatzes von Hirsemahlen mit Gope lantrieb im Senegal (Possibilities for testing and using millet mills with power gears in Senegal), Frankfurt 1984, German
+Nicolas Bricas/ Rapport d'Evaluation du projet manege au Senegal (Evaluation report of the
+Francois Protte: power gear project in Senegal), Dakkar 1986, French
+Burkina Faso:
+Peter Lowe: Prefeasibility-Studie, Test und Demonstration von Gopeln in Burkina Faso (Prefeasibility study, test and demonstration of power gears in Burkina Faso), Frankfurt 1985, German
+Ursula Fitzau: Choix de zones et de sites d'experimentation de manege a traction animale au Burkina Faso (Selection of test regions and locations for animal-powered systems in Burkina Faso), Frankfurt 1985, French
+Barry Hassan/ Introduction des Moulins a Traction Animale au Burkina Faso, Rapport Final
+Peter Lowe:
+de la Phase de Demonstration (Introduction of animal-powered mills in Burkina Faso, Final report of the demonstration phase), Frankfurt 1987, French
+Sarda, Jacques: Projet Manege au Burkina Faso (Power gear project in Burkina Faso), Verberie 1986, French
+Sierra Leone:
+Winfried Muziol: Prefeasibility-Studie: Einsatzmoglichkeiten von Gopeln in Sierra Leone (Prefeasibility study: Employment possibilities of power gears in Sierra Leone), Frankfurt 1985, German
+Wulf Boie: Bau von 2 Demonstrationsgopeln im Rolako Equipment Centre des ,,Sierra Leone Work Oxen Project" (Construction of 2 demonstration power gears in the Rolako Equipment Centre of the ,,Sierra Leone Work Oxen Project"), Frankfurt 1986, German
+Central African Republic:
+Peter Lowe/ Prefeasibility-Studie, Einfuhrung von Gopelmuhlen im GTZ-Projekt ,,ACAD
+Ursula Fitzau: OP" (Zentralafrikanische Republik) (Prefeasibility study, Introduction of ani mal-
+powered mills in the GTZ project ,,ACADOP" (Central African Republic)), Frankfurt
+1986, German
+Walter Wilmers: Fabrication et installation de deux moulins a manege au nord de la RCA (Production and installation of two mills with power gears in the north of the CAR), Frankfurt 1986, French
+Mali:
+Werner Roos: Prefeasibility-Studie uber die Einfuhrung der Gbpeltechnologie in Mali (Prefea sibility study for the introduction of animal-powered systems in Mali), Frankfurt 1985, German
+Mauretania:
+Bernard Gay: Introduction de maneges en Mauritanie (Introduction of power gears in Mauretania), Verberie 1985, French
+Togo:
+Peter Munzinger: Kurzbericht: Moglichkeiten der Erprobung und des Einsatzes von Gopeln in Togo (Possibilities for testing and using power gears in Togo), Frankfurt 1985, German
+Non-country-specific studies
+Ursula Fitzau: Berucksichtigung soziokultureller Faktoren bei der Einfuhrung van Gopelmuhlen in Westafrika (Accounting for socio-cultural factors when introducing animal- powered mills in West Africa), Frankfurt 1985, German
+Studies and reports, which were conducted on behalf of GATE before the beginning of the power gear project
+Peter Lowe/
+Gopelschopfwerke in Agypten (Animal-powered water raising systems in
+Wulf Boie:
+Egypt), Frankfurt 1983, German
+Peter Lowe:
+Die Senia - eine technische Innovation im Tal des Beni Boufrah (Marokko)
+(The Senia - a technical innovation in the valley of Beni Boufrah (Morocco)),
+Frankfurt 1983, German
+Diploma theses
+Wulf Boie: Stand der Technik auf dem Gebiet der Gopeltechnik sowie Konstruktion und Bau eines Prototypen fur die Anwendung in Entwicklungslandern (State of technology in the field of power gears as well as construction and building of a prototype to be used in developing countries), Cologne 1982, German
+Ursula Fitzau: Auswirkungen technischer Innovationsprozesse auf die Lebenssituation von Frauen in Entwicklungslandern am Beispiel der Einfuhrung von Gopelmohlen in Burkina Faso (Consequences of technical innovation processes for the situation of women in developing countries, exemplified by the introduction of animal-powered mills in Burkina Faso), Frankfurt 1987, German
+<section>5. Source documentation of figures</section>
+Part 1
+Lowe, Peter (Projekt-Consult) (Cover photograph, la, 2, 3, 4)
+Fitzau, Ursula (Projekt-Consult) (1b, 6)
+Part 2
+Walther, Karl: Die landwirtschaftlichen Maschinen, Leipzig 1910: (1)
+Patent Office of the German Empire: Patent Specification 20051 (2)
+Patent Office of the German Empire: Patent Specification 8678 (3)
+Patent Office of the German Empire: Patent Specification 46642 (5)
+Stuhlmann, Franz: Ein kulturgeschichtlicher Ausflug in den Aures (4) Ohler-Grimm, Ueli (Okozentrum Langenbruck) (6) Lowe, Peter (Projekt-Consult) (7-9) Oertel, Welf (Bachelor of Design) (11, 13-38)
+Figures not specified: Wulf Boie
+<section>6. Contact addresses</section>
+German Appropriate Technology Exchange (GATE)
+Postfach 5180
+D-6236 Eschborn I (FRO)
+Projekt-Consult
+Beratung in Entwicklungslandern GmbH
+Limburger StraBe 28
+D-6240 Konigstein (FRO)
+Institut Technologique Dello
+8, Rue Paul Bert
+F-83300 Aubervilliers (France)

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+bostid_b12sae
+foodfirst_ff08ne
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+iirr_ii02re
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+<title>Implementing Agenda 21: NGO experiences from around the world</title>
+The views expressed in this publication are those- of the authors. They do not necessarily represent those of the United Nations Non-Governmental Liasons Service (NGLS) 07 any other part of the United Nations system
+The designations used do not imply the expression of any opinion what so-ever the part of' NGLS or any part of the United Nations system concerning the legal status of any country area or territory or its authorities, or concerning the delimitation of its frontiers.
+UNCTAD/NGLS/83
+Editors: Leyla Alyanak and Adrienne Cruz
+Cover design: Cemil Giray
+Layout Suroor Alikhan
+Published in April 1997 by
+United Nations Non-Governmental Liaison Service (NGLS)
+Palais des Nations, CH-1211 Geneva 10. Switzerland
+Room 6015, 866 UN Plaza, New York NY 10017. USA
+<section>Preface</section>
+Nitin Desai, Under-Secretary-General for Policy Coordination and Sustainable Development
+The Special Session of the General Assembly for the five-year review of Agenda 21 provides an extraordinary opportunity for all those involved in its implementation to step back and take stock of what has gone right (and why), what has gone wrong (and why), and where we go from here.
+To carry out this evaluation, governments will have before them evidence of many kinds and from many sources. As this evidence is examined, it will he important to keep in mind a few broad and fundamental questions. Since 1992, is the world community closer to meeting human needs? Is the quality of life improving for the world's population? Are we reducing risks to the quality of life and enhancing our capacity to meet needs? Are we broadening options for the future?
+The answers may not he that easy to come by because, among other things, the yardsticks for measuring progress are not yet available in many instances. The exercise currently underway, aimed at developing, agreeing to, testing and adopting sustainable development indicators, is an important means to address this. Even when these indicators are in use, however, they will need to be complemented by first-hand insight into the progress of the post-Rio process.
+In this light, the contributions in this hook are invaluable NGOs have a long and rich history of involvement with the UN, ever since the first years of the Organization when they were instrumental in getting the women's issue on the international policy agenda. The Earth Summit was a fuming point. ushering in a new chapter of quantitatively as well as qualitatively increased NGO involvement.
+NGOs now speak from a number of perspectives: as local practitioners in the implementation process, as watchdogs who can he counted on to sound the alarm when national or international authorities fail to meet commitments, and as advocates who push for sustainable development policies and programmes at all levels
+We are fortunate, in this hook, to hear NGOs' views from these diverse perspectives. NGO reflection on and lessons learned from their multidimensional experiences are essential to carrying out the demanding and critical task at hand that of accurately assessing the effectiveness of existing policies and practices in meeting the goals of Agenda 21 so that, with new insights and renewed commitment, we can chart a more effective sustainable development course for a better future.
+<section>Introduction</section>
+The June 1997 Special Session of the UN General Assembly to review implementation of Agenda 21 provides a unique opportunity to assess the progress made and the difficulties and challenges of implementing the action programme adopted at the 1992 UN Conference on Environment and Development (UNCED). NGLS has published this collection of contributions from NGOs around the world in order to highlight dimensions of Agenda 21 implementation at the local level that might not otherwise be captured by the international dialogue. In their articles, contributors describe NGO projects and other activities focused on UNCED follow up and how UNCED's new approach to sustainable development affected thinking, programmes and strategies.
+The most common theme running through all the articles is the real impact of post-UNCED activities at the local level, as well as civil society's strong commitment to Agenda 21 follow up, despite often difficult institutional and political challenges. Many contributors stress that "successful" follow-up activities are ones that link environmental protection with the goal of enabling local people to improve their livelihoods and their control over natural resources.
+Almost all contributors to the book discuss the many challenges of implementing Agenda 21, such as limited financial resources and those related to institutional, political and other issues at the national and international levels. Articles from contributors in developing countries and those in transition from centrally-planned to market economies shed light on the opportunities and special challenges civil society faces within these contexts.
+Many of the articles underline the importance of public information campaigns and all acknowledge the Earth Summit's impact in helping to popularize many issues related to sustainable development which some NGOs have been promoting for many years.
+Several contributors to the book describe the way in which some social groups, despite heavy odds or conventional attitudes about their roles, have historically played an important role in promoting sustainable development, such as indigenous people and practitioners of some traditional religions in Africa.
+Perhaps the most striking message of the book is one that can only be discovered by reading between-the-lines of every article: civil society organizations around the world, no matter the national setting or specific social, institutional and political context in which they operate, arc deeply committed to achieving many of the goals of the Agenda 21 programme of action. Their perseverance and optimism in the face of many difficulties underpin the day-to-day struggle to promote sustainable livelihoods and protect natural resources. The experiences of civil society organizations described in the following articles are truly inspiring and demonstrate the potential of civil society to contribute to the achievement of sustainable development when supported by genuine partnerships, institutional recognition and respect, and an enabling environment.
+Tony Hill, NGLS Coordinator, March 1997
+<section>Authors</section>
+Mike Anane is Editor of The Triumph newspaper and Founding President of the League of Environment Journalists in Ghana.
+Tanveer Arif is President of the Pakistani NGO, Society for Conservation and Protection of Environment (SCOPE).
+Lawrence Arturo is the Director of the Office of the Environment, Bahá'i International Community.
+Tom Bigg is the Administrator of the United Nations Environment and Development UK Committee (UNED-UK).
+Hazel Brown is Executive Officer, Network of NGOs of Trinidad and Tobago for the Advancement of Women.
+Katongo Chisupa heads the Communications Unit of the Environmental Council of Zambia.
+Kevin Cook is the Global Publications Officer for Consumers International.
+Nigel Cross is the Executive Director of the Panos Institute in the United Kingdom.
+Felix Dodds is Coordinator of the United Nations Environment and Development UK Committee (UNED-UK).
+Eric L. Hyman is Programme Economist at Appropriate Technology International.
+Magdi Ibrahim is Programme Coordinator at Environnement et Developpement au Maghreh ( ENDA - Maghreb ).
+Ashish Kothari is a lecturer in environmental studies at the Indian Institute of Public Administration.
+Olga Ponizova is a researcher in the Department of Economics at Moscow State University.
+Jacqueline Roddick is Coordinator of the Scottish Academic Network on Global Environmental Change.
+Barbara Rutherford is Policy Coordinator, Water Pollution and Toxics at the World Wide Fund for Nature International (WWF).
+Jan Karel Sorgedrager coordinates the UNDP/UNV Eco-Volunteer project at the Environment Liaison Centre International in Kenya.
+Kerrie Strathy is the Women and Education Adviser at the South Pacific Action Committee for Human Ecology and Environment.
+Victoria Tauli-Corpuz is Executive Director of the Cordillera Women's Education and Resources Centre in the Philippines.
+Vida Ogorelec Wagner is Executive Manager of the Slovenian Foundation for Sustainable Development.
+Judy Walker is Director, Membership and Information Services at the International Council for Local Environmental Initiatives (ICLEI).
+Dominic Walubdngo is Director of the Forest Action Network in Kenya.
+Kitty Warnock is Environment Programme Director at the Panos Institute.
+Samuel Watchueng is in charge of the Urban Environment Sector at ENDA-Maghreb.
+<section>NGOS and the UN system since the earth summit: The NGO steering committee for the commission on sustainable development</section>
+by Tom Bigg and Felix Dodds
+Introduction
+Over the years since the Earth Summit, enormous changes have taken place in the functioning of UN institutions and processes. Significant reductions in the funding provided by governments have forced the UN secretariat, agencies and programmes to cut back on their activities and staffing. Uncertainties over the intentions of major donors make long term planning extremely difficult. To add to this gloomy picture, the power of governments to take decisions to address many of the global problems identified in Rio is widely perceived to be on the decline, as multinational companies grow in influence and multilateral agreements reduce the authority of national governments over many areas of policy crucial to sustainable development. According to Richard Barnet and John Cavanagh in Global Dreams: Imperial Corporations and the New World Order, " The fundamental political conflict in the opening decades of the new century, we believe will not be between nations or even between
+trading blocs but between the forces of globalization and the territorially based forces of local survival seeking to preserve and redefine community."
+On the positive side, the Earth Summit provided a focus for consideration of the changing role of the UN, given the end of the Cold War. International relations would no longer be governed by hostilities between two superpowers, and the Brundtland Commission's timely report provided the rationale for new ways of considering international cooperation and shared objectives and responsibility. The UN system as a whole was able to consider what this new paradigm would mean to its own operations, and also the ways in which "sustainable development" could give new relevance to the UN for a whole range of non-state actors, as well as governments. The UN has been open to those outside central government in certain contexts (the Economic and Social Council, implementation of country programmes, and consultation on specific issues, such as those addressed by UN conferences and summits). Agenda 21 and the other Rio agreements shifted the emphasis dramatically. Two elements recur
+throughout and are crucial to the changing role of NGOs in the UN system:
+- the importance of local, or grassroots action
+- the need for participation by those outside government in every stage of decision-making and implementation
+The involvement of the major groups of society, as defined in Agenda 21, is not an optional extra for sustainable development but should be seen as a sine qua non. The concept of "partnership" has been whdely used (and abused) in recent years, but it lies at the heart of the agreements reached in Rio. According to Chapter 23 of Agenda 21, "Critical to the effective implementation of the objectives, policies and mechanisms agreed to by governments in all programme areas of Agenda 21 will be the commitment and genuine involvement of all social groups. One of the fundamental prerequisites for the achievement of sustainable development is broad public participation in decision-making. Furthermore...the need for new forms of participation has emerged."
+Recently other UN summits, notably the 1995 Social Summit, have elaborated on the role of Major Groups of civil society. 1\ consideration of emerging opportunities for non-governmental involvement in the UN system should draw on these. However, it should focus principally on what happened before, during and since the Earth Summit, and on ways the principles established there have been put into practice. We do not intend to examine national structures for Agenda 21 implementation in detail, or the range of innovative developments in other UN processes, except when relevant to a consideration of the changing institutional arrangements for N GO participation in UN follow up to the Earth Summit.
+NGOs and the UN: Before, During and After the Earth Summit
+The International Facilitating Committee
+The run up to the Earth Summit was clouded by disagreement over how NGOs should organize themselves. To address the issue, the Centre for Our Common Future called a meeting of NGOs in June 1990. Representatives from most of what would later be called the Major Groups attended. They included representatives of industry, trade unions, women's organizations, and youth and voluntary non-profit groups. The meeting led to the creation of the International Facilitating Committee (IFC), which would act as a "facilitating group," rather than a political or representative forum. After much discussion, industry was allowed to be part of the committee. The Non-Governmental Liaison Service (NGLS) played a vital role in providing continuity and support for the evolving NGO arrangements.
+The International Non-Governmental Organizations Forum (INGOF)
+Some NGOs were unhappy that the IFC was unable to agree on political statements, and they disliked industry's involvement. The Environmental Liaison Centre International led a group that set up an International Steering Committee (ISC). The ISC, along with the French government, organized what has been described as "a dreadful meeting" of NGOs in Paris in December 1991. At the meeting participants agreed on a synthesis of NGO positions entitled Roots for Our Future, and they elected representatives to an International Non-Governmental Organizations' Forum (INGOF). Two representatives from each geographical region were chosen to lead INGOF, which took over from the ISC during the final months before Rio.
+The IFC provided the physical infrastructure in Rio for the NGO parallel meeting, known as the Global Forum. Many NGOs attending the UNCED fourth and final preparatory session, held in New York in March 1992, organized their substantive input through INGOF. INGOF used the six months before the summit to focus on developing NGO treaties, which offered a forum for NGOs to debate and agree on their plans of action during the summit. The treaties were an attempt to negotiate common positions to enable NGOs to cooperate more closely at the international level. They were not intended for consideration by governments preparing for the negotiations in Rio but constituted a parallel "alternative" process.
+At the Earth Summit, hundreds of NGOs worked in issue-based groups under the INGOF process to negotiate over 40 treaties. INGOF also hosted regular plenary meetings to which all NGOs were invited. At the final plenary session, participants decided that NGOs did not want a new coordinating structure to continue after the Earth Summit. Instead, INGOF was asked to ensure that copies of the treaties were translated and distributed, and to provide an information clearing-house service for NGOs immediately after the conference. Substantive follow-up work was to be dealt with at the regional level, and the NGO treaties were to be used as public documents by NGOs as they saw fit. An international meeting to consolidate the regional work was called for at that time and held in Manila (Philippines) in late 1995.
+INGOF was a bold attempt to deal with some of the key difficulties NGOs experienced when active internationally. Among its activities, INGOF acted as a distributor of up-to-date information. particularly through electronic conferencing; and a facilitator to promote NGO common positions by proposing that NGOs work on developing common positions for their own activities, and not focus all their energy on trying to change government positions.
+Some of the larger NGOs viewed the INGOF process as a distraction and chose to focus on direct interaction with decision-makers. However, others saw the alternative treaty process as an opportunity to create "political space" for NGOs. They used the treaties to explore whether a political agenda could be agreed to with which NGOs across the world could work. However, both the IFC and INGOF had problems that were not resolved at Rio and both suffered from a perceived lack-of transparency and accountability.
+UN Commission on Sustainable Development
+So who would take forward the coordination of NGOs in the post-Rio process? At the first meeting of the Commission on Sustainable Development (CSD) in April 1993, NGOs organized the way they had at the preparatory meetings, as if the structure that had operated then still existed. It became obvious that this was not a viable way of working. For example, the instigation of official CSD intercessional meetings meant that without any NGO facilitating process, there would be little involvement of NGOs or other Major Groups unless governments or the UN felt their presence would be beneficial. When this was the case, they went to NGOs they already had a relationship with, which continued to reinforce a predominately Northern NGO bias.
+NGOs attending the CSD agreed to collect the views of those present on the way forward. This was accomplished, and a paper was presented to a full meeting of NGOs towards the end of the final week of the meeting. The paper received support, but no process was agreed on how to take it forward, because trust had broken down between Northern and Southern NGOs. However, discussions did take place during the following year to prepare for the next CSD. Some NGOs attending the "between the summits" meeting, organized by the Environment and Development Resources Centre in Copenhagen, took the opportunity to prepare a set of recommendations.
+This draft agreement was presented to the NGOs at the CSD in May 1994, where discussions were frank and forthright. They extended the original paper to include the possibility-for the first time in the United Nations-of creating a body that would include representation from all Major Groups identified in Agenda 21. There was a heated debate on whether industry should be allowed to be a member of the steering committee, which was similar to discussions about setting up the IFC before the Earth Summit. In the end it was felt that the steering committee was not a political committee, and in the spirit of Rio and the Small Island Developing States Conference, it should be inclusive. Participants agreed that the committee would be made up of elected representatives from:
+- regions (Western Europe, Eastern Europe, North America, Central America, Africa, the Middle East, Asia, South America, Australasia, and Small Island States);
+- issue-based caucuses;
+- Major Groups (industry, indigenous people, farmers, NGOs, trade unions, youth, women, local government, and academics);
+- North and South multi-regional caucuses; and major international networks.
+The system of regional representation helped to ensure that there were more Southern than Northem NGO representatives on the committee. Two co-chairs-one from the North and one from the South-were chosen by all Northern and Southern-based NGOs present. During CSD sessions, the co-chairs took responsibility to organize steering committee meetings and to act as the focus for the steering committee in the intercessional period. It was agreed that they should be based in New York to enable them to have regular meetings with officials from the CSD secretariat in the Department of Policy Co-ordination and Sustainable Development (DPCSD), as well as with relevant UN Missions.
+Key roles identified for the steering committee were:
+- transfer up-to-date information to members of the committee, so that they can disseminate it more widely;
+- provide a link with DPCSD and particularly with its Division for Sustainable Development; facilitate selection of NGO representatives for governmental interses sional meetings;
+- organize facilities for NGOs taking part in CSD meetings;
+- facilitate setting up NGO working groups on issues to be addressed by the CSD;
+- organize government/NGO dialogues and morning and evening strategy sessions for NGOs; and - act for the NGO body as a whole when there are disputes with the CSD secretariat or bureau, or between NGOs.
+In many ways the NGO Steering Committee was an amalgam of the IFC and the ISC (INGOF) approaches before the Earth Summit. It was agreed that the steering committee should not take positions on behalf of NGOs; its role is to create the circumstances in which common NGO positions can be developed. This is a very important distinction: common positions should emerge in NGO caucuses, which are open to all eligible organizations. The caucuses should then present positions developed to the CSD. The steering committee also acts if there is a dispute within a caucus -for example, in 1995 members of the forest caucus objected to a document that was released with the names of their organizations listed as supporters, when none of the organizations had seen the document. The steering committee in this instance closed down the caucus and reopened it with a steering committee chair.
+The caucuses have been vital to the success of NGO activities at the CSD, and increased access has been achieved because NGOs are relatively well organized. NGOs at CSD meetings have access to governmental "informal" and "informal informal" sessions, and they have been able to address delegates during these. This has been at the bequest of the chair of the relevant meetings, but because the chairs of the CSD-Ambassador Razali, Dr Klaus Töpfer, Ambassador Cavalcanti and Minister Gechev-all have placed great emphasis on NGO participation, even the more reluctant countries have acquiesced. The steering committee has made necessary arrangements to coordinate NGO interventions on the issue under discussion. I his is a move away from the system in operation during sessions of other UN commissions, in which NGOs are only able to speak at the end or beginning of sessions. As a result, NGO speakers are obliged to be succinct, to the point, and not excessively lecture the governments.
+The steering committee had three overall working objectives when it was set up-to be transparent, accountable and democratic. It has been able to achieve these. Each year elections to the committee from the various caucuses take place and two co-chairs are elected or endorsed by the whole body of NGOs. Since 1993 the committee has grown as Major Groups, international networks and issue-based caucuses have joined. At present the committee's membership includes, among many others, organizations such as the International Confederation of Free Trade Unions, International Chamber of Commerce, International Council for Local Environmental
+initiatives, Greenpeace International, Women's Environment and Development Organization, Third World Network and the Habitat International Coalition and many others. The steering committee, through financial support from Ford Foundation and the government of the Netherlands, has been able to employ staff in New York to prepare for the June 1997 UN General Assembly Special Session (UNGASS), or Earth Summit 11 as known by NGOs.
+Run Up to Earth Summit 11
+The steering committee has been vital in a number of areas in preparing NGOs and other Major Groups for UNGASS. The committee has:
+- produced a synthesis paper of all the NGO papers available at CSD-4, held in May 1996;
+- set up a CSD NGO Steering Committee web page for up-to-date information on UNGASS;
+- produced a monthly newsletter to keep people informed of UNGASS developments;
+- set up a list server for all steering committee members so they can keep each other informed;
+- produced a training document for NGOs attending the 1997 events;
+- produced an information pack of 20 papers on ten issues that NGOs can use for their own domestic meetings;
+- produced a directory of all NGOs accredited to take part in the 1997 events;
+- set up a process so that NGOs can agree on positions about major issues to be addressed at the 1997 events;
+- raised funds for Southern and Eastern European NGO participation at the three key meetings in New York during 1997;
+- raised funds for staff and infrastructural costs associated with the 1997 events;
+- is working to establish infrastructure for NGOs at the 1997 events; and set up a general list server for anyone interested in the 1997 events.
+Opportunities in 1997
+There are two elements to the review of Agenda 21 that are central to the approaches NGOs will take in preparing for UNGASS. One is to raise the profile and therefore the stakes of the event as much as possible. This will entail working nationally and internationally to make sure that the five year review is used as an occasion for widespread consideration of experiences since the Earth Summit and key issues to be addressed for the future. The other element is for NGOs working at the UN level to consider where critical decisions are taken, and whether those areas in which they are given extensive rights are merely a playground for those working on "soft" issues, while the real decisions on key questions of trade and finance are taken in intergovernmental fore well beyond their reach:
+'NGOs must consider the fundamental question of whether their work in the UN process should be intensified with an eye to achieving better results or whether they are simply participating in marginal activity, while the important decisions are being taken by bodies beyond their influence (such as the G-7, World Trade Organization or the Bretton Woods institutions). -Jens Martens and Peter Mucke, German NGO Forum 1996
+These two approaches are complementary, because UNGASS offers the opportunity for governments to acknowledge that progress toward sustainable development will require far greater coordination of different international activities. The institutions established to further the objectives of sustainable development should not be peripheral, but should be enabled to call to account other bodies as appropriate. Similarly, the extent to which this rationale has been applied to regional, national and local decision making processes should be the focus for non-governmental organizations in preparing for UNGASS.
+Changes in NGO Access to the UN System
+A comprehensive review of NGO involvement in the work of the UN Economic and Social Council (ECOSOC) was finalized at the ECOSOC meeting in July 1996. Two issues debated in meetings of the Open Ended Working Group on the Review of Arrangements for Consultations with
+NGOs are particularly significant when considering follow up to the Earth Summit. They are the rights of national organizations to participate in ECOSOC processes and new definitions of the nature and roles of NGOs, which include use of the "Major Groups" terminology of Agenda 21 and an emphasis on networks and other innovative structures.
+The first, based on the priorities identified in Agenda 21, has been accepted. The second has proved problematic because informal structures and an expanded definition of the concept of civil society do not correspond with the more narrow mandate and objectives of the working group.
+Ad hoc Arrangements in Various Fora
+While these changes to official arrangements for AGO accreditation have been debated, a large number of less formal developments have occurred. These can be understood as pointers for changes that could be widely applied in the future or as impromptu occurrences dependent upon a set of circumstances, which could not necessarily be replicated.
+Those frequently cited are discussed below.
+Habitat 11
+The International Facilitating Group for Habitat 11 was set up using the model that the CSD NGOs devised. The terms of reference were changed little, but it was decided that there should be four co-chairs: two Northern and two Southern, made up of two women and two men. This management team was to coordinate the work of the IFG in the run up to Habitat II. The lFG has carried on working after the conference; its work will be reviewed at the next meeting of the Commission on Human Settlements in May 1997.
+During preparatory meetings for Habitat II. NGOs were able to participate in meetings of the informal drafting group, which was preparing the text for the Istanbul programme of action. This extended to tabling textual amendments directly. A real breakthrough for the NGOs in Istanbul was when the UN agreed le. bring out the Ngo Composite Text as an official
+UN document (A/Conf.165/lNF/8), which is the first time NGO amendments were given official recognition. This was due to strong support by the United States government. In addition, NGOs were allowed to take the floor and speak from a microphone on their amendments, which enabled governments to listen and respond to NGO proposals. If a government sponsored an NGO amendment, the conference was allowed to debate it. This is the first time an NGO document has been made available in this way.
+One proposal under consideration for the future of the Commission on Human Settlements after Habitat 11 is that it be reconstituted as a quadripartite body with representation from governments, NGOs, local authorities and the private sector. This will be discussed at the commission's meeting in May 1997.
+Global Environment Facility
+Prior to meetings of the Global Environment Facility (GEF), one day is devoted to open dialogue with NGOs. Extensive changes to the relations with NGOs have occurred since the GEF was first created. Given the role of the World Bank in the GEF this could constitute an opening for greater involvement of NGOs in meetings of the international financial institutions.
+United Nations Joint Programme on HI V/AIDS
+This is the newest interagency UN body, which brings together WHO, UNICEF, UNDP, UNESCO, UNFPA and the World Bank, in the fight against AIDS. Five seats have been allocated to NGOs on the UNAIDS governing board.
+Intergovernmental Panel on Forests
+The IPF, an open-ended intergovernmental working group of the Commission on Sustainable Development, has built on the partnership with NGOs that was evident at the CSD. During panel sessions, NGOs have worked through the CSD NGO Steering Committee to choose representatives to attend governmental intercessional meetings. At the panel itself, the NGO caucus on forests facilitates interventions, which have been
+been substantive and on the agenda item under discussion. The chair's draft included NGO amendments within the text and indicated NGO amendaments in the same way as suggested textual changes from individual governments, the G-77 and the European Union. This is the first time NGO recommendations have been recognized in this way in official UN negotiation of a draft text without the support of countries for the amendments.
+A More Effective UN System
+Many NGOs and some governments are using the 1997 review as an opportunity to open up wider debate on ways to improve instruments designed to promote sustainable development work. In particular, the lack of ownership of decisions taken in UN intergovernmental fora has been cited as a real stumbling block. Also of concern is the inadequacy of the consensus-building process, which is a means within the UN to initiate dynamic and decisive action. A range of practical steps that could be taken have been put forward as potential solutions to these shortcomings.
+Conclusion
+Non-governmental organizations have had to adapt to rapidly-changing patterns for interaction with the various parts of the UN system dealing with Earth Summit follow up. Often they have been able to take advantage of the evolving nature of current arrangements for NGO participation in different fora to push for steadily increasing access and influence in UN intergovernmental negotiations. The rapidity of change frequently has made advances easier; yet it carries with it the danger that such developments easily could be reversed.
+The CSD NGO Steering Committee has established new ways of operating, which have already been used as a model for closer cooperation
+between NGOs, governments and the UN system. UNGASS will demonstrate if this is an aberration or not. It definitely reflects changes at local and national Ievel in many parts of the world and otters a valid process for NGOs operating internationally, which is transparent, democratic and accountable.
+Changing Responsibilities for NGOs
+"NGOs," according to Peter Padbury of the Canadian Council for International Co-operation, "are often seen as critics. Many NGOs working on the sustainability agenda have shifted from seeing themselves as critics to seeing themselves as 'co-creators' who bring analysis, expertise and solutions to policy dialogues. They can link local action with the global dialogue."
+Despite the importance placed on decisions and actions at the local level, it is extremely difficult to establish direct links between the UN and such contexts. NGOs operating at the international level have a key role to play in building such links. However, these responsibilities are not clearly spelt out-indeed, the disparate nature of NGOs makes it difficult to be prescriptive in this respect. Nevertheless, an enhanced role for civil society in the functions of the UN will require NGOs to pay serious attention to the degree to which they can claim to be a legitimate voice of others.
+These issues of legitimacy and representativity will become more and more relevant as organizations of civil society gain more of a role in the process of governance. Questions such as the capacity of these organizations to express the aspirations of people, while providing information and education, will become increasingly relevant.
+-Report of a Seminar on Involvement of Civil Society in Follow-up to the Social Summit, held in Mohonk, New York, 1995
+It is not viable to separate consideration of ways to ensure greater representation of NGOs at the UN level from questions about their legitimacy and mandate from a wider community. Just as the link between the UN and national decision making needs to be strengthened, NGOs working at the international level also have a responsibility to promote public interest and involvement in the process of working towards sustainability.
+'More and more, NGOs are helping to set public policy agendas-identifying and defining critical issues, and providing policy makers with advice and assistance. 11 is this movement beyond advocacy and the provision of services towards broader participation in the public policy realm that has such significance for governance."
+-Our global Neighbourhood report of the Commission for Global Governance, 1994.
+<section>The issues</section>
+<section>The implementation of agenda 21 and indigenous peoples</section>
+by Victoria Tauli-Corpuz
+This article will identity general trends of Agenda 21 implementation. During the 14th session of the UN Working Group on Indigenous Populations, held in Geneva from 29 July-2 August 1996, indigenous peoples met and agreed to make a more comprehensive review, which will be given to the UN Commission on Sustainable Development (CSD) during its five-year review of Agenda 21 in June 1997.
+If the rhetoric of Agenda 21 and the Rio Declaration of Principles are truly implemented, undoubtedly these will have positive impacts on indigenous peoples. Principle 22 of the Rio declaration states:
+"Indigenous people and their communities and other local communities have a vital role in environmental management and development because of their knowledge and traditional practices. States should recognize and duly support their identity, culture, and interests and enable their effective participation in sustainable development."'
+The declaration acknowledged that unsustainable patterns of production and consumption should be reduced to achieve sustainable development (Principle 8). This is important because it is an admission that the prevailing development paradigm is unsustainable; therefore, elements of these or the whole paradigm should be altered. Indigenous peoples have questioned this kind of development since colonization.
+UNCED was a watershed because it looked at environment and development in an integrated fashion. It linked issues such as poverty, inequity, unequal trade and the debt crisis to environmental degradation. Indigenous peoples have always had a holistic view of the world. From their perspective, the major weakness of the Rio documents is that they still operate within the framework of the dominant development paradigm, which regards economic growth through more competitive and liberalized markets as the way to development. UNCED is about looking for the balance between economic growth and environmental sustainability. It was not about questioning the economic growth model as the main reason for environmental degradation.
+One aspect that is glaringly absent from the documents is the whole issue of mining. For many indigenous peoples, mining of minerals and oil remains the main economic activity in their communities that has resulted in massive environmental degradation and economic disasters. Although mining is one of the most unsustainable activities of land and resource management, Chapter 10 of Agenda 21 on Integrated Approach to the Planning and Management of Land Resources, makes no reference to mineral lands. Obviously, this whole issue was conveniently avoided because large-scale commercial mining cannot pass the test of environmental sustainability.
+Another weakness of Agenda 21 and other UNCIED documents is the lack of affirmation of our inherent rights to self-determination and our ancestral territories and resources. We believe that our capacity to contribute effectively to attaining a sustainable planet is directly linked to the recognition and respect of these rights.
+The Significance of Chapter 26
+When we started lobbying during the PrepComs, we did not intend to have a separate chapter on indigenous peoples, because this can "ghettoize" our concerns. We attempted to ensure that the issues and perspectives of indigenous peoples were reflected in all the chapters. However, when it was apparent that our influence over the other chapters was minimal, we changed our approach to strengthen further chapter 26.
+Nevertheless, the inclusion of indigenous peoples as one of the major groups was important. This chapter brought indigenous peoples into the whole sustainable development discourse. It also gave additional bite to our lobbying at the subsequent UN conferences and at the UN Working Group on Indigenous Populations. Furthermore. it reinforced the legitimacy of our tight for our rights to ancestral lands and territories and selfdetermination.
+Whatever we gained in the final documents that came out of Rio can be partly credited to the lobbying we did and to the efforts of some advocates from the NGOs and governments. However, the real credit should be given to indigenous peoples from the past and present generations who have sustained the struggles to defend our territories and our sustainable lifestyles amidst tremendous pressures from modem society.
+What Has Happened Four Years After Rio?
+After lobbying by indigenous peoples, the United Nations declared 1993 as the International Year of the World's Indigenous People. Subsequently, the International Decade of the World's Indigenous People was declared. Some UN agencies such as UNESCO designated special focal points for indigenous peoples, and the International Labour Office (ILO) set up an Interregional Programme to Support Self-Reliancc of Indigenous and Tribal Communities through Cooperatives and Other Self-Help Organizations. The United Nations Development Programme (UNDP) provided support to governments, some NGOs and indigenous peoples' organizations and facilitated regional meetings among indigenous peoples between 1994 and 1995.
+Multilateral financial institutions, such as the World Bank' produced policy papers on indigenous peoples. While the papers recognize that indigenous peoples should be consulted or involved in project development, the institutions' track record in terms of really addressing indigenous peoples' concerns is very poor. In tact, they played key roles in marginalizing and displacing indigenous peoples from their lands. Since multilateral banks exist to promote the market economy, the projects they support undemmine indigenous peoples' subsistence production systems, cosmology or worldview, and value systems.
+Many conflicts have erupted between indigenous peoples and govemments with bank-supported projects, and the injustices committed by these institutions should be addressed if they want to develop partnerships with indigenous peoples. If these multilateral financial institutions still insist on just promoting the neo-liberal market paradigm, there is not much hope that indigenous peoples can relate with them without sacrificing their rights.
+Some governments such as Canada, Australia, New Zealand and Norway have a representative of indigenous peoples in their delegations to UN conferences and sessions like the CSD. Some donor governments, such as the Netherlands, have produced policy papers on indigenous peoples and have allotted money for indigenous peoples' organizations.
+However, on the whole I think the majority of indigenous peoples will say that Rio did not really make a significant dent in arresting environmental degradation in our communities. In fact, immediately after Rio we can cite case after case of how governments, transnational corporations and other multilateral agencies, such as the World Bank and the IMF, violated Agenda 21.
+Continuing Conflicts over Control of Territory and Resources
+Many conflicts today are over resources found on indigenous peoples' lands. Many Third World countries still rely largely on extracting primary natural resources to trade with richer nations. Most of the remaining lands, which are still considered frontier lands, are ancestral territories of indigenous peoples. We continue to be sacrificed for the sake of national interests. This is the story of indigenous peoples from colonization up to the present. The only difference between then and now is the rhetoric acknowledging indigenous peoples' roles in sustainable development, and the importance of indigenous and traditional knowledge, which is found in many documents of the UN, the World Bank and governments. Many are paying lip service to indigenous peoples and sustainable development. But the practice has remained basically the same. Our rights to have control over our lands and resources are blatantly violated even now in the name of sustainable development. Trade
+liberalization, which is the obsession of many countries, has aggravated such conflicts.
+For example in the Philippines the revised Mining Code, now known as the Philippine Mining Act of 1995 (Republic Act 7942), was signed into law on 6 March 1995. Among other things, the law provides for 100% foreign equity in mining investments, leases for 50-75 years over huge tracts of mineral lands, and 100% repatriation of profits for foreign corporations. Even before this was signed, there have already been 54 applications from foreign mining corporations. The bulk of the mineral lands up for grabs is found in the ancestral territories of ten million indigenous peoples and Moros (Muslims).
+And in Brazil, Decree 1775 has just been passed. It opened up 344 reserves or 57% of indigenous peoples' lands to claims by any person, company or local authority that thinks they may have a case. This decree contradicts Article 231 of the Brazil constitution, which recognizes the inalienable right of indigenous peoples to their ancestral lands and natural resources. Since the decree was enacted in 1996 loggers, miners, ranchers and others are filing injunctions to reverse indigenous land titles.'
+In Nigeria, the traditional economic base of the Ogoni people has been ruined by Shell Oil Company's drilling of over 900 million barrels of oil. Ogoni traditional lands are ruined beyond rescue. The people continue to live in dire poverty, and they still do not have electric lights. Kenule Saro-Wiwa, the head of the Movement for the Survival of Ogoni People (MOSOP) and eight others sacrificed their lives to assert their rights to have control over their territory.
+These are all post-UNCED developments. The ratification of the Uruguay Round of the General Agreement on Tariffs and Trade (GATT) and the setting up of the World Trade Organization (WTO) have major implications for the implementation of Agenda 21. Member states have to adhere to the requirement that national laws be consistent with GATT rules. The liberalization of investment laws automatically conflicts with the ancestral land rights of indigenous peoples. Mining has always been an investment that ensures tremendous profits. Therefore, indigenous peoples living on mineral lands are experiencing more aggressive incursions into their lands.
+From the late 1940s to the 1980s, dam building has been a major area for World Bank lending. World Bank reports say around 350,000 people may be displaced by dams it funded between 1994 and 1996. Evidence of aggressive dam construction can be seen in all parts of the world.
+In Brazil, 400 Maaxi Indians in Carapara 11 were driven out of their villages to make way for the construction of the Cotingo Rive Hydroelectric Dam. And the Bakun Dam in Malaysia will require the clear cutting of 80,000 hectares of rainforest and forced displacement of 5,000 8,000 indigenous peoples from 15 communities. The legacy of 50 years of dam building shows that mega-hydroelectric dams are unsustainable, ye loans and funds continue to be made for such projects. For indigenous peoples, dams are not environmentally sustainable nor socially acceptable, so they are resisting them.
+Bioprospecting, Intellectual Property Rights, and the Human Genome Diversity Project
+Since UNCED, many indigenous peoples have been fighting against the systematic appropriation of their biological and human genetic resources Appropriation is done in the name of conserving biodiversity, and various instruments are used to legitimize it. The WTO Trade-Related Intellectual Property Rights Agreement (TRIPS), which allows for patenting of life forms, is the most dangerous instrument.
+Transnational corporations and governments have discovered that genetic and biological resources are "gold mines." Many of our sacred lands and burial grounds have been ravaged beyond rehabilitation by traditional mining. Now, the new form of prospecting is bioprospecting, which invades and colonizes the sacred spaces not only of our plants and animals, but of our own bodies. Bioprospecting activities are carried out aggressively in our lands. The science of biotechnology, particularly genetic engineering, has provided the impetus for commodifying and commercializing genetic resources.
+TRIPS has provided the legal framework for this appropriation and commercialization to take place. TRIPS awards intellectual property rights (IPRs), such as patents, to private entities who have "innovated" a product and can reproduce it on a commercial scale. It automatically excludes most indigenous peoples from being granted lPRs. Many of their practices don't fit within the framework of TRIPS since communal sharing of genetic resources is regarded as knowledge that is social, collective and cumulative-therefore it cannot be appropriated by a single individual.
+Transnational pharmaceutical, agribusiness, and biotechnology corporations cut their research expenses significantly by acquiring indigenous knowledge about indigenous seeds and medicinal plants. They compensate indigenous peoples to harvest the plants, and once the plants arrive at the corporations' laboratories, the process of innovation and patenting follows. This situation is not any different when indigenous small-scale miners are used to trace mineral ore veins; when the mining prospectors obtain this knowledge, they take over, and indigenous peoples end up as the miners. In bioprospecting, we end up as the harvesters of the medicinal plants, and in the Human Genome Diversity Project we ourselves become the raw materials.
+Recognition of the sovereign rights of states to have control over their own biological resources is important, because it counters the Northem agenda of regarding biodiversity as the global commons. However, the rights of indigenous peoples and local communities over their biodiversity is not equally addressed. It is important to balance the possible abuse of states in allowing the appropriation and exploitation of this biodiversity by the local elite or transnational corporations. Some nation-states claim sovereignty over these resources, only to offer them to the highest bidders who are mostly foreign investors. For example, the main issue under discussion in the Convention on Biological Diversity (CBD) is how to share equitably the benefits accruing from biodiversity. But the key issue for indigenous peoples is how the state and the international community guarantee our rights to have control over the resources, and how we should use it and share them.
+The importance of conserving biodiversity was stressed in chapter 15 of Agenda 21, but recommendations for biodiversity conservation are very limited. These range from setting up integrated protected area systems to valuing biodiversity which acknowledges the roles of indigenous peoples in conserving this biodiversity and recommends that these roles be strengthened. However, discussing biodiversity conservation outside of the framework of recognizing the rights of indigenous peoples to their lands and resources is meningless.
+Transnational corporations and industrialized countries look primarily at biodiversity as raw material for the biotechnology industry. This follows the same pattern of how ancestral lands, territories and resources of indigenous peoples were appropriated in the past. This time the legal framework for the appropriation of genetic resources is negotiated internationally. Governments should harmonize their laws with these international agreements reached in the Uruguay Round. Regional economic agreements such as the North American Free Trade Agreement (NAFTA) and the Asia-Pacific Economic Cooperation (APEC) are following the same track, and it seems that what has not been achieved globally at the GATT/WTO will be opened up at regional levels.
+Indigenous peoples have sponsored on their own, or in coordination with other NGOs or UN agencies, discussions and conferences on intellectual property rights. Almost all of the conferences have arrived at a common conclusion: the intellectual property rights regime of WTO is a Northern concept, which is antithetical to the world view and practice of indigenous peoples. While we are trying to lobby the UN, CBD, Food and Agriculture Organization of the UN (FAO) and others to provide protection to our genetic resources and indigenous knowledge, the mad race to collect medicinal plants, seeds, and indigenous knowledge is on. Bilateral genetic prospecting agreements are already being forged between biopirates, universities, unsuspecting indigenous peoples' communities or organizations, and unscrupulous individuals. While many bioprospecting corporations claim they are concerned with the welfare of indigenous peoples, even the seemingly best arrangements end up with indigenous
+peoples feeling cheated, exploited and manipulated.
+The Human Genome Diversity Project has been condemned by many indigenous peoples as one of most despicable projects targeting indigenous peoples. indigenous peoples refer to this as the "Vampire Project." We are told that because many of us are on the verge of extinction. our genetic
+material has to be collected since these are "isolates of historic interest," and for the sake of medical science. In my opinion the project symbolizes the ultimate colonization of indigenous peoples and the destruction of their values and traditions. However, in spite of worldwide protests, the collection of genetic materials is still taking place, and the patenting of indigenous peoples' cell lines has happened already. On 14 March 1995, the genes of an indigenous person from the Hagahai tribe of Papua New Guinea was awarded United States patent no. 5,397,696. The Hagahai, now only 260 people, find that their DNA-the building block of their very identity-is the property of the US government.
+Conclusion
+The picture 1 have presented is evidence enough to say that Agenda 21 has not been implemented to the satisfaction of indigenous peoples. Also, there is no strong evidence to show that there is genuine political will to implement Agenda 21. More often than not, when economic interests are challenged by environmental considerations, the environment is sacrificed. Worst, when mainstream development is challenged by us, we are branded as subversives, which gives those in power the license to violate our basic human rights. Principles 10, 14 and 22 of the Rio declaration and Chapter 26 of Agenda 21 have been blatantly violated. Genuine consultation and involvement of indigenous peoples, which is stressed in Chapter 26, is hardly done. Involvement of indigenous peoples is only allowed if they agree with the projects designed for them.
+In spite of the gloomy picture described, there are still positive developments upon which we can build our hopes. Notwithstanding the tremendous limitations in resources, numbers, and expertise, etc., we have shown that we can participate equally and effectively in lobbying international bodies and conferences. Before Rio, indigenous peoples concentrated on lobbying at the UN Working Group on Indigenous Populations. We have also lobbied at the conferences that followed Rio. However, we need to build up our capabilities to lobby and do advocacy work. We look at the Agenda 21 as a building block, which can be used toward the recognition and respect for our rights.
+More importantly, we have also seen that many indigenous peoples have persisted in their resistance against development projects and policies that are going to be detrimental to them. Our capacity to say no at the community level should be reinforced many times over. Our right to veto projects that we think are detrimental to us should be accorded. Whatever achievements we have at the international level will be meaningless if our people on the ground have lost the will to assert their rights and demands.
+Notes
+1. Agenda 21: Programme of Action for Sustainable Development, United Nations Department of Public Information, New York, 1992.
+2. Cultural Survival Quarterly (Spring 1996), Cultural Survival, Cambridge (Massachusetts), 1996.
+3. Final statement of a regional meeting on Intellectual Property Rights and Biodiversity, Santa Cruz de la Sierra (Bolivia), 28-30 September 1994.
+3. Earth Summit Briefings, Third World Network, Penang (Malaysia), 1992.
+3. Ethics and Agenda, United Nations Environment Programme, New York, 1994.
+4. Multinational Monitor (April 1996), Essential Information, Washington DC, 1996.
+5. Tauli-Corpuz, Victoria, Asian Indigenous Peoples' Perspectives on Environment and Development, UNCED Secretariat, New York, 1991.
+6. Tauli-Corpuz, Victoria, Mining Indigenous Peoples' Lands, Minds, and Bodies, Unpublished speech presented at the International Forum On Globalization, George Washington University, Washington DC, May 1996.
+7. Third World Resurgence, Issue No. 70 (KDN PP 6738/1/96), June, Third World Network, Penang, 1996.
+<section>Sustainable development of non-timber forest products</section>
+by Eric L. Hyman
+Agenda 21 discusses the predicament of low-income people and their relationship to forest environments in Chapter 2 on combating poverty and Chapter 11 on protecting forests. It emphasizes that providing rural people with greater economic incentives and managerial control over local natural resources can empower them to conserve these resources more effectively over the long term if they have the necessary initial technical assistance. One of the areas in which this hypothesis applies most clearly is in nontimber forest products (NTFPs). Agenda 21 also emphasizes the need for environmental monitoring and helping forest resource users gain access to the information needed for effective resource management.
+Poverty forces NTFP gatherers to maximize short-term income by overharvesting at the expense of future income. Traditional systems that control use of open-access resources are breaking down, and governments are facing constraints in enforcing resource use restrictions. Forest resources are also being lost to other major land uses such as agriculture, commercial logging, livestock grazing and mining. At the same time, population growth and migration are placing Increasing stress on the remaining resources.
+Low-income people living in rural areas, particularly women and indigenous cultural groups, rely on forests for subsistence products and an important source of income. Yet, while some NTFPs bring high profits to processors and traders in international markets, gatherers selling NTFPs usually receive a small share of the value of the final products.
+Unorganized gatherers typically sell small amounts of NTFPs with little or no processing. Individually, these small-scale producers have little bargaining power and lack information on prices and alternative markets. There are often many intermediaries in the marketing chain for NTFPs. Buyers frequently carve out exclusive purchasing territories, especially in remote areas where transport and transaction costs are high and products are perishable or have a short harvest season.
+When processing takes place closer to the forest, NTFP gatherers can obtain higher prices for raw materials because several layers of intermediaries are eliminated. Processing enterprises can also be structured so that gatherers earn additional profits through an ownership share. Even if local processing is not feasible, marketing cooperatives can reap economies of scale and improve gatherers' bargaining power. But to make these changes possible, NTFP gatherers often require some initial external assistance.
+Because of the link between conservation and development, development assistance agencies are devoting increasing attention to NTFPs. One example is the work of Appropriate Technology international (ATI), an international NGO that joins forces with local NGOs and the private sector to help smallscale producers. ATI's value-chain approach begins with an analysis of the feasibility of local processing and alternative marketing arrangements to identify profitable opportunities that can be environmentally sustainable. ATI and its partner organizations help organize production and marketing and leverage financing. They also develop or transfer technologies for production and processing, and provide technical and managerial assistance and training.
+By emphasizing low cost, labor-intensive technologies, ATl's previous activities have always had at least neutral environmental impacts. After participating in the UNCED NGO summit, ATI began developing new programmes with more explicit goals for positive environmental benefits, such as NTFPs.'
+Helping NTFP producers increase their earnings and have a greater stake in long-term resource sustainability through processing can help motivate local people to preserve forest resources, but does not guarantee sustainable practices will be followed. NTFP development is not a panacea for saving forests because deforestation has other larger economic, social, and political causes that it cannot address. Furthermore, many products previously obtained from the wild have been replaced by cultivated or synthetic substitutes.
+Consequently, NTFP programs need to be carefully designed, managed, and monitored. For this reason, ATI helps establish systems for tracking and regulating harvesting rates, avoiding resource-damaging harvesting practices, and monitoring other environmental impacts. ATI works with other NGOs and local groups in environmental monitoring and identifies mitigation measures as needed.
+Jatamansi Oil in Nepal
+Some 50,000 people collect NTFPs in the mountains of mid-Western Nepal, and trade in these products is estimated to be in the thousands of tons. The area has high biodiversity, but forest resources show signs of overuse by the growing population. In September 1993, the Biodiversity Conservation Network (BCN) funded an ATI feasibility study on the processing of various NTFPs in Western Nepal and jatamansi (Nardostachys grandiflora) was identified as one of the most promising. The essential oil extracted from jatamansi rhizomes is used in traditional medicines, cosmetics and flavoured tobacco in India. It is also increasingly popular as a fixative for perfumes and aromatherapy products in other countries.
+ATI subsequently helped local residents in the Humla area to form their own NGO, the Humla Conservation and Development Association (HCDA), and in December 1994 financed establishment of the Humla Oil Pvt. Ltd. to process jatamansi. The goal of this project is to increase the incomes of the gatherers and strengthen community-based conservation systems. Technical and managerial support are being supplied by the Biodiversity Unit of the Asia Network for Small-Scale Bioresources (ANSAB), a nine-nation network based in Kathmandu which ATI helped launch in 1991.
+Before the local processing plant began operating, gatherers harvested jatamansi from common-property lands and sold the rhizomes unprocessed or with minimal preprocessing (cleaning and sun-drying) to traders, who then exported it unprocessed. Previously, there were at least four levels of intermediaries between the gatherers and Indian processing companies, and while the Delhi price for dried jatamansi rhizome was US$2.26 per kilogram, gatherers in Humla received just US$0.36 per kilogram.
+The processing plant produces essential oil through steam distillation. About 150-180 kilograms of dried jatamansi rhizomes can be processed per batch, which yields 1.33-1.60 kilograms of oil. Annual production is expected to be 150 kilograms of jatamansi oil, which should expand to 250 kilograms. At full capacity, the facility will serve 225 gatherers, who each sell an average of 150 kilograms of dried jatamansi per year. The main market is Indian manufacturers, but European and North American cosmetics firms are potential purchasers. The processing plant sells mare (the residue after producing the essential oil) to domestic artisanal producers of incense. The company plans to diversify its operations by processing other NTFPs in the future.
+"While you in the West are interested in conserving natural resources, our daily lives depend on it," said Tsewang Lama, Director of the HCDA, which is gradually taking over ownership and management of the processing plant. I HCDA is encouraging sustainable resource use by training gatherers to cut only part of the rhizome. Jatamansi is already overharvested in parts of Nepal, but is still abundant in the remote project area. At present, Jatamansi is not cultivated on farmland and its requirements for cultivation are not known.
+To expand processing to benefit NTFP collectors in more locations, ATI leveraged additional funding from the Biodiversity Conservation Network, which has also designed a monitoring system to track the resource and environmental impacts. ANSAB established a company, Western Jaributi Services (WJS), to assist the various NTFP enterprises. WJS will receive a royalty on gross sales, which will be used for further expansion and to recover its costs of product identification, business plan, preparation, technical and managerial assistance, quality control, marketing and resource monitoring.
+Other NTFP Activities
+AT/lndia (a local affiliate of ATI) and Economic Development Associates (EDA), a consulting firm, are helping to establish a company that buys raw honey produced in natural forests for processing and marketing. The honey can be marketed as an organic product because it is made by an indigenous bee species from the nectar of wild plants, rather than by a commonly introduced species in fruit orchards where pesticides are used.
+The processing company promotes improved practices to maintain bee colonies (better hives, division of large colonies, pest and disease control, and supplementary feeding) and more efficient extraction of honey (through a centrifugal extractor that can be shared by ten families). As a result of project technical assistance, annual production of honey per hive is expected to increase from 1-3 kilograms to 5-8 kilograms. A part-time family enterprise could easily produce 75 kilograms per year.
+The first honey processing plant will initially be owned and operated by AT/lndia and later divested to local beekeeper committees who purchase shares of the company. Technical assistance costs will eventually be recovered through a royalty on gross sales.
+AT/lndia and EDA are also promoting production of tasar silk. Tasar silk is a stronger fabric than regular silk and commands a higher price in India. It is produced by a different type of silkworm (Antheraea proylei) that eats leaves of several oak species instead of mulberry. Harvesting the leaves from communal forests is a sustainable use that encourages maintenance of the tree cover.
+The main constraint is the availability of good quality tasar silkworm eggs. This constraint will be overcome by establishing decentralized "grainage units," which produce disease-free eggs. Each grainage unit will be owned by a local cooperative and can serve 600 growers. For each grainage unit, 150 home-based microenterprises will be established to reel cocoons, which will be purchased from the growers by the grainage enterprise, using a wet process. The reeled silk will be marketed domestically to weavers under a common brand name.
+ATI provided technical assistance to an Ecuadorian enterprise processing for wild mushrooms export. They are produced by a mycorrhizal fungus (Suillus luteus), which lives symbiotically on roots of an introduced species of pine (Pinus radiata). These mushrooms can generate more income than the trees, greatly increasing the returns to reforestation. About 200 local households currently collect this mushroom, which is produced 8-9 months a year in the area.
+ATI began its work in rattan in the Philippines with a subsector analysis of this industry. Small-scale producers are heavily involved in rattan harvesting, preprocessing and processing. Rattan is a high-valued raw material for the furniture and handicraft industries. The industry generated US$275 million in annual export sales for the Philippines in 1992, but exports fell 16% since 1989 due to declining raw material supplies.
+Improvements in rattan harvesting technology can reduce waste from large cane breakage by half and allow resprouting of multistemmed small cane species. Better drying technology and chemical treatment can improve the quality and selling price of the canes. More effective monitoring and enforcement of government requirements for enrichment planting of rattan in natural forest concessions are also needed, and improved nursery techniques can increase the survival and growth of rattan seedlings.
+ATI/Philippines is providing technical assistance to local NGOs working with rattan producers and processors. It convened a national conference to disseminate the findings of the subsector study and prepared a comprehensive program for expansion of the industry. The programme includes cost recovery for local NGOs assisting microenterprises and leveraging of enterprise finance from commercial banks and government development banks. ATI is also developing rattan activities in Indonesia.
+Conclusions
+NTFPs merit increased development assistance because they can benefit lowincome producers while providing an incentive to preserve natural forests. ATI's value chain approach examines a range of potential interventions in collection, preprocessing and marketing, processing, and resource regeneration. ATI then implements the most promising options with local partners.
+In ATI's experience, organizing producers to process and market NTFPs (especially for export) is often more of a challenge than technology dissemination. More research is needed on optimal harvesting rates and methods, but simple, improved technologies for processing NTFPs are often available.
+NTFP enterprises can be owned or managed by producer groups or linked to larger firms, and technical assistance can be structured to recover costs and prevent continuing dependency. These enterprises will only continue to benefit small-scale producers over the long term if they are commercially viable. Operating cost subsidies should be avoided because they only benefit a small proportion of potential beneficiaries.
+To ensure resource sustainability, an ongoing system should be instituted to monitor the resource base and promote regeneration. More collaborations between the private sector and development assistance and conservation organizations can be beneficial.
+Notes
+1. Some other ATI post-UNCED programs are assisting coffee producers and processors (reducing pesticide use and converting processing waste into fertilizer) and improving dairy feeding systems (increasing productivity while reducing methane emissions associated with global warming).
+2. The BCN is a joint venture by World Wide Fund for Nature (known in the US as World Wildlife Fund), The Nature Conservancy, and World Resources Institute, with funding from USAID.
+This paper is a condensed version of the author's Assisting Small-Scale Producers of Nontimber Forest Products Through a Subsector Approach. The author would like to acknowledge the helpful comments of Ann Koontz and Leyla Alyanak and the extensive suggestions of Susan Drake Swift.
+<section>ICLEI responds to UNCED</section>
+by Judy Walker
+The International Council for Local Environmental Initiatives (ICLEI) is the international environmental agency for local governments. It was established in 1990 at the World Congress of Local Governments for a Sustainable Future. The congress was held at the United Nations in New York in response to the needs of local authorities-cities, towns and counties-that are taking on increasing responsibility as managers of both the local and global environment. Presently, ICLEI has more than 190 members, including 174 local governments from 46 countries, and represents more than 174 million people. ICLEI and its membership are currently acting in response to several of the objectives established for the world community at the United Nations Conference on Environment and Development (UNCED) held in Rio de Janeiro in 1992.
+Local authorities and their communities share global concerns related to water, air, natural resources, biological and cultural diversity, and economics. And it is local authorities who are charged with maintaining the basic functioning of human settlements. In most countries of the world, local authorities are responsible in whole or in part for tax collection, solid waste management, water supply, sewerage services, road maintenance, land-use planning, development control, disaster mitigation, health services, regulation of markets, fire and police services, parks maintenance, inspection and licensing to maintain compliance with national standards, and education. In countries with strong local government systems, additional functions can also be found under local administrative control, such as housing provision, public transit management, environmental management and impact assessment, and energy supply. The role of local government in environmental protection is
+increasing on a worldwide basis. As national governments reduce their budgets and as environmental pressures increase, the demands on municipalities grow.
+ICLEI directly supports the management capacity of its member cities through training. research. technical assistance, and information resources and exchange. And through its project activities, ICLEI brings together municipalities that have specific expertise to develop methods and approaches for addressing regional or global environmental problems at the local level.
+ICLEI supports its members by:
+- serving as an international clearinghouse on sustainable development and environmental protection policies, programmes, and techniques being implemented at the local level;
+- initiating joint projects or campaigns among groups of local governments to research and develop new approaches to pressing environmental and development problems;
+- organizing training programmes and publishing reports and technical manuals on state-of-the-art environmental management practices;
+- serving as an advocate for local government before national and international governments, agencies and organizations to increase their understanding and support of local environmental protection and sustainable development activities; and
+- assisting local authorities to develop new products and service concepts to meet their needs by engaging partnerships with private sector firms.
+UN Conference on Environment and Development
+At UNCED, ICLEI, along with local authorities and other local authority associations, played an active role in raising the profile of local governments as managers of the local and global environment. Chapter 28 of Agenda 21, which resulted from these efforts, calls upon local authorities around the world to undertake a consultative process with their communities to establish their own local Agenda 21 s by 1996. This Local Agenda 21 mandate, introduced and championed by ICLEI in the Earth Summit's preparatory process, was taken up by more than 1200 local authorities around the world. Two of ICLEI'S major ongoing programs were undertaken in direct response to the challenges raised at UNCED-specifically in response to Agenda 21 and the Framework Convention on Climate Change.
+Local Agenda 21
+During the Earth Summit, lCLEl's Local Agenda 21 proposal was endorsed. The initiative was created to assist municipalities in their implementation of Agenda 21 by establishing ongoing, local sustainable development planning processes. This initiative is organized into two separate projects.
+Local Agenda 21 Model Communities Program is a research and development collaboration to develop tools and models for sustainable development planning that can be used by local authorities around the world. ICLEI is working intensively over a three-year period with a group of 14 municipalities from all regions of the world. The program provides technical support for local planning efforts and facilitates the evaluation of different approaches, methods and tools by the participating municipal staff.
+Local Agenda 21 Model Communities include Buga (Colombia), Cape Town (South Africa), Durban (South Africa), Hamilton (New Zealand), Hamilton-Wentworth (Canada), Jinja (Uganda), Johannesburg (South Africa), Johnstone Shire (Australia), Lancashire County (United Kingdom), Manus Province (Papua New Guinea), Mwanza (Tanzania), Pimpri Chinchwad (India), Quito (Ecuador) and Santos (Brazil).
+In the early stages of the project, ICLEI developed and presented a general approach to local sustainable development planning called Strategic Services Planning (SSP). The SSP approach was then presented to prospective participants through a series of regional workshops. During the workshops, participants reviewed and revised the planning elements in order to adapt the SSP to their own unique needs. They exchanged planning ideas and experiences and began to prepare work plans for their Local Agenda 21 efforts. Regional workshops were held in Buga (Colombia) in August 1994, Hat Yai (Thailand) in September 1994, and Johannesburg in April 1995.
+In addition to the development of locally suitable planning frameworks for the participating model communities, the program will complete a set of general guidelines for local sustainable development planning and a series of papers on specific planning methods and tools.
+Local Agenda 21 Communities Network is a larger network of local governments, as well as associations of local governments, that are implementing Local Agenda 21 processes consistent with certain basic criteria for sustainable development planning. ICLEI is working with this expanding network to help participants exchange experiences and address specific planning issues with technical support on a case-by-case basis. At a series of seminars in Latin America, Asia and Africa, participants from 28 countries were introduced to case studies on local and national Agenda 21 campaigns.
+As part of this network, the ICLEI European Secretariat has joined with the major European networks of local authorities, including the Council of European Municipalities and Regions (CEMR), Eurocities, and the United Towns Organization, to establish the European Sustainable Cities and Towns Campaign. More than 600 delegates, representing more than 200 local authorities from 34 European countries, participated in the European Conference on Sustainable Cities and Towns in May 1994. As a result, 300 representatives adopted the Aalborg Charter, in which 80 European communities committed themselves to establish Local Agenda 21 processes and long-term local environmental action plans. As part of its support for the participants in the campaign, ICLEI published the European Local Agenda 21 Guide in March 1995.
+The Japan Office of ICLI's Asia Pacific Secretariat is playing a key role in the promotion of Local Agenda 21 in Japan. In early 1995, ICLEI representatives actively participated in a national government panel mandated to develop a national policy on local agendas among Japanese municipalities. ICLEI has also supported or provided input to the establishment of national campaigns in Australia, New Zealand, the Netherlands and the United Kingdom.
+ICLEI publishes the Local Agenda 21 Network News twice a year to keep all participants updated on local activities taking place within this community. ICLEI members also have the opportunity to interact through a conference on the Association of Progressive Communications (APC) networks.
+Cities For Climate Protection Campaign
+In January 1993, ICLEI joined with UNEP to host the first Municipal Leaders' Summit on Climate Change and the Urban Environment, which was held at the United Nations in New York. At this event, and with the support of participating municipalities and some European cities, ICLEI launched its worldwide Cities for Climate Change Campaign to help implement the Framework Convention on Climate Change established at UNCED.
+The campaign's original target was to engage 100 municipalities in it by 1995. By July 1995, 113 municipalities had joined the campaign, with the majority located in Europe and North America. These two continents account for about 600 megatons (MT) of CO[2] emissions annually-or 10% of the world's total emissions.
+Membership in the campaign begins once a local council has adopted a resolution based on ICLI's Municipal Leaders' Declaration on Climate Change. Members pledge to develop:
+- a local action plan that spells out a greenhouse gas reduction target and policies to achieve the target;
+- measures to reduce greenhouse gas emissions associated with their own operations, such as municipally-owned buildings and/or vehicle fleets; and
+- a public education and awareness initiative.
+In addition to the above commitments, one-third of the participating cities have adopted the Toronto Target, which is a pledge to reduce local CO2 emissions by 20% or more by the year 2005 or 2010. This group is investing more than US$100 million to achieve its goals.
+North America
+Canada has a very active campaign, with 33 municipalities committed. To encourage even stronger support, the Federation of Canadian Municipalities, ICLI's campaign partner, recently established the 20% Club for those municipalities that commit themselves to cut back emissions by 20% of 1990 levels. The eight largest cities in Canada are currently members. ICLEI has also been working with the city of Ottawa to develop a software tool to help Canadian cities to quantify their greenhouse gas emissions and identify the measures they need to apply to meet their emission reduction targets.
+The United States campaign was introduced in November 1994 at the annual conference of the National League of Cities. Eight months later, the local councils of 15 cities had agreed to the campaign commitments.
+Europe
+The ICLEI European Secretariat has been very successful in recruiting members for the campaign in Europe-by July 1995, 61 municipalities had joined it. The secretariat, in conjunction with the ICLEI International Training Centre, has been active in providing workshops and seminars for participants.
+The city of Heidelberg, in collaboration with ICLEI and the Organization for Economic Cooperation and Development (OECD), sponsored a conference in September 1994 on How to Combat Global Warming at the Local Level. The meeting served as a platform for the presentation of results of the OECD's Urban Energy Management Programme. A handbook of good local energy practices will be published as a result.
+In March 1995, ICLEI held a one-day training workshop in Berlin for European campaign members on Introduction to Local Action Plans. The meeting focused on methodologies, strategies and financing options. It also provided European campaign members with an opportunity to exchange experiences and discuss obstacles that they have encountered.
+After the workshop, the members stayed on for the Second Municipal Leaders' Summit on Climate Change, also organized by ICLI's European Secretariat. ICLEI scheduled the second summit to coincide with the first meeting of the Conference of the Parties (COP) of the UN Framework Convention on Climate Change (FCCC). This allowed municipal leaders the opportunity to present a communique to the COP.
+The communique recommended that the COP create a local authority subsidiary body to support local authority efforts to help FCCC signatories comply with the treaty. The communique was supported by 150 local authorities and municipal organizations from more than 50 countries, which represented more than 250 million people worldwide.
+Asia Pacific
+The Japan Office of the ICLEI Asia Pacific Secretariat has been building support for local government action on climate change in Asia. With help from the Office of the Senate of the Philippines, ICLEI convened a meeting in Manila in February 1995 to explore the establishment of the Cities for Climate Protection Campaign in the Asia Pacific region.
+In October 1995, the Asia Pacific Campaign was launched during the Third Local Government Leaders' Summit on Climate Change, which was sponsored by ICLEI and hosted by Saitama Prefecture (Japan). More than 230 local government leaders from 52 countries participated in the summit.
+Cities for Climate Protection on the Internet
+In June 1995, ICLEI launched the new Cities for Climate Protection Campaign site on the World Wide Web. The site contains information on climate change, examples of what municipalities are doing to combat global warming, and excerpts from ICLI's policy and practice manuals. The site is designed to provide an international electronic forum for municipal leaders and the general public and up-to-date information on climate change.
+Advocacy
+In addition to its project activity, ICLEI has continued to play a role at the UN Commission on Sustainable Development (CSD), which resulted from UNCED. ICLEI was appointed by the Group of Four major associations of local governments to serve as their technical representative at the CSD. ICLEI prepared an extensive white paper for the Group of Four which was submitted to the Second Session of the CSD in 1994. The paper focuses on the human settlements chapter of Agenda 21. In addition to presenting this paper, ICLEI successfully achieved national government sponsorship of a mandate for the CSD to prepare a special report on local governments and the implementation of Agenda 21.
+Based on the achievements of the second session, the CSD secretariat entered into a contract with ICLEI to prepare the first special report of a Major Group to the CSD at its third session in 1995. ICLEI, working with the secretariat, prepared a series of case studies on Local Agenda 21 activities (distributed to all national delegations), organized a special panel of local government leaders at the CSD meeting, and held an exhibit about Local Agenda 21. As a result, the CSD held a special Local Authorities Day at its third session, which highlighted the direct action of local governments in response to global environmental concerns.
+Results
+ICLEI and its members of local authorities from large and small communities around the globe are rising to the challenges identified in Rio and achieving concrete results. The challenge before the council now is to emphasize commitments to measurable targets and better evaluate performance toward those targets. We must be able to both identify our progress and isolate our most persistent challenges.
+In doing so, we should expect that, in combination, the independent actions of local governments and their communities that are responding to the objectives identified at UNCED will produce a ripple effect of responsible social and environmental behaviour that will ultimately encompass the globe.
+ICLEI's Offices
+- World Secretariat: Toronto (Canada)
+- European Secretariat: Freiburg (Germany)
+- International Training Centre: Freiburg
+- Asia Pacific Japan Office: Tokyo
+- Office of the Africa Regional Coordinator: Harare (Zimbabwe)
+- Office of the Latin America Regional Coordinator: Quito (Ecuador)
+- Cities for Climate Protection US Office: Berkeley (United States)
+Notes
+1. The address of the site is http://www.iclei.org/co2
+2. These associations are the International Union of Local Authorities, the United Towns Organization, the World Association of Major Metropolises, and the Summit Meeting of the World's Major Cities.
+<section>Less is more: Synthetic chemical hazards and the right to know</section>
+by Barbara Rutherford
+As the UNCED agenda developed and the "environmentally safe and sound management of toxic chemicals" became a chapter in its own right, several very important global initiatives on synthetic chemical risk reduction were spawned. As a result of the Earth Summit and its preparations, there has been concrete movement towards the elusive goal of "sustainable industrial development." However, we have so much further to go, particularly if we are to achieve the ambitious goals contained in Agenda 21.
+Top on the list of crucial events since 1992 are the establishment of the Intergovernmental Forum on Chemical Safety (IFCS) and the development by the Organisation for Economic Co-operation and Development (OECD), in conjunction with UNEP, FAO, ILO, WHO and UN,IDO of guidance for governments on pollution prevention and control through the tool internationally called "Pollutant Release and Transfer Registers." In these two initiatives we find adherence to the true spirit of partnership of Agenda 21.
+The World Wide Fund for Nature (WWF) has been involved in these initiatives since their inception, and in the case of the IFCS, involvement predates UNCED itself WWF commends the work undertaken to create these two initiatives and considers their establishment and implementation among the best examples of concrete action after UNCED. Moreover, the participatory nature of these intergovernmental fore, and the key role played by non-governmental organizations (NGOs) in them, marks the beginning of a new era in international policy making.
+What is lacking, however, are resources for implementation at the national level. Also, the continued reluctance to move beyond traditional risk assessment and harmonization and classification of chemicals prevents many actors from using more innovative approaches that involve the most affected stakeholders and communities. Now more than ever we can appreciate the value of pollution prevention based upon the precautionary principle. If the horrific chemical disasters of the 1970s and 1980s were not enough to incite action to reduce risk, a scientific book called Our Stolen Future,' suggests that we are threatening our fertility, intelligence and survival, as well as the fertility and survival of wildlife, by our indiscriminate use of synthetic chemicals. We must reduce our use of toxics in production and products now.
+The "New" Synthetic Chemical Threat: Endocrine Disruptors
+Wildlife-and humans-are exposed daily to synthetic chemical compounds, which disrupt development of the reproductive, immune, nervous and endocrine systems by mimicking hormones, blocking their action, or interfering with the endocrine system in other ways. Hormones play a key role in human development, and notably in sexual differentiation.
+The main message for those working in the field of toxic threats to biodiversity is this: it is no longer sufficient to approach population and species revitalization passively by providing appropriate habitats and expecting threatened populations to recover. Contamination of habitat may not be visible and may not cause immediate death. Instead, contaminants may cause population-threatening changes in the way an organism functions. For example, endocrine disruption may endanger populations whose immune systems are malfunctioning and who cannot recover from infections. Or, their ability to obtain sufficient food or avoid predators could be affected. There is also evidence that endocrine disrupters cause the loss of parenting instinct in some bird species because of neurotoxicological effects. Abnormal sexual development of anatomy or behaviour because of endocrine disruption means populations may not be able to reproduce in sufficient numbers.
+Long-lived species are particularly at risk, even though they may not show overt signs of reproductive impairment. Populations of many long-lived species are declining, some to the verge of extinction, without being noticed. Human beings may be affected by compounds of this nature too.
+This is not surprising, given that we are at the top of the food chain. Evidence of lowered sperm counts and significant increases in testicular and breast cancer, as well as cases of undescended testes, is heightening this concern.
+One of the great difficulties in identifying how chemicals affect wildlife and humans is recognizing that the pattern of effects varies among species and among compounds. Three general conclusions can be drawn about the substances called "endocrine disruptors." First and most important, even one, very low dose of an endocrine disruptor at a crucial stage in the development of an embryo is sufficient to cause irreversible damage. Second, the gap between exposure and effect may be as long as a generation or two, since the damage caused more likely will turn up in the offspring of the exposed organisms. This is because the embryo is the most sensitive life stage for the hazards posed by these chemicals. Third, endocrine disruptor chemicals, like other synthetic chemicals, can have cumulative effects.
+Policy Development and Implementation
+Designing policy responses is difficult given the wide range of potential and serious effects, implicated substances, and long lag between cause and effect. Policy implementation, as reflected in Chapter 19 of Agenda 21, needs to cover many different actors in civil society, as well as in government. Although there are many appropriate responses, including further research and more stringent regulations, the fundamental response must be to reduce synthetic chemical use. As recognized in Chapter 19, the classic example of risk reduction is to cut back use through substitution of harmless alternatives and alternative methodologies.
+As a necessary first step, it is imperative that we gather more relevant data to inform policy decisions on harmful synthetic chemicals released into the environment and allow each affected group and member in society to participate in environmentally safe and sound chemicals management. Contaminants are carried as particulates or gases in the air, surface waters, groundwaters and ocean currents across or between continents, and by animals that travel long distances from the site of contamination. Therefore the contaminant can enter the food chain in areas remote from their site of release. Accordingly, data on synthetic chemical use and production collected must be comparable internationally, and policy solutions must also be international.
+Chapter 19 of Agenda 21 calls for the development of guidance for governments on collecting such information by using chemical inventories. Taking up this challenge, the OECD hosted five workshops with the UN International Programme on Chemical Safety (IPCS) on pollutant release and transfers (PRTRs). PRTRs are a system of tracking chemical use, transfer and release, which record chemical-specific and standardized data on emissions of toxic substances to air, water and land (including off-site disposal) from polluting industrial facilities-private, municipal, or state-and chemicals contained in products.
+Experiences with publicly-accessible PRTRs have shown them to be powerful tools leading to reductions in the use and release of toxics and the adoption of less-polluting materials and technologies, or so called cleaner production. Many businesses (and governments) do not know which chemicals they use, and what amounts they release into the environment, at different stages in their life cycle (from extraction or manufacture to use and disposal). Public inventories in an increasing number of countries are beginning to stimulate reduction of pollution at source by providing information to anyone who needs it: the company president, a community leader, an investor, a purchasing agent or vendor, a scientist or a government official.. The data provided by these multimedia inventories helps to broaden the groups of people involved in choosing the materials we use, and to what extent businesses are moving toward processes and products that avoid puking toxic chemicals into the
+environment in the first place.
+WWF assisted in the design of the OECD PRTR workshops series and participated actively in each of the workshops. These international workshops, held in 1994 and 1995, offered NGOs an unusual opportunity to spur adoption of the right to know about the use and release of toxic chemicals around the world and participate as equal partners in the design of international policy. The OECD has published the final PRTR guidance document and has held regional implementation workshops in the Czech Republic and Australia. In addition, the UN Institute for Training and Research is working with the Czech Republic, Mexico and Egypt to develop proposals for national PRTRs.
+The Precautionary Principle
+However, apart from improving information, the actual and potential impacts of some synthetic chemicals, including the "endocrine disruptors," are so serious that action is justifiable to eliminate and reduce their use and production. Based upon the "precautionary principle" set out in the Rio Declaration, Principle 15, we must act now to halt further contamination of the environment, ecosystems, wildlife and humans by endocrine disruptors and other toxic chemicals.
+In 1987, the North Sea ministers agreed to reduce at source "polluting emission of substances that are persistent, toxic and liable to bioaccumulatc...especially when there is reason to assume that certain damage or harmful effects on the living resources of the sea are likely to be caused by such substances, even when there is no scientific evidence to prove a causal link between emission and effects." In 1990 this approach was extended beyond the sea to the environment at large at the Bergen conference. There ministers declared that, "Environmental measures must anticipate, prevent, and attack the causes of environmental degradation. Where there are threats of serious or irreversible environmental damage, lack of scientific certainty should not be used as a reason for postponing measures to prevent environmental degradation."
+Growing International Consensus
+Regional seas agreements have been in the forefront of international commitment to reducing toxics. For example, at the second North Sea Conference, held in London in 1987, signatory countries agreed, among other things, to reduce North Sea inputs of substances that are persistent, toxic and liable to bioaccumulate. This was recognized as a small but important first step. At the third ministerial conference in The Hague in March 1990, ministers agreed to "phase out those pesticides which are the most persistent, toxic and liable to bioaccumulate." At the Fourth International Conference on the Protection of the North Sea in 1995, Annex 11 to the Ministerial Declaration contained a definition of hazardous substances, which include substances that have adverse effects on the function of the endocrine system.
+International Action on Persistent Organic Pollutants (POPs)
+Chapter 17 of Agenda 21 on protection of the oceans specifically calls for states to eliminate and reduce emissions or discharge of organohalogens and other synthetic organic compounds that could accumulate to "dangerous levels" in the marine environment. I his call to action has led 109 countries to adopt a Global Programme of Action for the Protection of the Marine Environment, which includes a commitment to develop a global, legally binding instrument to reduce and/or eliminate emissions, discharges, and the manufacture, use and illegal traffic of selected persistent organic pollutants. There is also a parallel regional process under the auspices of the ECE 1979 Convention on Long-Range Transboundary Air Pollution to negotiate a protocol on the elimination and restriction of certain persistent organic pollutants (POPs). The IFCS has also established an ad hoc working group to oversee the work on POPs, which recommended that the UNEP Governing Council convene an
+intergovernmental negotiating committee to phase out and eliminate POPs. The governing council has followed this recommendation, and negotiations are to take place in early 1998 and conclude by the year 2000.
+Another key objective identified in Chapter 19 is the full participation and implementation of the Prior Informed Consent (PIC) procedure on chemicals in international trade. The Intergovernmental Forum on Chemical Safety has also overseen and provided advice to the implementation process, which now includes negotiation for a legally binding instrument.
+Prevention and Reduction At Source
+The need to phase out the use and production of certain toxic chemicals is urgent and well-founded given growing international consensus. Yet progress remains slow on the implementation of these international commitments.
+There are several international fore and institutions that support the use of clean production to eliminate problems from pollution. Increasingly, this concept is framed to include clean agricultural production, which ultimately means no synthetic inputs. As a long-term sustainability goal this is laudable, but in the short and medium term WWF advocates national commitment to pesticide reduction programmes, which will reduce the use of, and reliance on, synthetic chemical pesticides.
+Registration and Re-registration at the National Level
+In addressing the risks posed by chemicals in the environment, in the past scientists and policy makers focused on a few hundred chemicals and proceeded on a chemical-by-chemical basis. They were guided in large part by concerns over acute toxicity, carcinogenicity, environmental persistence and tendency to bioaccumulate. As a practical matter, a chemical-by-chemical approach is inadequate to effectively or efficiently determine the safety of the roughly 100,000 chemicals already in use and the 200-300 new products entering the market each year. Moreover, this initial focus on acute toxicity, careinogenicity, environmental persistence and bioaccumulation has missed the endocrine disruption problem.
+All chemicals licensed for environmental release should be tested for a minimum of two generations for a wide variety of effects, including reproductive, immunological, endocrinological and neurological endpoints.
+Chemicals should be assumed guilty of endocrine disruption until proven innocent.
+WWF is advocating for the IFCS to take a lead role in designing appropriate policy solutions to the problems posed by endocrine disruption, which it has in part agreed to assume. As the international coordination body responsible for the environmentally safe and sound management of toxic chemicals, it should be providing leadership and guidance for important emerging issues.
+Conclusions
+The creation of the IFCS has led to better coordination among the international agencies that develop and implement policy on the use and impacts of toxics as part of their mandate. In addition, it has created a platform where governments, international agencies and NGOs-as partners-can address the workplan set out in Chapter 19, share successes and failures, and promote innovative policy responses, such as the PRTR toxics tracking tool, coordinate research on endocrine disruption, and systematic programmes to reduce pesticides. Since the IFCS now functions as a coordination mechanism, it has guided the process to recommend international action to reduce and eliminate certain persistent organic pollutants, including international legal action.
+The IFCS should also be taking the lead on emerging issues, such as endocrine disruption, to collect the best scientific knowledge and make recommendations on how to act prudently to avoid irreversible harm.
+International aid agencies should begin to fund the implementation of these innovative policy tools, and coordination of the other work on toxics done under Chapters 14, 18 and 20 should become a priority so that available resources are used as efficiently as possible. Finally, the special role of NGOs in tracking and promoting innovative pollution prevention initiatives should be financially and otherwise supported.
+Notes
+1. Our Stolen Future is co-authored by WWF-US Senior Programme Scientist Dr. Theo Colborn, Dianne Dumanoski and Dr. John Peterson Myers.
+<section>Greening the consumer</section>
+by Kevin Cook
+As the largest-ever gathering of government leaders and non-governmental organizations (NGOs), the United Nations Conference on Environment and Development (UNCED) focused world attention on environmental problems as never before.
+UNCED's vision of sustainable development, elaborated in Agenda 21, is centred on three fundamental challenges to be tackled on a global scale:
+- current patterns of consumption and production must be changed in a sustainable direction;
+- population growth must be reduced by measures that also lessen poverty; and
+- we must achieve a fair global distribution of available resources.
+Although population growth has overshadowed human consumption as a priority of previous environmental conferences and negotiations, UNCED correctly regarded both issues as two sides of the same coin. It stressed that human consumption puts the most pressure on our environment, with population acting as its multiplier. Whereas, on a national level, the environmental impact of population tends to be more apparent than that of consumption, the reverse is true on a global scale.
+As stated in Agenda 21, "The major cause of the continued deterioration of the global environment is the unsustainable pattern of consumption and production, particularly in industrialized countries." Agenda 21 also stresses that, "Measures to be undertaken at the international level for the protection and enhancement of the environment must take fully into account the current imbalances in global patterns of consumption and production."
+UNCED concluded that it will not be possible to combine a high and growing world population with the universal adoption of environmentally destructive consumption patterns. Developing countries clearly have the burden of responsibility to reduce global population growth. But developed countries, where consumption rates are exceedingly high, "should take the lead in achieving sustainable consumption," says Agenda 21.
+The Crisis of Consumption
+Since 1950, the peoples of the world have consumed as many goods and services as all previous generations combined. Today, the richest one-fifth of the world population-living primarily in Northern industrialized countries-account for most of the world's consumption, while the other four fifths still struggle to satisfy their basic needs.
+This so-called "North-South" consumption gap is large and unsustainable. Northern countries have absorbed close to 80% of the world's resources and currently generate more than 75% of the world's municipal and industrial wastes, while contributing to about 80% of human-made global CO2 emissions since 1950.
+Although in the past some wealthy Berthed countries have demonstrated a reluctance to change their unsustainable consumption patterns-or even to acknowledge that they are a problem-UNCED achieved a broad global consensus that all governments, as well as NGOs, must cooperate in this critical process of change. Encouraging advancements are being made, but they are still far too few and fall well short of the magnitude of efforts needed.
+Sustainable consumption requires a "critical mass" of people willing to ask themselves, "How much is enough?" It means finding ways to maintain and improve consumers' quality of life, while at the same time consuming less of the earth's resources and generating far less waste and pollution in the process. It essentially embodies the definition of sustainable development by the World Commission on Environment and Development (WCED): "Meeting the needs of the present without compromising the ability of future generations to meet their own needs."
+How this monumental global task can eventually be accomplished, and how it will affect the living standards of the world's affluent consumers, is still unknown. For the international NGO community-and particularly the world consumer movement-it requires a wide range of participatory
+actions at various levels, in both industrialized and developing countries, to roll back consumption rates and to help achieve new and sustainable development paths.
+Challenges and Dilemmas
+Few NGOs have been more strongly affected and challenged by UNCED than consumer organizations. UNCED's forceful call for global sustainable consumption has, in a sense, brought hundreds of consumer organizations around the world to an uncertain crossroads in their work. In the North, a growing number of large consumer groups are learning to "think globally while acting locally." They know that they cannot only test and report on luxury goods like cars, washing machines and cameras, but they must also be prepared to inform, educate, motivate and organize people to adopt more sustainable consumption patterns and lifestyles-even if it earns them the contempt and lost support of many consumers.
+In the South, a diversity of smaller grassroots organizations has added a number of critical environmental concerns to agendas that have traditionally focused on people's basic needs for essential goods and services, such as food, clothing, shelter, health care, education and sanitation.
+Although consumer organizations are concerned about the environment, they are not environmental groups. Nevertheless, they must be prepared to confront the conflicting demands of environmentalism and consumerism when necessary. And as consumer organizations increase their involvement in environmental issues, many are forming closer alliances with environmental and development groups who, in a similar manner, are stepping up their involvement in consumer issues.
+Consumer organizations understand that the transition to an environmentally sustainable global society can only succeed with the willing participation of individual consumers. This requires nothing less than a dramatic shift in the social and cultural traditions and values that drive unsustainable consumption.
+A key step in working towards sustainable consumption lies in seeking innovative definitions of consumers' needs-a direct challenge to today's producer-driven "consumer culture," which stimulates wasteful consumption by promoting an imbalance between people's wants and needs.
+But sustainable consumption cannot be understood or dealt with in isolation. Rather, it is part of a continuum linking a complex sequence of events: from the extraction of raw materials' pre-processing, manufacture and life cycles of products, to factors influencing their purchase, use and disposal. This continuum is in turn linked to a multitude of impacts on the environment at all stages.
+For consumer organizations, it is often difficult to reach a balanced or definitive conclusion about the impact of certain products on different physical environments. One example is the detailed research on disposable versus washable diapers, which was carried out recently by consumer organizations in the Netherlands and the United States. Although the Dutch group concluded washable diapers are clearly preferable in the context of the Netherlands (with its severe constraints on landfill sites), the US organization found it impossible to recommend one type of diaper over the other.
+Consumer organizations face other problems related to the most obvious measure for reducing environmental damage and wasteful consumption-making some goods more expensive (for example, conserving energy by letting fuel prices rise). To support higher prices for some products, especially basic goods that are needed by the poor, presents an obvious dilemma for consumer organizations. A great many of them have built their reputations on advising people about "best product buys" (involving, at least indirectly, the promotion of consumption). Consumer organizations could suffer an identity crisis if they suddenly started telling consumers that certain products should cost more-and that many others are not even needed and probably should not be purchased.
+Actions on the Environment
+Despite such predicaments, the world consumer movement still has an undeniable responsibility to promote sustainable consumption choices: "empowering" consumers to buy, use and dispose of products (or better yet to reduce, reuse and recycle them) in ways that cause as little environmental damage as possible. Contrary to popular thinking, these choices are not restricted to consumers in rich countries. The widening gap between rich and poor-a determining factor in consumption rates-does not adhere to North-South boundaries but is present to varying degrees in all countries.
+For example, the emerging middle class in India today outnumbers the total population of the largest countries within the European Union. The consumption patterns of this growing middle class-and those of relatively affluent consumers in many other developing nations-are modeled after those of Northern consumers, thanks largely to the globalization of trade and markets, increased foreign investments and pervasive advertising by multinational corporations. Yet the continuation of this trend on an everincreasing scale could one day lead to global ecological collapse.
+Widespread poverty among consumers in the South poses another severe and imminent threat to the global environment, as millions of people there are literally "consuming their ecosystem" simply to survive. Economic development is essential if Southern consumers are to attain sustainable consumption levels and higher standards of living. At the same time, it is imperative that countries of the South not repeat the environmentally devastating errors of industrialized countries in the North.
+The 'right to a healthy and sustainable environment"-to live and work in an environment that is non-threatening to the well-being of present and future generations-is included in a charter of eight "consumer rights," which are advocated and defended by consumer organizations around the world. But all consumers also have five key responsibilities that form a counterbalance to their rights and are therefore equally emphasized by the consumer movement. They include environmental awareness-the responsibility to realize the environmental costs and consequences of our consumption patterns and lifestyles; and social concern-the responsibility to consider the impact of our consumption patterns and lifestyles on other citizens, especially the poor, disadvantaged and powerless.
+These and responsibilities were underscored by a global conference on sustainable consumption, held in The Hague, Netherlands in May 1993. The conference was jointly sponsored by the Dutch consumer organization Consumentenbond and Consumers International, which is a federation of more than '0() consumer organizations in over 80 countries. Consumer leaders from 4() countries examined key issues and challenges of sustainable consumption, which were also elaborated in a major policy document, Beyond the Year 2000: The Transition to Sustainable Consumption, for the world consumer movement.
+The crucial importance of sustainable consumption was reaffirmed by the 14th World Congress of Consumers International, held in Montpellier, France in September 1994. Representatives of some 250 consumer organizations in 75 countries identified sustainable consumption as one of the two most important challenges now facing their movement. One of the congress's 30 resolutions, addressing Consumers and the Environment, called on consumer groups worldwide to promote sustainable consumption and support each other in environmental testing programmes, surveys and assessments of products and services.
+At national and local levels, consumer organizations have undertaken a wide range of environmental actions that draw on their well-honed skills in independent research, advocacy, testing and publishing. A majority of these actions involve:
+- educating consumers about sustainable consumption, with a view to changing their attitudes and behaviour;
+- providing consumers with timely environmental information about popular products and services (and examining the "cradle to grave" life-cycles of the most important ones);
+- including environmental criteria in comparative product tests and surveys;
+- monitoring and exposing misleading "green claims" by product manufacturers and advertisers, and helping governments draw up codes of practice, laws and regulations that outlaw them;
+- researching "eco-labelling" schemes (now introduced in over 30 countries, including several in the South) to help consumers identify "green" products;
+- urging the highest standards of environmental performance for products, whether domestically consumed or exported;
+- negotiating with governments, manufacturers and other concerned parties to ensure that consumer products and services are environmentally sound;
+- conducting boycotts and educational campaigns in response to specific environmental problems linked to industries, businesses, government policies and consumers;
+- advocating the environmental interests of consumers at relevant national, regional and international fore;
+- advocating appropriate economic measures (for example, tax incentives, implementation of the "polluter pays" principle, and deposit refund schemes for bottles) that support the environmental interests of consumers; and
+- networking and cooperating with other NGOs on environmental and consumer issues of shared concern and interest.
+Advocating Environmental Concerns
+Consumers International, through its consultative status with the UN Economic and Social Council (ECOSOC) and as the only global federation of consumer organizations, has advocated environmental and consumer concerns before various UN organizations. At UNCED, Consumers International drew attention to issues of biotechnology, agriculture, pesticides and sustainable consumption. Since then the organization has participated actively in major international meetings on production and consumption-particularly those of the UN Commission on Sustainable Development.
+In July 1995, Consumers international lobbied intensely and successfully for a new ECOSOC resolution that calls for expansion of the UN's Guidelines for Consumer Protection into new areas-starting with sustainable consumption. Although not legally binding, the guidelines still form the single most important document for consumer protection around the world. In its resolution, ECOSOC noted '`the impact the guidelines have had...in promoting just, equitable and sustainable economic and social development through their implementation by governments."
+The new guidelines will probably cover areas such as environmental product testing and labelling, education programmes for sustainable consumption and international standards for environmental claims. Consumers International and cooperating NGOs expect to assist the UN in setting up some mechanisms for elaborating these new guidelines.
+These and other developments reflect an increased willingness-even enthusiasm-expressed by growing numbers of people to become environmentally responsible consumers. And thanks in large part to UNCED, the promotion of sustainable consumption is now firmly at the top of the consumer movement's agenda for the 1990s and beyond.
+<section>The ego-volunteer concept: An alternative approach to sustainable development</section>
+by Jan Karel Sorgedrager
+The 1992 United Nations Conference on Environment and Development (UNCED) in Rio recognized that environmental concerns are linked in a very fundamental sense to development, and survival of present and future generations depends on the promotion of sustainable, environmentally sound development. While conventions, policies and regulations have contributed to large advances toward a global and national commitment to safeguarding the environment, sustainability can only be ensured if the commitment is internalized by communities linked to a sustainable support network. For the United Nations Volunteers (UNV) this recognition provided an opportunity to give substance to the mandate, given to it during a 1991 UNV meeting in Kathmandu, to promote a cadre of environmental volunteers. Discussions between UNV and a number of NGOs resulted in a new grassroots programme called Eco-volunteers.
+The programme was implemented in March of 1993 and operates in nine countries. The Environment Liaison Centrc International (ELLCI), a global network of more then 900 NGOs in 107 countries, coordinated projects in Canada, Costa Rica, India, Philippines, Poland, Uganda, Uruguay, Zimbabwe and South Africa, which is still receiving active support. In most of the countries activities are continuing without financial support. In each programme country an ELCI member organization was selected on the basis of their commitment to the Eico-volunteer concept and its proven capacity to support the programme in a positive way. In close collaboration with these member organizations, a national United Nations Volunteer was then selected to identify, manage, and support the Eco-volunteers that would be involved in the project. Depending on the socio-cultural situation in the different countries, the programme works with either individual Eco-volunteers or with community based organizations
+(CBOs).
+The Eco-volunteer concept is based on the self-help principle. Whereas typical projects try to start a process of self-help in communities, the Ecovolunteer programme identifies, supports, analyzes and promotes existing initiatives developed by local men or women-Eco-volunteers-to solve the environmental problems facing their communities. The key strategy is to minimize external intervention at the local level while providing local communities with access to information and the resources they need, as well as the capacity to obtain these to support the work in which they are already engaged. In principle the resources include:
+- modest financial support for the on-going activities of an individual Eco-volunteer or a community organization;
+- provision of information about other organizations or communities working on similar issues or facing similar problems, which allows Eco-volunteers to communicate and share experiences and ideas to strengthen their own local initiatives;
+- facilitating the inclusion of these local organizations in international activities and networks related to their work;
+- developing mechanisms to ensure that local level experience in particular issues informs the development of national and global policy and programme design on these issues; and
+- collective and participatory evaluation of the Ecovolunteer concept as a methodology for addressing the challenges of sustainable development.
+Non-Dependent NGO-CBO Relations
+An important feature of this approach is the way in which it aims to develop appropriate relationships between NGOs or projects and the local communities. Many projects fail as a consequence of an uneven relation between the NGO or project and the community. This is due to the shortterm expectations of donors, which pressure NGOs to deliver concrete results as fast as possible. This prevents many NGOs and projects from establishing a sound horizontal relationship with their target groups and results in different
+expectations and conflicting priorities. It also hinders the sharing of vital information, coordination, and in the end, the achievement of self-help within the community.
+Poor relationships can also be traced back to social and cultural differences that often exist between the parties involved. The professional or volunteer aid worker who enters the community from the outside is perceived as a stranger with superior knowledge. He or she needs to invest a considerable amount of time before the community accepts him or her as a companion.
+Another effect of unequal relationships is that communities begin to view NGOs as easy access to free resources, and NGOs often have done little to change this perception. With time this has only increased the dependence of the community on the development agent, which prevents the community from gaining control over the development process-instead of being actors, they turn into spectators.
+The Eco-volunteer approach avoids the above problems by discouraging dependency-building in several ways. Financial input is minimal, and the most significant resource provided by the project is information and linkage to organizations and resources other than the NGO providing the service. This implies that once the formal project has ended, the local community organization has become part of a much broader network of people and resources. This new networking capacity requires no on-going financial input: it should be capable of generating its own resources and be truly sustainable.
+One of the major advantages of working with Eco-volunteers is that these men and women are rooted in and accepted by the community; they are the chosen leaders and thus legitimate representatives of their communities. Another advantage of local volunteers over the "traditional volunteer" is that the Eco-volunteer uses local knowledge, skills and wisdom that are in accordance with local customs and beliefs, and therefore easily accepted by the community.
+Luis Mora Cordero from Costa Rica is a good example of an Ecovolunteer. As a community leader and farmer, he developed an indigenous watershed restoration system on his own farm. The success of his experiment was soon noticed by neighbouring farmers, who asked him for help. Don Luis began advising and guiding some 17 neighbouring communities in a large-scale effort to develop and preserve their water resources and regenerate native trees and plants. Today this successful experiment is being flaunted as a model process, not just in Costa Rica, but in adjoining countries as well.
+Looking at several years of Eco-volunteer programmes in different countries reveals that the programme has undergone some considerable changes. In the original concept, on-going community activities were identified, in order to be analyzed and replicated in other countries. This concept proved limited: although most societies know some form of voluntarism, the concept of voluntarism is very heterogeneous. The social, cultural and economic background of a society determine to a large extent the interpretation of this concept and the subsequent implementation strategy for the programme. So in spite of the fact that the programme has adapted itself to the local socio-cultural and economic situation in each country, all have a number of issues in common that are considered essential to the further development of the programme. The most important of these common issues is communication and information sharing.
+Communication and Information Exchange
+One of the main means of support the programme offers the Eco-volunteers is to link them to the thematic networks in which ELCI is involved. Therefore, a major objective of the programme is to support Eco-volunteers working on these thematic issues at the local level, so that ELCI can use these experiences to make a strong input into policy making. At present many of the local community activities are relevant to one or more of ELCI's thematic areas. The programme is developing communication mechanisms for the effective exchange of information to and from the communities. In this context the member organizations and national coordinators are the brokers of information and other resources.
+For the Eco-volunteer programme, communication and exchange of information takes place at three different levels. One of the main challenges is to develop effective mechanisms to address people's information needs in a way that they can understand, while translating their experiences into a form suitable for use at other levels. Hence it is important to establish which types of information are relevant to the different levels, and how to best exchange the information.
+The first communication level is the local one, where the different groups can share experiences and discuss their activities. Effective tools for facilitating communication at this level are community exchange visits, workshops, and local and national meetings. A good example can be taken from the programme in Uganda. Of the ten Eco-volunteer communities involved in the programme, three are involved in fish-farming. One of the groups reported very disappointing results from its fish pond, while the others reported good to excellent results. The coordinator of the Ugandan programme decided to organize an exchange visit between the different groups and have them discuss their experiences. After only a short while, the combined group had identified the reasons behind the disappointing results. They discovered that the Tilapia provided by the government extension worker belonged to the wrong species. Also, the pond was operational all year round, but it had no permanent water
+source, which contributed to the failure of the initiative. Based on the exchange visit, the group decided to acquire new stock and operate the pond on a seasonal basis only. Since then results have improved dramatically.
+The second level of communication and information exchange is at the national level. Here the responsibility for managing communication lies mainly with the national United Nations Volunteer and the member organization. They are responsible for assessing the information needs of the communities, finding the information, and offering it in the appropriate format and at the appropriate times to the communities. For their part, the volunteer and member organizations are responsible for informing national policy and decision makers about the Eco-volunteer programme and advising on the impact of the programme in national policy development for sustainable resource use and environment. It is therefore a prerequisite for the member organization to have access to the various information resources in the country. This requires good knowledge of national development issues and good contacts with the various organizations involved.
+In Uruguay, India, Poland and the Philippines, on several occasions Ecovolunteers have successfully organized campaigns against activities that were either unsustainable or harmful to public health. In the Philippines a logging ban was put in place, while in Uruguay the planned construction of a hightension power line over a densely populated and poor area of Montevideo was averted. An Eco-volunteer from India managed to mobilize the community and establish a dialogue with forest officials who were denying people access to the forests with which they had been living in harmony for centuries. A successful campaign against illegal mining resulted in saving a national park from being destroyed. In Poland the promotion of sustainable transport systems led to the opening of the first bicycle path in the town of Krakow. This successful project led to the development of a national campaign on sustainable transport systems.
+The third level of communication is the international one, in which the ELCI secretariat plays a critical role in coordinating and channelling the different types of information coming from, and going to, the countries involved.
+Future Development and implications
+The Eco-volunteer programme is proving to be a significant learning process for all parties involved. There is considerable information available on the type of activities and the physical achievements of the various grassroots projects. However there is not enough qualitative information on experiences to draw conclusions and determine the possible implications these could have on policy development. It is important to realize that, besides the fact that the Eco-volunteer concept differs from country to country, each group or person has its own objectives, expectations and activities.
+The results of a participatory evaluation of the programme were available by May 1996. It shows how the programme has strengthened local leadership as well as local organizations. The results also indicate the possible impact the programme can have on the design of future community-based programmes concerning sustainable use of natural resources and the environment.
+<section>The unsaid in UNCED</section>
+by Nigel Cross and Kitty Warnock
+When a development project goes wrong, and leaves people and communities worse off (which is often), there is always someone who can point to the absurdity of the enterprise in the first place. Why did the irrigation engineers not realize that water extraction from the lake would lead to salinization and desertification? How could the aid agency have been so dumb as to send food to an area of surplus production; alternatively, how could they have been so naive as to purchase food locally, enriching an already fat merchant class? Corruption aside, someone thought they were making the right decision, based on the best available information at the time.
+"The best available information" is a euphemism for a pragmatic, technocratic bottom-line that justifies implementation of a project in the absence of more convincing data. Did Shell act on the best available information when it decided to dump the Brent Spar oil platform at sea? They claimed so, but campaigners thought otherwise. In the end, even the campaigners got it wrong and were forced to apologize. The right information is hard to come by and can be interpreted differently by different interest groups.
+Information production is no longer enough. Information needs to be debated and set in a socio-cultural context; it must be the result of a participatory process, as opposed to a window-dressing exercise in "consultation."
+The UN Conference on Environment and Development (UNCED) made a stab at linking information with participation. The Rio declaration roundly stated that, "Human beings are at the centre of concerns for sustainable development," and went on to highlight the role of information. "States," it said, "shall facilitate and encourage public awareness and participation by making information widely available." Public awareness is consistently cited throughout Agenda 21 as a necessary condition for the realization of UNCED goals-sustainable production and consumption, improving the status of women, promoting health, and reducing the impact of natural disasters.
+So far so good. The UNCED emphasis on governments' responsibility to inform citizens goes some way towards acknowledging that freedom of information is a prerequisite for public debate. But it is a partial, didactic, topdown approach that does not distinguish between public awareness and public understanding and involvement. Awareness without understanding, and a focus on problems without an informed debate on appropriate solutions, can lead to pressure for simplistic policies that can often do more harm than good.
+Agenda 21 remains vague about the mechanisms for involving stakeholders in decision making. Perhaps because of the legion of special interest groups and non-government organizations that lobbied UNCED, there is the usual exhortation to strengthen the role of NGOs: "independence," says Chapter 27, "is a major attribute of NGOs and is the precondition of real participation." This assumes that NGO independence leads to freedom of action, creativity in researching and seeking solutions, and a willingness to gather a plurality of views. It certainly implies that the state is not always right; civil society is more likely to be right-on.
+But the umbilical connection between a vibrant civil society and an independent mass media is not addressed in Agenda 21. In Europe or North America, governments are accustomed to the power of the Fourth Estate. Electoral victory or defeat is attributed to media bias. Public and judicial enquiries, consultation processes and lobbyists all assume the media will play a crucial role in informing and influencing public opinion. But for all the Western rhetoric about "good governance," the critical link between media pluralism and "good governance" or "good development" has been consistently understated.
+It is, of course, sensible to approach the media with care. In developing countries there is often a legacy of government-controlled media, and the word "joumalist" may smell of the secret state, or of government press releases. Journalistic standards dictated by a ministry of information or security do not meet the needs of civil society. But this scene is changing in some developing countries, for example in francophone West Africa, where there is a burgeoning independent press. These developments and the influences that bring them about need to be encouraged as an important element of the development dynamic.
+Since UNCED there has been some donor and agency recognition that information should not only be top-down and didactic. Democratic decision making requires something more: locally generated information, and affirmative action in favour of Southern perspectives receiving greater representation in the North. Information activities are beginning to be seen as good in themselves and not just as an add-on to a technical or material development programme.
+Development agencies are, at one level, convinced of the fundamental contribution of information to development, but they hesitate before investing resources in information activities. They're not sure what will work, what kind of information is needed, nor how it should be supported. And- in these days of close cost-monitoring and squeezed budgets-there is legitimate concern that measurable targets and indicators of success are elusive. Part of the problem is that the information/communications field is rapidly changing. The quantity of information available is huge, but the lack of interpretative resources in developing countries means the South faces both information overload and information shortfall. In theory, the means to handle information-satellites, electronic media, digital technology, the Internet-are increasingly available and potentially democratic. But in practice there is a new information elitism, which further disenfranchises the majority of the world's
+population.
+So how do the majority of the world's people, barely literate and with only intermittent access to local language radio? influence development or respond to the UNCED agenda? With vigour. All over the world people arc using community-based organizations, the ballot box and the media to express their views. But until such views count in the corridors of governments and funfers, sustainable development is a long way off.
+Pastoralists Raise their Voices
+One way people influence official decision making in democratic societies is by developing their own policy solutions to their problems and campaigning for their adoption by government. Information is at the heart of this process of political empowemment. Community organizations take the initiative and control the process of gathering, reflecting on and presenting information, and generating public debate.
+Pastoral groups in East Africa, after years of oppression, are attempting this approach. Loss of land to agriculture and a changing economic context have undermined the viability of their economic and cultural systems, while development projects have failed to produce benefits and positive change. The decline is exacerbated by the hostility and scorn nomadic pastoralists have been subjected to by governments and settled populations. In 1992, NGOs representing and working with pastoralists in Kenya came together to exchange experiences and ideas for improving the situation. As well as initiating research and practical projects, they were detemmined to try to change the negative attitude of the general public, which is born largely of ignorance and prejudice, and to seek better designed and targeted policies from government.
+At the same time, in neighbouring Tanzania, a group of journalists decided that the public needed better information in order to build an understanding that would reduce the frequent clashes between pastoralists and (state-backed) agriculturalists. They decided to travel with nomadic pastoralists and present their side of the story to the public-a rare initiative for hard-pressed, citybased, underfunded developing country journalists. This grew into a regionwide media campaign, which was the catalyst for recognition by the Kenya Pastoralists' Forum of the role that professionally presented infommation could play in achieving their goals.
+The forum invited an independent Nairobi-based development media organization-the Interlink Rural Information Service-to work with them to increase public and government recognition of pastoralists' perspectives. The first result of this collaboration has been a series of media features published in Kenya's independent national papers on the reasons for pastoralists' low participation in the education system. This is probably the first time the public has had the chance to read about pastoralists' life in such a direct, detailed and unprejudiced way.
+Parallel with the campaign to break down the prejudices of the largely urban, educated newspaper reading public, whose views inform government decisions, the pastoralists' forum will present a series of policy papers directly to government and development decision makers. Each of these papers is initiated, debated and approved by the members of the forum and written with the help of the professional writers. For the first time, politicians will hear what pastoralists themselves think can be done to improve their situation. It is too early to say what impact this will have; this is very much in the UNCED spirit of facilitating real participation.
+Making Women's Rights Real
+Participation is not just about minorities gaining access to decision makers; it can also be about empowering majorities. Women's reproductive rights were recognized at UNCED and taken further at the International Conference on Population and Development and the Fourth World Conference on Women. But how can these rights be realized when they are so fundamentally bound up and constrained by the social, cultural, psychological, educational, economic and political systems in every society?
+When reproductive decision making is so fundamentally bound up with and constrained by these systems, debate needs to be opened at all levels in order to turn rights into realities. Informed and in-depth media reporting has the potential to feed normally unheard perspectives directly into national and international debate.
+Panos' Reproductive Health Programme aims to generate more widespread and inclusive public debate on issues of reproductive health and choice, and the related issues of gender equity and women's empowerment. The programme's first activity was a series of commissions for journalists in developing countries to research and write about under-reported reproductive health issues in their countries and show how these are shaped by women's position in society. The journalists' reports were published in their national newspapers and in the book Private Decisions. Public Debate: Women, Reproduction and Population. The reports were aimed at decision makers, NGOs and the media.
+Panos also helped some of the journalists and others attend the ICPD and cover it for their media. Such access is costly and sadly rare, but it is essential to stimulate debate at national and community levels.
+To support even wider discussion of the issues, Panos is also working with the indigenous language press. One workshop has already been held in Bangalore to provide journalists from Asia with contacts and understanding of issues in order to cover complex and sensitive subjects in depth, avoid the sort of sensationalist and dogmatic reporting that often characterizes reproductive issues, and stimulate real reflection and debate.
+The media can also be a vehicle for communities to monitor their governments and hold them accountable: one Egyptian journalist in the Panos programme has used the opportunity to draw public attention to the Egyptian government's failure in her opinion to carry through its commitment to end female genital mutilation.
+In conclusion, here is information working as it should for sustainable development-a free press in a democratic political system speaking for, with and to the people. This is, after all, the spirit, if not the text, of UNCED.
+<section>Sustainable development and world citizenship</section>
+by Lawrence Arturo
+As a worldwide non-governmental organization, the Bahá'i International Community has long had an interest in sustainable development and environmental protection. In the 1920s, Richard St. Barbe Baker, a Bahá'i, founded The Men of the Trees, which was one of the first international environmental organizations. During the 1940s, 1950s and 1960s he hosted the ground-breaking World [Forestry Charter Gatherings, which were dedicated to bringing worldwide attention to the condition of the environment.
+In the early 1980s, Bahá'i around the world were encouraged by their international governing council, the Universal House of Justice, to begin to apply systematically the principles of their faith to the challenges of social and economic development. As a result, in the decade prior to UNCED Bahá'i, communities worldwide launched more than 1000 development projects. They were mostly small-scale and included medical camps in Pakistan and Alaska, primary health care clinics in Kenya and India, agricultural schools in Tanzania and Brazil, and community development radio stations in the Americas and Africa.
+The Earth Summit process and the spirit released by the parallel NGO Forum in Rio de Janeiro heightened awareness among the world's five million Bahá'i and stimulated many to launch efforts to implement aspects of Agenda 21 in their individual and community lives.
+Among the principles and concepts promulgated by the Rio Declaration on Environments and Development and Agenda 21-and that have resonated within Bahá'i, communities-are the call for "new levels of cooperation among states, key sectors of societies and peoples" (Preamble, Rio Declaration); the assertion that women's full participation is essential to achieve sustainable development and that peace, development and environmental protection are interdependent and indivisible (Principles 20 and 25,
+Rio Declaration); and that "education...is critical for achieving environmental and ethical awareness, values and attitudes, skills and behaviours consistent with sustainable development" (Agenda 21, Chapter 36.3).
+Local, National and International Initiatives
+There has been a wide range of responses by Bahá'i to many of the principles and recommendations agreed to at Rio. In Bolivia, Dr. William Baker, Head of the Dorothy Baker Environmental Studies Center, attended the Earth Summit and the global forum. The contacts he made and the information he gained from these meetings inspired him to bring back many new ideas, which have been incorporated into the organization's programme. The organization, a Bahá'i-sponsored environmental research institute in the eastern Andean city of Cochabamba, is devoted to exploring how appropriate technologies and education for sustainable development can be applied to improve the lives of the Aymara and Quechua peoples, who eke out a living on the harsh Bolivian altiplano.
+The organization has adapted the design for a solar-heated greenhouse to grow vegetables and fruits inexpensively at high altitudes and works to promote reforestation and soil conservation techniques suitable for the altiplano. These practical efforts are combined with a programme of environmental study classes for adults and pre-school classes for children. The accent of the classes is on showing a community how to help itself. They underscore the inherent dignity and worth of all human beings and emphasize the essential unity and equality of all peoples-teachings that help tap into the underlying aspirations all humans share and empower them to become increasingly responsible for their own development.
+The use of solar-heated greenhouses has led to the construction of more than 120 low-cost family-sized greenhouses in about 30 communities. The effort to promote soil conservation and reforestation focuses on building small soil infiltration dams to control erosion on the region's barren mountainsides. Drawing on a base of "graduates," the organization has helped to organize four altiplano communities-Pasto Grande, Kullpaaña,
+Yawritotora, and Japoe'asa-in Tapacari province to participate in the project. During 1994 and early 1995, some 300 volunteers from these communities built approximately 2000 small check-dams on nearby hillsides.
+The simple rock and fill dams, which take three or four people a few hours to build, help slow the rainfall run-off, so that water filters into the ground and leaves precious soil in catch basins behind the dam. Organizers hope that if enough such dams are built, the ecological system on the altiplano hillsides can be restored.
+The Bahá'i, have undertaken a number of other initiatives linked in one way or another to the Earth Summit. Less than nine months after UNCED, the Bahá'i, community of Brazil, in conjunction with the United Nations Children's Fund (UNICEF), launched a conservation education programme, which trained schoolteachers in and around the capital, Brasilia, and produced curriculum materials and a video on environmental issues. The second phase of this project is underway and is replicating these activities in several Brazilian states.
+In India, the Bahá'i, Vocational Institute for Rural Women in Indore received the prestigious Global 500 Award from the United Nations Environment Programme (UNEP). After the Earth Summit, it expanded its efforts in environmental education, such as hosting workshops and environmental awareness programmes in the surrounding rural communities.
+In five Latin American countries and the United States, Bahá'i, community radio stations carry programmes and public service announcements on environment and development, which focus on topics such as sustainable agricultural practices and care for the earth.
+In 1994 the Bahá'i, International Community, in collaboration with other organizations, hosted a World Forestry Charter Gathering at St. James Palace in the United Kingdom. The gathering was noteworthy for its focus on the Forest Principles adopted at the Earth Summit, and for highlighting the need to view forests as the common heritage of humanity in order to conserve and sustainably manage them into the distant future.
+Within the Bahá'i, community itself, schools, summer schools, youth conferences and other meetings taking place around the world have devoted sessions and sometimes entire programmes to issues of environment and development. Bahá'i, communities are involved increasingly with governments and organizations of civil society on the local, national and international levels. The communities participate in conferences, roundtables, commissions and coalitions, many in connection with major UN consultations that focus, to some degree, on sustainable development.
+A Global Campaign
+While these mostly grassroots efforts are taking place, the Bahá'i, International Community's Office of the Environment launched an initiative aimed at promoting a new sense of responsibility toward the environment by people across the planet. This initiative began as a concept paper entitled World Citizenship: A Global Ethic for Sustainable Development. The paper stresses the need to promote a global ethic in order to make sustainable development an aspiration and commitment in peoples' daily lives. It was presented at the first session of the UN Commission on Sustainable Development in June 1993. It has since formed the basis of a worldwide campaign carried out in collaboration with a number of the Bahá'i, International Community's 175 national affiliates-and many of the individuals and local communities that comprise them.
+The aim and focus of this campaign can perhaps best be described by quoting from the first paragraphs of the statement:
+"The greatest challenge facing the world community as it mobilizes to implement Agenda 21 is to release the enormous financial, technical, human and moral resources required for sustainable development. These resources will be freed up only as the peoples of the world develop a profound sense of responsibility for the fate of the planet and for the wellbeing of the entire human family.
+This sense of responsibility can only emerge from the acceptance of the oneness of humanity and will only be sustained by a unifying vision of a peaceful, prosperous world society. Without such a global ethic, people will be unable to become active, constructive participants in the worldwide process of sustainable development.
+While Agenda 21 provides an indispensable framework of scientific knowledge and technical know-how for the implementation of sustainable development, it does not inspire personal commitment to a global ethic. This is not to say that ethics and values were ignored during the UNCED process. The call for unifying values was heard throughout, from heads of state to UN officials to representatives of non-governmental organizations and individual citizens. In particular, the concepts of 'our common humanity,' 'world citizenship' and 'unity in diversity' were invoked to serve as the ethical undergirding for Agenda 21 and the Rio Declaration.
+The world community has, in this way, already come to a basic accord on the need for a global ethic to vitalize Agenda 21. We suggest that the term 'world citizenship' be adopted to encompass the constellation of principles, values, attitudes and behaviours that the peoples of the world must embrace if sustainable development is to be realized.
+World citizenship begins with an acceptance of the oneness of the human family and the interconnectedness of the nations of 'the earth, our home.' While it encourages a sane and legitimate patriotism, it also insists upon a wider loyalty, a love of humanity as a whole. It does not, however, imply abandonment of legitimate loyalties, the suppression of cultural diversity, the abolition of national autonomy, nor the imposition of uniformity. Its hallmark is 'unity in diversity.' World citizenship encompasses the principles of social and economic justice, both within and between nations; non-adversarial decision making at all levels of society; equality of the sexes; racial, ethnic, national and religious harmony; and the willingness to sacrifice for the common good. Other facets of world citizen-ship-all of which promote human honour and dignity, understanding, amity, cooperation, trustworthiness, compassion and a desire to serve-can be deduced from those already mentioned. A
+few of these principles have been articulated in Agenda 21-most, however, are noticeably lacking. Moreover, no overall conceptual framework is provided under which they can be harmonized and promulgated.
+Fostering world citizenship is a practical strategy for promoting sustainable development. So long as disunity, antagonism and provincialism characterize the social, political and economic relations within and among nations, a global, sustainable pattern of development can not be established. Over a century ago Bahá'u'lláh warned, 'The well-being of mankind, its peace and security, are unattainable unless and until its unity is firmly established.' Only upon a foundation of genuine unity, harmony and understanding among the diverse peoples and nations of the world, can a sustainable global society be erected."
+The Office of the Environment has distributed more than 100,000 copies of World Citizenship: A Global Ethic for Sustainable Development, has offered it at various UN conferences and events and encouraged broad distribution of the copies. The document exists in at least a dozen languages and has been put on several electronic bulletin boards and networks.
+Bahá'i, communities in several countries have held seminars, workshops and discussion groups on the ideas contained in the statement and several have undertaken concrete actions. For example, a number of Bahá'i communities initiated efforts to encourage local authorities and organizations of civil society to implement Agenda 21. Bahá'i, communities throughout Germany and the United Kingdom began approaching local authorities (the subject of Chapter 28 of Agenda 21) to discuss promoting the concept of world citizenship as a moral and ethical basis for development. Similarly, Bahá'i, communities in Australia, Denmark, Sweden and Switzerland have launched campaigns in schools focusing on world citizenship and sustainable development. In Brazil the Bahá'i, community has initiated an annual World Citizenship award.
+We believe that the energetic and positive response to World Citizenship is due, in large part, to its positive vision for the future and its practical approach to the application of universal principles. The first part of the statement stresses the transcendental nature of the concept of world citizenship as a new ethic for sustainable development; the second part outlines a global campaign to promote the concept through education programmes and public awareness campaigns, as called for in Chapter 36 of Agenda 21. The outline includes, for example, recommendations that the concept of world citizenship be taught in every school, that it be incorporated into educational materials on sustainable development produced by UN agencies, that campaigns to raise public awareness of the challenges of world citizenship be launched making use of the full range of media and the arts, and that world citizenship be promoted-internationally, nationally and locally-through the holding of
+contests and the presentation of awards.
+Conclusion
+For Bahá'is, development implies a dynamic coherence between the spiritual and material requirements of life on earth. The Bahá'i, approach to development is organic and seeks to harmonize the seemingly paradoxical concepts of globalism and decentralization. Overall direction and guiding principles are established on the international-and often national-levels, helping to ensure a sense of global process and mission in all development activities. At the same time, actual programmes and activities arise largely from individual or community initiative, are driven by community decision making processes and are based on the principle of universal participation. They are, therefore, likely to address the needs, conditions and aspirations of the local or national society.
+In this light, the response of the Bahá'i, International Community to the Earth Summit process can be seen as one in which the community has become progressively more engaged in practical actions for sustainable development, based on the conditions and needs of the communities themselves and guided by the principles of the Bahá'i, faith.
+<section>Campaigning for local natural resource management in Africa</section>
+by Dominic Walubengo
+Introduction
+The preparatory process leading to the United Nations Conference on Environment and Development (UNCED) brought into sharp focus feet that the fight over natural resources has shifted from a physical, visible and armed confrontation to an invisible one, whose main weapon is information African delegations to all the UNCED preparatory committee meetings (PrepComs) had one common complaint: the lack of adequate information. African NGOs had a similar complaint: they lacked adequate information to enable them to lobby effectively.
+The fact that the fight over natural resources has shifted means that NGOs campaigning for the sustainable use of natural resources have had to shift their strategies as well. The NGOs formerly spoke of local control of natural resources. However at the time they did not have the mandate to speak on behalf of local communities. So the NGOs went back to their communities and started awareness campaigns on topics discussed at the PrepComs. The topics varied from country to country, and from region to region. For example, NGOs from Central Africa concentrated on biological diversity and forestry issues; those from the Sahel concentrated on climate change and desertification; and NGOs from East and Southern Africa worked on climate change, biological diversity and desertification. Therefore, right from the preparatory stages, UNCED began changing NGO perspectives in Africa, and it is fair to say that NGOs in Africa have not been the same since.
+The preparatory process to UNCED and the conference itself provided NGOs in Africa with an agenda: to a large extent it revolved around the question of who controls the natural resources that are so vital for the survival of the people of Africa. The NGOs realized that development efforts in Africa over recent decades have been frustrated by the complicated and multifaceted nature of change, a number of inherent contradictions among the various issues, and differences in perspectives among actors. The NGOs also realized that the heart of the problem appears to be insufficient local control over natural resource management and lack of influence over policy, administration and legislation pertaining to natural resource management. The question of who controls natural resources always resurfaces whether the discussion topic is emancipation, democratization, poverty alleviation, sustainable development, gender or women and development.
+The Concept of a Natural Resource
+Natural resources have been the source of conflict for thousands of years: States have gone to war to expand their borders and acquire more land, forests, oil, water and grazing rights. We need to answer several questions:
+What is a natural resource? Where are natural resources found? Why are there conflicts over natural resources? A natural resource can be defined as something that occurs naturally in the world and is not caused, or made by people. Examples of natural resources are water, fish, wildlife, forests, coal and oil. Conflict takes place over natural resources because they are the essence of life-without them, life is not possible. This is the reason the preUNCED process focused so much on the control of natural resources.
+In the exploitation of natural resources was at the centre of colonialism and is now at the centre of international trade. The globalization of trade has also globalized the debate on the control, management and exploitation of natural resources. Unfortunately, this debate tends to remain at the international level and seldomly comes down to the local level, where resources are actually found. Some NGOs have made an effort to bring this debate down to the grassroots-these include ENDA Tiers-Monde, the Environment Liaison Centre International (ELCI), and EcoNews Africa (ERA), all of whom have been at the forefront of bringing the debate on desertification to local communities.
+The Role of NGOs
+In Africa, NGOs work at two levels. At the community level, they are small informal organizations, which are often invisible to outsiders and rarely receive external support. These community based organizations (CBOs) remain outside formal structures. Some examples of CBOs are women's groups, youth groups, village development committees, water users' associations, forest users' groups, farmers' groups, pastoralists' groups and self-help groups. Generally speaking, the activities of CBOs are limited to the local level and have little if any influence in national political processes.
+The second level of NGO intervention is at a higher level: national or international. These NGOs, which provide services to communities directly or through CBOs and other NGOs, include networks and umbrella organizations. They offer a variety of services, some very specialized; they may be purely charity or service organizations, while others seek for a more political role.
+After UNCED, NGOs grew rapidly in Africa. This was partly in response to widespread and persistent poverty, and the failure of governments to provide their citizens with basic services and social security. However, it was also because of UNCIED, many governments, which recognized the importance of NGOs, recognized the fact that NGOs are flexible and attempt to reach the poorer sections of society. Thus there are now many NGOs working in relief and the provision of medical services, water and even education. In some areas NGOs have assumed roles that are almost equal to that of governments by providing people with medical services, shelter and food. These include Somalia; North-Eastern Kenya; Eastern Zaire; Northern Uganda and Southern Sudan.
+What then is the role of NGOs in natural resource management? NGOs are people's organizations and they were established for a purpose: they are pressure groups helping to make governments listen to the people's point of view. Not all NGOs challenge government policies; they often provide sound arguments based on well-researched information. For example, an NGO might argue against draining a swamp, by citing the negative environmental implications, including driving away rare animals and bird species, killing fish, reducing available water to a community, and changing people's lifestyles.
+Another example is when NGOs try to make people and governments aware of the environmental and human impacts of constructing dams. When a dam is constructed, promoters talk about the benefits that will be obtained from the production of cheap electricity and the availability of water for irrigation. Often, they do not inform people of an increase in the number of mosquitoes, and therefore malaria; that bilharzia may become commonplace; and worse, that whole villages will be submerged, which results in forced migration.
+The NGO community in Africa faces a severe challenge in the management of natural resources. This challenge was made formal after UNCED. Many African governments now insist on the participation of NGOs in all development projects, with the result that NGOs are invited to contribute to among other things national environment action plans and national forestry master plans. Now the challenge to the NGOs is that they must perform; which means they must have adequate capacity and resources.
+Capacity building in the NGO sector has not been easy-this is because until only a few years ago, one-party governments in Africa frowned on any organization or association which had any semblance of authority or influence. At that time governments believed that only they could solve the problems facing their people. This centralization of power reduced people's enthusiasm for self-help groups, which often develop into NGOs. Indeed, during UNCED PrepComs, several African governments wanted to prevent NGOs from participating in the debate as observers. Needless to say, they lost that debate.
+Thanks to UNCED, there is now a move by some African governments to share management of some natural resources with local people. For example, the Tanzanian government has allowed collaborative management of the Mgori Forest in Singida Rural district. In Kenya, the Kenya Wildlife Service has started a community development section, which allows people living close to national parks to earn some income from tourism. In Zimbabwe, the Camp Fire programme actually allows people to manage the wildlife and earn revenue from tourists and hunters. Collaborative management of natural resources has been spearheaded by NGOs and individuals who believe in Agenda 21.
+During the preparatory stages of UNCIED, many NGOs from Africa had contact with NGOs from other parts of the world. This interaction allowed African NGOs to exchange information and ideas with other NGOs. African NGOs also heard their own governments promising, in front of the whole world, to work with NGOs and other community groups. These promises have made it easier for NGOs to operate and work with governments. In addition, many African countries have signed several conventions resulting from UNCED, which contain sections advocating NGO participation in development projects. The conventions include those on biological diversity, climate change and desertification.
+Lessons Learned
+NGOs working in natural resource management during the post-UNCED era, have learned the following lessons:
+1. NGOs should come up with a vision on local natural resource management in Africa. Training needs for local CBOs and NGOs should be identified as well as areas that need advocacy.
+2. African NGOs should strengthen existing natural resources networks to enable them to carry out networking and learn from each other and their communities. These networks could serve as a forum for meetings of NGOs and CBOs involved in natural resource management and they could facilitate training, organization of exchange visits and production of newsletters.
+3. NGOs are needed to work on cross-boundary issues, such as the environmeatal problems facing Lake Victoria, and the influx of refugees in East and Central Africa.
+4. African NGOs should come up with a framework for participation of local people in the management of natural resources. In this framework, stakeholders in natural resources should be identified and advocacy should be emphasized.
+5. NGOs and CBOs should face the question of their own sustainability and work out ways to ensure it.
+6. The relationship between NGOs and governments should be more clearly defined, in order to avoid wasted resources and energy.
+7. In Africa men still dominate and benefit more than women from development projects, including those expressly meant to benefit women. Poor people are often further marginalized by development projects.
+8. Most government departments don't have money and therefore pass on their social responsibilities, such as education, health, medical services, to civil society, which is ill equipped to deal with these responsibilities.
+9. Land tenure and property rights need to be looked at with a new perspective. Current laws are a major constraint to development projects in the area of natural resources, and new land bills being tabled in the African parliaments are designed to privatize land, but not solve the conflicts that arise out of land ownership and access. There is a serious conflict in the perspectives of agrarian and pastoralist communities.
+10. People would like to earn money from the projects in which they are involved, whether the projects are tree planting, biogas or water catchment.
+11. Communal projects only work when all participants have a stake in the project and share benefits equitably. Local people will not look after resources that they do not own, or have a stake in, and that do not benefit them directly.
+To be sure, UNCED changed African NGOs for the better and highlighted their usefulness to their people. Promises made by African governments at UNCED have made it easier for NGOs to operate. And, contacts made at UNCED between African NGOs and those from other parts of the world have continued, and in some cases have resulted in active exchange of information and experiences. However, it is clear that UNCED made formal the fact that the NGO community in Africa faces a severe challenge in the management of natural resources. Thus NGOs must perform. They must maintain their role as pressure groups and help to make governments listen to the people's point of view. Nevertheless, they must obtain the mandate of local communities before speaking on their behalf; remain flexible and continue reaching the poorer sections of society; and ensure that poor people are not further marginalized by development projects.
+<section>Country experiences</section>
+<section>Implementing agenda 21: The Caribbean NGO experience</section>
+by Hazel Brown
+The five-year anniversary of the UN Conference on Environment and Development is an appropriate opportunity to review the sustainable development needs of the Caribbean in the post-UNCED period and the role and experience of Caribbean NGOs.
+This review is being done in the context of the International Network of Small Island Developing States NGOs and Indigenous Peoples (INSNI). It is significant that the review of Agenda 21 includes the Programme of Action of the 1994 Global Conference on the Sustainable Development of Small Island Developing States (SIDS), which was itself one of the outcomes of UNCED.
+We will identify some of the constraints to the implementation of the SlDSProgramme of Action (POA), review some of the positive steps taken toward implementation, and identify a new and strategic approach for future action that involves participatory partnerships between regional intergovernmental agencies and Caribbean NGOs.
+Conventional Development Approaches in the Caribbean
+For decades the conventional approaches to development in the Caribbean have been characterized by features such as: producing a narrow range of goods mainly for export; importing most of the technology, equipment and energy used for production; a planning process that excludes the views and expertise of organized labour, farmers, women and several other major groups; an economic management system that measures growth in terms of indicators such as GNP and the value of exports; a dependence upon market forces to distribute wealth and opportunity; and the application of criteria for progress and success that fail to calculate the impact of development policies and programmes on people and natural resources of the region. The result of this approach has been some growth in exports and foreign exchange earnings, but rising national debt, gradual replacement of food self-sufficiency by food imports and food aid, the return of preventable diseases, and the increased burden of
+poverty, particularly on the region's women and children.
+The Search for an Alternative Development Model
+It was under these circumstances that the search for alternative development strategies and the implementation of the SIDS-POA was to be developed. This alternative model of development is grounded in the following principles:
+- equity-between men and women, generations, racial and ethnic groups, rural and urban populations, abled and specially challenged persons, rich and poor, and countries of the industrialized North and those of the dependent South;
+- participation-in decision-making at all levels, as well as in the implementation of policies and programmes;
+- holism-ensuring that social, cultural, economic, ecological and political considerations are taken into account;
+- sustainability-of all aspects of development; and
+- self-reliance.
+Over the past two decades Caribbean NGOs have developed strong consensus on their approach and activities based on these principles. This consensus is built upon our work in the region and elsewhere, and these principles are the road signs that we use as we proceed on the path toward
+sustainable human development.
+One major constraint to achieving sustainable development has been the emphasis placed on the linkages between economies of scale and competitiveness. Our contention is that SIDS, historically disadvantaged, can hardly be expected to be competitive within the framework of the export-led, free market-driven strategies promoted by the International Monetary Fund (IMF) and the World Bank, as well as the rules of the World Trade Organization. The experience has shown that in responding to this strategy to compete in the "free" market place, SIDS have suffered further depletion of their limited resources, such as rainforests, marine and coastal resources.
+In May 1995, approximately one year after the historic SIDS conference, the Economic Council for Latin America and the Caribbean (ECLAC) convened a meeting of experts, including regional NGOs, on the implementation of the SIDS-POA. The meeting took note of the fact that little progress had been made in the region on the adoption of sustainable development approaches, or the integration at national level of the SIDS-POA. It was also noted that greater coordination was needed in strategy and policy formulation; the absence of a coordinating mechanism was a particularly critical factor affecting the slow pace of implementation of the SIDS-POA. Therefore it was agreed, on the basis of an NGO proposal, that the Caribbean Community (CARICOM) and the ECLAC/CDCC secretariats should be requested jointly to provide a Regional Coordinating Mechanism (RCM). CARICOM and ECLAC/CDCC secretariats recently signed a cooperation agreement between their institutions and were involved in the
+implementation of aspects of the SIDS-POA at national and regional levels.
+The challenge to these regional organizations was to create a mechanism for coordination that would facilitate consultation among regional partners, including NGOs, as well as assist with implementation of the SIDS-POA.
+One of the most important aspects of the Regional Coordinating Mechanism was to be the formal establishment of a Regional Consultative Group, which would provide direction and guidance to the Joint Coordinating Unit (JCU). It was proposed that such a group would be made up of governmental representatives of CARlCOM and ECLAC/CDCC, other regional and international agencies, NGOs and the private sector.
+This approach of collaboration and consultation was carefully nurtured during the major UN conferences and the preparatory meetings, particularly at the regional level where NGOs took the initiative and helped to formulate and build consensus around regional issues. These relationships developed as NGOs made their expertise available to regional governments, while at the same time developing skills in advocacy, negotiations and with the language of the conferences. NGOs encouraged Caribbean caucuses, involving government representatives, regional agencies and NGOs, to promote the region's cause. More and more governments felt comfortable having NGOs on their official delegations.
+In terms of available resources that would enable the RCM to function, CARICOM submitted a proposal to the European Development Fund for institutional support. The United Nations Development Programme (UNDP) also indicated that various scenarios were being considered to allow their offices to share technical resources with ECLAC. In addition, UNDP submitted a proposal to the Global Environment Facility (GEF) requesting a block B grant for institutional support and capacity building. The grant provides funding support for preparations of project proposals to implement Agenda 21.
+A work programme was also drafted for the JCU, which draws on the technical support and expertise of all the regional actors including NGOs. Included in the work programme is the objective to "heighten public awareness of the SIDS-POA and foster greater public acceptance and sensitivity to special problems of small island developing states."
+Another key issue in the implementation of the SIDS-POA is capacity building, for which there is a critical need, including training and information management. These could be enhanced by the use of information and communication technology to create a critical mass for the implementation of the SIDS-POA. This capacity building needs to be applied to all segments of society that are involved in the implementation of SIDS-POA. An integrated sustainable development strategy should draw on all economic, social and environmental knowledge and skills.
+The capacity building process in the Caribbean has two dimensions: organizational and development of human resources. There is a need to restructure institutional mechanisms for effective implementation of the SIDSPOA, and the human dimension must be central to achieve social equity.
+In light of the above, a strategy for implementing Agenda 21, particularly Chapter 36 on promoting education, public awareness and training, and the SIDS-POA is highlighted.
+The Caribbean Region of INSNI presented the INSNI Caribbean Regional Public Awareness Project to the Caribbean Ministerial Meeting on the implementation of the SlDS-POA in Barbados in March 1997. The objectives of the project are:
+- increase public awareness of the Caribbean national and regional programmes of action and other POAs that affect work to increase sustainable economic, social and environmental development;
+- increase public ownership of the solutions being generated in each member country as part of a regional and international effort for sustainable development; and
+- generate additional action and voluntary complementary activity by members of civil NGOs and indigenous peoples' organizations (lPOs).
+To accomplish this goal, the Caribbean Regional Coordinator has already held informal discussions with the CARICOM Secretary-General and the Director of ECLAC; both have responded enthusiastically to the idea.
+A Unique Approach
+What is unique about this approach? INSNI, as a regional NGO will offer its services as a professional contractor (for a fee) to carry out an activity that has been identified in the work programme of the Joint Coordinating Unit of the Regional Coordinating Mechanism. This participatory partnership will change the existing relationship between these two major actors. INSNI will bring to the relationship many voluntary and in-kind resources, including the work of the INSNI Clearing House and the capacity building resources of the Southern Diaspora Research and Development Center, which is an outcome of INSNI work.
+Arrangements have also been made to utilize outreach and public relations materials generated by the United Nations Environment Programme (UNEP), since INSNI has national NGO networks and/or convertor organizations for sustainable development in each country of the region, which are committed to assist and participate in this work. The success of the INSNI Caribbean Regional Public Awareness Project is based on the support that the project continues to provide to its national affiliates, particularly in the area of capacity building.
+The proposal for this project was finalized at a meeting of the Caribbean Region of INSNI held just before the Caribbean Ministerial Meeting in March 1997.
+Because of its regional and international structure, INSNI is an influential vehicle for maintaining linkages with other regional networks and providing current and timely information that is relevant to the region. Its participatory, democratic and inclusive structure ensures that other Caribbean countries, particularly non-independent ones, can become involved fully in the SIDS process. Given the range of technical issues that form part of its work, INSNI can also provide valuable assistance and input to the sustainable economic and environmental conservation programmes in the region.
+<section>Religion and conservation in Ghana</section>
+by Mike Anane
+Until recently our conception of knowledge was bound by the philosophy and methods of Western science-few people recognized that there are myriad sciences embedded in other cultures and civilizations. Unfortunately, attempts to find solutions to some problems afflicting the modern world have ignored religious and other cultural practices of indigenous people.
+For example, environmental degradation has become a topical issue, and everyone has realized that the earth is gradually losing its capacity to sustain life. Evidence abounds of the steady deterioration of the earth, including atmospheric changes, air and water pollution, loss of species, use of pesticides, deforestation, declining soil fertility and the consequences of burgeoning population.
+Scientific, political, geographical and economic-based attempts have been made to contain the alarming environmental crisis. However, the issue of culture, particularly traditional religious practices, generally has been ignored as having a role to play in conservation.
+In Ghana, the National Environmental Action Plan (NEAP), which provides a coherent framework for interventions to turn environment and development efforts into more environmentally sustainable programmes and practices, regrettably does not highlight the potential of religion in this endeavour. UNCED's Agenda 21 also tucks away religion under the broad theme of traditional knowledge, culture and indigenous people, with the argument that traditional knowledge is related to the entire culture of a people, including its identity, spiritual and religious beliefs. This tendency unfortunately overlooks the immense potential of religion as a key to natural resource management and sustainable development because these terms do not take into account Western or orthodox religions. I have no doubt that they may also have a deep spiritual relationship with the earth and deep respect for it.
+It is a pity that the world missed a golden opportunity at UNCED to include religious groups as part of the nine officially-agreed Major Groups. This would have helped bring together experts on both Western and traditional religion, who could have provided their perspectives and experiences to help find ways to support each other in their quest for solutions to local and global environmental problems.
+However, it is gratifying that in Ghana today, some NGOs and scholars are recognizing the importance of various traditional religious beliefs or culturebased knowledge systems in addressing alaming problems of environment and development. Indeed consensus seems to be emerging that a new type of relationship or contract is needed among indigenous people, national governments and international development agencies. The old '`top-down" or paternalistic forms of development can no longer be enough in the face of environmental catastrophe. In this bid, some Ghanaian NGOs have already launched conservation projects with traditional religion playing indispensable roles.
+NGOs and Religion
+Friends of the Earth (FoE) Ghana recognized how traditional or customary social institutions are promoting biodiversity, conservation and sustainable development, and it launched the first project to conserve some sacred groves in the country as part of its biodiversity programme. These fetish or sacred groves are patches of forest ranging from 0.5 to 1500 hectares; they may consist of only a few trees, stones or rivers, which serve a variety of purposes, such as burial grounds for royal families or habitats of traditional gods or fetishes.
+FoE, together with the local community, is working to conserve the Guako grove on the outskirts of Accra, the capital of Ghana. In its rescue bid, FoE has embarked on education campaigns to make people aware of the need to conserve the grove. It also established a nursery for restocking the grove with more trees, and planting is in progress.
+In another area, a group of forest department workers in the Ashanti region decided to start an AGO to help communities protect sacred groves.
+Today, the Ghana Association for the Conservation of Nature (Ghacon), not only has foresters as members but chiefs, community leaders, hunters, farmers, university lecturers and women's groups in some of the remote parts of the country.
+Ghacon says most of the untouched forest cover of the Ashanti region is made up of sacred groves, with a few forest reserves protected by the government. However, vast stretches of surrounding forests have been torn down by farming activities and logging. Therefore, Ghacon conducted a nationwide survey of forest cover designated as sacred groves and decided to join hands with communities to protect them.
+Ghacon advises the communities about the construction of firebelts to protect the groves from rampant bush fires from nearby farms during the dry season. Organizations such as the Global Environment Facility (GEF) and the GTZ, a German technical assistance programme, have contributed significant funds to support Ghacon's activities to protect the groves.
+Many of these indigenous areas, which were established centuries ago, are protected by customary laws and are considered to be abodes of the gods. In most cases, royalty from a particular village has been buried in the areas, which are protected out of respect for the dead.
+In other cases, rivers and streams are treated as sacred: their catchment area and surrounding forests are protected in the belief that the river god lives in the forest. Logging, cultivation, or entry on certain days by women during their menstrual cycle is forbidden.
+In certain parts of Ghana, forests are also venerated because they house a variety of wild animals that are considered sacred or totems. One example is the belief in a common ancestry with the leopard, which is the symbol of the Akan people. The forest in which these animals are found is sacred; killing this species is therefore not allowed. The benefits for conservation are clear.
+Sacred Groves and Conservation
+Sacred groves contribute greatly toward conservation of biodiversity. Originally, the groves were based on religious and cultural beliefs, but they have since made significant contributions to the protection of wildlife and other biological resources. For example, a monkey sanctuary, located within the moist forest deciduous zone, is richer than any other Ghanaian forest in terms of diverse types and rare species of monkeys, such as the Black and White Colobus and Mona monkeys. These species are considered sacred by the people of local villages. Here, the unharmed "children of the gods" have come daily for hundreds of years into the villages to eat and play. The sanctuary is also rich in trees, with about 125 known species, including the rare Pericopsis Elata, which is listed in Appendix 11 of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES).
+The Malshegu sacred grove in northern Ghana is another of the few remaining examples of non-riverine, closed canopy forest in the savanna. According to oral history, the Malshegu ancestors settled here in the early 18th century but did not find peace. They finally succeeded in warding off the marauding gangs of Arab slave raiders who were tormenting them and attributed this success to the spiritual support of a boulder under a baobab tree. The land surrounding the baobab tree was demarcated and labelled by the priest as fetish land in order to give the oracle a peaceful and shady home from where it could constantly oversee the village and the inhabitants. All forms of land use like farming and grazing were forbidden in the grove. The Lalshegu grove, which measures 0.8 hectares, is an isolated pocket of forest and stands in sharp contrast to its highly degraded surroundings. It now serves as a refuge for numerous indigenous animal species and seeds. Protection of the grove,
+which is a lush open canopy forest in a degraded open savannah, is the responsibility of the community. People firmly believe that the Kpalevorgu deity ensures fertility, protection, good rainfall and a bumper agriculture harvest.
+Over 80% of sacred groves in Ghana serve as watersheds for catchment areas where they protect sources of drinking water. So far about 1.5% of Ghana's land is covered by some 2000 fetish groves, and most taboos and beliefs surrounding many of these groves are conservationist in nature and approach.
+For example, the Asuo Akosua stream in the Ashanti region is believed to be inhabited by a beautiful woman goddess; the people worship the deity and carefully protect the water source of the stream. Farming activities are not allowed in this area, nor is clothes washing or other types of pollution.
+These sacred groves are protected, conserved and maintained through a combination of taboos, prohibitions, beliefs and restrictions. Special members of the community organize periodic rituals, ancestral worship sessions and other customary rites. In almost all cases, burning, fuelwood gathering and tree felling are forbidden. These traditional religious beliefs and practices not only protect the sacred groves but also promote conservation of vegetation, which in turn promotes biodiversity and an ecological balance. The luxuriant green abundance of trees of different species and thick undergrowth in some parts of Ghana are living examples of what religion can do for conservation.
+Lessons From the Past
+Environmental conservation is not a recent phenomenon in indigenous African communities. Past generations knew about environmental degradation and the need for preservation. This knowledge found expression in traditional religious practices, because the African believes that everything belonging to the ecosystem and the environment has a strong spiritual meaning for humans. indeed the African's attitude to nature is deeply rooted in the belief that all things were created by the supreme being for a harmonious continuity and there must be a relationship of mutual obligations between all created things.
+For example, natural phenomena were seen as possessing spiritual power, and the natural force that supplies food seen as superior and accorded respect and veneration. Certain trees could not be felled because they were considered Nyame Dua (God's trees) and therefore sacred and endowed with healing powers. Indiscriminate tree felling today was unheard of in the days when these traditional religious practices ensured the preservation of forests.
+The Akans in Ghana saw land as a goddess, Asaose Yaa. On Thursdays and Fridays, one could not farm the land; this regulated human impact on the land, and thus secured its fertility. Land in these traditional societies belongs to clans and not to the individuals. Because the clan consists of both the living, the dead and even the unborn, it enhances the idea of sharing and caring for nature.
+Generally, rivers and seas were also seen as abodes of the gods. As divinities, human activities that marred their beauty were considered taboo; therefore, pollution, industrial and human waste could not be discharged into these water bodies, or the culprits would be punished by the Abosomfo, or gods.
+Sadly, despite the awareness of the indispensable role of religion in conservation and environmental protection, the good intentions of some NGOs and researchers to help revive these religious practices and conserve the groves and other sacred practices have been viewed with suspicion by certain indigenous communities. The communities might see the attempts as depriving them of their age-old traditional practices and replacing them with Western concepts. To many local people, the current Western buzzwords of "community empowerment" smack of outside interference, and they have justifiably resisted any attempts at empowerment.
+Many conferences on sustainable development, including UNCED, have also persistently failed and even refused to acknowledge the role of religion in conservation and environmental protection, thus alienating indigenous people from the fight to save the environment. For many policy makers it's business as usual, and they tenaciously maintain the "top-down" approach to projects.
+The Western Impact
+Before the advent of colonization and Christianity and [slam, the African lived in harmony with nature. With the arrival of the white man, land that was collectively owned and managed by Africans was balkanized for individual ownership, with new and exotic crops introduced to feed the colonialist. Chemicals were poured into soils and rivers, virgin forests that had been preserved for their sacredness were raped by the colonial masters, and the trees that were felled were exported abroad.
+Until recently, traditional religious practices were seen by our colonial masters as a hindrance to development. Missionaries who trooped to Africa alongside the colonial masters discouraged traditional practices, such as the worshipping of rivers, mountains and trees, which they described as idolatry and heathen.
+Nevertheless, colonialism also had its good sides. The preservationist style of management of Africa's wildlife has its origins in the colonial period. Despite their economic interest in Africa, many Europeans viewed the continent as a "Garden of Eden," which provided them with the opportunity to experience a "wild and natural environment," which no longer existed in Europe. This resulted in a desire to maintain and preserve the wild and natural in Africa.
+Accordingly, the first international conservation treaty, the Convention for the Preservation of Animals, was signed in London in 1900 and became the basis for colonial wildlife legislation in anglophone Africa. Subsequently, land was demarcated for national parks and game reserves, to protect large animal species and their habitat. This concern over the future of wildlife in Africa facilitated the creation of conservation organizations, such as the Wildlife Leadership Foundation and the World Wide Fund for Nature, which have continued to support African environmental organizations.
+Once independence was attained, new African governments continued to maintain and expand the protected area systems; some legislation introduced during colonization still exists. indeed continuing government support for the preservationist attitude in many African countries today is a colonial legacy. A case in point is the Aburi Botanical Gardens near Accra. Established in 1875 by the British colonial government as a sanatorium for convalescent colonial officers, it became the first leading botanical museum in 1890 and still enjoys immense support from past and present Ghanaian governments.
+Here again the paradox of colonialism is clear. In most cases, colonial decisions were taken without consideration of traditional land use systems and without the consent of local communities whose livelihoods were at stake. instead these communities were seen as a threat to wildlife and forests. So the colonial authorities prevented any human interference, and the local communities were deprived of access to pastures, farming land, fisheries and wildlife, which were resources they depended upon for their livelihood. Even hunting rights were denied to the indigenous people.
+Not only was land first nationalized in colonial times, but the colonialists, in their desperation to protect wildlife in Africa, overlooked its traditional role in African culture, which is oriented toward contributing to survival and governed by totems, taboos and customs.
+A critical look reveals that some of these places are managed by a council of elders who decide how the surrounding forest might be used, which trees to cut and why, and so on. Sadly, as the elders die off, the ancient traditions regarding the sacred groves are also dying. The younger generation do not seem to care much for customs and traditions and prefer to join the ruralurban exodus in search of white-collar jobs.
+Conclusion
+Christianity, science, poverty, Western education-none has succeeded in debunking the African belief in traditional religion. Most Western-educated Africans and Westerners flock to shrines in Africa whenever they are confronted with serious financial and social problems.
+Clearly, traditional practices reveal that African societies were aware in the past of the need to protect their environment, which is shrouded in religious beliefs, partly because religion permeates virtually all aspects of African life. This awareness led to an environmental ethic, which implied using the spiritual world to protect the environment. Perhaps modern conservationists, policy makers and researchers, particularly in the West, should go back and learn from traditional religion and culture, which managed to live alongside the rivers and forests and use them sustainably. Myth is indeed more potent than history; indigenous people, who have lived harmoniously with nature, need to be encouraged to take charge of their own destinies. Ultimately, real progress lies in enabling the weak and the marginalized to become the producers of their bounty and welfare, not the beneficiaries of aid and recipients of charity.
+Undoubtedly, religion is indispensable to modem-day conservation and environmental protection efforts. The Western world, which has long left its traditions behind and adopted lifestyles that have fumed its environment into one big sewer, should go back and revive its ancient religious traditions that compare favourably with those in Africa. This indeed is the true path to environmentally-sound and sustainable development.
+<section>Citizens and the biodiversity convention: the indian experience</section>
+by Ashish Kothari
+The Convention on Biological Diversity, signed at the Earth Summit in 1992, marks a significant milestone in the history of global environmental relations. The convention is the first treaty to deal with the entire range of life forms found on earth, including wild plants and animals, crops and livestock, and micro-organisms. The convention, which entered into force as an international law in December 1993, has been ratified (as of 1996) by over 1 60 countries.
+There are three major thrusts to the convention: conservation of biodiversity, sustainable utilization of biological resources, and equitable sharing of benefits arising from such utilization. These are matters that require not only an ecological understanding, but an enquiry into the basic moral and social tenets governing human society. It is these tenets that direct the way in which we use the natural world around us, the rate at which we use it, and the distribution of benefits we derive from it.
+The convention has far-reaching implications for the conservation and development policies of each country. If any nation commits itself to following the convention's provisions, it will first have to understand these implications. How sensitive are the country's development policies to biodiversity concerns? Do current conservation attempts adequately cover the entire range of life forms? Can modern agriculture integrate diversity concerns, or will it need a drastic change? Who can effectively conserve biodiversity: governments or local traditional communities, or a combination of the two? How relevant are modern science and technology compared to traditional systems? How can conservation, sustainability and equity be achieved in the use of biological resources? What do recent trends in intellectual property rights imply for biodiversity? These are just a sample of the difficult issues that will have to be grappled with and resolved.
+The Indian Context
+India was the first country to sign the convention and the 48th to ratify it in February 1994. The Indian government was clearly of the opinion, not unjustified, that the country had a lot to gain from the convention. In no small measure was this view influenced by the handful of NGOs and individual environmentalists who had recognized its potential, pointing to the following: its provisions on in situ and ex situ conservation can provide a renewed thrust to wildlife protection and a new direction to agriculture; its clauses assuring national sovereignty and mandatory agreements on sharing of biological resources and related technologies can help to stem the wholesale theft of genetic resources from the tropical nations, and redress some of the imbalances between industrial and Third World nations; and its provisions regarding traditional communities can help these communities regain their rights, and some respect and returns for their contributions to conservation and
+sustainable use.
+However, the NGOs repeatedly pointed out that the potential of the convention would remain on paper unless there was greater public debate on the various issues it raised, which would lead to creative and constructive interpretations of the convention's provisions and urgently needed follow-up action. Even the basic a task of taking an inventory of the biodiversity of the country needs to be completed, especially of lower plants, animals and microorganisms. Assessments must be made of the status of species, populations, and various human activities on biodiversity. But research is just one of the urgent tasks needed. We also need a drastic reorientation of our development policies and programmes in all sectors, from agriculture to industry to trade, in order to save not only biodiversity, but the entire natural environment on which we depend.
+Even our conventional conservation strategies, in particular that of protecting wildlife with the aid of a top-down centralized bureaucracy, need to be reviewed in light of what the convention tells us of the role of local traditional communities. Clearly, a much more participatory and decentralized approach is needed.
+Both NGOs and the government also realized that at the intemational level, India needs a whole series of actions. These range from conservation cooperation with neighbouring countries, to regulating foreign access to the country's biodiversity and ensuring appropriate returns for granting such access. It requires action on technology transfer and the safe handling and trade in organisms modified with biotechnology. The issue of intellectual property rights also needs to be dealt with, especially in the context of recent trends under the General Agreement on Trade and Tariffs (GATT).
+Action on Conservation and Sustainable Development
+Although the Earth Summit was seen by many (including myself as a massive show with disappointing results at the government level, it nevertheless had the effect of generating considerable worldwide debate and interest in issues of environment and development and galvanizing a much larger NGO and public effort than before. In the case of the biodiversity convention, until then a peripheral subject discussed between a few government officials and even fewer NGOs in India, it became the focal point of growing interest and debate. Its major effect was felt by many NGOs and individuals already working on the biological, social, economic and political aspects of biodiversity; they received a boost and a renewed direction.
+The provisions of the convention on conservation and sustainable use have attracted limited but critical interest among NGOs. There is a greater recognition that the massive task of taking inventory and studying the country's biodiversity cannot be left to government agencies alone. Ecologists from the Indian institute of Science in Bangalore are now involving college students and teachers as "parataxonomists" in local inventories of the rich Western Ghats ecosystems. In the western Indian state of Gujarat, academics of the Indian institute of Management are helping to organize "biodiversity competitions," in which children are asked to identify local diversity, including crops. A much larger NGO effort to inventory the bird diversity of various regions and assess their status is also beginning.
+Perhaps two of the most significant contributions of the convention in the field of in situ conservation are the attention it gives to the entire range of life forms and to the role of local communities. India's wildlife efforts in the last few decades, impressive though they have been, have concentrated very heavily on big mammals and birds. The new emphasis on diversity has been used by NGOs and independent scientists to focus on the neglected "lower" life forms, including micro-organisms, which have been the least studied of all. These life forms are the most prone to being taken out of the country for their possible pharmaceutical and other values; therefore we need to identify and study them ourselves.
+Secondly, the conventional top-down model of wildlife conservation so far practiced in India is increasingly being questioned as social action groups, working with local communities across the country, demand recognition of the rights of these communities to a share in the benefits and management of protected areas. Again, the convention's emphasis on the importance of indigenous and local communities, for example Article 8j, is used to bolster this argument. In many national parks and sanctuaries, there is a renewed attempt to encourage local community participation.
+The NGO critique of conventional commercial agriculture, in India's case typified by the Green Revolution model of intensive cropping with chemical additives and intensive irrigation, has also received a new thrust by the convention. Resolution 3, which was adopted by all countries at the time of the signing of the convention, deals with agricultural biodiversity. It is being used by NGOs to seek a change in policy. The biodiversity approach calls for a serious rethinking of the Green Revolution strategy, which may have helped us to achieve short-term food security at the expense of a long-term ecological collapse brought about by genetic erosion. An increasingly widespread network of farmers and community-based groups are trying organic farming and renewing indigenous seed and livestock diversity. For example, the Beej Bachao Andolan (Save the Seeds Movement) in the Himalayan foothills is reviving biodiverse cropping patters, with one single farmer experimenting with over
+100 local varieties of rice and an equal number of varieties of kidney beans. Navdanya, which is a network of farmers, formal scientists and activists, is trying the same in the Westem Ghats and other areas. Governments have to respond; for example, in the case of livestock the official machinery has admitted that there has been serious erosion of diversity and has started to move on conserving what is left and reviving what is lost.
+Finally, on the issue of sustainable use of biological resources, the convention has given another tool to NGOs who have long questioned the currently unsustainable and inequitable path of development that India has chosen. Agriculture is one sector, but questions are also being posed to industry, mining, trade, energy and other sectors that use biological resources without much thought about the consequences. Provisions are cited to bolster arguments for a complete overhaul of developmental policy. These provisions are contained in Article 6 on General Measures for Conservation and Sustainable Use, Article 7 on identification and Monitoring, Article 10 on Sustainable Use, and Article 14 on impact Assessment and Minimizing Adverse Impacts. One specific target is the country's Environmental Impact Assessment procedures, under which development projects are scrutinized for their potential ecological effects and then given clearance or rejected; NGOs are asking for the
+incorporation of biodiversity concerns into these procedures.
+Action on Access and Benefit-Sharing
+The convention's provisions on access and sharing of benefits were quickly grasped by some Indian NGOs during the negotiating stage. Pointing to the large-scale transfer of genetic resources outside the country, they started putting pressure on the government to stem the transfer. Based on their own research and on information received from foreign NGOs, they were able to cite specific examples of resource flow that had helped Northem countries greatly, but with no appreciable returns coming back. The environmental action group Kalpavriksh, for instance, cited evidence provided by the Canadabased Rural Advancement Foundation Intemational (RAFI) on the patenting of micro-organisms taken from India by American pharmaceutical companies, and the group put pressure on the governments to take action.
+At about the same time in 1993 and 1994, considerable controversy erupted on the potential impacts of GATT and the runaway trend of patenting life forms and biotechnological products in industrialized countries. This controversy attracted attention among all sections of the Indian public, especially the media. Some NGOs were able to link it with the convention's provisions on access and intellectual property rights (lPRs). They pointed out that unless India took quick action, it would be unable to benefit from these provisions. Articles 15(4) and 15(5), which specify that transfer of genetic material can take place only under mutual agreement and prior informed consent, and Article 16(5), which discourages the application of lPRs that violate the provisions of the convention, were repeatedly cited as potential rallying points.
+This argument has already had partial effect. The Indian government intends to promulgate a notification regulating the cross-border transfer of Indian genetic material. The notification, drafted by a group of governmental and non-governmental experts set up by the Ministry of Environment and Forests (MoEF) in 1995, unfortunately has not been promulgated, since the government is unclear on how to implement it. Indeed it is unclear how it will be administered, given the serious lack of readiness among Indian customs and scientific bodies to monitor the large-scale transfers of genetic material, which are already taking place. Nor are the terms and conditions clear under which transfers will be allowed; an exercise to determine the kinds of material transfer agreements or other contracts that will be acceptable is urgently needed. However, none of these is a strong enough reason not to urgently issue the notification, as only then will implementational difficulties be sorted
+out. Some NGOs are analyzing the agreements reached in several other countries to assess their applicability to India.
+There have also been attempts by NGOs to provide alternatives to the privatized IPR system being promoted by GATT. Having succumbed to pressure from the GATT system and from the increasing number of multinational seed companies entering the country, the Indian Agriculture Ministry is pushing a Plant Varieties Protection Act. However, though it is essentially similar to the international Convention on the Protection of New Varieties of Plants (UPOV), public pressure has led it to introduce significantly stronger provisions for farmers' rights and curbs on the monopolistic rights of breeders than were available under UPOV. In addition, NGOs like the Research Foundation for Science, Technology and Natural Resource Policy, and the Gene Campaign have proposed legislative and other measures for ensuring community intellectual rights, recognizing that much of the information on biodiversity (especially agricultural diversity) is shared by communities and not held in private. Some
+of these suggestions have received a sympathetic response from government but will have to be worked on before entering official policy.
+One of the sections of the convention that has attracted great interest is Article 8J, which commits countries to respect traditional knowledge and practices, seek permission from local communities before using this knowledge, and ensure equitable returns for such use. Even before Rio, NGOs and mass movements pointed out that traditional communities have tremendous experience and knowledge regarding biodiversity, the use of which has benefited larger society, but for which they have received little in return. They now recognize that the convention provides the opportunity to redress this. Apart from arguing for legislative measures to ensure this, NGOs are now systematizing the documentation of traditional knowledge.
+One practical step is the proposal for preparing Community Biodiversity Registers (CBR), in which communities, with NGO assistance, document the wide-ranging traditional uses of biodiversity. Such a register could be used not only as proof of existence of this knowledge to counter attempts by outsiders to monopolize it, but could also be exchanged among communities and be used as a base for capacity enhancement. The proposal, initiated by the Foundation for Revitalization of Local Health Traditions, is now being taken up by groups in various parts of India. A draft of the register format was discussed in early 1995 and was field-tested and put into practice in mid-1995. By early 1997, work on CBRs was in progress in about 40 communities. Though both official and independent formal scientific bodies are involved, care is being taken so that communities have full control over the process, including determining who should have access to the register.
+Various suggestions are being examined to ensure returns to local communities in the wider use of their knowledge and resources. These range from fees and royalties, to development inputs and exemption from the operation of IPRs. Interestingly, some NGOs are also urging the government to ensure that information collected in an All-India Project on Ethnobiology, conducted in the 1980s. is not used for commercial gains without prior consent of the communities of origin, and without appropriate arrangements for returning part of the benefits.
+Government Follow Up
+Not least due to the considerable NGO and local community pressure put on the government to follow the convention, the latter has taken a number of interesting initiatives. These include:
+- Drafting comprehensive legislation on biodiversity to follow the provision of the convention. However, the draft has remained at the stage of a detailed statement of principles, since opinion is divided on whether a single law can deal with all aspects that the convention deals with. At the request of the MOEF, a report on the legal follow up has been prepared by the Centre for Environment Law, WWF-India, which recommends dealing with individual aspects of the CBD in separate laws. No follow up has been done by the MoEF on this report.
+- Formulating a detailed National Action Plan on Biodiversity dealing with the aspects mentioned above and also involving a diversity of governmental and non-governmental experts. Currently, the plan is at the stage of an extended outline. Details were being incorporated by 1995, but the MoEF inexplicably has not moved further since then. However, one state government (Karnataka) has drafted a detailed plan of its own, with special provisions for empowering and benefitting local communities; the draft was prepared by ecologists at the Indian Institute of Science in Bangalore.
+- Hosting a meeting of Asian countries to discuss regional cooperation on matters related to biodiversity in 1994. Though a number of important follow-up actions were decided on, no actual follow-up has taken place.
+- Preparing a detailed status report on biodiversity in India, which covers both agricultural and wild biodiversity. Sponsored by the MoEF, the report was prepared by the autonomous Indian Institute of Public Administration (IIPA). Yet again, the MoEF has not moved ahead on its publication since 1995; IIPA is now planning to publish it on its own.
+- Initiating a dialogue with industry and scientific agencies on enhancing indigenous capacity to sustainably utilize genetic resources.
+- Initiating a process of building on traditional knowledge, especially to create more taxonomic capacity, and in particular with relation to medicinal plants.
+- Informing state and local governments of the broad implication of the convention.
+The Way Forward
+One major lacunae in follow-up to the convention is the relative lack of involvement of local communities and social activists working with them. There is an urgent need to inform grassroots workers of the potential of the convention (as was done in the specific case of IPRs as relevant to GATT). This is especially critical if the convention's major implications are to be seriously followed up, including reviewing development policies from the point of view of biodiversity, giving local communities much greater stake in and benefits from biodiversity conservation, and reviewing the relationship of other international obligations, such as those under GATT, with Indian obligations under the convention. With sustained public pressure, India's follow-up to the convention will hopefully move toward these actions.
+In this context, one of the most important roles that NGOs are playing is to popularize the convention among the general public. Some groups are now translating it into regional languages (Tamil, Malayalam, Hindi) and are spreading awareness in various forms. The voluntary group Kalpavriksh
+has repeatedly brought it into the mainstream media and published the country's first detailed analysis on the implications of the convention. In the last three years, almost every major meeting on wildlife and biodiversity has devoted space to a discussion on the convention. The popular media is carrying many more articles on subjects related to biodiversity than before; some, like Frontline and the annual Hindu Survey of Environment, have consistently carried analytical pieces on the convention. Such exposure is critical if this international agreement is to have the results it deserves.
+<section>The local partners approach to urban waste management in Morocco</section>
+by Magdi Ibrahim and Samuel Watchueng
+Debates about the commitments of governments at the 1992 Earth Summit in Rio underlined the urgency of issues such as drinking water availability in the South and concrete actions in favor of vulnerable sectors. However, despite good intentions, governments and international donors continue to invest in expensive water supply and waste water management systems. These limit the availability of resources and basic services to the most marginalized populations, especially in poor urban areas.
+Morocco's population is approximately 27 million people; about 52% live in urban areas. Although the percentage of households in shantytowns dropped from 12.8% in 1982 to 6.8% in 1992, 900,000 to one million urban dwellers in the country live in a precarious situation, and the number of clandestine dwellers is rising. This means many Moroccans are ecologically, socially and economically fragile.
+The NGO ENDA-Maghreb (Environnement et Developpement au Maghreh), present in Morocco since 1989, has launched a programme on Improving Living Conditions of Marginalized Inner-City Groups. The programme aims to diagnose and carry out participative research, as well as put into action sustainable improvements to living and especially conditions of hygiene, by working in concertation with the communities concerned and in partnership with local authorities.
+Community Management of Urban Waste Programme
+ENDA-Maghreb, in order to support local initiatives, has established a community network to manage urban waste with several associations and local authorities. The network's activities include identifying, developing, setting up, seeking funds for and carrying out projects that collect, treat and recycle solid and liquid urban waste. Actions include assisting local and community-based associations in identifying problems at the neighbourhood level, and providing support that uses local knowledge and appropriate technology in the project conception and launching phases. The combination of appropriate technologies, already tested in other Southern urban contexts, and the norms required by relevant technical departments, especially municipal ones, make up the innovative aspect of the network's approach.
+In this way, the programme addresses the issue of services as well as employment, since it is widely acknowledged that passive subsidies from public institutions do not lead to a real process of change at the local level.
+Tools of the Network
+Partner associations benefit from the technological and methodological support of ENDA-Maghreb through its Technological and Solidarity Support programme (ATS). The programme consists of action-oriented research conducted by an ENDA technical team, which permits young researchers from the North and South to work together from the identification and conception phases right up to implementation of the project.
+ENDA-Maghreb waste management programme covers different neighbourhoods in the following Moroccan urban areas: Figuig, Sale, Rabat, Tiflet, Khemisset, Beni Mellal and Taza. All the projects have several actors involved from project conception; they include beneficiary populations, local associations and cooperatives, agricultural associations, and other popular economic actors, such as waste recuperation networks.
+The communication section of ENDA-Maghreb develops environmental education tools which support public awareness in neighbourhoods and encourage popular participation in the projects.
+An evaluation, formation and action approach which uses training programmes and indicators, allows surveying and evaluation of projects during the implementation phase. The approach allows, through South-South exchange programmes, the possibility of exchange visits of technicians and project organizers of similar initiatives already launched in the Maghreb and the Middle East, such as in Egypt and Tunisia. It also provides knowledge for concerned actors and municipal technicians in the Maghreb about successful experiences in Sub-Saharan countries such as Senegal, Benin and Mali. This helps reinforce a spirit of decentralized cooperation and aids in promoting exchanges of South-South experiences with the necessary adaptation for each local context.
+In order to promote South-South technological exchanges and national and sub-regional actions on environmental themes, ENDA-Maghreb is the focal point of PRECEUP (Programme d'Economie Environnementale. Urbaine et Populaire) for the Maghreb and the Middle East. Thus, the network is part of sub-regional and international actions.
+Role of the Local Authorities
+For all planned activities, the municipality or local authority responsible for providing basic services has demonstrated an interest in the approach proposed by the network. The authorities are particularly interested in improving and lowering the cost of collecting and unloading household wastes. In each project, the municipality or local authority supply land, workers and technicians.
+It is important to note that with decentralization programmes, strengthened local powers are faced with more and more complex problems. In certain cases, municipalities have contacted the network in order to launch projects that adopt appropriate technologies at the local level.
+Objectives
+The main objective of each project is to improve the environment of neigh bourhoods and health and living standards of their residents. Specific objectives are to:
+- establish rehabilitation of liquid wastes and recycling of water for agricultural use;
+- establish appropriate household waste collection services;
+- eliminate in a sustainable way unauthorized dumping of household wastes;
+- treat and recycle waste water;
+- recuperate recyclable materials (paper, cartons, plastic and glass) and recycle these through existing networks.
+- inform the public about environmental issues, especially problems linked to waste management;
+- promote and facilitate pre-sorting of wastes in the household; and
+- create jobs and income-generating activities.
+The activities aim to achieve the following:
+- appropriate systems of water collection;
+- natural draining systems on each site when possible;
+- canal systems to transport purified water to its location for agricultural use;
+- door-to-door collections for residents who live too far away to voluntar ily participate in neighbourhood schemes;
+- retrieval and animal-pulled transport to a pre-sorting unit and composting area;
+- raise citizens' awareness of environmental issues and the management of household wastes;
+- establish mechanisms for voluntary support and assistance by some neighbourhood residents; and
+- sale of nonorganic materials (paper, cartons, plastic and metal) and compost from recycling networks.
+Institutional Mechanisms
+Agreements of understanding have been signed between local associations and local authorities, and a signed convention of the partners is expected between the association, the relevant municipality and ENDA-Maghreb for the implementation phase of the projects. These agreements of understanding specify the role of each partner during the implementation phase of the projects.
+Staffing, and technical needs have been calculated for each project, which has an average span of one to two years. Skills needed include the following: conception, coordination, animation and follow up, evaluation, supervision of local work, sorting, composting and security. The budget for each facet is shared between the local association, the beneficiary population and the municipality. ENDA-Maghreb aims to seek funding for all costs not covered with its donor partners.
+Challenges
+There are both institutional and financial challenges to the projects. Obstacles have been encountered when seeking financial partners for the projects, which slows down and complicates implementation. There are also institutional challenges such as creating a real partnership with local authorities. Institutional and administrative blockages are also common, despite the fact that agreements of understanding have been reached with local authorities.
+Local Needs and Training
+Local associations, which often have fragile structures and little experience in larger projects, also lack sufficient technical capacity to manage urban waste projects and need extra training and follow up. Reinforcement of local capabilities is a challenging task and usually addressed by organizing training workshops on Community Management of Wastes in the framework of the network. Training programmes in public education are also indispensable to implementing the projects.
+Participatory Context
+The participation of all concerned actors in solving problems together helps ensure the viability and sustainability of actions. Beneficiary populations, teachers, economic actors such as recuperators and transporters, local authorities and researchers all contribute to the goal and implementation of solutions to manage household wastes.
+Perspectives and Recommendations
+In keeping within the spirit of the network, the programme continues to identify potential operations, research new project sites and identify local partners, such as municipalities, associations and researchers.
+Partnerships must continually be worked upon in order to promote urban networking among municipal and associated actors that results in an appropriate approach to urban waste management. Local authorities, who are increasingly searching for low-cost, appropriate solutions to urban environmental problems, are aware of the importance of working with civil society partners, especially NGOs, community groups and informal waste recuperation networks.
+In this way the delegation of certain municipal prerogatives of waste collection and management can help diminish the burden to authorities and create local employment at the community level. Capacity building programmes will help improve local systems by improving productivity and working conditions, and providing economic benefits. These programmes will also improve the relationship and communication between local economic actors and the authorities.
+Finally, specific programmes should be implemented that are aimed at enlarging collective services to manage wastes in neighbourhoods and shanty towns. The programmes, which account for specific socio-urban contexts, should focus on rehabilitating and better integrating the concerned neighbourhoods into the urban area in which they are located.
+<section>Pakistan: Implementing agenda 21 locally</section>
+by Tanveer Arif
+Though the sustenance and prosperity of humankind is tied to the sustainable use of fundamental living resources-genes, species, habitats and diversified ecosystems-these are at stake due to high population growth rates, industrialization, urbanization and enhanced economic activities. It has been widely recognized that the factors responsible for the degradation of environments include biological impoverishment, deforestation, unwise consumption patterns by affluent nations, indebtedness of poor nations, skewed land ownership patterns, institutional inertia, cultural preferences, unsustainable migration and settlement patterns, inequitable distribution of wealth, hunger, poverty and pollution.
+Such negative trends cannot be reversed unless individuals and societies start behaving rationally and change our hunger to consume the world's biotic wealth. Agenda 21 focuses on the new policies and management paradigms needed to integrate globally the conservation of ecosystems with other development goals.
+Human beings must be the central point of any development agenda: attainment of this ambitious agenda depends on the eradication of poverty and economic disparities within societies. We cannot talk about sustainable development in a world where there is a great imbalance between population and consumption. The North, with 25% of the world's population, consumes 75% of its resources, while the South, with 75% of its population, consumes 25% of the world's resources.
+Agenda 21 envisages a programme of action for sustainable development based on 27 principles, to be implemented by governments with the collaboration and participation of grassroots communities, donors, NGOs and peoples' organizations. Implementation requires a strong worldwide movement of enlightened peoples' organizations and the creation of a society enriched by full education, employment and empowerment (people having control over their lives and destinies).
+SCOPE and the Implementation of Agenda 21
+In Pakistan the government has taken the necessary action to implement Agenda 21. Ministries, councils and agencies to work on environmental issues have been created. A National Conservation Strategy (NCS) has also been developed by the government, which identifies 14 core priority areas to fight environmental degradation and pollution.
+The Society for Conservation and Protection of Environment (SCOPE) is one of the NGOs that actively participated in the UNCED process and is committed to working for the implementation of Agenda 21. Established in 1988, SCOPE adopted "Think Globally, Act Locally" as its motto. It gave priority to developing linkages with local NGOs, research institutes, universities and government departments. It not only promoted environmental awareness and motivated the grassroots, but it also worked to protect public environmental rights through public interest litigation and advocacy work.
+SCOPE can classify its activities in accordance with chapters 12, 14, 15 and 18 of Agenda 21, which look at:
+- managing fragile ecosystems;
+- promoting sustainable agriculture and rural development;
+- conservation of biological diversity; and
+- protection of the quality and supply of freshwater resources.
+SCOPE Before UNCED
+Some of SCOPE's achievements before the Earth Summit are briefly given below to depict how a small group of volunteers can achieve major results with meagre resources but strong commitment.
+Water Purification Programme
+Because 50% of the population of Pakistan does not have access to safe drinking water, SCOPE launched a clean water programme by developing a community-based drinking water treatment system. SCOPE installed four water purification units in urban and rural communities to provide clean drinking water to residents. These plants are located at Malir Saleh Mohd Village, Rehri Myani and Chanessar Goth. SCOPE has also established a field water testing laboratory to help citizens test drinking water quality.
+Saving Kirthar National Park
+SCOPE learned that the locus Highway project was designed in a way that the main highway would be built by cutting through Kirthar National Park, the largest national park in the country. SCOPE filed a writ petition in Sindh High Court on 20 June 1991, which challenged the permit issued by the government to construct the highway through the national park. It was the first legal petition on environment in the country's judicial history. Consequently, the merit of the case compelled the government to abandon the highway section through Kirthar.
+Legal Fight to Save Houbara Bustard
+For a long time the government allowed Arab dignitaries to hunt the protected and endangered Houbara Bustard with trained falcons. SCOPE challenged this illegal practice by filing a legal petition in Sindh High Court on 8 January 1992, which was admitted by the court. A favourable verdict was handed down by the court on 16 August 1992, in what the national and international media saw as a landmark in the history of the conservation movement in Pakistan.
+Saving Haleji Lake Sanctuary
+Similarly, SCOPE came to the rescue of the wildlife and ecology of Haleji Lake Sanctuary, 50 miles northeast of Karachi, to stop illegal commercial fishing in the lake. SCOPE filed lawsuits against corrupt officials and illegal contractors in court, and again, a decision in favour of SCOPE was handed down.
+Action to Save Manchar Lake
+Knowing that Asia's largest freshwater lake was facing degradation due to the influx of saline water from irrigation drainage canals, SCOPE undertook a Rapid Environmental impact Assessment of Manchar Lake, Dadu District, which called the government's attention to this matter through public complaints and press reports.
+SCOPE After UNCED
+While SCOPE was extensively active before the Earth Summit, it is clear UNCED galvanized many environmental groups worldwide and renewed and increased their commitments to environmental work.
+Combating Desertification
+Immediately after the UNCED, SCOPE decided to play a key role in safeguarding the country's environmental interests. Since the National Conservation Strategy was launched, the official environmental action programme identified land degradation and desertification as the most important priority area of action. Responding to this, SCOPE refocused its work on combating desertification. It keenly followed the negotiating process of the international Convention on Combating Desertification and designed its future strategy to implement the convention, which is a product of Agenda 21.
+Crusade Against Sand Mining in the Malir Valley
+Saving Malir Valley from the ill effects of illegal sand mining was a challenge and test of SCOPE's firm commitment to combat desertification by demonstrating a practical approach to implementing local Agenda 21. SCOPE joined a large group of community-based organizations (CBOs) and farmers who were aware of the severe desertification caused by illegal sand and gravel mining from the beds of the River Malir. SCOPE undertook scientific research, surveys, and organized a series of public hearings and press briefings to attract the attention of government, media and NGOs.
+These efforts bore fruit and the sand mining was halted. The government also announced a small dam project to reverse the process of desertification in the valley. SCOPE is also implementing water-thrifty micro-irrigation schemes and projects to help communities fight desertification in the valley. SCOPE's recently launched Water Harvesting Programme is proving to be a successful model in the valley.
+Fighting Against Waterlogging and Salinity
+SCOPE has been organizing farming communities in the interior of Sindh Province to launch an action plan to save croplands from the twin menace of waterlogging and salinity, both of which are causing severe desertification and productivity loss in the country. SCOPE has implemented a model eucalyptus plantation at a village near Hyderabad, in an effort to biologically rehabilitate waterlogged lands. The project was implemented with the help of a local CBO.
+Aware of the consequences of waterlogging and salinization of soils in Sindh, SCOPE took the initiative and assembled grassroot institutions, NGOs, government departments and international experts to diagnose the constraints, prescribe solutions, and formulate an action plan to combat soil degradation.
+NGOs Meet on Waterlogging and Follow Up
+As a first step towards community participation in combating desertification, SCOPE organized an "All Sindh NGO Conference on Waterlogging and Salinity Check" in Hyderabad on 28-29 March 1994. A large number of representatives of NGOs from the 15 districts of Sindh took part in the conference, along with government officials and experts.
+Organizing the Hyderabad conference was not only a response to a great environmental catastrophe, which was caused by waterlogging and salinity in Sindh, but was an effort to involve grassroots groups in issues pertaining to natural resource management. It was also designed to promote dialogue between government, aid agencies and NGOs on these vital issues.
+Sindh NGO Commission to Fight Waterlogging and Salinity
+As a follow up to this conference, a Sindh NGO Commission on Waterlogging and Salinity was formed. NGOs from all districts of Sindh are represented on the commission. In October 1994, the commission held its first meeting and elections in Hyderabad. SCOPE was elected Central Focal Point of the commission, with the assistance of four NGOs from four divisions of Sindh. The commission also adopted terms of reference that set its strategy for the future.
+Arid Zone
+SCOPE has been implementing a Support Programme for Arid Zone Development to rehabilitate rural agribusiness in an effort to eliminate extreme poverty in the vast arid areas around Karachi. This is taking place with the active participation of the people of 12 villages and entails the development of water resources, conservation of available water resource-stock, reforestation of arid zones for controlled cattle grazing, and plantation of high-income yielding bushes and trees. The programme is being implemented with the help of local NGOs, which have been provided guidance and training by SCOPE.
+SCOPE is also the Regional Focal Point for the Reseau International d'ONG sur la Désertification (RIOD) in Asia. RIOD is the International NGOs Network on Desertification. In this capacity, SCOPE recently organized an Asian NGO conference on implementation of the convention to combat desertification in Islamabad on 27-30 January 1996. The conference was attended by 100 NGO representatives and farmers.
+UNCEU: The Learning Experience
+UNCED has been a continuing source of energy for our work that gave us a new lease of life under the most unfavourable and hostile circumstances. Agenda 21 strengthened our belief that the solution of most complicated problems related to environment and sustainable development is concealed in this document, which was negotiated by governments and civil society in the true sense of responsibility.
+<section>Russian ngos: Searching for a sustainable future</section>
+by Olga Ponizova
+Four years have passed since the Earth Summit in Rio, which capped the gigantic preparatory efforts for policy coordination among different national governmental bodies, business structures, non-govemmental organizations, research centers, financial organizations and international institutions.
+There was no experience before UNCED in facilitating such a significant process for integrating international and national NGOs into intergovemmental negotiations. The time has come to evaluate the initial results of these efforts.
+Disseminating UNCED Ideas
+The process of disseminating information in Russia about decisions made at the Earth Summit was weak and ineffective. The country was involved in a political struggle between the president and Parliament, radical economic reforms caused severe social distortions, and the idea of sustainable development looked very abstract to a disintegrating society. Neither governmental institutions nor mass media paid much attention to publicizing the ideas that came out of UNCED. All the infommation about decisions at Rio were contained in just a few interviews that Russian participants gave to newspapers. Only one overview of this remarkable event was prepared by representatives of academic circles, at a Russian research centre in Siberia. Although some parts of the paper prepared by Mr V. Koptyug of Novosibirsk, present a subjective, communist interpretation of the content of the Earth Summit, nevertheless the effort should be recognized. A set of regular conferences and discussions on
+sustainable development issues were also held. Mr. Koptyug was later awarded a place on the High Level Commission on Sustainable Development, which was set up by the UN Secretary-General.
+Under such conditions of "information hunger," several foreign organizations played an important role in supplying Russians with UNCED materials. Among them is the now defunct Centre for Our Common Future, which supported a Russian translation and publication of a layperson's version of Agenda 21. Written in simple language with clear illustrations, this small brochure has become a manual for organizations who share the ideals of Rio. Unfortunately, full packs of Rio documents are still not accessible, even to specialists.
+NGOs arranged several meetings dedicated to Rio results and follow-up. One activity is the annual forum For Peace, Environment and Development, which since 1992 is organized by the Independent Peace Service. A significant contribution to the dissemination of UNCED decisions also has been made by youth organizations. Sustainability has become a regular topic at the International Youth Forum "Interweek," which takes place annually in Novosibirsk. A set of special publications and youth workshops was provided by the NGO Rainbow/Youth for Environment and Sustainable Development. In 1992 this organization created a network of youth organizations in the Newly Independent States (HIS), which is based on sharing the principles of sustainable development and is fueled by UNCED and Global Forum events. In fact, it became the first Russian non-govemmental organization to include the guideline for sustainable development in its charter. This caused trouble with the NGOs' registration;
+the Ministry of Justice resisted for about a month because Rainbow had such "a strange meaning of aims."
+UNCED raised gender issues and helped facilitate the birth of women's organizations. In November 1993 in Moscow, the congress on Women for Environment took place: during the congress the Environmental Women's Assembly was formed, with achieving sustainable development as one of its main priorities. Another new development in the Russian environmental movement, initiated-by the Earth Summit and its follow-up, are the environmental centres in the business sector. The Committee on Environment has been formed under the aegis of the Russian Chamber of Commerce. It aims to integrate ideas of sustainable development into business policy elaboration. It also formulates recommendations for the government on the development of "green entrepreneurship. "
+NGO Participation in Elaborating National Sustainable Policy
+UNCED confirmed the need to search for new models of development and proclaimed sustainability as a guideline. Participants at the Earth Summit pushed aside the experience of a consumer society and the so-called socialist road to development-both exhaust natural resources and degrade the environment-and approved Agenda 21 as a global manual to help humankind overcome ecological crisis and move toward a sustainable future.
+For Central and Eastem European countries (CEE) in transition, which are challenging new development options, sustainability has become the most urgent goal, and the CEE governments are stimulating discussion on the specifics of sustainable development.
+In 1994 in Russia, the Ministry of Environment announced a competition for the elaboration of a concept for Russia's transition to sustainable development. About 50 NGOs, groups of independent researchers and individual experts participated in the competition. Ideas varied from very radical suggestions, which ignored the market economy, to proposals combining a market-based economy with an active state regulatory role. Russian NGOs used this opportunity to disseminate their views on the urgent political and social reforms needed in Russia, which they considered relevant to the principles proclaimed in Agenda 21. A member of the NGO EcoAccord, the winner of the competition, was included in the official task force set up by the government to prepare a report for the Russian President on the country's transition to sustainable development. The final draft of the report was adopted by a governmental commission, which was made up mostly of representatives from nature exploiting
+ministries, such as oil and energy, water or forestry. However, some principle positions concerning the role of NGOs, decentralization of environmental policy, and strengthening international cooperation have been kept.
+The initial conception was discussed at the First Russian Congress on Nature Protection, held in June 1995, and at the NGOs' preparatory conference. These two events helped air sustainability issues publicly and yielded a number of changes and improvements, which were submitted by participants to the task force.
+On 1 April 1996 the Russian President approved the concept of Russia's transition to sustainable development in Decree N 440 and recommended to the Russian government that it use the key statements and concepts of the document when preparing legal and normative acts and programmes. The President ordered that this work continue through the preparation of a strategy for sustainable development, to be reviewed by the govemment in 1996. At that time we believed a working group was needed to carry out the strategy for sustainable development with equal representation from governmental and non-governmental sectors.
+NGOs also took actions and actively participated in discussions on some key issues of sustainable development in Russia. One of the most important issues formulated in the UNCED resolutions were concerned with protecting wildlife and biodiversity. Russia, which has huge, practically untouched territories, lacks legislation regulating the creation of new reserve areas. The government apparatus also lacks willingness to cooperate with neighbouring countries, such as Finland and especially China, to create joint reserves and national parks.
+A final but most impressive result of NGO activities in this area was a well-organized protest campaign against the construction of a high-speed railroad across natural reserves from St. Petersburg to Moscow. In the end, based on the results of an independent environmental study, Russia's Ministry of Nature Protection backtracked and gave up this "project of the 21st century."
+Another major problem for Russia, which is stressed in practically all the Rio documents and participants' reports, is the need develop public participation in the elaboration of environmental and sustainable development policy. Disclosure of information should be the first important step in this direction, and one can only imagine how difficult is to make this move in a country with such totalitarian traditions.
+Still, there is a war of laws. Some, like the Basic Law, the Russian constitution, and the law on environmental protection guarantee the right of Russian citizens to know the truth about environmental quality. Others, such as the law on state secrets, virtually denies this right. However, the period after Rio has been marked by active NGO campaigns against military and civil threats to the environment. Russian NGOs called for disclosure of information on the nuclear tests that take place regularly on Novaya Zemlya island. Although official representatives from the Ministry of Defense deny dumping military chemical substances in the Barents, White, Kara and Baltic seas? NGOs have demanded that the government conduct special investigations on these issues.
+A number of positive changes in people's awareness of these issues have taken place through a combination of propaganda campaigns and direct actions in regions affected by military toxics or nuclear tests. This interest has increased attention paid by the media to environmental problems in general. In addition, despite the low level of investment in the economy, the inflation rate has stabilized during the last year and unemployment rates are not very high. These positive changes are rekindling interest in environmental problems; interest was already high at the end of the 1980s, before radical economic reforms were launched.
+Becoming a Part of the Global Commons
+As sustainability becomes a focal point for development into the 21 st century, and nations and their governments unite in their willingness to move towards a sustainable future, it is urgent for Russia to find her place in this process. Russian NGOs are paving the way toward global partnerships by strengthening international cooperation in environmental protection.
+In the 1990s NGOs participated in several large-scale projects dealing with biodiversity protection. Some were jointly implemented with international organizations, such as the World Conservation Union (IUCN) and the World Wide Fund for Nature (WWF). Others were initiated by Russian NGOs and have been supported recently by international financial institutions. For example, the Wild Nature Center in Moscow publishes information materials concerning biodiversity issues, and it is involved in the development of a Global Environmental Facility project on biodiversity protection in Russia. Regional members of the Social Ecological Union, one of the largest Russian environmental NGOs, are coordinating their activities to save the Amur tiger in Far Eastern Russia with the United States Agency for International Development (USAID), which is assisting the Russian government to implement an ambitious project on the sustainable management of forest resources in the region.
+From our viewpoint, less attention is focused on cooperation on climate change. First, this can be explained by the technical approach historically used in the fommer USSR to deal with these issues, which might discourage many humanitarian-oriented NGOs from becoming involved in the issue. Second, donor support for this particular issue appears to be low. Also, it is very difficult to stimulate use of alternative energy sources to solve a climate change problem where there is a huge financial deficit and a regular practice of non-payment for energy consumption in the Russian economy. Some Russian NGOs, such as ECO-Defense, took part in the Berlin Summit on Climate Change and related events and work toward public awareness on energy issues. However, in general activity in this field is rather low.
+It is hard to explain the low participation of Russian NGOs in the NGO Network of the UN Commission on Sustainable Development, as well as the weak attempts to attract Russian and the newly independent states NGOs to play an active role in it. Lack of information about the activities, tasks, and aims of the CSD is one problem. To solve this problem, the Russian Association for the United Nations and ECO-Accord started a GLOBAL-lnfo project to facilitate access by Russian organizations to international information on sustainable development. Unfortunately, Russian NGOs haven't expressed much interest in the activities of the CSD. They often concentrate only on local or national problems and ignore the fact that action at all levels is needed to achieve sustainable development.
+There is also tremendous potential in the development of East-South cooperation. Countries in transition and developing countries have a lot in common, such as underdeveloped national economies, unstable national currencies and weak democratic institutions. Non-govemmental organizations might initiate a process of strengthening cooperation with the South in favour of sustainable future.
+Brainstorming Effect
+It is now clear that the Earth Summit had a major influence on Russian society. It raised considerable public awareness on sustainable development problems, stimulated discussion and debate, contributed to breaking old stereotypes on intensive exploitation of natural resources as the only way to economic wealth and political power, and it raised the intellectual capacity of society. Russian NGOs played their own important role in promoting these changes. Since Rio, sustainable development has become an integral part of overall national policy in Russia. To a large extent, Russian NGOs contributed in elaborating the basic text for Russia's transition to sustainable development, and they initiated a number of concrete projects based on sustainability principles. Still, a lot of work remains to be done in order to involve different sectors of Russian society in the sustainable development process.
+<section>Scotland after UNCED</section>
+by Jacqueline Roddick
+Scotland is a small country: five million people, with their own political identity, legal and educational systems, regional civil service and two historic languages. United since 1707 with England, Wales and Northern Ireland, and 60 million people represented in a single parliament, Scotland has not forgotten its own national political identity. Small countries provide an easier target for the penetration of new ideas; there are fewer people to be told, and they know one another. Political weakness gives them a greater incentive to listen. So there may be some lessons in the post-UNCED Scottish experience for the international community.
+Lesson 1: Seeds Sprout Where the Ground is Fertile. If Not Always Politically Convenient
+Scotland already had a Major Groups body when UNCED was convened, so bringing another together on environmental issues was not an impossible feat. The Constitutional Convention, which is campaigning for a regional parliament, unites local authorities, trade unions, churches, some business organizations (particularly those representing small business), and the Labour, Liberal Democrat and Green Parties (though not the Conservatives or the Scottish Nationalists). The Labour Party holds a clear majority of parliamentary seats in urban Scotland, and this pattern is reflected in the convention's support among local authorities. Rural Scotland votes Conservative, Liberal Democrat, Labour and Nationalist.
+The convention is chaired by a churchman, Canon Kenyon Wright, who is also Director of the Kairos Centre for a Sustainable Society. In 1991, viewing the Rio negotiations as a vital moral issue, Canon Wright took advantage of his contacts in the convention to approach local authorities and suggest the creation of the Scottish Environmental Forum. Trade unions and church groups gave him their support, as did the crucial local authority sector, whose members were in the process of adopting environmental charters.
+So did non-government organizations including the World Wide Fund for Nature (WWF) of Scotland, Friends of the Earth (FOE) Scotland, and Oxfam Scotland. A few months later individual academics working within the forum created the Scottish Academic Network on Global Environmental Change (SANGEC).
+Under Canon Wright's leadership, the forum was more interested in campaigning to change consumer patterns in Scotland than in following the Rio negotiations. A series of "Pledges for the Planet" were organized. Separated from London by a day's train journey, Scottish organizations had virtually no involvement in pre-UNCED participative processes within the United Kingdom. Nonetheless, individuals did go to Rio and returned to play a part in local environmental politics. SANGEC had two members involved in Earth Summit PrepComs and held press conferences and put together periodic briefings on the negotiations.
+Lesson 2: Cooperation with Local Authorities Provides the Foundations
+After Rio, the forum acquired a new constitution and a long list of supporters, as local authorities in particular took on board the importance of their role in implementing Agenda 21.' A rapprochement with the regional government, the Scottish Office, resulted in recognition of the forum and funds to match those provided by local authorities. The forum was keen to make progress on a "Scottish sustainability strategy" in line with the recommendation in Chapter 8 that every country should draw up its own national sustainability plan. Canon Wright used his talents as a facilitator of consensus to bring together representative economic institutions such as the Scottish Council for Development and industry (representing local authorities and industry).
+But negotiations over many months produced little more than a decision to back the idea of a broad participative process rather than a model economic plan produced by a paid consultant, which some NGOs preferred. Small business representatives disappeared. Local authority participants, the backbone of the forum, were now represented by professional environmental managers and were becoming restless. It was not clear how a consensus body could create an entirely new map of a "sustainable Scotland," nor what motivation different Major Groups would have to choose "facilitators" or make the effort to contribute once a facilitator had been chosen.
+Meanwhile, NGOs and academics alike were discussing national reports. Scottish Wildlife and Countryside Link, WWF-Scotland and others, earlier had taken the initiative of commissioning a 1991 State of the Scottish Environment Report covering agriculture, forests and fishing. It was just over 80 pages and jointly financed by the Scottish Office at a cost of UK£5000. Kevin Dunion moved from being Oxfam's Campaign Organizer to Director of Friends of the Earth Scotland. With his support and that of SANGEC, there was a brief flurry of interest in the possibilities of creating an independent NGO report on Scotland, though the project died because of lack of funds. In response to early post-UNCED enthusiasm on indicators,' SANGEC held a seminar in Edinburgh to review the State of the Scottish Environment Report with one of its authors, Dr. Tom Dargie. Dr. Dargie's account of his experience was starkly convincing on the pitfalls inherent in a comprehensive "scientific" 80page
+national report, and he suggested using the alternative 700-page Canadian model.
+Lesson 3: Fears, Frictions and Confusion are Normal
+In 1993, two episodes triggered local authority uneasiness. In June a SANGEC/Scottish Environmental Forum representative chaired the NGO working group on national reports at the Commission on Sustainable Development and gave its report to the appropriate working group in the name of the forum. In September, Canon Kenyon Wright together with Cathy McCormick, a Glasgow community activist, appeared at the UK national conference on Partnerships for Change, which was sponsored by the Conservative government.
+Logically, neither episode should have been particularly alarming. The SANGEC speech at the UN was cautious about any rigid reporting framework, reflecting an acquaintance with Southern hostility to "conditionality" as well as the strictures of Dr. Dargie, while Canon Wright went to Manchester accompanied by a well-known working class environmental activist. Nonetheless, there was a sense of alarm, particularly among members from Labour authorities. On one hand, they felt the forum was making no progress; on the other, they feared it was becoming a radical green crusade with dangerous ties to the Conservatives. In words, it was taking forum members into national and international political arenas with implications they did not understand.
+One outcome was a change in the forum's leadership: Canon Wright was removed as chair and replaced by Kevin Dunion. FOE-Scotland had a track record of working with local authorities on their environmental charters, and plausible contacts with Labour. Canon Wright was elected vice-chair.
+Lesson 4: If in Doubt. Find a Catalyst
+Another outcome was a shift in SANGEO policy toward the forum. SANGEC members had been involved in the creation of the Commission on Sustainable Development and were aware of the political importance of national reports. They were also aware of the importance of independent NGO reports as a complement to what governments said. If there was doubt about the forum's willingness to take up this role, then other UNCED-accredited NGOs would have to step into the breach. Giving local authorities some experience of the commission, and the political parameters within which it worked, became priorities.
+In April 1994, SANGEC members working with local authorities joined with Strathclyde Regional Council's representative in the forum to organize a conference on indicators for the Conference of Scottish Local Authorities (COSLA). This was an exercise in educating local authority officers who were not experts in environmental issues. The organizers were cautious in handling their audience: local academics working on environmental issues were allowed to participate with strict instructions that they say nothing, for fear that an expert brief would alienate those in local authorities, where support for putting UNCED into practice would rest. The following day, SANGEC held an "expert" conference on the issue of indicators involving the COSLA conference organizers, Dr. Dargie of State of the Scottish Environment Report fame, a representative of Canada's State of the Environment Unit, and members of the English New Economics Foundation, which is working with WWF-UK on indicators
+for the Commission on Sustainable Development (CSD). After the conference soundings were taken among SANGISC members, and a report of the conference and the different positions taken within it was hastily written up for the 1994 CSD in May.` With scientific opinion in Scotland divided on the credibility of fixed set indicators, and SANGEC members with experience of the Rio negotiations worried about Southern reaction to new forms of "conditionality," this document leaned heavily on the conclusions of the local authority working group. "In the last analysis," it said, "those working at the local level must have the final say."
+Lesson 5a: Learning by Doing- One Toe in the Water..
+Three weeks after the April conferences, three SANGEC representatives arrived at the 1994 commission: SANGEC's coordinator, Jane Brooke, Cathy McCormick (representing local community activists who had long pressed the council to remodel its housing stock to solve the problem of fuel poverty and ill-health triggered by dampness), and the housing policy research officer from Glasgow District Council (Scotland's largest local authority). Cathy is well known in Scotland, not only from television but also as a campaigner with Scottish Education and Action for Development, which has a track record in bringing together representatives of poor communities in Southern countries and in Scotland on issues where there are common interests. At the last minute, the Scottish Environmental Forum adopted her as its own representative at the 1994 CSD as an "observer." The effort had begun to taring Scottish major groups into the CSD by bringing "their own people" to the commission to learn
+what it was about.
+The experience was a success. Through Cathy, FOE-Scotland became more enthusiastic about the UN and the commission. Glasgow District Council began to be aware that work done in its housing department was contributing to environmental sustainability and gave the effort tentative political backing. Further contacts were made through the UN, including a contact with the International Conference on Local Environmental initiatives. City Housing is now working with the Organisation of Economic Co-operation and Development (OECD) and the Greater Glasgow Health Board to explore the social, economic and health impacts of its energy strategy and examine the implications of adopting a sustainable development strategy as an enhancement to sound professional practice.
+Lesson 5b:...Needs to be Followed by Others as Soon as Possible
+Over the summer, SANGEC intensified efforts to build on this first contact, in conjunction with Reforesting Scotland, which was also accredited to the commission. Scotland's absent woodland-the Old Caledonian Forest, demolished over a thousand years ago leaving bare and barren hills-is locally a high profile environmental issue. The goal was to produce a Scottish NGO report on Chapter 11 of Agenda 21 on deforestation and the Forest Principles. The chosen vehicle was a conference bringing together speakers from the regional government (the Scottish Office), local community activists with a track record on campaigning for land reform and the right to take over stateowned plantation forests, local NGOs with practical experience of sustainable forestry, and others with relevant national or international experience. The time scale was short, since it had to comply with commission reporting requirements: three summer months to organize the conference, and a further month to put
+together the final report. Initially, Reforesting Scotland and other NGOs were enthusiastic.
+Over the summer months, anxiety set in. Conference attendance was unpredictable. No one knew what a report would look like, or what expert evidence it would need, since the corps of scientific expertise on forestry in Scotland is large. No one knew how to handle reporting to the commission on UK government performance: relationships with government departments-sometimes tense, sometimes friendly-could be jeopardized if the report was too "confrontational." But a bland report would anger NGOs, who felt strongly that the UK government was much more progressive on issues of participation overseas than in Scottish rural communities. The exercise was almost abandoned. SANGEC insisted: whatever Northern government departments might feel about NGOs reporting on their activities, members believed that independent NGO from the North were essential to the survival of the Commission on Sustainable Development beyond its 1997 review.
+In the end, the conference went forward, with financial help from the UK Economic and Social Research Council, and political help from community activists. The Scottish Office sent a representative, and Forestry Commission experts attended.
+The conference, which included a rich exchange of Scottish experiences and viewpoints, also took in a summary of Welsh experience in the field of sustainable forestry that set benchmarks for the involvement of small farmers and local communities. The contact was made possible by financial help from WWF-Scotland.6 Putting together a ten-page report able to cover the essential issues of biodiversity, standards of sustainable forest management and participation took longer than expected, as SANGEC, with help from the Centre for Human Ecology in Edinburgh and Reforesting Scotland, circulated different successive drafts. The report was a month late going to its FAO Focal Point-though a month earlier than the final version of the UK government's own report-and still had gaps. But it worked. The report was neither "confrontational" nor uncritical. Its expert credentials were reasonable, thanks to hard work by local NGOs involved with woodland regeneration and retired experts on
+biodiversity in boreal forests. Furthermore, it looked like an appropriate NGO report on Scotland's lost forests, which recognized the human tragedy involved in their loss and the human responsibility for environmental degradation. Many people had been touched at some point by the reporting process, and the report gave voice to something that was a touchstone of national political identity for the Scottish environmental movement. Suddenly, making Scottish reports to the Commission on Sustainable Development began to look feasible.
+Lesson 6: Coordination Must Allow for Intra-Stakeholder Competition
+Meanwhile the struggle of the forum's steering group to find a distinct role for itself in a post-UNCED context continued. A successful conference on Sustainability in the Workplace was organized in April 1994 and drew in industry representatives, as well as local authorities, churches and NGOs. This provided a snapshot of the issues that all groups felt were most critical to progress on the environmental agenda, but it provided no "hard" strategy or conclusions. Forum working groups were set up on specific issues, including work with local communities, work on models of a "sustainable Scotland," and preparation of an adequate newsletter and briefing service. A vital extra resource was found in the shape of six months' salary for a coordinator, located initially at Friends of the Earth Scotland.
+SANGEC members and others involved in local authority work were keen to have the forum take initiatives in the field of work with local communities and take the lead in preparations for local authority-led "local Agenda 21s." But efforts to develop a second conference on the role of local communities were hampered throughout 1994 by the competing interests of different participants. Canon Wright, together with the churches and the Scottish Environmental Education Council, set about transforming his original moral crusade into a programme for community work, both moral and educative, called Vision 21. The Community Service Volunteers, also represented on the forum's steering group, had received Scottish Office funding for a newsletter covering local community involvement. Parallel work was also being carried out by Scottish Education and Action for Development, which by 1994 was in the middle of organizing conferences and tours around the theme of alliances designed for
+Shifting the Balance.
+Furthermore, local community councils, statutory bodies with varying degrees of real local participation across the country, were given responsibilities in this field by the Scottish Office.. By mid-1994 the Association of Community Councils began to turn to Friends of the Earth Scotland for advice in an area where they had little previous experience. The future relationship between this body and activist groups was unclear. Tensions were already emerging in rural areas between groups, such as the Highlands and Islands Forum with twelve years of encouraging and teaching community empowerment, and other participative bodies inspired by the new interest of local authorities. A possible conflict was visible between activist forums and those more closely linked with different tiers of government.
+By the end of 1994, a corporate view of what the forum was for finally began to develop. There would be many local NGO and local authority initiatives under Agenda 21. The forum's responsibility was not to organize them but to help activists develop them within a framework where they reinforced one another. inevitably there would be conflicts; the forum would be the body with overall authority for mediating frictions and facilitating compromises. It would act in the rural area as "a forum of forums," and perhaps ultimately in urban areas as well.
+Lesson 7.- The Best Recipe for Harmonizing the Results is Agenda 21
+Following the Scottish NGO Report on Forests, reporting to the commission began to seem the best interim vehicle for establishing this role. Local authorities were interested; reporting would allow them to take credit for the progress that was being made on the environmental front. Smaller NGOs, as well as FOE-Scotland and WWF-Scotland, recognized its legitimacy. Among community groups, the Highlands and islands Forum had already participated in the Scottish NGO Report on Forests.
+The chapter structure of Agenda 21 was now seen as an opportunity. There was no need to develop a whole-scale strategy for a sustainable Scotland at once. Rather, within each year's calendar of chapters, a focus could be found to which Scotland had something to contribute, and the forum could take the opportunity to develop a coordinated Scottish non-government view of the state of play, the opportunities and the obstacles. Progress toward a national sustainability strategy could be made in parts and build on what was already there. On the key chapter, the forum could perhaps bring together a small group around a table to draw up a list of issues that should be covered by the report, and follow it up with a broader seminar to discuss the report and elect a committee to write it. Where individual organizations had something more to contribute in another thematic area, the forum could help facilitate their participation.
+In January 1995, work began on Chapter 9 of Agenda 21 covering ozone depletion, transboundary air pollution, and CO2 emissions, with the convening of a group of 12 "wise heads" to draw up a list of issues. It was also agreed that the forum's major focus for 1996 would be to hold a conference on the role of local communities in implementing Agenda 21 in Scotland in preparation for the 1997 review of the commission's work.
+Conclusion
+It has taken national governments time to get the elements of their administrations together to carry out their UNCED commitments, and most NGOs see progress to date as far too slow. But local authorities and nongovernment organizations have also been slow to carry out their responsibilities under UNCED. All the problems of coordination between departments, characteristic of the national level, recur in regional centres like the Scottish Office, and all over again in local authorities. Nor is coordination necessarily any easier among individual NGOs competing for funds than it is among employees and ministers from different government departments.
+In the end, the success of UNCED depends on local success in getting three processes going in quick succession: the education of non-environment departments, as well as local NGOs and members of other major groups, about the details of the UNCED agreements; their involvement in implementing the agreements within their sphere of competence; and the creation of mechanisms for resolving conflicts among them. Reports from Major Groups on how these processes are going, and what overall progress has been made on implementation, may or may not solve the needs of the CSD Secretariat for accurate and standardized information. But they can provide a vehicle for putting the processes themselves in motion, and thus:
+- teach those without special knowledge of environmental issues what needs to be implemented by forcing them to get their "act together" to meet an international deadline;
+- reward with recognition and publicity work that is being done by brave souls in advance of their sector; and
+- bring sectors and individuals with different views together to sort out a common view.
+The process is a necessary step towards creating the product. That, at least, is the lesson we have learned in Scotland in the last few years.
+Notes
+1. UK local authorities estimate that 70% of Agenda 21 requires local government action.
+2. The Secretary of State for Scotland has departmental responsibility for the Scottish Office. Individual members of Parliament for the ruling UK party are assigned sub-departments within the Scottish Office.
+3. 'The Road from Rio: Institutions and Indicators' in SANGEC Briefings! September 1992 and 'Institutions and Indicators Update' SANGEC Briefngs, March 1993.
+4. For example, Labour MEP for Strathclyde West, Ken Collins, who chairs the European Parliament's Environment Committee, is a member of the FOE-Scotland Board.
+5. See "Reporting on Sustainability" in SANGEC Bulletin, Spring 1994.
+6. See "People, Forests and Biodiversity" in SANGEC Bulletin, Winter 1994. The approach to WWF-Scotland reflected the importance of its role in chairing the Forests Working Group of Scottish Wildlife and Countryside Link.
+7. As envisaged by Chapter 28 of Agenda 21.
+<section>Agenda 21 for Slovenia</section>
+by Vida Ogorelec Wagner
+"Slovenia, the Green Piece of Europe," is the slogan that is a part of the new campaign for tourist promotion in Slovenia. It reflects the fact that this small country is one of the greatest examples of ecological and landscape diversity in Central Europe. It also reflects the Slovenian people's pride in the nature they have inherited and of their emotional attachment to it. However, behind this slogan are two pressing questions. How really green and sustainable is the existing development trend of Slovenia? And how can we preserve or even improve the natural environment for future generations without having to sacrifice economic development or quality of life? The project "Agenda 21 for Slovenia" is an attempt to stimulate public discussion on these two issues.
+Transition: An Opportunity for Sustainable Development
+Since 1990, Slovenia has been in a process of transition as it shifts from a socialist to a market economy, builds an independent state, and begins approaching the European Union. While the current changes in social and economic systems present a unique opportunity for the implementation of sustainable development, there is a growing danger that this opportunity may be missed. In order to address this, non-governmental organizations decided to initiate a public discussion on how to reach the goals set by the world leaders in Rio de Janeiro in 1992. Agenda 21 for Slovenia, a project of Slovenian nongovernmental organizations, materialized in response to what they perceived to be signals from the Slovenian government that it did not recognize the importance of environmental issues and the commitments made in Rio. The NGO believe there is no political will to implement the the 1993 Environmental Protection Act, and there is no national programme of environmental protection, in
+fact, budget spending for environment has been in decline since 1991. At the same time, the Green Party received 9% of the votes in the 1990 election. This reflects a somewhat Utopian concept of sustainable development on the part of some government officials and relative ignorance of it by others. As a result there is no systematic work in this direction at the government level-no council, strategy or research. The country is rushing into a free-market economy, rather than approaching the model of sustainability.
+Agenda 21 for Slovenia
+The project, coordinated by Umanotera, the Slovenian Foundation for Sustainable Development, began in early 1995 by conducting a brief survey among Slovenian NGOs to determine how familiar they are with key international documents on sustainable development, such as Our Common Future and Agenda 21, and whether they would like to participate in drafting an NGO framework strategy. Even though NGO members were not well-read on the topic, they expressed an overwhelming enthusiasm for the project.
+The first national-level workshop, organized two months later, welcomed 24 members from 19 Slovenian NGOs and a number of observers from governmental institutions. Basic documents were presented, including Our Common Future, Agenda 21 and Beyond the Limits, as well as information on Sustainable Europe (a Friends of the Earth campaign), the Environment for Europe process, and national environmental policy. Workshop participants identified key environmental problems and barriers to sustainability in Slovenia, and participants were asked to distinguish between the root causes of problems and their manifestations or symptoms.
+Three types of social activity were repeatedly identified: cultural, institutional and economic, which together represent a comprehensive social system. The main cause of problems identified was the lack of a holistic approach from politics and science to everyday life. As a result, "solutions" to specific problems emerged as new problems elsewhere or for the future.
+In order to harmonize the necessary social changes with principles of sustainable development, reform must be approached on all three levels simultaneously, with full awareness of the laws applying to interrelations within the system.
+A condensed version of this national workshop was prepared and held by local NGOs in Ljubljana (the capital), Maribor (the second largest town), Trbovlje (an old mining town) and in Novo Mesto (a mixed manufacturing town on the Krka River). These workshops served to compare specific local situations with the national framework.
+A second national workshop, where we produced an action plan for NGOs as an internal document, dealt with the search for solutions. After the workshop, a small group of dedicated individuals worked together on the framework strategy for sustainable development entitled Agenda 21 for Slovenia-A Contribution of Non-Governmental Organizations. The document was based on discussions held in the workshops and included an indepth analysis of the present state of development in various sectors of Slovenia.
+The structure of the action plan followed the three aspects of sustainability. The cultural aspect contained chapters entitled Holistic Approach Lifestyles and Education. Chapters on institutional aspects were entitled Non-Govemmental Organizations, Legal State and Economic Instruments. Chapters on economic aspects were entitled Industry, Energy, Towns and Settlements, Transport, Tourism and Recreation, Agriculture, and Nature Conservation. All topics were interrelated and often considered the same problem from different perspectives because we were dealing with a common social system. The selection did not aspire to cover every issue or to provide answers to every question. Instead we focused on those areas and aspects most significant for sustainable development in today's Slovenia.
+Participating EGO members were consulted on the draft before it was finally edited and sent to print. The public's response was positive: Pavel Gantar, Minister of Environment, announced that the document would be useful to the ministry in drafting the National Environmental Protection Programme. Zare Pregelj, Chairman of the Parliamentary Council on Environment and Infrastructure, expressed the desire for Parliament to study the proposed strategy and possibly to commission a more in-depth study on transition towards sustainable development.
+The project's goal was not only to produce the document; rather, it is an ongoing process to stimulate discussion, first among NGOs, and then among the wider public, particularly decision makers. The chapters on Sustainable Development in Slovenia and on Steps Towards Sustainability explain the actions required at the national level in specific fields and at the local level.
+Clearly, the initiative for this will not come from national or local government. In our opinion the government prefers to do "business as usual" and does not respond to the clear commitments of Agenda 21, which says, "Sustainable development is primarily the responsibility of governments, and this will require national strategies, plans and policies."
+Civil society, on the other hand, recognizes that we share a global responsibility for a "fundamental change to replace unsustainable patterns of production and consumption." Most NGO activities focus on specific areas. For example there is a well-structured plan of action in place for organic farming in Slovenia, with hopes to establish at least one demonstration farm within three years, develop national standards for organic food, and set up a network. In the field of transport much effort was made to prevent Parliament from adopting the National Programme for Highway Construction, which called for building 400 kilometres of new highways by the year 2004. But resistance failed and the highway programme was adopted, despite the fact that 43 NGOs signed a petition against it.
+NGOs in Maribor are having more success with their programme to make the city bicycle-friendly; they have modeled the programme on a project in the nearby Austrian city of Graz. NGO involvement in nature conservation is also showing positive results. For example, at Skocjanski zatok on the Adriatic coast, a wetland is being fumed into a protected area. There are also numerous NGOs working in the field of environmental education, but nationwide coordination is lacking.
+Much of the national activity is being coordinated by Umanotera. In January 1996 it began publishing a quarterly newsletter and has prepared several projects for promotion, policy development and implementation of the transition to sustainable development. The two priority areas of focus are a Local Agenda 21 initiative (where Umanotera is working in partnership with the Ministry of Environment, EcoCounselling Europe and the Regional Environmental Centre), and promotion of economic instruments for sustainability through the project entitled Green Budget Reform Prospects in Central and Eastern Europe (in partnership with the Wuppertal Institute of Germany). The first set of activities is designed to strengthen environmental protection at the local level in Slovenia by means of educational seminars, training courses, counselling, publications and information sharing. The Green Budget Reform is a regional attempt to take advantage of the transition in fiscal and economic
+frameworks in order to apply a gradual shift in taxes from labour to environment, while reducing subsidies that result in environmental damage.
+One of the recommendations from the Agenda 21 for Slovenia workshops was that successful pilot projects incorporating principles of sustainable development in practice offer the best opportunity for building positive motivation and overcoming resistance to change. As a result, a three-year project was designed to "adopt" a farm, assist it in its transition to organic farming and eco-tourism and have it serve as a demonstration farm to offer valuable knowledge and experience in the process of transition.
+According to Agenda 21 for Slovenia, "We are well aware that the road to sustainability will be a long and profound process, necessitating many changes." So we are not discouraged by occasional failures. On the contrary, these provide invaluable learning experiences. The document also summarizes the spirit of the Agenda 21 project:
+"Slovenia's geographic position and the legacy of its past have resulted in combining high economic development and quality of life with a well-preserved natural environment, extremely rich in its diversity of landscape biology. This should not lead us into complacency, however. On the contrary, our challenge is to seize those advantages that have resulted from a delay in Western-style development. From the perspective of sustainable development, many of our 'disadvantages' actually reveal themselves as advantages. Respecting the natural and cultural properties of our land, we can reach a considerably higher degree of development and quality of life. A combination of traditional approaches and modem technology will assist us in living within the limits of environmental space for Slovenia and the planet Earth....With this document, we hope to present an optimistic concept of a human society as a self regulating system, capable of balancing itself with nature while not having
+to sacrifice economic development or quality of life. Outdated social and economic structures will be the only necessary 'sacrifices' in this process."
+<section>Saving the plants that save lives in the South Pacific</section>
+by Kerrie Strathy
+As part of the National Environment Awareness (NEA) Campaign' that was carried out by the South Pacific Action Committee for Human Ecology and Environment (SPACHEE), based in Suva (Fiji), women were involved in an experiential workshop in July 1992 to explore their relationship with forest ecosystems. This article outlines the initial Women and Forests Workshop, which encouraged women to recognize the importance of biological diversity in forest ecosystems and to protect forests for the future. It highlights the traditional medicine documentation and promotion programme that emerged from it. The Women and Forests Workshop and follow-up activities were made possible with assistance from Asenaca Ravuvu, Environmental Education Officer of the Fiji Department of Forestry, who was keen to be involved in this programme because women involved in a three-day workshop in 1991 on forestry issues indicated an interest in learning more.
+The Pacific Islands Developing Countries report to the United Nations Conference on Environment and Development (UNCED) made the point that the nations of the South Pacific region are custodians of a large portion of the earth's surface. Their combined Exclusive Economic Zones (EEZ) occupy 30 million square miles of the Pacific Ocean-an area three times larger than China or the United States of America and ten times the size of India. Land makes up only 1.8% of that total; the islands' population is estimated at 5.8 million.
+South Pacific Islanders depend on the biological resources of their small islands and surrounding ocean to meet their needs. This economic and cultural dependence gives them a close and special relationship with their environment. The main activities on the islands continue to be fishing and agriculture. For some islands, these are the only source of export income. Island ecosystems, however, are extremely fragile and must be handled with care if they are to continue to meet the needs of current and future generations.
+For many generations the islanders have used forest resources sustainably and could go on doing so if the living value of these forests is recognized. Increasing pressure to accumulate cash is now threatening the survival of rainforestsin Fiji and other Pacific countries. Solomon Islands, for example, estimates that if current rates of logging continue all useful timber species will be gone within the next seven years. High population densities and growth are also putting increased pressure on resources such as trees, and on the environment in general.
+Since many of the islands making up the South Pacific region are isolated from one other, they have a high degree of ecosystem and species diversity. Many of the plants found on these small land masses are endemic and found nowhere else in the world. These plants are essential to the health and wellbeing of islanders who use them for food, fuel and medicines.
+The Need for Environment Education
+A sustainable future for fragile island ecosystems and for the earth itself depends upon a healthy environment, economy and lifestyles. But the future well-being of Pacific Islanders also depends on an awareness and commitment to improve all three-every day and not just on 22 April, which is Earth Day. Our survival and that of future generations is being seriously threatened by our actions.
+Effective environmental management ultimately depends upon the widespread adoption of an environment ethic or code of conduct reflecting environment awareness and the need for sustainable development and biological diversity. Sustainable development requires far more than action on the part of United Nations agencies and governments. Cooperation among them is crucial, but sustainable development is not possible without public participation in decision making and the information necessary to make sound decisions.
+We have the ability to make rational decisions about our future. We must learn to live within the limits of our natural resources and find better ways of using, protecting and sustaining them. The people and economies of the Pacific Islands depend on developing and managing natural resources wisely. When we do not live on our income-our renewable resources-we are destroying our capital. Development options that impoverish the environment have no vision.
+Forest depletion is just one of the ways humans are testing the earth's capacity and destroying their capital. With the earth's forests disappearing in excess of an acre a second, a sense of urgency is merely common sense. Solutions are based on environmental awareness-people who are aware of trees' protective functions will not uproot them.
+Since many of the plants found in the South Pacific are used primarily by women, the report of the South Pacific Regional Environment Programme (SPREP), based in Western Samoa, highlighted the need "to facilitate the access to environmental information for all groups, in particular women and youth, in order to enhance the management of resources and the environment." Chapter 8 of Agenda 21 also recognized the need to involve all concerned in decision making and land use management. The need to involve women in managing fragile ecosystems was also highlighted in Chapter 12. Chapter 15 emphasized the particular role of women in the conservation of biological diversity.
+In response to concerns voiced by local women's organizations and the above considerations brought back by the SPACHEE representative to UNCED, a pilot Women and Forests Workshop was organized. Women living in the interior of the larger Pacific Islands, such as Fiji, depend on forests to meet their basic needs for food, fuel, medicines, craft materials and much more. Agenda 21, the SPREP report and the workshop organizers recognized that if forests are used wisely, women will continue to be able to meet the subsistence and cultural needs of their families and contribute economically to the families.
+Women and Forests Workshop
+Organizers of the 1992 Women and Forests Workshop quickly abandoned the idea of holding the week-long workshop entirely in Suva, Fiji's capital. So instead of spending a week hearing about forest ecosystems and the need to conserve biological diversity, participants had an opportunity to experience first-hand why this is important.
+After a brief introduction to forest ecosystems in Suva, participants spent five days with Nadovu villagers who live in and depend on Fiji's productive rainforest. Holding part of the workshop in Nadovu had very positive benefits for the women of Nadovu, for the community, and for workshop participants. They came to understand the true meaning of rainforest since it rained every day except the last one!
+Participants began the workshop by naming their favourite tree and explaining the reasons for their choice. Many named the coconut tree because all its parts-leaves, husk, fruit, wood-are useful. They also identified fruit and nut trees, trees to supply craft materials, trees used for traditional medicine and a variety of other useful trees, such as hibiscus. This initial exercise clearly demonstrated the importance of biological diversity to women, their families and their communities.
+Dr. Randy Thaman, Professor of Biogeography at the University of the South Pacific (USP), encouraged participants to view living trees and forests as capital. Forests, he argued, were traditionally perceived in this way, but with the introduction of the monetary economy, many people came to view logging and other cash-earning activities as the only value of trees and forests. Dr. Thaman concluded by telling participants that, "We must live on the interest, not the capital, provided by our natural resources [such as forests] if we are to provide a good future for our children." For the remainder of the workshop, participants looked for ways to encourage others to value living forests.
+Another goal of the workshop was to look at various ways to communicate messages about environmental protection and forest conservation. Participants learned how songs, posters and videos can convey important information about environment concerns. Songs, such as "Take Care of Our Island" and "Mati Sobu. ua mai" (High Tide, Low Tide) were so popular that participants wanted to perform them at the public opening held on the first evening.' They later wrote their own songs and poetry and suggested printing t-shirts and/or traditional sulus with clear messages as a means of stimulating environment awareness throughout Fiji and the South Pacific.
+The manager of a small logging operation in the next village heard the workshop participants were in the area and invited them to see the sawmill, which was an exciting and stimulating opportunity for the participants. They were immediately struck by the waste and destruction of some logging operations. Leftover bits of trees were pushed down hillsides, and sawdust was left lying in big heaps that were washed towards the river-along with the soil that was being eroded as a result of the loss of forest cover. Earlier, several participants had noticed the red muddy river flowing through Nadovu after the torrential rains the day before. Participants also noticed that the sawmill itself was leaking oil, which was running towards the river.
+The visit to the sawmill had a major impact on participants, and many undertook a number of follow-up activities since the pilot workshop. They developed on-going community awareness programmes related to forest conservation and protection. A Rainforest News Alert education kit was prepared and a video, Protect the Earth and She Will Provide for You, was produced.
+After she graduated from the University of the South Pacific, SPACHEE's representative to UNCED began working with the Fiji Forestry Department to develop more education kits and programmes. Another participant carried out research into pulp logging operations in Fiji. Some developed the Lali Theatre Company as a result of the enthusiastic response to the popular theatre video they saw, and to villagers' reactions to their performance. Other participants have been involved in planting traditional kau salusalu plants, fruit and medicinal trees.
+Traditional Medicine Workshop
+The second phase of the Women and Forests Programme was the Regional Traditional Medicine Practitioners' (TMP) Workshop held in August 1993. Since many of the participants in the pilot workshop had a particular interest in traditional medicine, they played an active role in planning and implementing the TMP workshop. These women were keen to encourage regional information-sharing about traditional medicines and threats posed to them by loss of biodiversity due to rainforest destruction.
+The TMP workshop was held in Fiji, with participants from seven Pacific Island nations who explored the practice of traditional medicine in the Pacific. They represented governments and non-government organizations in Tahiti, Cook Islands, Tonga, Papua New Guinea, Solomon Islands, Vanuatu and Fiji. They included traditional medicine practitioners, Western or so-called modern medical practitioners, educators, conservationists and supporters.
+This workshop was jointly organized by SPACHEE, the Fiji Forestry Department and the Young Women's Christian Association (YWCA). It generated so much interest that the USP and the South Pacific Forestry Development Programme (SPFDP) offered to assist. There was also assistance from the Fiji-German Forestry Project, and the International Women's Development Agency (IWDA).
+The workshop was initially conceived to have only two Fiji participants to make sure countries were represented in a balanced way. Organizers, however, felt that it would be useful to have a larger Fijian group to assist with the Fiji follow-up workshops included in the 1993 Women and Environment Education Project. Much of the work was done in small groups, with the Fijians often working together to ensure they would accomplish something concrete by the end of the workshop; they did manage a rough draft of a traditional medicine handbook for use by village health workers and women in rural communities.
+The basic aim of the workshop was to encourage the documentation and promotion of indigenous knowledge about medicinal plants. Fiji participants brought samples of the plants they use for traditional medicines, and regional participants brought photographs of theirs. In fact, the workshop began the day before the official opening as participants identified a medicinal use for virtually every plant they encountered on the short walk from the dormitories to the dining hall. There was much excitement when participants learned that other islanders were using the same plant species, or that plants they were not currently using had medicinal uses in other countries.
+PASIFICA DECLARATION ON TRADITlONAL MEDICINE
+We, the women traditional medicine healers, conservationists and supporters, who have come together for the first time at the SPACHEE/YWCA/Fiji Forestry Department Regional Traditional Medicine Practitioners' Workshop, held in Fiji, from 23-27 August 1993, do hereby declare that we are committed to Save the Plants that Save Lives.
+We are concerned about the health and well-being of the people of the Pacific and their island environments. We recognize that the loss of traditional medicine knowledge and plants is a serious issue which needs to be urgently addressed as outlined in the Chiang Mai Declaration of 26 March 1988.
+In response to our concern we have formed a Regional Women Traditional Medicine Healers' Associanon to:
+- encourage the conservation of traditional medicine knowledge
+- encourage the documentation and dissemination of traditional medicine knowledge
+- encourage the protection of traditional medicine plants
+- encourage Pacific Is/and governments to recognize the important role that traditional medicine can play in national health services.
+We draw attention of the governments of the Pacific Islands, regional organizations (including Pacific regional offices of international agencies), non-government organizations and the people of the Pacific to:
+- the unacceptable loss of medicinal plants due to habitat destruction
+- the need to encourage research on the availability. safety and efficacy of traditional medicine plants
+- the need for Pacific Is/and governments to recognize the important role that traditional medicine can play in national health services
+- the significant economic value of medicinal plants used today
+- the need to ensure that indigenous knowledge and practice of traditional medicine are respected and protected
+- the need to ensure that researchers respect traditional land ownership and rights, and compensate indigenous people for their use.
+We, the participants of the Regional Traditional Medicine Practitioners' Workshop, call on all people of the Pacific and the world to Save the Plants that Save Lives.
+Participants noted that while traditional medicine is important to the health and well-being of Pacific Islanders, some plant species are becoming hard to find. Another issue was proper identification of medicinal plant species and the conditions they were used to treat. A one-day field visit was organized to the Nakavu Natural Forest Management Project (part of the FijiGerman Forestry Project) to involve participants in an inventory of traditional medicine plants.
+Dr. Ken Chen, World Health Organization (WHO) Regional Adviser for Traditional Medicine in Manila, spoke about WHO's interest in the area of traditional medicine and stressed its important role in achieving WHO's goal of Health for All by the Year 2000. Dr. Wolf Forstreuter, of the Fiji Forest Inventory Project, talked about how minor forest products, such as traditional medicines, are included in their forest inventory in recognition of the fact that a forest can provide much more than timber.
+SPACHEE's chairperson, Dr. William Aalbersberg, talked about the need to document traditional medicine practices and some USP research initiatives to ensure the efficacy and safety of medicinal plants. He also addressed the issues of indigenous knowledge, how researchers should recognize this knowledge, and the rights of landowners to compensation for their knowledge and the use of their plant species.
+The rest of the programme, like the earlier one, involved participants as resource persons and facilitators in discussion groups. Cook Islanders talked about the traditional medicine demonstration garden started by their Conservation Department. Participants from Tahiti talked about the Traditional Healers' Association, which they launched in the early 1980s.
+Participants developed plans to encourage the promotion of traditional medicine practice and the conservation of traditional medicine plant species. These plans include the establishment of traditional medicine associations at national level and demonstration gardens, such as the one established at USP as part of the official closing ceremony.
+Participants were keen to initiate follow-up activities at home. Less than a month after the workshop ended, the two participants from eastern
+Fiji started the Lomiviti Traditional Healers' Association and secured a piece of land in Levuka for a traditional medicine demonstration garden and nursery. Another demonstration garden may be incorporated into the Mount Evans Range ecotourism development. Work is also progressing on a traditional medicine video. These are just a few examples of the many exciting follow-up activities already underway.
+The workshop aimed to determine the need for a network of traditional medicine associations in the South Pacific, but it went one step further and established a Regional Traditional Medicine Association. Workshop participants appointed a provisional executive committee to develop a constitution for the association, encourage national follow-up plans, and plan the next workshop to assess progress on documentation and promotions. Participants also developed the Pasifica Declaration on Traditional Medicine.
+A presentation was made about the workshop to a South Pacific heads of forestry meeting in 1993. It generated a great deal of interest and discussion. The theme of the meeting was What Value Forests and Trees?, and papers focused on non-timber uses. As a result of the presentation, the final statement from the meeting included reference to the medicinal value of forests and the need to conserve medicinal plants. Heads of forestry also identified the need for research on the usefulness and income generating potential of medicinal plants, which could encourage communities to retain and use their forest resources sustainably.
+The interest shown by participants at the heads of forestry meeting led the New Zealand ODA representative to offer to assist the UN Development Programme (UNDP) and the Food and Agriculture Organization (FAO) South Pacific Forestry Development Programme (SPFDP) to work with SPACHEE and the Fiji Forestry Department on a follow-up workshop. The SPFDP and the German aid agency Gesellschaft fur Technische Zusammenarbeit (GTZ) also provided assistance for regional participants to attend, while support from the Canada Fund made it possible for the Fiji participants to join their Pacific sisters. Due to the interest shown by heads of forestry representatives from countries not involved in the first phase of our work, Kiribati, Tuvalu and Marshall Islands were included in the second Regional Traditional Medicine Workshop, held in April 1995.
+At the conclusion of this workshop, it was announced that the Fiji healers and conservationists had worked together to register the Women's Association for Natural Medicinal Therapy (WAINIMATE), as a charitable trust. These healers shared their experience with those at the second Regional Traditional Medicine Workshop, and are anxious to continue working with their Pacific sisters to ensure the conservation of traditional medicine plants, and the integration of traditional medicines into national health delivery systems.
+With assistance from the Canada Fund, Fijian healers are working on a Fijian traditional medicine handbook, which was drafted at the August 1993 workshop. This handbook or cookbook of traditional medicines is designed to be easily understood and used by the layperson, particularly village women. The healers have also assisted in verifying documentation being compiled for the World Health Organization's publication on traditional medicine in the South Pacific by chemistry professors based at the USP.
+Conclusion
+The Pacific, like the rest of the earth, is facing a life threatening assault on its environment, as discussed at UNCED. For many Pacific Islanders, it is already late, but not too late, to take action. While the world situation can be described as desperate, it is not hopeless. There is still time for people to move forward together to build a future that is just and sustainable. To prevent further degradation of fragile island ecosystems, it may be useful to consider the consequences of our actions on the next seven generations, as some societies do.
+The continuing work on traditional medicine documentation and promotion is one example of how a group of women is moving forward to ensure the protection of forest ecosystems and biological diversity. Fiji participants have held several workshops to continue documenting and promoting traditional medicine. These women believe that if people know the medicines found in their forests, they can more readily be convinced to protect them for future generations.
+Notes
+1. The NEA campaign was part of the National Environment Management Project to develop a National Environment Strategy for Fiji. It was designed to stimulate awareness and action to prevent environmental degradation in Fiji. Public awareness was stimulated through community workshops, radio spots, and the production and distribution of posters and leaflets.
+2. South Pacific Regional Environment Programme (SPREP), 1992.
+3. Participants were encouraged to write their own songs in local languages and translate those taught by the singer/songwriter who led this session.
+3. The Lali Theatre Company held its first public performance on World Environment Day (5 June 1993) at the launch of SPACHEE's Low-Income Urban Community Participatory Primary Environment Care Project. The performance drama focused on forest loss and was well received.
+4. At the official closing of the workshop, participants and invited guests assisted with the establishment of a Traditional Medicine Demonstration Garden at USP's main campus in Suva. They included Jim Samisoni (Director of the Fiji School of Medicine), Dr. Lefebre (WHO), Tang Hon Tat and Klaus Enevoldsen (SPFDP), Ruth Lechte (World YWCA), Matron of the Colonial War Memorial Hospital, and representatives from UNDP, the South Pacific Commission's Community Education and Training Centre, the Papua New Guinea Embassy and the British Embassy.
+<section>Zambian women and economic empowerment</section>
+by Katongo Chisupa
+In 1994 retired teacher Martha Mwale saw a friend developing her business very successfully. The 51-year-old former teacher decided to chat with her friend and find out how she had boosted her business. The friend explained that she had obtained a loan of ZK300,000 from the Women Finance Trust of Zambia (WFTZ). She said she also had taken a basic course in business management arranged at a local institution.
+Ms. Mwale later formed a group of her own with nine women marketers. They applied for financial assistance from WFTZ and received a loan of ZK 1 million. Each member qualified for ZK200,000, reimbursable over six months. Initially a 35% interest rate was charged on the loans, although this has risen to 56%, as in most commercial banks.
+"You have to struggle as you know things are not always easy," explains Ms. Mwale, who looks after five of her nine children. "I feel 1 am making more money because 1 am able to look after my family well."
+Ms. Mwale does not share her husband's income from repairing furniture and other items. "Before 1 got the loan, sometimes I would think of closing the shop," she says. Ms. Mwale represents many women who find it difficult to borrow money through normal commercial banks.
+Over the past decade a number of non-governmental organizations (NGOs) have been set up to deal specifically with issues affecting women. WFTZ, in existence since 1994, is one of these groups and is committed to the economic empowerment of women. Its main objective is to empower women entrepreneurs who do not have access to economic resources through credit and savings, while providing information, training, advocacy, lobbying and networking services.
+"It is very difficult to get an overdraft from any bank....It is difficult, but the WFTZ does not demand too many things," Ms. Mwale says. Women who borrow money have to be 18 years of age, a resident in Zambia, have some business sense, and become members of the WFTZ by paying ZK3000.
+When an application is successful, 10% of the loan is deposited in the bank as a guarantee, and a certain amount of the money borrowed is paid at that rate over a period of time. Business confidence of the women applicants is bolstered by the WFTZ through assurances that the bank will help give them advice about the business world.
+The Kabwata market is situated in one of the Lusaka suburbs. It now has five groups of ten women each who are eligible to borrow from the WFTZ. Ms. Mwale paid back her first loan within the stipulated time frame of six months and was immediately eligible for the second one. The WFTZ wasted no time in processing her next loan of ZK350,000. "Today, my table is not well stocked but most of the time it is," explains Ms. Mwale with a tinge of pride in her smile.
+She feels strongly that if a person is self-employed, they have no choice but to work hard, because if they relax they won't get enough bread and butter. Ms. Mwale, whose goods include a variety of vegetables, says one needs to "get the best to get the best....If you get good quality supplies, business will move very fast."
+Joyce Mulenga is thankful to the WFTZ for what it has done for her family. She agrees that the WFTZ has opened the gates to every woman in Lusaka interested in launching a small business. "They are not harsh," she says. "They are good people." Ms. Mulenga joined the bank two days after Ms. Mwale. She runs a restaurant, which specializes in making tea. Under the auspices of the bank, she has taken a short course in business planning management. She was initially given ZK200,000 with nine other marketers receiving similar loans, on condition that each woman should pay back ZK20,000 every two weeks.
+She repaid her loan on time. Unfortunately, some in her group failed to do so due to poor business management and double dealing. Currently Ms. Mulenga has a ZK350,000 loan, which she is repaying at ZK75,000 per month over six months. "It's not much," she says. "I could manage to pay back even if I borrowed ZK 1 million."
+"On a good business day, I make up to ZK100,000. Before, it was very difficult to do business." Ms. Mulenga started from a very poor background. She worked for an older prosperous man selling eggs in various markets from 1982-1990. During that period she learnt the rudiments of business. After the man died, she decided to start her own business with meagre resources. In 1992 she managed to build a shop in Kabwata market and has two dedicated workers.
+Today, she is able to look after her seven children. The family lives in Chawama, one of the townships on the outskirts of Lusaka. "Things have changed for the better. These days I have a lot relatives coming to seek help from me," says the 40-year old divorcee proudly.
+In the sprawling Matero township on the western side of Lusaka, a small group of women runs a block making project. Thirty-six year old Betty Mwanza is the chairperson of the Vwira (Suffering) Women's Club. She leads an extremely determined group of 11 women. With the help of the Finnish International Development Agency (FINNIDA), the women received training in the block making trade from 1994 to 1995. Upon completion of the course, the group approached WFTZ for funding. The response was positive, and they received ZK1.1 million, which they paid back within six months.
+The women are based at a local reformed church, where they make and sell their low-priced blocks to companies, institutions and individuals. The women make an average of 50 blocks per day; 50% of the profit realized is shared every month, while the other 50% is deposited into a bank account or reinvested.
+The women, who are mostly widows or divorcees, make roughly ZK40,000 for every 1000 blocks they sell. So far, their biggest order of blocks has come from a local businessman who asked for 3000 blocks to build his house on the western side of the city, in Lilanda township. "The demand for blocks is very high," says Ms. Mwanza. "We are very happy with the WFTZ for the help they are rendering to the women in Lusaka."
+By the end of March 1996, the trust had approved 334 loan application worth ZK98 million. The major beneficiaries of the money have been marketers at Lusaka-based markets. In general, WFTZ has been satisfied with the loan recovery rate. Except for a few isolated cases, most members have honoured their obligations. "This is a revolving fund which must be paid back so that other marketers may benefit from it," says credit controller Doris Nalumbwe. "Our members seem to appreciate this fact and hence the favorable rate. To ensure that the loans are utilized for the purpose intended, the trust carries out spot checks on the loanee's business." Fortnightly meetings are held with the loanees to review their respective ventures.
+The marketers are also taught the importance business planning, costing and pricing, entrepreneurship, stock control, marketing, banking and safe record-keeping. Members are encouraged to participate in these training programmes to sharpen their business skills and improve their access to credit offered by commercial banks. Training is also offered to suit the members' needs for specific product lines."
+WFTZ's objective to economically empower the women of Zambia- fits in well with that of Agenda 21, which is dedicated in part to strengthening the role of Major Groups, in this case NGOs. Section 27 of Agenda 21 on Partnership with NGOs says they play a vital role in shaping and implementing participatory democracy. It also says that NGOs' independence from government and other sectors of society is one of their major attributes. NGOs can play an important role in helping society to agree on how to move away from unsustainable development patterns.
+The gender inequality that exists in Zambia hopefully can be eliminated by initiatives like WFTZ, which provide business opportunities for women. In Zambia men slowly are changing their attitudes toward their female counterparts, both at home and in the workplace, and accepting to work together as equals. Beneficiaries of the WFTZ loans have become breadwinners in their respective homes. The Zambian government has created what it proudly calls an "enabling environment" to eliminate constitutional, legal, administrative, cultural, behavioural, social and economic obstacles to women's full participation in sustainable development and public life, as stated in Agenda 21. The WFTZ is one such "enabling environment."
+When WFTZ started its operations, the highest loan it could give out was ZK200,000 per person, but over time this has increased to about ZK1 million per individual applicant. However, women are encouraged to apply as a group. Most members are involved in selling charcoal and foodstuffs, although there are some members, such as the Vwiragroup, who have diversified into brick making. The WFTZ holds its yearly general meetings to present audited accounts to the members, discuss financial performance, appraise progress and elect members of the board. During this period, members provide input to determine the future of the trust.
+The WFTZ is aiming to become a self-sustained organization, reach out to a majority of micro- and small-scale women entrepreneurs throughout the country, and be a credible financial institution in the country.
+At the 1975 United Nations World Conference on Women, held in Mexico City, a resolution was passed to establish an institution that would provide financial services to women. Four years later in 1979, Women World Banking (WWB), a global and independent non-profit financial institution, was set up to advocate for full economic participation of women. The WWB has affiliates in more than 40 countries, of which WFTZ is one, and it is governed by an 11member board of directors elected at the annual general meeting. Board members are professional women lawyers, bankers, accountants, managers and business women who serve voluntarily and are not salaried.
+The WFTZ lead comes from institutions, such as the Grameen Bank of Bangladesh, which started slowly and worked with a few poor women in rural Bangladesh by giving them loans.
+WFTZ General Manager Moonde Yeta stresses that the organization doesn't want to make the mistake of going all over the country at the same time. It prefers instead to take a cautious approach: for the next two years, the bank hopes to continue working in the vicinity of Lusaka. "I know this hurts women in rural areas and those outside Lusaka and we feel for them strongly," explains Ms. Yeta. But we also feel that it is better for us to build a sustainable organization that is going to be there beyond the 21 st century and that is our ultimate goal for this organization to be the bank for women."
+Notes
+1. In 1996, 1000 Zambian Kwacha were worth approximately one US dollar.
+The United Nations Non-Governamental Liaison Service (NGLS) is an interagency unit of the UN system that facilitates dialogue and fosters cooperation between the UN system and the NGO community worldwide on global development issues. NGLS has offrices in Geneva and New York.
+The work of NGLS is currently supported by:
+o United Nations Development Programme (UNDP Lead Agency)
+o United Nations Conference on Trade and Development (UNCTAD-Administering Agency)
+o Food and Agriculture Organization of the United Nations (FAO)
+o International Fund for Agricultural Development (IFAD)
+o Office of the United Nations High Commissioner for Refugees (UNHCR)
+o United Nations Centre for Human Settlements, UNCHS (Habitat)
+o United Nations Children's Fund (UNICEF)
+o United Nations Department for Policy Coordination and Sustainable Development (UN/DPCSD)
+o United Nations Department of Public Information (UN/DPI)
+o United Nations Educational, Scientific and Cultural Organization (UNESCO)
+o United Nations Environment Programme (UNEP)
+o United Nations International Drug Control Programme (UNDCP)
+o United Nations Population Fund (UNFPA)
+o World Bank
+o World Food Programme (WFP)
+In 1996, NGLS also received financial support for its activities from the Governments of Canada, Denmark, France, Netherlands, Norway, Sweden, Switzerland and the United Kingdom, and the United Nations Centre for Human Rights, International Labour Office (ILO), United Nations Industrial Development Organization (UNIDO) and from a number of NGOs.
+For further information on NGLS's activities, please contact:
+o UN-NGLS, Palais des Nations, CH- 1211 Geneva 10, Switzerland, Telephone +41-22/798 5850, fax +41-22/788 7366, e-mail <ngis@unctad.org>
+o UN-NGLS, Room 6015, 866 UN Plaza, New York NY 10017, USA, Telephone +1 -212/963 3125, fax +1 -212/963 8712, e-mail <ngis@igc.apc.org>

ccm-ldn-terms/data/indexing/training/bostid_b02moe.key

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+AMARANTHUS
+PLANT PRODUCTION
+GEOGRAPHICAL DISTRIBUTION
+NUTRITIVE VALUE
+SEEDS
+MERCHANTS

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+<title>Amaranth:  Modern prospects for an ancient crop  (1984)</title>
+<section>Amaranth: Modern prospects for an ancient crop (1984)</section>
+Report of an Ad Hoc Panel of the Advisory Committee on Technology Innovation Board on Science and Technology for International Development (BOSTID) Office of International Affairs
+National Research Council, 1984
+<section>Acknowledgments</section>
+PANEL ON AMARANTH
+DONALD L. PLUCKNETT, Consultative Group on International Agricultural Research, The World Bank, Washington, D.C., Chairman
+MELVIN G. BLASE, Department of Agricultural Economics, University of Missouri, Columbia
+T. AUSTIN CAMPBELL, Economic Botany Laboratory, U.S. Department of Agriculture,
+Beltsville, Maryland
+LAURIE B. FEINE, Rodale Research Center, Kutztown, Pennsylvania
+HECTOR E. FLORES-MERINO, Yale University, New Haven, Connecticut
+LINDA C. GILBERT, Product Development, Rodale Test Kitchen, Emmaus, Pennsylvania
+RICHARD R.HARWOOD, Rodale Research Center, Kutztown, Pennsylvania
+SUBODH JAIN, Department of Agronomy and Range Science, University of California, Davis
+CHARLES S. KAUFFMAN, Rodale Research Center, Kutztown, Pennsylvania
+CYRUS M. MCKELL, Native Plants Inc., Salt Lake City, Utah
+GARY NABHAN, Native Seeds/SEARCH, Tucson, Arizona
+HUGH POPENOE, International Programs in Agriculture, University of Florida, Gainesville
+ALFREDO SANCHEZ-MARROQUIN, Instituto Nacional de Investigaciones Agricolas (Proyecto NAS/INIA), Mexico D.F.
+ROBIN M. SAUNDERS, Western Regional Research Center, Cereals Unit, U.S. Department of Agriculture, Berkeley, California
+JOSEPH SENFT, Amaranth Consultant, Emmaus, Pennsylvania
+JAMES L.VETTER, American Institute of Baking, Manhattan, Kansas
+DAVID E.WALSH, General Nutrition Corporation, Fargo, North Dakota
+SPECIAL CONTRIBUTORS
+G.J.H. GRUBBEN, Research Station for Arable Farming and Field Production of Vegetables, Lelystad, Holland
+T.N.KHOSHOO, Secretary, Department of Environment, Government of India, New Delhi,
+India
+JUDITH M.LYMAN, Rockefeller Foundation, New York, New York
+JONATHAN SAWER, Department of Geography, University of California, Los Angeles
+ARRIS A.SIGLE, Amaranth Farmer, Luray, Kansas
+THEODORE SUDIA, U.S. Department of the Interior, Washington, D.C.
+NOEL D. VIETMEYER, Professional Associate, Board on Science and Technology for
+International Development, Amaranth Study, Director National Research Council Staff F.R. RUSKIN, BOSTID Editor
+MARY JANE ENGQUIST, Staff Associate
+CONSTANCE REGES, Administrative Secretary
+<section>Preface</section>
+Amaranth, a little-known crop of the Americas, is grown either as a grain crop or as a leafy vegetable. Despite its obscurity, it offers important promise for feeding the world's hungry. In the National Academy of Sciences' 1975 study Underexploited Tropical Plants with Promising Economic Value, amaranth was selected from among 36 of the world's most promising crops. Since then, extensive research has been done on the plant, and this book provides a more detailed examination of its characteristics and prospects.
+The panel that produced this report met in September 1981 at the Rodale Research Center of Rodale Press in Emmaus, Pennsylvania. There, panel members examined a field of grain amaranth ready for harvest as well as test plots of several hundred amaranth varieties. They also sampled many amaranth products from the Rodale Test Kitchen. The panel members are indebted to Robert Rodale and his staff for their assistance and hospitality.
+This report, resulting from the panel's deliberations, is intended for agencies engaged in development assistance and food relief, officials and institutions concerned with agriculture in developing countries, and scientific communities with relevant interests.
+This study is one of a series that explores promising plant resources that heretofore have been unknown, neglected, or overlooked. Other titles include:
+· Underexploited Tropical Plants with Promising Economic Value (1975)
+· Making Aquatic Weeds Useful: Some Perspectives for Developing Countries (1976)
+· Tropical Legumes: Resources for the Future (1979)
+· The Winged Bean: A High-Protein Crop for the Tropics (second edition, 1981)
+This series of reports is issued under the auspices of the Advisory Committee on Technology
+Innovation (ACTI) of the Board on Science and Technology for International Development
+(BOSTID), National Research Council. ACTI was established in 1971 especially to assess scientific and technological advances that might prove particularly applicable to problems of developing countries.
+Funds for this study were provided by the William H. Donner Foundation, which also made possible the free distribution of the report. Staff support was provided by the Office of the
+Science Advisor, Development Support Bureau, Agency for International Development.
+<section>1 Introduction</section>
+In pre-Columbian times grain amaranth was one of the basic foods of the New World-nearly as important as corn and beans. Thousands of hectares of Aztec, Inca, and other farmland were planted to the tall, leafy, reddish plants. Some 20,000 tons of amaranth grain were sent from 17 provinces to Tenochtitlan (present-day Mexico City) in annual tribute to the Aztec emperor Montezuma.
+Amaranth was interwoven with legend and ritual. On various days of the religious calendar,
+Aztec women ground the seed, mixed it with honey or with human blood, and shaped it into forms of snakes, birds, mountains, deer, and gods that were eaten either during ceremonies at the great temples or in little family gatherings.
+Apparently, this use of amaranth in pagan rituals and human sacrifice shocked the Spanish conquistadors, and with the collapse of Indian cultures following the conquest, amaranth fell into disuse. In the Americas it survived only in small pockets of cultivation in scattered mountain areas of Mexico and the Andes. Corn and beans became two of the leading crops that feed the world, while grain amaranth faded into obscurity and today is largely forgotten.
+The Spanish conquest had ended amaranth's use as a staple of the New World and slowed the spread into world agriculture of a highly nutritious food. That amaranth was so important to the Aztec and other New World diets makes it a promising unconventional crop to investigate. Most of the world now receives the bulk of its calories and protein from a mere 20 species-notably cereals such as wheat, rice, maize, millets, and sorghum; root crops such as potato, sweet potato, and cassava; legumes such as beans, peanuts (groundnuts), and soybeans; and sugarcane, sugar beet, and bananas. These plants are the main bulwark between mankind and starvation. It is a dangerously small larder from which to feed a planet.
+To diversify the food base, we should not overlook lesser-known indigenous crops, such as amaranth. Some of them promise to become global resources. A century ago, the soybean, sunflower, and peanut were considered unworthy of concentrated research. Today, they are among the world's most important crops. Amaranth, too, could rise to universal prominence.
+Grain Amaranths
+Three species of the genus Amaranthus produce large seedheads loaded with edible seeds.
+Amaranthus hypochondriacus and Amaranthus cruentus are native to Mexico and Guatemala; Amaranthus caudatus is native to Peru and other Andean countries. All three are still cultivated on a small scale in isolated mountain valleys of Mexico, Central America, and South America, where generations of farmers have continued to cultivate the crops of their forebears.
+Amaranths are broad-leafed plants, one of the few nongrasses that produce significant amounts of edible "cereal" grain.
+They grow vigorously; resist drought, heat, and pests; and adapt readily to new environments, including some that are inhospitable to conventional cereal crops.
+Amaranth is a beautiful crop with brilliantly colored leaves, stems, and flowers of purple, orange, red, and gold.
+The seedheads, some as long as 50 cm, resemble those of sorghum. The seeds, although barely bigger than a mustard seed (0.9-1.7 mm in diameter), occur in massive numbers-sometimes more than 50,000 to a plant-and are cream colored, golden, or pink.
+With a protein content of about 16 percent, amaranth seed compares well with the conventional varieties of wheat (12-14 percent), rice (7-10 percent), maize (9-10 percent), and other widely consumed cereals. Amaranths began attracting increased research attention in 1972 when Australian plant physiologist John Downton found that the seed also contains protein of unusual quality. It is high in the amino acid Iysine. Cereals are considered "unbalanced" in terms of amino acid composition because generally they lack sufficient amounts of Iysine for optimum health. Amaranth protein, however, has nearly twice the
+Iysine content of wheat protein, three times that of maize, and in fact as much as is found in milk-the standard of nutritional excellence. It is, therefore, a nutritional complement to conventional cereals. (Amaranth protein itself is low in leucine, but this amino acid is found in excess in conventional plant protein sources.)
+Amaranth seed can be used in breakfast cereals or as an ingredient in confections. It also can be parched or cooked into gruel or milled to produce a sweet, light-colored flour suitable for biscuits, breads, cakes, and other baked goods. Amaranth grain, however, contains little functional gluten, so that it must be blended with wheat flour to make yeast-leavened baked goods "rise."
+When heated, the tiny amaranth grains pop and taste like a nuttyflavored popcorn. The popped seeds are light and crisp and are eaten
+In northern India amaranth grain is popped and mixed with honey to make a popular confection called laddoos. (M. Pal) as a snack, as a cold cereal with milk and honey, as "breading" on meats or vegetables, or, held together with honey, as a sweet.
+Although grain amaranth is a crop of the Americas, some time ago (probably since Columbus) Amaranthus hypochondriacus underwent a remarkable migration to Asia. There, during the last century, it became increasingly popular among hill tribes in India, Pakistan,
+Nepal, Tibet, and China. Travellers have reported seeing red and yellow patches of amaranths on the hillsides "tinging with flame the bare mountain slopes." In the Himalayas this amaranth species now is an important crop in a few local areas, and a flat bread made from its seeds is a common food. In fact, it is in this upland Asian region that this American crop now finds its most intensive cultivation. It often occupies more than half of the nonirrigated cropland of the higher elevations in the hills of Northwest India, for example.
+Amaranth is gaining popularity also in the northwestern plains of India as well as in the hills of southern India under the common names rajgira ("king seed"), ramdana ("seed sent by God"), and keerai. Indians pop the grain and make it into confections (called laddoos) with honey or syrup, just the way the Aztec and Maya did centuries ago. And among Hindus, popped amaranth grain soaked in milk is now used on certain festival days when eating traditional cereals is forbidden.
+Vegetable Amaranths
+Seed is not the only nutritious product from the versatile amaranth. The leaves also are rich in protein as well as in vitamins and minerals. They have a mild flavor, and in much of the world young leaves and stems of amaranth are boiled as greens.
+Although virtually unlisted in agricultural statistics, vegetable amaranths may actually be the most popularly grown vegetable crop in the tropics.
+In the hot, humid regions of Africa, Southeast Asia (especially Malaysia and Indonesia), southern China, southern India, and the Caribbean, amaranth species such as Amaranthus tricolor, Amaranthus dubius, and Amaranthus cruentus are grown as soup vegetables or for boiled salad greens (potherbs). In North American deserts, where summers are too hot for lettuce or cabbage production, Amaranthus palmer) has long been a major wild green among Indians. In Greece, boiled Amaranthus blitum leaves have been a favorite salad (called vleeta) since the days of Homer.
+But, as a recent U.S. Department of Agriculture bulletin pointed out, few species of vegetables are so looked down upon.
+The demeaning phrase "not worth an amaranth" exists in several languages. Amaranths are sometimes thought fit only for pigs (hence the common name "pigweed" for one despised American species) and worthy of picking only when one is driven by poverty.
+The same bulletin reports that:
+Among the vegetables of the tropics, few are as easy to grow as the amaranths. Starting from tiny seed, these species can produce delectable spinachlike greens in 5weeks or less, can continue to produce a crop of edible leaves weekly for up to 6 months, and will then yield thousands of seeds to guarantee their survival. In favorable locations they can reseed themselves automatically and thus continue to produce a useful crop almost without attention. They can also invade plantings of other crops and become serious weeds, competing with slower growing weaker species for light and nourishment. In the tropics, amaranths can produce year round. For little effort, they afford a nutritious dish with abundant provitamin A, a vitamin particularly necessary in the tropics for eye health. Amaranths also produce protein efficiently.
+Amaranth Development
+Despite the growing evidence in amaranth's favor, much research needs to be done before the crop can be commercially produced. Agronomists are starting almost from scratch in adapting it to modern needs. Nevertheless, the researchers (see Appendix B) are learning the crop's responses to climate, soil conditions, pests, and diseases. Also, they are breeding short-statured plants of uniform height with sturdy, wind-resistant stalks and high-yielding seedheads that hold their seeds until they are harvested.
+Leading amaranth's development is the Rodale Research Center near Emmaus, Pennsylvania, where more than a thousand different accessions collected from all parts of the world are being bred, grown' and evaluated. Further collaboration has been initiated with scientists in Africa, Asia, and Latin America; as a result, plant lines have been selected to overcome tendencies toward lodging, seed shattering, indeterminate growth, succulence at harvest time, and daylength dependence. This research effort has produced strains with improved baking, milling, popping, and taste qualities, as well as machinery adapted to planting, cultivating, harvesting, and threshing the crop. Lines of uniform color and height that bear their seedheads above the leaves, thus making them suitable for mechanical harvest, are now available. The crop can be said to be on the threshhold of limited commercial production in the United States, where twenty or so farmers are growing the crop. Several companies
+are testing the grain in their products, and an amaranth-based breakfast cereal is available.
+Evidence indicates that amaranths adapt to many environments and tolerate adversity because they use an especially efficient type of photosynthesis to convert the raw materials of soil, sunlight, and water into plant tissues. Known technically as the C4 carbon-fixation pathway, this process is used by a few other well-known fast-growing crops- sorghum, corn, and sugarcane, for example. The C4 pathway is particularly efficient at high temperature, in bright sunlight, and under dry conditions. Plants that use it tend to require less water than the more common C3 carbon-fixation pathway plants. For this reason, grain amaranth may be a promising crop for hot and dry regions.
+Research has mainly emphasized grain amaranths so far, but in 1967 FAO started vegetable amaranth investigations. The following year it began field experiments in home garden projects in Nigeria and Benin. Later it commissioned germplasm collections. As a result, the vegetable branch of the amaranth family is beginning to attract recognition, and FAO has published a report on these species.
+YIELD
+As yet, amaranth agronomists have paid little attention to improving seed yield. The plants are already quite productive, and researchers are concentrating on characteristics-such as ease of harvest and taste and food-processing qualities-that are more fundamental at this early stage. In Pennsylvania, test plots of productive strains of grain amaranths routinely yield 1,800 kg of seed per hectare. In California and elsewhere, small trial plots have yielded up to nearly twice that amount, and at four locations in the Himachal Pradesh and Uttar Pradesh hills of India, lines selected from the local land races have yielded 3,000 kg of grain per hectare. Therefore, researchers suspect that grain amaranths will eventually match the yields of most other cereals.
+As with any new crop, there are many production uncertainties. Problems reported at the various research locations include the lygus bug (an insect that sucks nutrients out of the immature seeds), fast-growing weeds that in some environments overwhelm the slow- starting amaranth seedling, and strains of amaranth that produce seedheads so heavy that they flop over during a summer thunderstorm. These, however, are not insurmountable difficulties.
+FUTURE PROSPECTS
+Together, the grain- and vegetable-type amaranths could provide many nutritious foods for the world. The small seed size is a limitation in planting as well as in harvesting, threshing, and cleaning the grain. But modern experience in the northern Indian plains shows that they have a good chance of adapting successfully and of being quickly accepted by villagers in
+Third World areas where they are adapted.
+In the farming of the future, amaranths could find several valuable niches. They might complement other cereals such as sorghum, millets, or barley, thus helping countries that import large amounts of wheat by providing a locally grown extender. In addition, they would provide a local source of feed grain for the burgeoning poultry industries of developing nations. And, in particular, grain amaranth is a promising new crop for dry lands (areas with
+600-800 mm of rainfall per year)' for tropical highlands up to extreme elevations (3,500 m and above), and as a quick-maturing, dry-season crop for monsoon areas.
+It would be a mistake, however, to expect amaranth to be on dinner plates next year; it took a century for the American public and the farmers to accept the soybean, and it took two centuries for Europeans to accept the potato. Compared with such now-established crops, amaranth has been the object of little modern research or testing. Nevertheless, with today's communications and technology, it should not take that long for amaranth to find its niche.
+Within a few years, it seems likely that this ancient grain of the Americas will return to grace the modern age. Eventually, it may prove to be as rich a legacy of the American Indian as maize and beans.
+<section>2 The Plants</section>
+Members of the genus Amaranthus (family Amaranthaceae) are widely distributed throughout the world's tropical, subtropical, and temperate regions. The genus contains about 60 species.Willis, J.C. 1973. A Dictionary of the Flowering Plants and Ferns.
+Cambridge University Press.
+Growth habits vary from prostrate to erect and branched to unbranched; leaf and stem colors range from red to green, with a multitude of intermediates; and seed colors range from black to white.
+DISTRIBUTION AND ECOLOGY
+Historically, people have cultivated amaranths in environments ranging from the true tropics to semiarid lands and from sea level to some of the highest farms in the world. Ecotypes have evolved that tolerate alkaline sandy soils with pH as high as 8.5, as well as the acidic clays of hillside slash-and-burn fields of the tropics.
+Although traditionally cultivated within 30° latitude of the equator, amaranth can be grown in higher latitudes using strains that will initiate flowering in spite of the longer daylength
+(photoperiod) than that of the tropics. Most grain amaranth cultivation has been concentrated in highland valleys, such as those in the Sierra Madre, Andes, and Himalayas. Generally, traditional farmers in those areas have exchanged seed only with neighbors, so that adjacent semiarid, highland, and subtropical lowland gene pools have remained largely distinct.
+PHYSIOLOGY
+Amaranths, as already noted, are among the group of plants that carry on photosynthesis by the specialized C4 pathway. They are one of the few C4 crop species that are not grasses.
+The C4 pathway is a modification of the normal photosynthetic process that makes efficient use of the carbon dioxide available in the air by concentrating it in the chloroplasts of specialized cells surrounding the leaf vascular bundles. The photorespiratory loss of carbon dioxide, the basic unit for carbohydrate production, is suppressed in C4 plants.
+Consequently, plants that use the C4 pathway can convert a higher ratio of atmospheric carbon to plant sugars per unit of water lost than those possessing the classical C3 (Calvin cycle) pathway.
+Even when their stomata are partially closed, plants having the C4 pathway are able to maintain relatively high rates of carbon dioxide fixation. Since stomata close when the plant is under environmental stress (such as drought or salinity), C4 plants, such as amaranth, perform better than C3 plants under adverse conditions. Also, the reduced stomata! opening reduces the water lost by transpiration.
+Through osmotic adjustment, the plants can tolerate some lack of water without wilting or dying. This is also an adaptation for surviving periods of drought.
+The potential ability to photosynthesize at high rates under high temperature is another physiological advantage of C4 photosynthesis. Research on Amaranthus caudatus cv "edulis" has shown peak photosynthetic activity to occur at 40°C.
+DAYLENGTH
+Many of the amaranths are sensitive to length of day. For example, strains of Amaranthus hypochondriacus from the south of Mexico will not set flower in the summer in Pennsylvania.
+They do, however, mature in the greenhouse during the short-day conditions of winter. The reverse happens with Amararathus cruentus from Nigeria. It remains vegetative for a long period in its equatorial home. However, it goes to seed very early when introduced into the long-day conditions in Pennsylvania and can be used to breed for early-maturing traits.
+Amaranthus caudatus, on the other hand, is known to be a short-day species. It usually flowers and sets seed only when daylength is less than 8 hours. However, some
+Amaranthus caudatus, such as the ornamental "love-lies-bleeding," will set seed at longer day-length conditions.
+ALTITUDE
+Elevation is not a severe limitation. Amaranths grow satisfactorily from sea level to above 3,200 m, but only Amaranthus caudatus is known to thrive at altitudes above 2,500 m.
+TEMPERATURE
+Grain amaranth grows best when the daily high temperature is at least 21°C. Various accessions have showed optimal germination temperatures varying between 16°C and 35°C. The speed of emergence is increased at the upper end of this range.
+Although Amaranthus hypochondriacus and Amaranthus cruentus tolerate high temperatures, they are not frost hardy. Growth ceases altogether at about 8°C and the plants are injured by temperatures below 4°C. Amaranthaus caudatus, however, is native to areas high in the Peruvian Andes and is more resistant to chilling than the other species.
+SOIL
+Field observations indicate that amaranth grows well on soils containing widely varying levels of soil nutrients. Initial studies in Pennsylvania show that young grain amaranth plants grow taller with fertilizer, but the grain yield has thus far shown little improvement. Vegetable amaranth, on the other hand, requires high soil fertility, particularly potassium and nitrogen.
+Grain amaranth requires well-drained sites and appears to prefer neutral or basic soils (pH values above 6). However, this has not been studied carefully, and, with the wealth of amaranth germplasm that exists, it is likely that types that tolerate acid conditions can be found, especially as vegetable amaranth is often cultivated in tropical lowlands where acid soils are common.
+Although the genus is not known for high salt tolerance, an apparent ability to withstand mild salinity and alkalinity is apparent in some species of amaranth. Moreover, Amaranthus tricolor has demonstrated tolerance for soil with high aluminum levels.
+RAINFALL
+For seeds to germinate and establish roots, amaranths require wellmoistened soil, but once seedlings are established, grain amaranths do well with limited water; in fact, they grow best under dry, warm conditions. Vegetable amaranths, on the other hand, require moisture throughout the growing season. Grain amaranths have been grown in dry-land agriculture in areas receiving as little as 200 mm of annual precipitation, and, at the other extreme, vegetable amaranths are routinely grown in areas receiving 3,000 mm of annual rainfall. Indeed, in West Africa, vegetable amaranth production continues even during the torrential rainy season.
+WEEDY AMARANTHS
+Of all the 60 or so amaranth species, only a handful are now used as crops. A few of the others are serious weeds. The main weedy types are A. viridis, A. spinosis, A. retroflexus, and A. hybridus. These are dark-seeded plants with widespread distribution. A. retroflexus ("pigweed") is one of the world's worst weeds.
+These weeds are distinctly different from the grain amaranths highlighted in this report. They tend to be indeterminate and to produce seeds at many different parts of the plant and scatter them during a long part of the season. On the other hand, the cultivated grain types tend to mature over a rather short period and have a dominant seedhead with fewer side branches.
+Like other Amaranth species, the hardy weeds prefer hot, bright sunlight. Their seed is readily spread by birds and water. They frequently occur as pests in pastures, crops, or along roadsides, usually in unshaded areas in competition with other weeds and grasses. In urban areas they are commonly seen in abandoned lots or poking up through cracks in the pavement.
+The seeds of weedy amaranths have remarkably long viability; some have germinated after 40 years. (Much less is known about the viability of the seed of cultivated amaranths, except that seeds stored at room temperature in desiccators may keep well for several years. In high humidity the seeds quickly lose viability, and they also lose their popping quality with age or desiccation.) Of the weedy species, only some types of A. hybridus are worth serious attention as vegetable crops or as breeding parents for grain amaranth improvement.
+The species and varieties cultivated for grain do not carry the same potential for weediness. They lack the strong taproot that is seen in A. retroflexus, for example, and are generally much less aggressive in their habits.
+<section>3 Production</section>
+PLANTING
+Amaranths are usually seeded directly into the field. On rare occasion, vegetable amaranths are transplanted to the field as seedlings when they reach the stage of bearing four true leaves. Seeding density depends on the method of harvest anticipated. Preliminary density trials indicate that' for many Amaranthus hypochondriacus and Amaranthus cruentus cultivars, 320,000 plants per hectare is an acceptable density for yield as well as for stand management. Vegetable amaranths are often grown with densities up to 100 plants per m2.
+Seedbeds should be of good filth, well drained, and fairly level to help prevent rain from washing away the tiny seeds or seedlings. Seeds must be planted no more than I cm deep, and the seedbeds must have fine soil without large clods. Rain falling on this type of seedbed can cause the soil to form a crust that inhibits germination.
+CULTIVATION
+Once the stand is established, maintenance is relatively easy. The broad leaves and erect habit quickly create a closed canopy, making understory weeds only a minor problem under most conditions.
+Grain amaranths can be mechanically weeded until the canopy closes. Most types of grain amaranth mature in 4-5 months. They mature more quickly in monsoonal areas. However, in some highland regions maturing may take as long as 10 months.
+HARVESTING
+A few varieties selected in Pennsylvania are now sufficiently uniform to be machine harvested, but most are not. The main difficulty in mechanical harvesting is that the central flower head matures and dries out while the numerous inflorescences on lower side branches are still moist. High-density planting modifies plant structure to a point where a single seedhead is formed, and this makes mechanical harvest more efficient. Selection and breeding of new varieties that are adapted to mechanical harvest is now in progress. To avoid the problem of nonuniform maturity the grain amaranth now produced in Latin
+America and South Asia is hand harvested. It is then dried in the sun and threshed and winnowed by hand. The small seed size makes cleaning awkward. However, winnowing is not too difficult, since the seed is heavier than the chaff.
+PESTS
+Insect problems are not well documented. In Pennsylvania the lygus bug (Lygus lineolaris) has severely damaged grain amaranth yields by piercing the developing seed and sucking out the juices. Amaranthus cruentus (white-seeded types) seem more susceptible to damage than Amaranthus hypochondriacus. Leaf-miners have also been found on both grain and vegetable amaranth. In Lucknow, India, serious damage to both grain and vegetable types has often been caused by spider mites. In India the stem weevil (Lixus truncatulus) is a major pest of amaranth; its grubs damage foliage and roots and cause the plants to wilt. Leaf rotters (Hymenia recurvalis) also cause considerable damage during rainy seasons.
+Seedbeds should be guarded against ants and termites, which often carry away all the seeds.
+DISEASES
+More study is needed of diseases on both vegetable- and grain-type amaranths. The soil fungus Alternaria alternantherae causes much leaf damage and drastically reduces plant vigor. However, only Amaranthus caudatus has so far proved susceptible to this disease in Pennsylvania. A similar blight disease of leaves and flowers, caused by Alternaria amaranthi (Peck.), has been reported on Amaranthus hypochondriacus in India. White rust, caused by Albiyo bliti, in which white pustules on the underside of the leaves reduce the market appeal of vegetable amaranth, is also common in South India.
+There is evidence that a foliar disease (or perhaps air pollution) affects Amaranthus cruentus in the United States. Leaf and stem diseases caused by mycoplasms have been identified in Peru, and great differences in susceptibility between lines have been noted.
+<section>4 Grain Amaranths</section>
+As already mentioned, amaranth is one of the few nongrasses with potential for becoming a cereal-like grain crop. The main species for this are Amaranthus caudatus, Amaranthus cruentus, and Amaranthus hypochondriacus.
+AMARANTHUS CAUDATUS
+This species is a crop in the Andean highlands of Argentina, Peru, and Bolivia. It has pendulous, blazing-red inflorescences and is commonly sold in Europe and North America as an ornamental under names such as "love-lies-bleeding" or "red-hot cattail," a name shared with unrelated plants. Other forms of the species give much better grain yields. One good variety that has club-shaped inflorescences is Amaranthus caudatus cv edulis (sometimes classified as Amaranthus edulis or Amaranthus mantegazzianus).
+Amaranthus caudatus originated in the same region in the Andean highlands as the common potato. The Spanish conquerors called it Inca wheat, but it is much more ancient than the Incas. Some of its pale seeds, placed in tombs as food for the dead, are more than 2,000 years old.
+The plant is still widely grown in the Andean region, mostly by the Indians who maintain traditional customs. It is usually planted in small patches close to houses, not in large fields as a staple crop. The grain is toasted and popped, ground into flour, or boiled for gruel. It is considered especially good for children and invalids.
+The crop contains a great deal of genetic diversity in South America, and, although only a small sampling has been introduced to other continents, much genetic diversity has been observed in the germplasm collections from northern India.
+AMARANTHUS CRUENTUS
+This Mexican and Guatemalan species is useful both as a grain or a leafy vegetable (see next chapter). The grain types have white seeds; the vegetable types (as well as those used to extract red dye) usually are dark seeded. It is probably the most adaptable of all amaranth species, and it flowers, for example, under a wider range of daylengths than the others. Amaranthus cruentus is an ancient food, and in the famous Tehuacan caves in central
+Mexico, archaeologists have dug up remains-both the pale grain and the bundles of plants brought in for threshing-at a dozen levels, dating back 5,500 years. The species is still grown in the region, and popped amaranth seedcakes are sold on the streets of the towns.
+Amaranthus cruentus has also survived as a grain crop in a few Indian villages of southern Mexico and Guatemala and as a crop used to extract a red dye for coloring corn-based foods in the Indian pueblos of the arid southwestern United States, where it probably became established in prehistoric times.
+AMARANTHUS HYPOCHONDRIACUS
+The most robust, highest yielding of the grain types, Amaranthus hypochondriacus was probably domesticated in central Mexico, farther north and at a later time than Amaranthus cruentus. It first appeared in the Tehuacan caves about 1,500 years ago as a pale-seeded, fully domesticated type. It, too, reached the United States in prehistoric time but later became extinct there. Its maximum cultivation today is in India, particularly in the Sutlej Valley in the state of Himachal Pradesh and in the Garhwal and Kumaon regions of Uttar Pradesh.
+Some types of Amaranthus hypochondriacus are bushy; others are tall and unbranched. The species is particularly useful for tropical areas, high altitudes, and dry conditions. It has excellent seed quality and shows the greatest potential for use as a food ingredient. It pops and mills well and has a pleasing taste and smell.
+Evidently, the Spanish took seeds back to Europe at an early date (possibly inadvertently), and, as shown by sixteenth- and seventeenth century herbals, the plant soon spread through European gardens as an ornamental. Around 1700 it was grown as a minor grain crop in Central Europe and Russia and eaten as mush and groats. By the early nineteenth century it had been taken to Africa and Asia, where it is now planted as a grain crop in such widely scattered regions as the mountains of Ethiopia, the hills of South India, the Nepal Himalaya, and the plains of Mongolia.
+PHYSICAL COMPOSITION
+Amaranth seeds are very small; 1,000-3,000 seeds per gram are common. Although selections have been made over the years for pale seeds (the wild species all have black seeds), large inflorescences, and more seeds per plant, there has apparently been little selection for larger seed size.
+Amaranth germ and bran constitute 26 percent of the seed; the flour 74 percent-about the same as in a grain of wheat. When the whole grain is milled, its protein, vitamins, fat, and minerals are concentrated significantly in the bran/germ fraction. Amaranth germ, for example, can contain as much as 30 percent protein. It also contains about 20 percent oil. This shows promise as an edible oil, but no attempts at extracting it have yet been made. The bran is high in fiber, protein, vitamins, and minerals.
+The starch that makes up the bulk of amaranth flour has extremely small granules (average diameter I micron*), a unique dodecahedral structure, and high water-absorption capacity. It is likely to prove useful for applications in the food, plastics, cosmetics, and other industries.
+CHEMICAL COMPOSITION
+Average chemical composition of amaranth grain is shown in Table 1, amino acid content in Table 2. Amaranth has a protein content as high as 16 percent, which is somewhat higher than that found among commercial varieties of common cereals. However, the 'white" flour that is milled out of it has only 7 percent protein, not a substantially different quantity from the protein content of wheat flour used in making white bread.
+The charts on page 7 show the composition of amaranth in comparison with the more common grains. The protein in amaranth seeds is unusual because its balance of amino acids is closer to the optimum balance required in the human diet than that of most plant proteins. As noted already, the lysine content is especially high compared with that found among the most common cereals. Thus, amaranth's importance is that its essential amino acids complement those of corn, rice, and wheat. For example, corn protein is low in both tryptophan and lysine, whereas amaranth has high levels of both.
+TABLE I Proximate Composition of Amaranthus Seeds(a)
+Crude
+Nc
+Protein(b)
+Fat
+Fiber
+Ash
+Species
+A. cruentus(c,d)
+A. cruentus x hypochondri- acus(d)
+A. edulisd (A. caudatus)
+A. hypochondriacus(e,f)
+a Dry basis (original moisture contents, 6-11%)
+b N x 5.85
+c Average of two A. cruentus samples
+d Becker et al., 1981
+e Cheeke and Bronson, 1980
+f Average of four A. hypochondriacus samples
+Source: Saunders and Becker, 1983
+Amaranth protein, itself, is low in the amino acid leucine, which is not a serious limitation because leucine is found in excess in most common grains.
+The nutritional value of amaranth protein is very good. Protein efficiency ratios (PER) have ranged from 1.5 to 2.0 (corrected to casein 2.5) for cooked grain, and its total digestibility is about 90 percent. Amaranth protein, at a biological value of 75, comes closer than any other grain protein to the perfect balance of essential amino acids, which theoretically would score 100 on the nutritionists' scale of protein quality based on amino acid composition. By contrast, corn scores about 44, wheat 60, soybean 68, and cow's milk 72. When amaranth flour is mixed with corn flour, the combination almost reaches the perfect 100 score, because the amino acids that are deficient in one are abundant in the other.
+The fatty acids of amaranth oil comprise about 70 percent oleic and linoleic acids, about 20 percent stearic acid, and about 1 percent linolenic acid. The oil also contains uncommonly high levels of squalene.
+Antinutritive factors, such as saponins, trypsin inhibitors, and tannins, occur in amaranth grain but at similar levels to those found in legumes and in some other grains
+(notably sorghum). Much more information is needed on these components, but as of now they are not thought to present any nutritional hazard.
+PROCESSING
+As with other grains, foods containing amaranth can be prepared by using simple low-energy techniques. Cleaned, unprocessed whole grain can be made into porridge by simply boiling it briefly in water. If toasted or parched lightly, the whole grain becomes a pleasant tasting food that can be eaten without further preparation. The whole grain can also be sprouted for use as a nutritious vegetable. Moreover, tasty foods can be prepared by popping or puffing the whole grain into small white kernels that taste like popcorn. This preparation is common in Mexico and Central America, where popped amaranth is often used in confections and condiments.
+TABLE 2 Protein Amino Acid Composition (g/16 g of N) of Amaranthus Species
+Species
+Amino Acid
+A. caudatus
+A. hvpochondrracus(a).
+A. cruentus(b)
+Lysine
+Histidine
+Threonine
+Cysteine
+Methionine
+Met + Cys
+Valine
+Isoleucine
+Leucine
+Tyrosine
+Phenylalanine
+Serine
+Glycine
+Arginine
+Alanine
+Aspartic acid
+Glutamic acid
+Proline
+Tryptophan
+Nitrogen recovered
+Chemical score(c)
+a Carlsson, 1980
+b Besetschart et al., 1981
+c The chemical score of whole wheat protein is 73, and of soybean protein, 74 (FAO, 1970)
+Source: Saunders and Becker, 1983
+Grinding or milling amaranth produces a whole-grain meal or white flour. An abrasive mill like that used for milling sorghum or rice seems best, although a roller mill, as used for wheat, can be adapted to handle amaranth. As with other grains, milled products have a much shorter storage life than the whole grain.
+USE IN FOODS
+Amaranth meal or flour is especially suitable for unleavened (flat) breads where it can be used as the sole or predominant cereal ingredient. The flour is used in Latin America and in the Himalayas to produce a variety of flat breads (for example, tortillas and chapaties).
+For making yeast-raised breads or other leavened foods, amaranth meal or flour must be blended with wheat meal or wheat flour because it lacks functional gluten. In such blends, it is likely that the high lysine content of amaranth improves the protein quality of foods that normally would be made from flours of other grains such as corn, rice, or wheat. This is particularly beneficial for infants, children, and pregnant and lactating women.
+Amaranth can be used in many other foods, including:
+· Soups (grain and flour)
+· Pilaf (grain)
+· Pancakes (flour, whole grain, and popped grain)
+· Breakfast cereals (whole, popped, or sprouted-grain flour)
+· Porridge (popped grains in milk)
+· Breads, rolls, muffins, and many other forms of baked foods (flour, popped grain, toasted
+grain, whole grain)
+· Crepes (flour, popped grain)
+· Dumplings, tostadas, tortillas, fritos, and corn pones (flour, whole or popped grain)
+· Cookies and crackers (flour, whole or popped grain)
+· Snack bars (popped grain, toasted grain, or sprouted grain)
+· Toppings (popped grain)
+· Breadings (popped grain, flour)
+· Beverages (flour, popped grain)
+· Fillers (whole or popped grain, flour, or starch)
+· Confections (popped grains).
+FEED
+Unprocessed amaranth grain probably can be used as an animal feed, particularly for poultry. So far, however, it has not been produced in sufficient quantities to be tested extensively in livestock feeding trials.
+<section>5 Vegetable Amaranths</section>
+Most Amaranthus species have edible leaves, and several species are already widely used as potherbs (boiled greens). Over the years, growers have selected types with leaves and stems of high palatability. Their mild spinach-like flavor, high yields, ability to grow in hot weather, and high nutritive value have made them popular vegetable crops, perhaps the most widely eaten vegetables in the humid tropics. In some African societies, for example, protein from amaranth leaves provides as much as 25 percent of the daily protein intake during the harvest season.
+In many tropical regions of India, China, Southeast Asia, and the South Pacific islands, amaranths, such as Amaranthus tricolor and Amaranthus dubius, are grown. They have been cultivated for more than 2,000 years, and many different cultivars, some with brightly colored leaves, have been developed. In humid tropical Africa, Amaranthus cruentus is extensively grown as a leaf vegetable. In much of the Caribbean, Amaranthus dubius and other amaranths are considered among the best of leafy greens.
+In temperate regions of Eurasia, amaranths have long been domesticated as leafy vegetables, as were their relatives, spinach and chard. Amaranthus lividus, a low-growing, succulent, purplish-red herb, was cultivated in the gardens of ancient Greece and Rome and in medieval Europe. In North American deserts, Indians subsisted on Amaranthus palmer) and Amaranthus hybridus until corn and beans could be harvested. They were the only summer leafy vegetables with a dependable yield in the hot and arid conditions.
+Despite the fact that vegetable amaranths are cultivated or gathered in so many regions, few references include more than generalities about their culture. This may indicate both their ease of cultivation and the fact that, because of wide adaptability, the optimal conditions for maximum yields are not known. Often the seeds are not sown at all and natural seed fall provides the following year's crop.
+Since the plants grow rapidly, the time between planting and harvest of the tender foliage and stems is short-generally only 3-6 weeks. In Tamil Nadu (South India) plants are pulled 3 weeks after sowing and used as "tender greens." Certain varieties remain succulent longer and can be harvested after up to 5 weeks of growth. Varieties suitable for periodical cutting (clipping) are also available. The first cutting is done at 20 days after sowing, and thereafter weekly cuttings are possible for up to 10 cuttings. At a later age, and particularly after the flowers develop, the foliage and stems become fibrous, brittle, pithy, and unpalatable.
+AMARANTHUS CRUENTUS
+This species has been described earlier as a grain type. A very deepred, dark-seeded form of the species, sometimes known as blood amaranth, is often sold as an ornamental in commercial seed packets. During the nineteenth century, this deep-red form was adopted for use as cooked greens by gardeners throughout the tropics. It became a more important crop in tropical Africa than anywhere else. Like corn, sweet potatoes, peanuts, and other American Indian crops, Amaranthus cruentus was evidently introduced to Africa by Europeans. But then it passed quickly from tribe to tribe, probably as a weed in millet and sorghum seed. It outran European exploration of the interior, so that Livingstone and others found it already in cultivation when they arrived. Today it is being planted and gathered year-round in the humid regions of much of Africa. In parts of West Africa, for instance, the tender young seedlings are pulled up by the roots and sold in town markets by the thousands of
+tons every year.
+AMARANTHUS DUBIUS
+This weedy species is used as a green vegetable in West Africa and the Caribbean and is found in Java and other parts of Indonesia as a home garden crop. One of the best varieties of this species, known as the cultivar "claroen," is particularly popular in Benin and Suriname. Its seeds are extremely small (4,500 seeds per g). It has distinctive dark-green, broad, ridged leaves. It is fast growing, high yielding, and has considerable morphological variation, resulting partly from its repeated hybridization with Amaranthus spinosus. The "greens" of this species are considered very palatable. This is the only tetraploid (2n = 64) species in the genus known so far.
+AMARANTHUS HYBRIDUS
+This weedy species is one of the most common leafy vegetables. It is an herb that grows up to 1.5 m tall. Originating in tropical America, it is now spread throughout tropical areas. In Indonesia it is often planted in kitchen gardens. It also grows wild on moist ground, in waste places, or along roadsides, and thrives in altitudes up to 1,300 m.
+In the markets, bundles of leafy shoots as well as uprooted young plants are offered for sale.
+The tender leaves and young seedlings are used widely in soups and stews. Lamb, beef, chicken, or pork is often added.
+The common name of the plant in Mexico is quintonil. Elsewhere it is known as phak khom (Thailand), bayam (Malaysia, Indonesia), urai (Philippines), and slender amaranth.
+The size and color vary greatly. Red-stemmed varieties are usually planted as ornamentals; green varieties are commonly used as vegetables.
+Amaranthus hybridus has potential to impart early maturity to grain types through crossbreeding.
+AMARANTHUS LIVIDUS
+This widely distributed species (also known as A. blitum) is well adapted to temperate climates and has a number of weedy forms that come with either red or green leaves. It promises to allow the development of highly palatable crossbred vegetable amaranths. In
+Madhya Pradesh, India, the edible forms, known as norpa, are especially liked for their tender stems. This is the species widely eaten in Greece under the name vleeta. It is also grown in Taiwan, where it is known as horsetooth amaranth.
+AMARANTHUS TRICOLOR
+Varieties of this species are native to a large area from India to the islands of the Pacific and as far north as China. It is probably the best-developed of the vegetable amaranth species.
+The plants are succulent, low growing, and compact, with growth habits much like spinach.
+They can be produced as a hot-season leafy vegetable in arid regions when few other leafy greens are available. In India a number of domesticated forms are available, especially in
+Andhra Pradesh, Karnataka, Tamil Nadu, and Kerala. Some ornamentals with very beautiful foliage also belong to this species.
+NUTRITIONAL QUALITY
+The nutritional quality of amaranth greens is similar to that of other leafy vegetables.
+However, because their dry-matter content is often high, an equivalent amount of fresh amaranth often provides from 2 to 3 times the amount of nutrients found in other vegetables (see Table 3). In mineral content, notably iron and calcium, amaranth greens rank particularly well when measured against other potherbs.
+Leaf-protein levels (dry-weight basis) have been reported as 27 percent for Amaranthus blitum, 28 percent for Amaranthus hybridus, 30 percent for Amaranthus caudatus, and 33 percent for Amaranthus tricolor.* The amino acid composition of Amaranthus hybridus leaf protein shows a chemical score of 71, which is comparable to that of spinach.
+High levels of the nutritionally critical amino acids lysine and methionine have been found in the leaves of 13 amaranth species.+ Vegetable amaranths are also an important source of vitamins, especially vitamin A, the lack of which results in a most serious nutritional deficiency in the tropics and leads to blindness in thousands of children each year.
+TABLE 3 Nutrient Content(a) of Selected Raw Vegetable Leaves(b)
+Malabar spinach
+Component
+Amaranth
+Spinach
+(Basella)
+Chard
+Dry matter, g
+Food energy, cat
+Protein, g
+Fat, g
+Carbohydrates
+Total, g
+Fiber, g
+Ash, g
+Calcium, mg
+Phosphorus, mg
+Iron, mg
+Sodium, mg
+Potassium, mg
+Vitamin A, IU
+Thiamin, mg
+Riboflavin, mg
+Niacin, mg
+Vitamin C, mg
+(a) Per 100 g of edible portion
+(b) From Watt and Merrill, 1963
+Source: Saunders and Becker, 1983
+YlELD
+Generally, yields are in the range of 4 to 14 tons per ha green weight. However, vegetable amaranth yields have been reported as high as 40 tons per ha.
+Fertilization, especially with nitrogen, is one of the major factors influencing yield, although few, if any, fertility trials have been done and there is little data for different growing regimens or locales.
+Regrowth can provide four or more harvests a year. In Benin, it has been suggested that the plants be cut when they reach a height of 20 cm and that the harvest interval should be 3 weeks.
+DISEASES AND PESTS
+Insect and disease problems can seriously affect vegetable amaranths. The plants do not grow well during long periods of cloudy, wet weather and are not tolerant of shade. During a monsoon rainy season, for example, damping-off from Pythium and Rhizoctonia is most serious. Another disease, Choanephora cucurbitarum, causes wet rot in leaves and young stalks.
+To reduce such fungal diseases, seedbeds (especially those established during humid weather) must be well drained and located in sunny sites. Manuring can eliminate some of the problems. Various fungicides have also been used successfully.
+Insect damage can be a more serious problem for vegetable amaranths than for grain amaranths. The major pests are larvae of moths and butterflies, as well as leaf hoppers, leaf miners, grasshoppers, and leaf-feeding beetles.
+Slugs and snails also often severely damage young plantings.
+LIMITATIONS
+Green leafy vegetables are known to contain a wide variety of antinutritional factors.
+Amaranth is no exception. Oxalic acid, betacyanins, alkaloids such as betaine, cyanogenic compounds, saponins, sesquiterpenes, and polyphenols all have been reported present in various species.
+Like many other fast-growing plants, amaranth requires and absorbs large amounts of nitrate. Under certain conditions, nitrate accumulates to levels that constitute several percent of plant dry matter. The levels, however, are about the same as those in spinach, beet greens, chard, and other conventional potherbs. Boiling the leaves removes most of the nitrate.
+Green leafy vegetables, including amaranth, also frequently contain large quantities of oxalic acid. Oxalic acid is an end product of metabolic processes and accumulates as the plant gets older. When eaten by humans, it binds some minerals, notably calcium, and makes these unavailable for absorption from the digestive tract, so that a person consuming sufficiently large amounts of them develops a mineral deficiency.
+The oxalic acid levels in amaranth samples can be uncomfortably high (1-2 percent), particularly when the plant is grown under dry conditions. The levels are affected by soil fertility and increase with fertilization. It is because of oxalic acid that amaranths (and many other leafy greens) are boiled before eating. (Boiling makes amaranths nontoxic, because the oxalic acid dissolves in the water.)
+FORAGE
+The fact that boiled amaranth leaves have been an important component of the human diet in many African and southern Asian countries for centuries suggests that it might also be a useful forage crop for animals, particularly ruminants.
+Extensive studies to confirm this have not been conducted, and there are a number of reports in the veterinary literature that implicate species of wild amaranth in the poisoning of livestock. However, these incidents were under dry conditions where weedy amaranths are known to accumulate high levels of nitrate and oxalates and where they survive better than other plants, so the animals could not balance their diet. These observations raise some concern over the possible usefulness of amaranth as a forage crop; research to resolve the issue is well warranted.
+LEAF-PROTEIN ISOLATES
+A future promise of vegetable amaranths is the development of leafprotein concentrates. Compared with most other species, amaranth leaf protein is highly extractable. In one trial, amaranth had the highest level of extractable protein among 24 plant species studied.
+During the extraction of leaf protein, most other nutrients are extracted as well: for example, provitamin A (beta-carotene), polyunsaturated lipids (linoleic acid), and iron. Heating or treating the extract with acid precipitates the nutrients as leaf-protein concentrate. In the process, most of the harmful compounds are eliminated, as they remain in the soluble phase. The green cheeselike coagulum is washed with water slightly acidified with dilute acetic acid (vinegar) to further reduce the amounts of possible antinutritive factors. The resulting leaf-nutrient concentrate is especially useful for young children and other persons with particularly high protein, vitamin A, and iron needs. The fibrous pulp left after extracting the amaranth greens is a suitable feed for animals.
+The protein quality of the amaranth leaf-nutrient concentrate (determined by amino acid composition, digestibility, and nutritional effectiveness) is excellent. It is, however, species dependent, probably because of the presence of secondary substances in some species.
+<section>6 Research Needs</section>
+As noted, amaranth research has been gaining momentum in recent years. While no fundamental obstacles to the crop's future development are apparent, many technical details remain to be explored. Agencies funding agricultural research for developing countries should consider supporting amaranth research and testing. Some recommendations and research needs are listed here.
+COLLECTION AND SCREENING OF GERMPLASM
+Amaranth offers more genetic diversity in its present undeveloped state than do many conventional crops. The broad geographic spread of the genus has resulted in the evolution of many land races in widely separated areas. Several features of their highly variable breeding system and overall reproductive biology provide ample choice of breeding methods.
+This huge gene pool will be very important to the future development of the crop. The genetic characteristics of the types to be found there should be useful in amaranth-breeding programs worldwide, and it is best to have as many available as possible at this early stage in amaranth development. Further systematic collections of amaranth germplasm should be made in Latin America, the Caribbean, India, Nepal, China, and the Pacific.
+These collections should be coordinated with the International Board on Plant Genetic Resources (IBPGR), which is starting germplasm collections in Southeast Asia and has recently completed one in Peru.
+ADAPTABILITY TRIALS
+Although a large number of accessions and progeny from breeding selections have already been screened in Pennsylvania, there has been no organized program to determine the relative adaptability of the better varieties elsewhere. Therefore, it is recommended that a cooperative research network be established in which perhaps 12 promising amaranth varieties are grown in 12 or more locations in different climates.
+The varieties selected for adaptability trials should include a range of species and morphological types that have agronomic potential. This would be an excellent way to obtain indications of the geographical areas where given types will grow best. It would be the first step towards developing "zones" for amaranth adaptability, similar to those used for soybeans.
+Larger trials, involving perhaps 100-500 varieties, should also be undertaken by geneticists and screening nurseries. Demonstration trials under farm conditions are also recommended.
+ETHNOBOTANY OF THE CROP
+Studies of the way people grow and use grain amaranths in Central and South America and the Himalayas, as well as those methods employed to grow and use vegetable amaranths elsewhere, could prove informative. Data could be gathered about the most favorable environments within which the various species can be grown. And much useful information could be collected by documenting the rainfall, temperature, daylength, and soil conditions of these areas. This would permit better targeting to new areas. It would also demonstrate:
+· Lesser-known uses;
+· Soil requirements;
+· Crop ecology (for example, insect damage); and
+· Social aspects of amaranth cultivation and use.
+Although such studies will benefit those wanting to grow amaranth for the first time, it will also assist people who traditionally cultivate the crop.
+WEEDY AMARANTHS
+Seeds of the shattering, weedy amaranth species (for example, Amaranthus hybridus,
+Amaranthus palmer), Amaranthus retroflexus, and Amaranthus spinosus) should not be distributed for cultivation. Nevertheless, these weeds can be useful to the amaranth breeder.
+Amaranthus hybridus is the wild progenitor species of present-day cultivated Amaranthus hypochondriacus and easily exchanges genes with it. For introducing such desirable traits as faster maturation, disease resistance, and wider adaptability in the cultivated forms, the material of Amaranthus hybridus could be invaluable. And Amaranthus spinosus (a diploid), though sometimes a troublesome weed, can be utilized in raising hybrids (F1 triploids) with Amaranthus dubius (a tetraploid) on a commerical scale for forage. This is made possible by the peculiar distribution of male and female flowers in Amaranthus spinosus. The hybrids are fast growing, sterile, and have very soft spines. Feeding trials and nutritional studies are, however, a prerequisite before using such hybrids for forage.
+AMARANTH TAXONOMY
+A taxonomic "key" to amaranths compiled by Laurie Feine is available.
+However, because amaranth taxonomy is so confused, a monograph on the family is needed.
+SOME SPECIFIC RESEARCH NEEDS GRAIN AMARANTH GROWING PRACTICES
+Amaranth cultivation and harvesting practices require several types of research. Many of the following items are site-specific.
+· Selection of types best adapted to local conditions.
+· Use of amaranth in mixed-cropping systems and rotation.
+· Adaptation-it is important to learn the most extreme rainfall, evaporation, and soil
+characteristics under which amaranth can be grown and produce a reasonable yield.
+· Soil requirements-fertility, tolerance for salinity, need for organic matter, and maximum and
+minimum moisture.
+· Effects of growth conditions on chemical composition and nutritive value.
+· Determination of best planting dates, plant density, and weed and pest management.
+· Development or adaptation of machinery: planting implements, thresher, winnower, and
+grain cleaner.
+· Control of diseases (for example, pythium and rhizoctonia fungi) and pests (such as Iygus
+bug).
+· Storage of seeds (for example, the development of techniques to prevent "caking up,"
+which makes planting more difficult).
+DEVELOPING GRAIN AMARANTH VARIETIES
+Breeding goals for grain amaranth include selection for:
+· Desirable growth characteristics such as reduced plant size, reduced sensitivity to
+photoperiod, synchronous flowering, early maturity, reduced lodging, uniform drydown,
+reduced shattering, increased seed size, and high yield;
+· Environmental adaptations such as drought tolerance, pest and disease resistance,
+herbicide tolerance, and efficient fertilizer utilization; and
+· Food quality such as white seeds, palatability, and high levels of protein and essential amino
+acids.
+GRAIN AMARANTH PROCESSING
+Research is needed on the physiology of postharvest handling, especially on the effect of moisture on grain quality and storage. Also needed are studies on:
+· Grain cleaning (especially for medium-scale pilot plants);
+· Removal of sand and weed seeds from the grain;
+· Adaptation of existing machinery to handle amaranth; and
+· Drying and storage of harvested grain (unthreshed grain is hygroscopic).
+Research is also needed on:
+· Processing the whole grain, such as by extrusion cooking, milling whole and popped seed, and toasting, rolling, sprouting, and popping. Any changes in nutritional value or chemical compounds from such processing need to be assessed.
+· Commercial development requirements, such as dry and wet milling, and derivatives (for instance, methylated and carboxy derivatives of amaranth starch).
+· Siorage and shelf life of products.
+· Value of the grain and crop residues for ensilage and for direct feeding to livestock.
+GRAIN AMARANTH FOOD USES
+Important research needs in the use of amaranth grain include:
+· Basic characteristics of seed starch, protein, bran, germ, and oil;
+· Uses in products, including breakfast foods and weaning mixtures, as well as recipe
+development;
+· Nutritional testing in humans;
+· Amaranth's value as a wheat extender or a supplement for added nutritional value in traditional foods such as chapaties, tortillas, weaning foods, chicha, and arepas;
+· Use in infant foods;
+· Nutritional availability of minerals, vitamins, protein, and starch;
+· Amaranth's functional characteristics (viscosity, density, freezethaw stability, heat stability, emulsifying properties) when used in foods, and how grain types differ from one another; and
+· Antinutritional constituents.
+VEGETABLE AMARANTHS
+Vegetable amaranths have been more thoroughly investigated than the grain amaranths.
+Selections have been made by Asian growers for many years. Named varieties suitable for widespread culture are available from seed companies in Hong Kong, Taiwan, and the
+United States (see Appendix C). Nevertheless, the crop could be improved by studies of:
+· Pest and disease resistance;
+· Nutrient uptake and nutrient content at different stages of harvest or crop growth;
+· Leaf yield;
+· Food quality, including tenderness and storage methods to prolong the life of the harvested produce;
+· Use of amaranth leaves as a remedy for vitamin A deficiency;
+· Antinutrition factors and heavy-metal accumulation in response to type and quantity of fertilizers used and type of soil;
+· Production of leaf nutrient concentrate;
+· Regrowth after harvest;
+· Comparison of yield from clipping versus successive planting;
+· Seed production and farmer-selection techniques;
+· Leaf:stem ratio;
+· Late emergence of inflorescences;
+· Planting and cultural practices for efficient use of land, water, and fertilizer; and
+· Crop rotation to avoid soil-borne diseases.
+The benefits and possible toxic problems of vegetable amaranth as a forage also need study.
+NEW USES
+It is possible that amaranth products other than those described in this report could have important potential. Examples are:
+· Natural dyes;
+· Pharmaceuticals (for example, laxatives); and
+· Squalene (a high-priced material found in amaranth seed but normally obtained from shark livers and used in cosmetics).
+ENVIRONMENTAL EFFECTS
+It is important to study the weediness of the most promising Amaranthus species and the likelihood of their becoming pests.
+It is also possible that amaranth pollen and grain may cause undue allergic reactions in some people, and this needs to be assessed.
+<section>Appendixes</section>
+<section>Selected Readings</section>
+An excellent bibliography of amaranth literature has been collected and compiled by the
+Rodale Research Center. (Senft, J. P., C. S. Kauffman, and N. N. Bailey. 1981. The Genus
+Amaranthus: A Comprehensive Bibliography. Rodale Press, Inc., Emmaus, Pennsylvania,
+USA. 217 pp.) A most useful publication for libraries and for those interested in amaranth research, it contains more than 2,600 entries and references organized according to the following subjects: general; genetics/taxonomy; weeds; horticulture/agronomy; plant physiology; plant pathology/entomology; anthropology; and nutritional/ food utilization.
+An amaranth newsletter is being published to help readers keep current with the latest research developments. It includes abstracts of amaranth publications. For further information contact: Editor-in-Chief, Archivos Latinoamericanos de Nutricion, P.O. Box 1188,
+Guatemala City, Guatemala, C.A. Allen, P. 1961. Die Amaranthaceen Mitteleuropas. Die Naturlichen Pflanzenfamilien. Reprint from G. Hegi, Illustriert Flora von Mitteleuropa III 2:461-535, Munich, Germany.
+Aguilar, J., and G. Alatorre. 1978. Monografia de la planta de la alegria. Memoria 1978.
+Grupo de Estudios Ambientales 1(1):156-203.
+Becker, R., E. L. Wheeler, K. Lorenz, A. E. Stafford, O. K. Grosjean, A. A. Betschart, and R.
+M. Saunders. 1981. A compositional study of amaranth grain. Journal of Food Science
+Bosworth, S. C., C. S. Hoveland, G. A. Buchanan, and W. B. Anthony. 1980. Forage quality of selected warm season weed species. Agronomy Journal 72(6):1050-1054.
+Brenan, J. P. M. 1981. The genus Amararnthus in Southern Africa. Journal of South African Botany, Pretoria 47(3):451-492.
+Campbell, T. A., and J. A. Abbott. 1982. Field evaluation of vegetable amaranth (Amaranthus spp.). HortScience 17(3):407-409.
+Carlsson, R. 1982. Leaf protein concentrates from plant sources in temperate regions. Pp. 52-80 in Leaf Protein Concentrates, L. Telek and H. D. Graham, eds. AVI Technical Books,
+Inc., Westport, Connecticut, USA.
+Cheeke, P. R., R. Carlsson, and G. O. Kohler. 1981. Nutritive value of leaf protein concentrates prepared from Amaranthus species. Canadian Journal of Animal Science 61(1): 199-204.
+Cole, J. N. 1979. Amaranth from the Past for the Future. Rodale Press, Inc., Emmaus Pennsylvania, USA. 311 pp., including bibliography of 120 publications.
+Coons, M. P. 1982. Relationships of Amararnthus caudatus. Economic Botany 36(2): 129
+146. Daloz C. R. 1980. Horticultural aspects of the vegetable amaranthus. M.S. thesis, Cornell
+University, Ithaca, New York, USA. 150 pp.
+Der Marderosian, A. D., J. Beutler, W. Pfender, J. Chambers, R. Yoder, E. Weinsteiger, and
+J. P. Senft. 1980. Nitrate and oxalate content of vegetable amaranth. Rodale Research
+Report 80-4. Rodale Press, Inc., Emmaus, Pennsylvania, USA. 15 pp.
+Downton, W. J. S. 1973. Amaranthus edulis: a high Iysine grain amaranth. World Crops25(1):20.
+Edwards, A. D. 1981. Amaranth Grain Production Guide. Rodale Press, Inc., Emmaus,
+Pennsylvania, USA. 20 pp.
+El-Sharkawy, M. A., R. S. Loomis, and W. A. Williams. 1968. Photosynthetic and respiratory exchanges of carbon dioxide by leaves of the grain amaranths. Journal of Applied Ecology
+Feine, L. B., R. R. Harwood, C. S. Kauffman, and J. P. Senft. 1979. Amaranth: gentle giant of the past and future. Pp. 41-63 in New Agricultural Crops, C. A. Ritchie, ed. AAAS
+Selected Symposium 38. Westview Press, Boulder, Colorado, USA. Foy, C. D. and T. A. Campbell. 1981. Differential tolerances of Amaranthus strains to high levels of AL and MN in acid soils. Agronomy Abstracts, 176.
+Fuller, H. J. 1949. Photoperiodic responses of Chenopodium quinoa willd. and Amaranthus caudatus L. American Journal of Botany 36:175-180.
+Gilbert, L., and C. S. Kauffman. 1981. Cooking characteristics and sensory qualities of amaranth grain varieties. Rodale Research Report 81-36. Rodale Press, Inc., Emmaus,
+Pennsylvania, USA. 29 pp.
+Grubben, G. J. H. 1976. The cultivation of amaranth as a tropical leaf vegetable, with special reference to South Dahomey. Communication No. 67. Department of Agricultural Research'
+Royal Tropical Institute, Amsterdam, The Netherlands. 207 pp., including 197 references.
+Grubben, G. J. H. 1980. Cultivation methods and growth analysis of vegetable amaranth with special reference to South Benin. Proceedings of the Second Amaranth Conference. Rodale
+Press, Inc., Emmaus, Pennsylvania. USA.
+Grubben, G. J. H., and D. H. van Sloten. 1981. Genetic Resources of Amaranths: A Global
+Plan of Action. ACP:IBPGR/80/2. International Board for Plant Genetic Resources, Food and
+Agriculture Organization of the United Nations, Rome, Italy. 57 pp.
+Hanelt, P. 1968. Bemerkungen zur Systematik und Anbaugeschichte einiger Amaranthus-D
+Arten. [Contributions to cultivated plants flora. Part 1. Comments on the systematics and the history of cultivation of some Amaranthus-D species.] Die Kulturpflanze 16: 127-149.
+Harris, D. J., P. R. Cheeke, and N. M. Patton. 1980. A note on the feeding value of
+Amaranthus (pigweed) and Chenopodium (lamb's quarters) to rabbits. Journal of Applied
+Rabbit Research 3(3):11-13.
+Haas, P. W. 1983. Amaranth density report. Rodale Research Report NC-83-8. Rodale
+Press, Inc., Emmaus, Pennsylvania, USA. (A 3-year summary of testing to determine optimum plant populations at Rodale Research Center.)
+Hauptli, H., and S. K. Jain. 1980. Genetic polymorphisms and yield components in a population of amaranth. Journal of Heredity 71(4):290-292.
+Heiser, C. B., Jr. 1964. Sangorache, an amaranth used ceremonially in Ecuador. American Anthropologist 66:136-140.
+Hunziker, A. T. 1952. Los Pseudocereales de la agriculture indigene de America. Acme Agency, Cordoba and Buenos Aires, Argentina. 104 pp.
+Irving, D. W., A. A. Betschart, and R. M. Saunders. 1981. Morphological studies on
+Amaranthus cruentus. Journal of Food Science 46:1170-1174.
+Jain, S. K., and H. Hauptli. 1980. Grain amaranth: a new crop for California. Agronomy
+Progress Report No. 107, April 14. Cooperative Extension Service, University of California,
+Berkeley, California, USA. 3 pp.
+Jain, S. K., L. Wu, and K. R. Vaidya. 1980. Levels of morphological and allozyme variation in
+Iudian amaranths, a striking contrast. Journal of Heredity 71(4):283-285.
+Joshi, B. D. 1981a. Exploration for amaranth in northwest India. Pp. 41-51 in Plant Genetic
+Resources Newsletter. AGP:PGR/48. International Board for Plant Genetic Resources, Food and Agriculture Organization of the United Nations, Rome, Italy.
+Joshi, B. D. 1981b. Catalogue on amaranth germplasm. Regional Station National Bureau of
+Plant Genetic Resources (NBPGR), Phagli, Simla 171012, India 42 pp.
+Joshi, B. D., K. L. Mehra, and S. D. Sharma. 1983. Cultivation of grain amaranth in the northwestern hills (India, Amaranthus spp., germplasm, varieties, yields). Indian Farming
+Kauffman, C. S. 1982. Improved grain amaranth varieties and their yields. Rodale Research
+Report NC-81-1. Rodale Press, Inc., Emmaus, Pennsylvania, USA. (A 3-year summary of yield testing at Rodale Research Center.) 45 pp.
+Kauffman, C. S., N. N. Bailey, and B. T. Volak. 1983. Amaranth grain production guide.
+Rodale Research Report NC-83-6. Rodale Press, Inc., Emmaus, Pennsylvania, USA.
+Kauffman, C. S., N. N. Bailey, B. T.Volak, L. E. Weber, and N. R. yolk, 1984. Amaranth
+Grain Production Guide. Rodale Research Report NC-84-6. Rodale Press, Inc., Emmaus,
+Pennsylvania, USA
+Kauffman, C. S., and P. W. Haas. 1982. Grain amaranth: an overview of research and production methods. Rodale Research Report NC-83-5. Rodale Press, Inc., Emmaus
+Pennsylvania, USA. 13 pp.
+Kauffman, C. S., and C. Reider. 1983. Rodale amaranth germ plasm collection. Rodale
+Research Report NC-83-2. Rodale Press, Inc., Emmaus, Pennsylvania, USA. 81 pp.
+Khoshoo, T. N., and M. Pal. 1972. Cytogenetic patterns in Amaranthus. Chromosomes
+Today 3:259-267.
+Koch, B., M. Kota, and I. M. Horvath. 1965. Fodder crops as leaf protein. Agrobotanika 7:19-
+Leon, J. 1964. Plantas alimenticias Andinos. Pp. 71-85 in Boletin Technico No. 6. Instituto
+Intermericano de Ciencias Agricolas Zona Andina, Lima, Peru.
+Lexander, K., R. Carlsson, V. Schalen,A. Simonsson, and T. Lundborg. 1970. Quantities and qualities of leaf protein concentrates from wild species and crop species grown under controlled conditions. Annals of Applied Biology 66(2):193-216.
+MacNeish, R. S. 1971. Speculation about how and why food production and village life developed in the Tehuacan Valley, Mexico. Archaeology 24(4):307-315.
+Marten, G. C., and R. N. Andersen. 1975. Forage nutritive value and palatability of 12 common annual weeds. Crop Science 15(6):821-827.
+Martin, F. W., and L. Telek. 1979. Vegetables for the hot, humid tropics. Part 6. Amaranthus and Celosia. United States Department of Agriculture, New Orleans Louisiana, USA. 21 pp., including 15 references.
+Mugerwa, J. S., and R. Bwabye. 1974. Yield, composition and in vitro digestibility of
+Amaranthus hybridus subspecies incurvatus. Tropical Grasslands 8(1):49-53.
+Mugerwa, J. S., and W. Stafford. 1976. Effect of feeding oxalate-rich Amaranthus on ovine serum, calcium and oxalate levels. East African Agricultural and Forestry Journal 42(1):71-
+75. National Academy of Sciences. 1975. Underexploited Tropical Plants with Promising
+Economic Value. National Academy of Sciences, Washington, D.C., USA. 189 pp.
+Odwongo, W. O., and J. S. Mugerwa. 1980. Performance of calves on diets containing
+Amaranthus leaf meal. Animal Feed Science and Technology 5(3): 193-204.
+Oliveira de Paiva, W. 1978. Amarantaceas: nova opçao de espinafres tropicais pare a
+Amazonia. Acta Amazonica 8:357-363.
+Olufolaji, A. O., and T. O. Tayo. 1980. Growth development and mineral contents of three cultivars of amaranth Amaranthus cruentus. HortScience 13(2):181-190.
+Omueti, O. 1980. Effects of age on celosia cultivars. Experimental Agriculture 16:279286.
+Pal, M., and T. N. Khoshoo. 1974. Grain amaranths. Pp. 129-137 in Evolutionary Studies in
+World Crops: Diversity and Change in the Indian Subcontinent, Sir J. Hutchinson, ed.
+Cambridge University Press, London, England.
+Pal, M., and T. N. Khoshoo. 1973a. Evolution and improvement of cultivated amaranths. 6.
+Cytogenetic relationships in grain types. Theoretical and Applied Genetics 43:242251.
+Pal, M., and T. N. Khoshoo. 1973b. Evolution and improvement of cultivated amaranths. 7.
+Cytogenic relationships in vegetable amaranth. Theoretical and Applied Genetics 43:343-
+350. Rajagopal, A., C. R. Muthukrishnan, M. K. Mohideen, and S. Syed. 1977. Co 2 Amaranthus.
+An early vigorous variety. South Indian Horticulture 25(3):102-105.
+Rodale Press, Inc. 1977. Proceedings of the First Amaranth Seminar, held at Kutztown,
+Pennsylvania, USA, July 29, 1977. Rodale Press, Inc., Emmaus, Pennsylvania, USA. 130 pp. (Ten papers; review of research in the United States, 1975-1977, mainly on cereal amaranths.)
+Rodale Press, Inc. 1980. Proceedings of the Second Amaranth Conference, held at
+Kutztown, Pennsylvania, USA, September 13-14, 1979. Rodale Press, Inc., Emmaus,
+Pennsylvania, USA. 184 pp. (Papers on nutrition, cultivation, assembly, and handling of germplasm.)
+Sanchez-Marroquin, A. 1983. Two forgotten crops of agroindustrial importance: amaranth and quinoa. Archivos Latinoamericanos de Nutricion 33:11-32.
+Sanchez-Marroquin, A. 1980. Potencialidad agro-industrial del amaranto. Centro de Estudios
+Economicos y Sociales del Tercer, Mundo, Mexico.
+Sauer, J. D. 1967. The grain amaranths and their relatives: a revised taxonomic and geographic survey. Annals of the Missouri Botanical Garden 54(2):103-137.
+Sauer, J. D. 1950. The grain amaranths: a survey of their history and classification. Annals of the Missouri Botanical Garden 37:561-619.
+Saunders, R. M., and R. Becker. In press. Amaranthus. Vol. 6, Chapter 6 in Advances In Cereal Science and Technology, Y. Pomeranz, ed. American Association of Cereal
+Chemistry, St. Paul, Minnesota, USA.
+Senft, J. P. 1980. Protein quality of amaranth grain. Rodale Research Report 80-3. Rodale
+Press, Inc., Emmaus, Pennsylvania, USA. 14 pp.
+Senft, J. P., C. S. Kauffman, and N. N. Bailey. 1981. The Genus Amaranthus: A
+Comprehensive Bibliography. Rodale Press, Inc., Emmaus, Pennsylvania, USA. 217 pp
+Singh, H., and A. Rakib. 1971. Chemical evaluation of certain poultry feed stuff. Indian
+Journal of Animal Research 5(1):39-42.
+Singh H., and T. A. Thomas. 1978. Grain Amaranths, Buckwheat and Chenopods. Indian
+Council of Agricultural Research, New Delhi, India. 70 pp.
+Toll, J., and D. H. van Sloten. 1982. Directory of Germplasm Collections. 4. Vegetables
+AGP:IBPGR/82/1. International Board for Plant Genetic Resources, Food and Agricultural
+Organization of the United Nations, Rome, Italy. 187 pp.
+Wilson, G. F., and H. P. Curfs. 1976. Cost of production and estimated income from celosia
+(Celosia argentea L.) under two production systems. Vegetables for the Hot Humid Tropics
+Newsletter (Mayaguez) 1:35-37.
+<section>Research Contacts</section>
+Argentina
+A. T. Hunziker, Museo Botanico, Facultad de Ciencias Exactas, Fisicas y Naturales, Casilla de Correo 495, 5000 Cordoba
+Brazil
+L. Jokl and A. Duarte Correa, Faculdade de Farmacia-UFMG, Av. Olegario Maciel 2360, 30000 Belo Horizonte, Minas Gerais (grain fractionation, composition)
+W. O. dePaiva, Instituto Nacional de Pesquisas da Amazonia (INPA), Caixa Postal 478, Manaus, Amazonas CEP 69.000 (variety testing amaranth, celosia)
+Colombia
+M. 1. Sehvaness, Calle 125 No. 37-47, Bogota
+Federal Republic of Germany
+F. Mustafa, Roggen Str. 16, 7000 Stuttgart 70 (cultural practices)
+German Democratic Republic
+P. Hanelt, Zentralinstitut fur Genetik und Kulturpflanzenforschung, der Akademie der Wissenschaften der DDR, 4325 Gatersleben
+Ghana
+J. C. Norman, Head, Department of Horticulture, Dean, Faculty of Agriculture, University of Science and Technology, University P.O., Kumasi (cultivation)
+Greece
+A. Gagianas, Department of Agronomy, Aristotle University of Thessaloniki, Thessaloniki
+Guatemala
+R. Bressani, Instituto de Nutricion de Centro America y Panama (INCAP), Apartado Postal 1188, Carretera Roosevelt Zona 11, Guatemala City
+India
+R. K. Arora, National Bureau of Plant Genetic Resources (NBPGR), Indian Agricultural Research Institute, IARI Campus, New Delhi 110012 (exploration)
+B. Choudhury, Division of Vegetable Crops and Floriculture, Indian Agricultural Research Institute (IARI), New Delhi 110012 (variety testing)
+R. P. Devadas, Director, Sri Avinashilingam Home Science College for Women, Coimbatore 641043, Tamil Nadu (iron and carotene availability to children)
+B. D. Joshi, National Bureau of Plant Genetic Resources (NBPGR), Regional Station, Phagli, Simla 171012 (Indian grain amaranths)
+M. Kader Mohideen, Horticultural Research Station, Tamil Nadu Agricultural University, Perumbarai 624212, Madurai District, Tamil Nadu (breeding, cultivation)
+T. N. Khoshoo, Secretary to the Government of India, Department of Environment, Bikaner House, Shahjahan Road New Delhi 110011 (cytogenetics, hybridization)
+P. P. Kurien, Central Food Technological Research Institute, Cheluvamba Mansion, V. V. Mohalla, Mysore 570013
+C. R. Mathukrishnan [Dean (Horticulture) retired], 13/187 D. B. Road, R. S. Punam, Coimbatore 641002, Tamil Nadu (cultivation, breeding)
+G. Oblisami, Department of Agricultural Microbiology, Tamil Nadu Agricultural University, Coimbatore 641003, Tamil Nadu (bacterial inoculants)
+M. Pal, Cytogenics Laboratory, National Botanical Research Institute, Lucknow 226001 (cytogenetics, evolution, breeding)
+A. Rajagopal, Professor of Agronomy, Agricultural College and Research Institute, Madurai 625104, Tamil Nadu (cultivation)
+C. Ramachandran, Department of Olericulture, College of Horticulture, Kerala Agricultural University, Vellanikkara 680654, Trichur, Kerala (horticulture, humid tropic vegetables)
+S. Saroja, Sri Avinashilingam Home Science College for Women, Coimbatore 641043, Tamil Nadu (iron and carotene availability to children)
+K. G. Shanmugavelu, Professor and Head, Department of Horticulture, Agricultural College and Research Institute, Madurai 625104, Tamil Nadu (breeding)
+N. Sivakami, Division of Vegetable Crops and Floriculture, Indian Agricultural Research Institute (IARI), New Delhi 110012 (variety testing)
+M. Vijayakumar, Horticultural Officer, Pomological Station, Coonoor, Nilgiris District, Tami, Nadu (varietal testing, growth studies)
+M. Vishakantalah, Division of Entomology, University of Agricultural Sciences, Hebbal, Bangalore 560024 (Plutella caterpillars)
+Indonesia
+Z. Abidin, Balai Penelitian Tanamin Pangan Lembang, Lembang, Jawa Barat (cultivation) S. Harjadi, Faculty of Agriculture, Department of Agronomy, Bogor Agricultural University, Jalan oto Iskandardinata, Bogor (nutrition, cultivation)
+Italy
+D. H. van Sloten, Genetic Resources Officer (Horticulture) Crop Genetic Resources Centre/lBPGR Secretariat, Plant Production and Protection Division, FAO, Via delle Terme di Caracalla, 00100 Rome (genetic resources)
+Kenya
+V. K. Gupta, Department of Crop Science, University of Nairobi, P.O. Box 30197, Nairobi
+S. K. Imbamba, Department of Botany, University of Nairobi, P.O. Box 30197, Nairobi (protein analysis)
+J. O. Kokwaro, Department of Botany, University of Nairobi, P.O. Box 30197, Nairobi (taxonomy and ecology)
+Mexico
+A. Sanchez-Marroquin, Instituto Nacional de Investigaciones Agricolas, Miami 40, Mexico, D.F. 03810 (industrial uses of amaranth grain)
+A. Trinidad-Santos, Centro de Edafologia, Colegio de Postgraduados, Chapingo, Edo. de Mexico (agronomic research)
+Nepal
+H. K. Saiju, Royal Botanical Gardens, Godawary, Lalit pur Dist. (cereal amaranth germplasm)
+Netherlands
+G. J. H. Grubben, Research Station for Arable Farming and Field Production of Vegetables, Edelhertweg 1, Postbus 43O, 8200 AK Lelystad
+New Zealand
+R. A. Crowder, Lincoln College, Canterbury
+D. W. Devine, Product Development Manager, N.Z. Flourmills, Ltd., P.O. Box 30461, Lower Hutt
+Nigeria
+O. Bassir, Biochemistry Department, University of Ibadan, P.O. Box 4021, University Post Office, Oyo Road, Ibadan (protein)
+L. Denton, National Horticultural Research Institute, Idi-lshin, P.M.B. 5432, Ibadan (germplasm collection, breeding)
+A. A. O. Edema, Breeder/Geneticist, National Horticultural Research Institute, P.M.B. 5432, Ibadan (amaranth and celosia cultivation)
+M. Fafunso Department Biochemistry, University of Ibadan, Ibadan (food technology, composition, vitamin C, amaranth, celosia)
+International Institute for Tropical Agriculture (IITA), Oyo Road, P.M.B. 532O, Ibadan (agronomy)
+J. O. S. Kogbe, Institute of Agricultural Research and Training, University of Ife, P.M.B. 5029, Moor Plantation, Ibadan
+O. L. Oke, Dean, Faculty of Science, University of Ife, Ile-lfe (nutritional value)
+B. N. Okigbo, Deputy Director General, International Institute for Tropical Agriculture (IITA), Oyo Road, P.M.B. 5320, Ibadan (farming systems)
+A. O. Olufolaji, National Horticultural Research Institute, P.M.B. 5432, Ibadan (cultivation, mineral content)
+O. Omueti, Institute of Agricultural Research and Training, University of Ife, P.M.B. 5029, Moor Plantation, Ibadan (celosia cultivation)
+I. C. Onwueme, School of Agricultural Technology, Federal University of Technology, P.M.B. 1526, Owerri (temperature stress, amaranth and celosia)
+O. Osi Banjo, Department of Chemistry, University of Ibadan, Ibadan (vitamin C)
+Prem Nath, National Horticultural Research Institute (NIHORT), Idi-lshin, P.M.B. 5432, Ibadan (germplasm)
+T. O. Tayo, Department of Agricultural Biology, University of Ibadan, Ibadan (cultivation, mineral content)
+G. F. Wilson, International Institute for Tropical Agriculture (IITA), Oyo Road, P.M.B. 5320, Ibadan (cultivation)
+Peru
+S. E. Antunez de Mayolo R., Apartado (P.O.B.) 18-5469, Lima 18
+R. Ferreyra, Museo de Historia Natural, Universidad Nacional Mayor de San Marcos, Casilla 11434, Lima 14
+L.S. Kalinowski, Department of Agriculture, Universidad Nacional de Cuzco, Avenida Infancia 440, Cuzco
+Sierra Leone
+Sama S. Monde, Biological Sciences Department, Njala University College, P.M.B., Freetown (grain)
+Sweden
+R. Carlsson, Department of Plant Physiology, Box 7007, S-220 07, Lund (whole plant, leaf, leaf nutrient/protein concentrate, grain: composition, nutritive value)
+Taiwan
+Han Huang, Department of Horticulture, National Taiwan University, Taipei 107 (temperature)
+L. Ho, AVRDC Seed Laboratory, P.O. Box 42, Shanhua, Tainan (germplasm collection)
+Lin Chao-Hsiung, Department of Vegetable Crops, Fengshan Tropical Horticultural Experiment Station, Fengshan, Kaohsiung (cultivation, variety testing)
+Tanzania
+N.A. Mnzava, Faculty of Agriculture, Forestry and Veterinary Sciences, University of Dar es Salaam, Chuo Kikuu, Morogoro
+Thailand
+Chuckree Senthong, Chairman, Department of Agronomy, Chiang Mai University, Chiang Mai
+Soonthorn Duriyaprapan, Thailand Institute of Scientific and Technological Research (TISTR), 196 Phahonyothin Road, Bangkhen, Bangkok 9
+T. Tonguthaisri, Mae Jo Institute of Agricultural Technology, Chiang Mai (vegetable amaranths collection)
+United Kingdom
+G. J. L. Griffin, Ecological Materials Research Institute, Brunel University, Shoreditch Campus, Egham, Surrey TW20 OJZ
+B. Pickersgill, Department of Agricultural Botany, Plant Science Laboratories, University of Reading, Whiteknights, Reading RG6 2AS
+C. C. Townsend, Herbarium, Royal Botanic Gardens, Kew, Richmond, Surrey
+L. St. Lawrence, Kins Plants Ltd., Woodcote Grove Ashley Road, Epsom, Surrey KT18 SBW
+United States
+G. C. W. Ames, Department of Agricultural Economics, University of Georgia College of Agriculture, 301 Conner Hall, Athens, Georgia 30602 (Vegetable amaranth in Zaire)
+W. Applegate, Post Rock Natural Grain, Box 24A, Luray, Kansas 67649 (farm research and production of grain amaranth)
+N. N. Bailey, Rodale Research Center, R.D. 1, Box 323, Kutztown, Pennsylvania 19530
+A. R. Baldwin (Retired, Vice President and Executive Director of Research, Cargill, Inc.), 4854 Thomas Avenue South, Minneapolis, Minnesota 55410
+R. Becker, USDA Western Regional Research Laboratory, Cereals Research Unit, 800 Buchanan St., Berkeley, California 94710 (nutrition, composition)
+J. A. Beutler, School of Pharmacy, Auburn University, Auburn, Alabama 36849 (feeding trials, nitrate and oxalate)
+A. Betschart, Nutrients Research Unit, USDA Western Regional Research Laboratory 800 Buchanan St., Berkeley, California 94710
+T. A. Campbell, Germplasm Resources Laboratory, Beltsville Agricultural Research Center, Beltsville, Maryland 20705 (plant introduction and vegetable amaranth research)
+M. P. Coons, 6715 SW 88th Street, No. 712, Miami, Florida 33156 (taxonomy)
+P. R. Cheeke, Department of Animal Science, Oregon State University, Corvallis, Oregon 97331 (feeding trials, grain and leaves)
+C. R. Daloz, R.D. 1, Box 819, Hancock, New Hampshire 03449
+A. H. DerMarderosian, Philadelphia College of Pharmacy and Science, Philadelphia, Pennsylvania 19104 (feeding trials)
+D. K. Early, Central Oregon Community College, N.W. College Way, Bend, Oregon 97701
+A. D. Edwards, Agronomy Department, Virginia Polytechnic Institute, Blacksburg, Virginia 24060
+J. Ehleringer, Department of Biology, 201 Biology Building, University of Utah, Salt Lake City, Utah 84112
+L. B. Feine, Rodale Research Center, R. D. 1, Box 323, Kutztown, Pennsylvania 19530 (germplasm, taxonomy)
+H. Flores, Department of Biology, Yale University, New Haven, Connecticut 06520 (physiology, tissue culture)
+A. W. Galston, Department of Biology, Yale University, New Haven. Connecticut 06520 (physiology, tissue culture)
+L. Gilbert, Test Kitchen, Rodale Press, 33 E. Minor Street, Emmaus, Pennsylvania 18049 (amaranth foods)
+R. R. Harwood, Rodale Research Center, R.D. 1, Box 323, Kutztown, Pennsylvania 19530 (cultivation practices, breeding)
+P. W. Haas, Rodale Research Center, R.D. 1, Box 323, Kutztown, Pennsylvania 19530 (cultivation practices, gremplasm)
+H. Hauptli, Agronomy and Range Science Department, University of California, Davis California 95616 (genetics, germplasm exploration Central and South America)
+M. Irwin, 2823 Oakridge Avenue, Madison, Wisconsin 53704 (production of grain amaranth)
+S. K. Jain, Agronomy and Range Science Department, University of California, Davis, California 95616 (genetics, evolution)
+M. Jones, Rt. I, Lodgepole, Nebraska 69419 (production of grain amaranth)
+C. S. Kauffman, Rodale Research Center, R.D. 1, Box 323, Kutztown, Pennsylvania 19530 (breeding cereal amaranths, germplasm)
+M. Langley, P.O. Box 9085, Austin, Texas 78766
+R. D. Locy, NPI, Inc., 417 Wakara Way, Salt Lake City, Utah 84108
+J. Martineau, Plant Resources Institute, 360 Wakara Way, Salt Lake City, Utah 84108
+J. B. McElroy, Department of Plant Breeding and Biometry, Cornell University, Ithaca, New York 14853 (breeding taxonomy)
+C. M. McKell, Vice President, Research, NPI, Inc., 417 Wakara Way, Salt Lake City Utah 84108
+C. McNeil, RR 1, Box 30, Paradise, Kansas 67658 (production of grain amaranth)
+W. P. Miller, Director, Amerind Agrotech Laboratory, P.O. Box 97, Sacaton, Arizona 85247
+H. M. Munger,410 Bradfield Hall, Cornell University, Ithaca, New York 14853 (breeding)
+G. Nabhan, President, Native Seeds-Search, 3950 West New York Drive, Tucson, Arizona 85745 (germplasm, ethnobotany)
+T. Ney, Rodale Food Center, Rodale Press, 33 E. Minor Street, Emmaus, Pennsylvania 18049 (amaranth foods)
+Pai Chi Chang, Rt. 30, Williamstown, New York 13493
+K. Patchen, RR 2, Box 396A, Mundelain, Illinois 60060 (production of grain amaranth)
+M. L. Price, ECHO, R.R. 2, Box 852, North Fort Myers, Florida 33903
+R. Ramback, Applegate Produce, 3030 Upper Applegate, Jacksonville, Oregon 97530 (production of grain amaranth)
+J. F. Ramirez, New York State Agriculture Experiment Station, P.O. Box 462, Food Research Center, Geneva, New York 14456
+C. Reider, Rodale Research Center, R. D. 1, Box 323, Kutztown, Pennsylvania 19530 (germplasm, yield studies)
+J. R. K. Robson, 171 Ashley Ave., Charleston, South Carolina 29403
+R. Rodale, Rodale Press, 33 E. Minor Street, Emmaus, Pennsylvania 18049
+R. M. Ruberte, Mayaguez Institute of Tropical Agriculture, USDA, Box 70, Mayaguez, Puerto Rico 00708 (botany, composition)
+D. J. Sammons, Department of Agronomy, University of Maryland' College Park, Maryland 20742
+R. M. Saunders, Cereal Products Research, USDA Western Regional Research Laboratory, 800 Buchanan St., Berkeley, California 94710
+J. Senft, 378 Fairview St., Emmaus, Pennsylvania 18049 (nitrate and oxalate studies, protein quality)
+M. Shannon, U.S. Salinity Laboratory, USDA-ARS, 4500 Glenwood Drive, Riverside, California 92501
+A. A. Sigle, R.R. 1, Box 2, Luray, Kansas 67649 (farm research and production of grain amaranth)
+L. Telek, Mayaguez Institute of Tropical Agriculture, USDA, Box 70, Mayaguez, Puerto Rico 00708 (botany, composition)
+K. R. Vaidya, Department of Agronomy and Range Science, University of California, Davis, California 95616 (genetics)
+D. Wall, Department of Agronomy, University of Maryland, College Park, Maryland 20742
+L. Walters. 1640 Harris Lane, Naperville, Illinois 60565 (production of grain amaranth)
+L. Wu. Environmental Horticulture Department, University of California, Davis, California 95616 (genetics)
+Zambia
+Zambia Seed Co, Ltd., P.O. Box 35441, Buyantanshi Road, Lusaka (cultivation, germplasm)
+<section>Germplasm Collections and Commercial Seed Suppliers</section>
+The following list of amaranth seed sources is based on Grubben and van Sloten, 1981, and Toll and van Sloten, 1982. See Selected Readings.
+Benin
+Centre de Formation Horticole et Nutritionnelle, B.P. 13, Ouando, Port-Novo (commercial seed; both amaranth and celosia cultivars)
+Bolivia
+Estacion Experimental de Patacamaya, Instituto Boliviano de Tecnologia Agropecuaria (IBTA), Patacamaya (N. Lizarraga, Amaranthus caudatus, 430 landraces from the Andean region)
+France
+Institut National de Recherches Agronomiques, Petit-Bourg, Guadeloupe (working collection of local cultivars)
+German Democratic Republic
+Zentralinstitut fur Genetik und Kulturpflanzenforschung, Corrensstrasse 3, 4325 Gatersleben (H. Bohme, Chr. Lehmann, 100 samples of 17 wild, weedy, and cultivated species)
+Ghana
+Department of Horticulture, University of Science and Technology, Kumasi (working collection)
+Hong Kong
+Wong Yukhop Seed Co., 20 Pei Ho Street, Shumshuipo, Kowloon (two commercial cultivars)
+India
+Pocha's Seeds, P.O. Box 55, Poona 411001, Maharashtra (3 commercial cultivars)
+Division of Vegetable Crops and Floriculture, Indian Agricultural Research Institute QARI), New Delhi 110012 (working collection)
+National Bureau of Plant Genetic Resources (NBPGR), Indian Agricultural Research Institute, IARI Campus, New Delhi 110012 (K. L. Mehra; Amaranthus species, 824 mostly landraces from India)
+Division of Vegetable Crops, Institute of Horticultural Research, 225 Upper Palace Orchards, Bangalore (working collection)
+Kerala Agricultural University, College of Horticulture, P.O. Vellanikkara 680651, Trichur Kerala (working collection)
+Faculty of Horticulture, Tamil Nadu Agricultural University, Coimbatore 641003 (C. P. Muthukrishnan, 450 landraces mainly from India)
+National Botanical Gardens, Lucknow, 226001, UP (working collection)
+National Bureau of Plant Genetic Resources (NBPGR), Regional Station, Phagli, Simla 171012 (B. D. Joshi; more than 1,000 samples of landraces from India and 27 introductions)
+Suttons Seeds, P.O. Box 9010, Calcutta-16 (4 commercial cultivars)
+Indonesia
+National Biological Institute, P.O. Box 110, Bogor (S. Sastrapradja; 75 landraces from Indonesia)
+Japan
+T. Sakata, CPO Box Yokohama 11, Yokohama 220-91 (I commercial cultivar)
+Netherlands
+Department of Tropical Crops, Agricultural University, Ritzema Bosweg 32, Wageningen (working collection)
+Nigeria
+International Institute for Tropical Agriculture (IITA), Oyo Road, P.M.B. 5320, Ibadan (working collection)
+Plant Science Department, University of Ife, Ile-Ife (working collection)
+National Horticultural Research Institute (NIHORT), Idi-Ishin, P.M.B. 5432 Ibadan (T. Badra A. A. O. Edema, L. Denton, 240 population samples of landraces and breeders' lines from Nigeria)
+Peru
+Estacion Experimental de Camacani, Universidad Nacional Tecnica del Altiplano, Puno (L. Lescano, L. Perez, 440 landraces from the Andean region)
+Centro de Investigacion de Cultivos Andinos, Universidad Nacional del Cuzco, Avenida de la Infancia 440, Huanchac, Cuzco (L. Sumar Kalinowski; 100 accessions cereals)
+Taiwan
+Asian Vegetable Research and Development Center (AVRDC), P.O. Box 42, Shanhua, Tainan 741 (L. Ho; 92 samples of wild forms, landraces, and commercial cultivars from Africa, Asia, and the United States)
+Hsing Nong Seed Co., 188 Sec. 4 Chung Hsin Road, P.O. Box San Chung No. 2, San Chung, Taipei (several commercial cultivars)
+Known-You Seed Co., 26 Chung Cheng 2nd Road, Ka Ohsiung, Taiwan (popular cultivars for Taiwan)
+Taipei District Agricultural Improvement Station, Chin Chun, Taipei (working collection)
+Taiwan Seed Service, Shin-Shien, Taichung (several commercial cultivars)
+Thailand
+Chia Tai Seeds and Agricultural Company, Ltd., 295-303 Songsawad Road, Bangkok (2 commercial cultivars)
+Fang Horticultural Experiment Station, Department of Agriculture, Fang, Chiang Mai (T. Thonguthaisri; 115 landraces from Thailand)
+United Kingdom
+Royal Botanic Gardens, Kew, Wakehurst Place, Ardingly, Haywards Heath, Sussex RH17 6TN (S. Linington; samples of wild origin)
+United States
+Burpee Seed Company, Warminster, Pennsylvania (I commercial cultivar; tampala)
+G. Seed Co., P.O. Box 702, Tonasket, Washington 98855
+Germplasm Resources Laboratory, Beltsville Agricultural Research Center, Beltsville, Maryland 20705 (gene bank, plant introduction for long-term storage)
+Grace's Gardens, 22 Autumn Lane, Hackettstown, New Jersey 07840
+Gurney Seed and Nursery Co., Yankton, South Dakota 57079
+Johnny's Selected Seeds, Albion, Maine 04910
+Mellinger's Inc., 2310 W. So. Range Road, North Lima, Ohio 44452
+National Seed Storage Laboratory (NSSL), U.S. Department of Agriculture, Colorado State University, Fort Collins, Colorado 80523 (L. N. Bass; duplicates of Rodale collection)
+Park Seed Company, P.O. Box 31, Greenwood, South Carolina 29647, (I commercial cultivar; Tampala)
+Plants of the Southwest, 1570 Pachero St., Santa Fe, New Mexico 87501
+Redwood City Seed Co., P.O. Box 361, Redwood City, California 94064
+Rodale Research Center, R.D. 1, Box 323, Kutztown, Pennsylvania 19530 (C. S. Kauffman; more than 600 accessions cereals, vegetable, and wild species)
+Thompson and Morgan, P.O. Box 100, Farmingdale, New York 07727 (I commercial cultivar; Hinn Choy)
+Tsang and Ma International, P.O. Box 294, Belmont, California 94002 (I commercial cultivar)
+Zambia
+Crop Science Department, School of Agricultural Sciences, University of Zambia, P.O. Box 2379, Lusaka (collection of 100 local cultivars plus landraces from India, Nigeria, and the United States)
+<section>Biographical Sketches of Panel Members</section>
+MELVIN G. BLASE, Professor of Agricultural Economics, University of Missouri, Columbia, received his Ph.D. from Iowa State University in 1960 and served on the faculties of that institution and the Air Force Institute of Technology before joining the University of Missouri. While he has undertaken research in international agricultural development in Asia, Africa, and Latin America, his domestic research centers on new crops for U.S. agriculture and alternative energy sources. Dr. Blase has written one book, edited two others, and written numerous articles.
+T. AUSTIN CAMPBEEL is a Research Agronomist with the U.S. Department of Agriculture and is currently specializing in new-crop breeding. He received his B.S. in conservation and resource development from the University of Maryland in 1967 and spent six years with the alfalfa project of the USDA as a technician and research assistant. He received an M.S. in plant breeding from the University of Maryland in 1972 and joined the Weed Science Laboratory as a support scientist in 1973. Two years later he assumed his present position conducting research on numerous potential new-crop species, including kenaf, Crambe, Lesquerella, Limnanthes, Asclepias syriaca, Rhus glabra, Cuphea, and Stokes aster, as well as amaranth. He received his Ph.D. in plant breeding from the University of Maryland in 1980.
+LAURIE B. FEINE, an amaranth taxonomy and germplasm consultant, earned her B.A. from the University of Colorado in environmental, population, and organismic biology in 1976. She worked for the Rodale Research Center, specializing in amaranth germplasm and taxonomy, and began plant-breeding and selection work for improved grain varieties. She continued her work on amaranth taxonomy at Harvard Herbaria and has also collected amaranth germplasm in Mexico and Peru for the Rodale Research Center and IBPGR.
+HECTOR E. FEORES-MERINO, Research Assistant at the Department of Biology, Yale University, received a B.S. in biology in 1974 from
+The National Academy of Sciences the Universidad Nacional Mayor de San Marcos in Lima, Peru. After teaching for two years, he did research at the Puerto Rico Nuclear Center in Mayaguez and earned an M.S. in horticulture from the College of Agriculture at Mayaguez in 1978. He was a research assistant at Rutgers University, Department of Horticulture, and is currently completing his doctoral studies at Yale. His research has involved propagation of ornamental and crop plants through tissue and cell culture and development of inoculants for nitrogenfixing bacteria. He is currently studying the physiology and biochemistry of polyamines in higher plants and metabolic responses of plant cells to various types of environmental stress.
+LINDA C.GILBERT, Coordinating Supervisor of Product Development in the Test Kitchen at
+Rodale Press, Inc., received a B.Ag.Sci. degree from the University of Arizona in 1978. Since that time, she has worked in the Rodale Test Kitchens developing healthful recipes for magazines and books. Her research has centered primarily around uses for, and varietal selections of, vegetable protein food sources, including grain and vegetable amaranths, vegetable soybeans, sprouting soybeans, okra seed, and cold-tolerant leafy green vegetables.
+GERALD J.H. GRUBBEN is head of the Department of Crop Research at the Research
+Station for Arable Farming and Field Production of Vegetables in Lelystad, Netherlands. He served as a FAO expert in horticultural projects in Ivory Coast and Benin from 1965 to 1973.
+In 1975 he received his Ph.D. (agriculture) on a thesis "The Cultivation of Amaranth as a
+Tropical Leaf Vegetable." From 1975 to 1981 he was attached to the Department of
+Agricultural Research, Royal Tropical Institute, Amsterdam. He conducted a survey on genetic resources of vegetables for the International Board of Genetic Resources. He was involved in consultancy missions on vegetable growing, crop research, germplasm, and seed production to tropical countries.
+RICHARD R. HARWOOD, Director of the Rodale Research Center in Kutztown,
+Pennsylvania, received a B.S. from Cornell University and a Ph.D. in horticulture and plant breeding from Michigan State University in 1967. He worked as a staff member of the
+Rockefeller Foundation in India and Thailand from 1967 to 1971 and then as head of the
+Cropping Systems Program at the International Rice Research Institute until 1976. Dr.
+Harwood has had numerous Third World agricultural development consulting assignments.
+He participated as a cropping system specialist in the 1976 vegetable cropping systems delegation of the Committee on Scholarly Exchange with the People's Republic of China.
+His current work is focused on organic farming systems and new crop development for a sustainable agriculture.
+SUBODH JAIN, Professor of Agronomy at the University of California, Davis, received a B.S. from Delhi University in 1954 and a Ph.D. from the University of California, Davis, in 1960.
+He has worked extensively on the population biology of inbreeding crop species from which he has recently developed interests in the evaluation and conservation of genetic resources and in the domestication of new crops. He has traveled widely for both germplasm collections and teaching/consulting assignments and has had Guggenheim and Fulbright awards for work in Australia and India, respectively.
+CHARLES S. KAUFFMAN, Coordinator of New Crops Research at the Rodale Research
+Center in Kutztown, Pennsylvania, received his B.S. in horticulture from the Pennsylvania State University in 1971 and an M.S. in horticulture and plant breeding from North Carolina State University in 1974. He worked in an agricultural development project for unconventional crops in the southeastern United States for Thomas J. Lipton, Inc. Since 1978, the majority of his time has been spent doing research and writing on grain amaranth, especially as related to germplasm cataloging, varietal development, and the improvement of cultural techniques.
+T. N. KHOSHOO is Secretary to the Government of India, Department of Environment. He received his B.Sc. and M.Sc. (botany) from Panjab University, Lahore, and his Ph.D. (cytogenetics of conifers) from Chandigarh. He has served as Director of the National Botanical Research Institute and Deputy Director of the National Botanic Gardens in Lucknow. He worked on the experimental evolution and improvement of nonagricultural economic plants, particularly ornamental and subsidiary food plants (amaranths). He also worked out the genetic-evolutionary race histories and evolved several new cultivars that have sold in nursery trade. He is now concerned with the policy, planning, and management of the environment in India, including wildlife.
+JUDITH M. LYMAN, College of Agriculture and Life Sciences, Cornell University, Ithaca, New York, received her Ph.D. in plant breeding in 1980, her M.S. in floriculture and horticulture in 1976, and her B.A. in botany at Duke University, Durham, North Carolina. After two years of field work at the Centro International de Agricultura Tropical (CIAT) in Cali, Colombia, as Visiting Research Associate and Assistant to the Director of Research, she is currently
+Visiting Research Fellow at the Rockefeller Foundation, where she is involved in international agricultural program activities and project germplasm resources from biological and economic perspectives.
+CYRUS M. MCKELL is Vice-President, Research, Native Plants, Inc., Salt Lake City, Utah.
+He received his B.S. and M.S. degrees from the University of Utah in biological science and botany. In 1956 he earned a Ph.D. in plant ecology, with minors in soils and rangeland management from
+Oregon State University. From 1956 to 1961 he served as a range plant physiologist with the USDA Agricultural Research Service at Davis, California. In 1961 he became Vice-Chairman and later Chairman of the Agronomy Department, University of California, Riverside, and conducted research on arid land management problems. Subsequently, he joined the Range Science Department at Utah State University as department head, and later as Director of the Institute for Land Reclamation, a post he held until 1980. He has held numerous consultancies on arid land management worldwide and was a Fulbright scholar to Spain in 1968.
+GARY PAUL NABHAN is the President of Native Seeds/SEARCH in Tucson, Arizona. He received his Ph.D. from the University of Arizona in 1983 and is a principal investigator conducting research on native agricultural ecosystems through the Office of Arid Lands Studies, University of Arizona. While receiving his M.S. in plant sciences at the same university, he assembled important germplasm collections of tepary beans, sunflowers, devil's claw, and other desert-adapted crops. He has also collected amaranths from the Sierra Madre and the Valley Mexico, as well as from U.S. Indian reservations. He has published more than twenty articles and one book (The Desert Smells Like Rain) on desert foods, ethnobotany, and seed conservation. Dr. Nabhan is on the founding board of directors of the Society of Ethnobiology and its journal and is honorary Vice-President of the Seed
+Saver's Exchange.
+DONALD L. PLUCKNETT, with the Consultative Group on International Agricultural
+Research, the World Bank, received B.S. and M.S. degrees in agriculture and agronomy from the University of Nebraska in 1953 and 1957, respectively, and a Ph.D. in tropical soil science from the University of Hawaii in 1961. He has worked extensively in tropical crop and pasture research and has had broad international experience in tropical agriculture. He has been a consultant for many international groups, including working for the Ford Foundation on the Aswan Project in Egypt, for the United Nations Food and Agriculture Organization, Consultative Group on International Agricultural Research, United States Agency for
+International Development (USAID), and the South Pacific Commission. From 1973 to 1976 he was Chief of the Soil and Water Management Division, Office of Agriculture, Technical Assistance Bureau, Agency for International Development, Washington, D.C. In 1976 he was awarded AID's Superior Honor Award for his activities in International Development. He has served on several National Academy of Sciences' study panels.
+HUGH POPENOE is Professor of Soils, Agronomy, Botany, and Geog raphy and Director of the Center for Tropical Agriculture and International Programs (Agriculture) at the University of Florida. He received his B.S. from the University of
+California, Davis, in 1951 and his Ph.D. in soils from the University of Florida in 1960. His principal research interest has been in the area of tropical agriculture and land use. Dr. Popenoe's early work in shifting cultivation is one of the few contributions to knowledge of this system. He has traveled and worked in most of the countries in the tropical areas of Latin America, Asia, and Africa. He has served as Director of the Florida Sea Grant College, is a member of the Board of Trustees of the Escuela Agricola Panamericana in Honduras, and was Chairman of the Board for several years. He is a Visiting Lecturer on Tropical
+Health at the Harvard School of Public Health and is a Fellow of the American Association for the Advancement of Science, the American Society of Agronomy, the American Geographical Society, and the International Soils Science Society. He has served as
+Chairman of the Joint Research Committee of the Board for International Food and Agricultural Development (Title XII). He was Chairman of the Advisory Committee for
+Technology Innovation and a member of the Board on Science and Technology for International Development of the National Academy of Sciences.
+ALFREDO SANCHEZ-MORROQUIN is a Research Scientist with the CIAMEC division of INIA (National Institute of Agriculture Research) in Chapingo, Mexico, and technical adviser of four agroindustries of Mexico and South America. After completing his B.Sc. in chemistry and microbiology at the National Polytechnic Institute, School of Biological Sciences, and his M.S. from Northwestern University, he joined the Polytechnic Institute as Professor of Criptogamic Botany and later as Chairman of the Department of Microbiology. In 1951 he received a D.Sc. degree from the National University of Mexico when he was working at the Faculty of Chemistry as Professor of Chemical Microbiology and later as Chairman of the
+Biology Department. He also worked with the School of Agronomy and the Post-Graduate College of the Secretary of Agriculture and was invited to be a visiting professor and scientific investigator in several South American universities and technological institutes. His research has focused on biotechnology: single-cell protein, fermentations, plant products, and food processing. He has published more than 100 papers, five books, and several journal articles and booklets. In 1979 he was appointed Emeritus Professor by the National Polytechnic Institute. In the same year he was awarded three national prizes in science and technology.
+JONATHAN D. SAWER is Professor Or Geography at the University of California, Los
+Angeles. He received a B.A. in 1939 from the University of California, Berkeley, and his Ph.D. in botany at Washington University, St. Louis, and the Missouri Botanical Garden in 1950. From then until 1967, when he joined UCLA, he was on the botany faculty of the University of Wisconsin, Madison. His dissertation was on the grain amaranths, and he has continued to be interested in them and their wild relatives, trying to identify specimens sent in for taxonomic determination. His current research is primarily on ecology and geography of tropical seashore vegetation.
+ROBIN M.SAUNDERS is Research Leader of the Cereals Research Unit, Western Regional
+Research Center, USDA, Albany, California. He has a B.S. and Ph.D. in chemistry from Birmingham (1960) and Newcastle (1963) universities, England, respectively. In 1966, after two years of postdoctoral work in biochemistry at the University of California, Berkeley, and one year in medical research in Pennsylvania, he joined USDA. In his current position, he directs a large research group engaged in various aspects of cereal-grain utilization, including development of crops tolerant to drought, temperature, and saline stress.
+JOSEPH P.SENFT, formerly coordinator of nutritional programs at the Rodale Research Center, received a B.S. degree in biology from Juniata College in 1959 and M.S. and Ph.D degrees in biology from the State University of New York, Buffalo, in 1961 and 1965, respectively. His research has been on the evaluation of nutritional quality of both grain and vegetable amaranth. His research in agriculture has focused on soil-plant nutritional relationships.
+ARRIS A.SIGLE is a farmer in north central Kansas. He received his B.S. degree in agricultural engineering from Kansas State University in 1973. He has been working with grain amaranth test plots and research since 1978. In 1981 he harvested and successfully marketed 14 acres of amaranth. He also grows wheat and milo and is in charge of a 200- head flock of ewes. He is especially interested in repairing, modifying, and designing new equipment to make his work with these projects more efficient.
+THEODORE W.SUDIA is Senior Scientist, National Park Service. He received his B.S. from Kent State University in 1950 and his M.S. and Ph.D. from Ohio State University in 1951 and
+1954, respectively. He taught at Winona State College, Winona, Minnesota, and at the University of Minnesota where he was in the Department of Plant Pathology and Physiology.
+From 1967 to 1969 he was the Associate Director of the American Institute of Biological Sciences. In 1969 Dr. Sudia joined the National Park Service as Research Biologist. He has served as Chief, Ecological Services Division; Chief Scientist and Associate Director for Science and Technology of the Park Service; and Deputy Science Advisor of the National
+Park Service.
+His research interests have ranged from plant ecology to environmental physiology. He is a Fellow of the AAAS.
+NAMES L. VENTER is Vice-President, Technical, of the American Institute of Baking, a nonprofit research and educational organization. Dr. Vetter received an A.B. degree with a major in chemistry from Washington University in St. Louis in 1954 and his M.S. and Ph.D. in food technology from the University of Illinois in 1955 and 1958, respectively. Before joining the American Institute of Baking in 1977, he had a 10-year industrial research career working for companies in or related to the baking industry. These companies include Monsanto Company, Standard Brands, and Keebler Company. Dr. Vetter's current responsibilities involve administration of research activities related to the nutrition and science and technology of baking.
+DAVID ERVIN WALSH is the Director and Vice-President of Research of the General Nutrition Corporation. He received his B.A. from St. Cloud State University in 1961 and an M.A. and Ph.D. from North Dakota State University, where he was an Associate Professor of Cereal Chemistry and Technology until 1974, when he joined the staff of General Nutrition Corporation in Fargo, North Dakota. His work includes computerization of food processing, research on lipids of barley, proteins of wheat, and on the industrial utilization of wheat. His present research includes: directing the corporation research program in food and cosmetic development, nutrition research on food supplements and health, and coordination of grants and aid programs for academic research directed toward food supplements and nutrition.
+NOEL D. VIETMEYER, staff officer for this study, is Professional Associate of the Board on Science and Technology for International Development. A New Zealander with a Ph.D. in organic chemistry from the University of California, Berkeley, he now works on innovations in science that are important for developing countries.
+<section>Advisory Committee on Technology Innovation</section>
+HUGH POPENOE, Director, International Programs in Agriculture, University of Florida, Gainesville, Florida (Chairman through 1983) ELMER L,GADEN, JR., Department of Chemical Engineering, University of Virginia, Charlottesville, Virginia, Chairman
+Members
+WILLIAM BRADLEY, Consultant, New Hope, Pennsylvania (through 1983)
+CARL N.HODGES, Director, Environmental Research Laboratory, Tucson, Arizona
+RAYMOND C.LOEHR, Director, Environmental Studies Program, Cornell University, Ithaca,
+New York
+CYRUS M.MCKELL, NPI, Inc., Salt Lake City, Utah
+DONALD L.PLUCKNETT, Consultative Group on International Agricultural Research,
+Washington, D.C.
+EUGENE B.SHULTZ,JR., Professor of Engineering and Applied Science, Washington University, St. Louis, Missouri
+THEODORE SUDIA, Deputy Science Advisor to the Secretary of the Interior, Department of the Interior, Washington, D.C. (through 1983)
+<section>Board on Science and Technology for International Development</section>
+RALPH HERBERT SMUCKLER, Dean of International Studies and Programs, Michigan State University, East Lansing, Michigan, Chairman
+Members
+SAMUEL P. ASPER, President, Educational Commission for Foreign Medical Graduates, Washington, D.C.
+DAVID BELL, Department of Population Sciences, Harvard School of Public Health, Boston,
+Massachusetts
+LAWRENCE L. BOGER, President, Oklahoma State University, Stillwater, Oklahoma
+ROBERT H. BURRIS, Department of Biochemistry, University of Wisconsin, Madison,
+Wisconsin
+CLAUDIA JEAN CARR, Conservation and Resource Studies, University of California at
+Berkeley, Berkeley, California
+NATE FIELDS, Director, Developing Markets, Control Data Corporation, Edina, Minnesota
+ROLAND J.FUCHS, Chairman, Department of Geography, University of Hawaii at Manoa, Honolulu, Hawaii, ex officio
+ELMER L.GADEN, JR., Department of Chemical Engineering, University of Virginia,
+Charlottsville, Virginia
+JOHN H. GIBBONS, Director, U.S. Congress, Office of Technology Assessment, Washington, D.C.
+ADELAIDE CROMWELL GULLIVER, Brookline, Massachusetts N. BRUCE HANNAY, Foreign Secretary, National Academy of Engineering, ex officio
+WILLIAM HUGHES, Director, Engineering Energy Laboratory, Oklahoma State University,
+Stillwater, Oklahoma
+WILLIAM A. W.KREBS, Vice President, Arthur D. Little, Inc., Cambridge, Massachusetts
+GEORGE I.LYTHCOTT, University of Wisconsin School of Medicine, Madison, Wisconsin
+JANICE E. PERLMAN, Department of City and Regional Planning, University of California at Berkeley, Berkeley, California
+FREDERICK C. ROBBINS, President, Institute of Medicine, National Academy of Sciences, ex officio
+WALTER A. ROSENBLITH, Foreign Secretary, National Academy of Sciences, ex officio
+FREDERICK SEITZ, President Emeritus, The Rockefeller University, New York, New York, ex officio
+BARBARA WEBSTER, Associate Dean, Office of Research, University of California, Davis, California
+GILBERT F. WHITE, Institute of Behavioral Science, University of Colorado, Boulder, Colorado, ex officio
+ALBERT WESTWOOD, Corporate Director, Research and Development, Martin-Marietta Corporation, Bethesda, Maryland
+JOHN G. HURLEY, Director
+MICHAEL G.C.MCDONALD DOW, Associate Director/Studies
+MICHAEL P.GREENE, Associate Director/Research Grants
+The National Academy of Sciences was established in 1863 by Act of Congress as a private, nonprofit, self-governing membership corporation for the furtherance of science and technology, required to advise the federal government upon request within its fields of competence. Under its corporate charter the Academy established the National Research
+Council in 1916, the National Academy of Engineering in 1964, and the Institute of Medicine in 1970.
+The National Research Council
+The National Research Council was established by the National Academy of Sciences in
+1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and of advising the federal government. The Council operates in accordance with general policies determined by the Academy under the authority of its congressional charter of 1863, which establishes the Academy as a private, nonprofit, self-governing membership corporation. The Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in the conduct of their services to the government, the public, and the scientific and engineering communities. It is administered jointly by both Academies and the Institute of
+Medicine. The National Academy of Engineering and the Institute of Medicine were established in 1964 and 1970, respectively, under the charter of the National Academy of
+Sciences.
+The Office of International Affairs
+The Office of International Affairs is responsible for many of the international activities of the
+Academy and the Research Council. Its primary objectives are to enhance U.S. scientific cooperation with other countries; to mobilize the U.S. scientific community for technical assistance to developing nations; and to coordinate international projects throughout the institution.
+The Board on Science and Technology for International Development
+The Board on Science and Technology for International Development (BOSTID) of the Office of International Affairs addresses a range of issues arising from the ways in which science and technology in developing countries can stimulate and complement the complex processes of social and economic development. It oversees a broad program of bilateral workshops with scientific organizations in developing countries and conducts special studies. BOSTID's Advisory Committee on Technology Innovation publishes topical reviews of unconventional technical processes and biological resources of potential importance to developing countries.

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@@ -0,0 +1,9 @@
+VETIVERIA ZIZANIOIDES
+EROSION CONTROL PLANTS
+CONTOUR CULTIVATION
+HEDGES
+WATER EROSION
+RECLAMATION
+EROSION CONTROL
+CROP MANAGEMENT
+CASE STUDIES

ccm-ldn-terms/data/indexing/training/bostid_b14age.key

@@ -0,0 +1,6 @@
+AGROFORESTRY
+DESERTIFICATION
+LAND USE
+SPECIES
+WEST AFRICA
+SAHEL

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+<title>Agroforestry in the West African Sahel (1984)</title>
+RESOURCE MANAGEMENT FOR ARID AND SEMIARID REGIONS
+Edited in 1984
+NOTE FROM THE LIBRARY FOR SUSTAINABLE DEVELOPMENT CD-ROM 1.1 EDITORS: THIS BOOK HAS BEEN PUBLISHED IN 1984. IT IS INCLUDED ON THE CD-ROM FOR ITS HISTORICAL VALUE AND EXAMPLES OF WHICH MANY STILL APPLY TODAY. OF COURSE SOME SCIENTIFIC ASPECTS OR POLICY PROPOSALS COULD BE -PARTLY- OUTDATED TODAY DUE TO THE RAPID SCIENTIFIC EVOLUTIONS. WE REFER TO MORE RECENT STUDIES FOR DETAILS RELATING TO MORE RECENT FINDINGS.
+Advisory Committee on the Sahel Board on Science and Technology for International Development Office of International Affairs National Research Council United States of America
+<section>Acknowledgements</section>
+Exploitation of natural riches necessary to humanity's material welfare must not damage our ecosystem as its equilibrium is vital to mankind. The African man knows this well for he has signed a pact with Earth and Nature for many a millennium.
+His Excellency Mr. Abdou Diouf
+President of the Republic of Senegal
+Statement on conservation
+IUCN Bulletin 1982
+ADVISORY COMMITTEE ON THE SAHEL
+LEONARD BERRY, Graduate School of Geography, Clark University, Worcester, Massachusetts, USA, Chairman
+EDWARD AYENSU, Office of Biological Conservation, Smithsonian Institution, Washington, D.C., USA, Vice Chairman
+MOUNKEILA Assistant Director, Forest Service, Ministry of Rural Development, Niger
+FRANCIS LeBEAU, Agricultural Consultant, Crystal Springs, Mississippi, USA
+FRED WEBER International Resources Development and Conservation Services, Boise, Idaho, USA
+STUDY STAFF, BOARD ON SCIENCE AND TECHNOLOGY
+FOR INTERNATIONAL DEVELOPMENT
+CAROL CORILLON, Writer/Research Associate
+JEFFREY GRITZNER, Professional Associate
+CONTRIBUTORS
+JOHN RAINTREE, Senior Research Scientist, International Council for Research in 4 Agroforestry Nairobi, Kenya
+JAMES THOMSON, Natural Resources Management Consultant, Silver Spring, Maryland, USA
+HANS-JURGEN VON MAYDELL, Institute for World Forestry, Hamburg, Federal Republic of Germany
+<section>Preface</section>
+The Advisory Committee on the Sahel was created in 1978 by the Board on Science and Technology for International Development, at the request of the U. S. Agency for International Development. The committee's work has focused on environmental rehabilitation and development in the Sahel.
+In an effort to formulate a long-term environmental strategy for the Sahel, the committee conducted two studies under its current 18-month grant: one on environmental rehabilitation in the West African Sahel (see National Research Council 1983) and one on agroforestry in the West African Sahel. This report provides an overview of agroforestry in the Sahel today, the basic problems that are encountered in the current practice of agroforestry, and the opportunities that are available to donors such as the Agency for International Development, to promote agroforestry in the region.
+"Agroforestry" or, more properly, agro-silvo-pastoralism, is a new term for the old practice of growing woody plants with agricultural crops and/or livestock on the same land. Unlike people in many areas of Africa, rural Sahelians have long practiced agroforestry. Agricultural crops such as millet, sorghum, maize, cowpeas, and groundnuts are often grown by Sahelian farmers under a park of Acacia albida (apple-ring acacia, or gag), precisely because the farmers realize that they will reap better harvests when they plant their crops in close proximity to A. albida stands. Indeed, the answer to the Hausa riddle, "Where does the growing season go during the dry season, and the dry season go during the growing season?"--"Into the Acacia albida"--reflects the intimate relationship between this tree and the agricultural systems of the region. Other species, such as Acacia senegal, are similarly valued.
+There is ample evidence that traditional agroforestry is a very efficient system. However, although studies on the symbiotic relationship existing among trees and crops and animals have been undertaken over the last several decades (for example, research at the Agricultural Research Center at Bambey, Senegal, on the benefits of Acacia albida was carried out as early as the late 1930s), why this system of intercropping is so beneficial and works so well is not fully understood.
+Although more research on agroforestry is needed, certain generalizations can be made. Vegetative cover and biological diversity are not only essential to the maintenance of a stable environment, they are also important to the maintenance of stable agricultural systems. While monocultural cropping can be extremely productive, it requires complex management, heavy input of fertilizer to replace the continual drain of nutrients, and careful attention to outbreaks of disease or predation which can destroy an entire crop. Mixtures of species, however, can produce a variety of products, can better assure food sufficiency, and are much more resistant to disease and moisture stress than are simpler systems. Moreover, the complex root structure of the diverse species that constitute agroforestry systems assists in retrieving nutrients from deep in the soil, holds moisture, and reduces erosion.
+While agroforestry is a way of life to the Sahelian agriculturalist, from the Groundnut Basin in Senegal to the Waday region of Chad, development experts are still divided on what works best, what direction future efforts should take, ant what basic problems and potential solutions exist. The differences in opinion appear to be due to the diversity that exists across the Sahel, not only in the physical environment but also in traditional use patterns and--a point often overlooked--government policies, efforts, laws, and regulations, and their enforcement. It is therefore not surprising that various specialists have arrived at different and sometimes conflicting conclusions, depending on their particular field of expertise and where they have gained their experience. The report reflects these differences and attempts to give a balanced overview of an emerging field of study.
+In order to gain a broad understanding of what agroforestry is and how it can be used in the Sahel, we felt it was important to look at the theory and principles on which it is based and its practical application. The following people contributed to this effort.
+HANS-JURGEN von Maydell of the Institute for World Forestry was asked to describe the potential for agroforestry in the West African Sahel and to recommend tree and shrub species appropriate for agroforestry systems in the region. James Thomson, a natural resources management consultant, contributed background information on social and institutional factors to be considered in designing and implementing agroforestry projects. John Raintree of the International Council for Research in Agroforestry provided a systematic approach to project identification, which appears as Appendix B. In preparing this report, the committee has drawn heavily on the material provided by these experts.
+A draft of this report served as a resource document for a regional agroforestry workshop held in Niger in May-June 1983. The comments and observations of several participants in the workshop are reflected here, The contributions of J. D. Keita of the Food and Agriculture Organization of the United Nations, and Marilyn Hoskins of Virginia Polytechnic Institute, were particularly helpful.
+This study has also benefited from the knowledge and experience of others familiar with the Sahel. Committee members Fred Weber and Francis LeBeau enriched the content of our meetings and the final report with the practical insights of some 40 years of experience with environmental and agricultural issues in the Sahel. Robert Fishwick of the World Bank, consulting geographer Peter Freeman, George Taylor II of the Agency for International Development, Jeff Romm of the University of California at Berkeley, and Peter Ffolliott of the University of Arizona provided valuable comments on earlier drafts of the report. Finally, we would like to acknowledge the contributions of the many Sahelians and representatives of regional organizations and international assistance agencies whom we consulted in the course of this study.
+In evaluating and synthesizing these diverse opinions and experiences, we relied greatly on the knowledge and analytical skills of our staff members, Jeffrey Gritzner and Carol Corillon, who contributed to both the substance and quality of this report. We were also assisted in many ways by others. Michael G. C. McDonald Dow attended our meetings and made important intellectual contributions bashed on his years of experience in the Sahel. Alverda Naylor willingly and capably performed the many clerical tasks necessary for the completion of the study. We are indebted to Sherry Snyder for her perseverance and diligent efforts in editing the report. Cheryl Bailey typed various drafts, and Irene Martinez prepared the final version for publication.
+Leonard Berry
+Chairman
+Advisory Committee on the Sahel
+<section>Overview</section>
+Traditional systems of agroforestry in the Sahel represent highly sophisticated approaches to food production in regions characterized by extremely variable precipitation, high temperature, often nutrient-poor soils, a variety of crop diseases, and crop predators such as granivorous birds, rodents, and locusts, which can dramatically reduce harvests.
+Traditional Sahelian agroforestry systems are structurally arrayed in such a manner that leaf area indices are relatively high, resulting in correspondingly high photosynthetic efficiency and biomass production. Many of the traditionally important grain crops in the region, such as sorghum and millet, are C4-pathway crops, which are capable of converting very high light intensities into growth more efficiently than is possible in exotic C3 crops such as wheat and rice.
+These systems of agroforestry are also efficient in locally modifying temperatures and in intercepting rainfall, facilitating infiltration, and maintaining satisfactory soil moisture levels. This, among other benefits, reduces moisture stress in plants and regulates soil temperature fluctuations and soil-water relationships, thereby assuring the survival of critical soil organisms such as nitrogen fixing rhizobial bacteria. Perennials contribute to the enrichment of the agricultural systems through nutrient cycling and help control wind and water erosion. The use of Acacia albida in traditional Sahelian systems is illustrative of the important contributions made by woody perennials to agricultural production in the region.
+In the past, Sahelian agricultural systems had greater crop diversity. This diversity resulted in higher levels of assured food availability, because the differing requirements of the various crops and the selectivity of most crop diseases and predators prevented the magnitude of losses that can occur in the less complex mono cropped systems. The range of products, in addition to food, included fodder, fuel, gum, resin, tannin, and medicinal products. Because the annual and perennial crops included in agroforestry systems characteristically are harvested at different times, labor inputs are distributed over longer periods.
+In many areas of the Sahel, shifts to mono cropping and open-field cultivation have resulted in lower potential productivity, reduced ground water recharge, disruptions of soil ecology and nutrient cycling, and increased soil erosion. Because these shifts in cultivation practices have been accompanied by widespread environmental degradation in the region and the loss of native plants and animals that have traditionally served as alternative sources of food in the event of crop failure, rural Sahelian populations have become progressively less self-reliant and more vulnerable to natural hazards, such as drought, and to economic adversity.
+This report provides an overview of traditional Sahelian production systems and explores approaches by which modern science and technology can complement the knowledge and experience of rural Sahelian populations in developing more dependable, resilient, and socially acceptable agricultural systems.
+<section>Chapter 1: Desertification in the Sahel</section>
+"Sahel" has become a synonym for environmental degradation and the desperate struggle for survival in a region losing its carrying capacity through a series of severe drought years and the destructive impact of human activity on natural resources, a process commonly termed desertification. In this case, desertification, or desert encroachment, does not refer to the southward extension of the Sahara Desert but to the formation and expansion of desert like patches around cities, villages, wells, and other centers of concentrated activity.* In this report, the term "Sahel" is broadly applied to the semiarid Sudano-Sahelian zone. Areas receiving between 400 and 750 mm of precipitation are emphasized.
+CLIMATE
+While water deficiency can be addressed by instituting a variety of more environmentally sound water use and conservation practices, it remains, nevertheless, the key limiting factor for life in the Sahel.
+Rainfall distribution patterns are highly irregular in time and space. The rainy season generally lasts from July to October, with an average of 24 rainfalls, 10-12 of which occur in August. Rainfall intensities range from 5 mm to over 50 mm per event. While 5 mm of rainfall are considered effective for wild and cultivated plants, 20 mm or more are required to produce the surface runoff essential for filling,temporary and permanent water holes and replenishing ground water reserves. Figures 1 and 2 show mean annual precipitation and associated vegetation types in the Sahel.
+The climate is further characterized by high diurnal temperature fluctuations and low relative humidity. During the "cool" dry season, from November to February, daytime temperatures often peak above 38°C and fall to 12°C during the nighttime, with relative humidity averaging 15-25 percent during the day and 40-50 percent at night. During the "hot" dry season, from March to mid-July, temperatures commonly exceed 43°C during the day and drop as low as 17°C at night. During the rainy season, from July to October, temperatures range from 35°C during the day to 22°C at night, with relative humidity from 95 to 60 percent. Thus considerable moisture is lost through evaporation. In addition, the harmattan--a dry northeasterly wind--occurs frequently from November through February, causing considerable desiccation and wind erosion.
+IMPACT OF HUMAN ACTIVITY
+In addition to the effects of climate on the Sahel's fragile environment, man and livestock also play major roles in desertification. Even where an ecological balance exists among man, animals, and the surrounding natural vegetation--as existed throughout the Sahel a few generations ago--extensive deterioration will generally occur when population pressures exceed a critical level. As a result of a growth rate of 2.6 percent, the population has almost doubled in the last 20 years. By the end of this century, the present population will have doubled again.
+With increases in human populations have come increases in herds of cattle and small ruminants and changes in the traditional land use patterns of various ethnic groups. Herders, who once were predominantly nomadic, tend to settle around permanent sources of water in villages and even in towns. They remain with their herds in the northern part of the Sahel throughout the year, whereas formerly they migrated southward to more favorable pastures during the dry season. A network of deep wells, powered by diesel engines, has tapped fossil ground water resources to make water available throughout the year in many areas where it was not previously assured. The net result has been a rapid increase of herds of cattle and small ruminants (Figure 3). As many as 20,000 head of livestock are often concentrated within a few kilometers around wells. The locally available vegetation on which they depend has already been over exploited, degraded, impoverished, and, in fact, has largely
+disappeared, leaving desert like "islands" around the wells.
+The destruction of the herbaceous or grass layer, as a result of overgrazing and trampling by herds, marks the beginning of desertification. Plants die and their roots no longer hold the thin topsoil, which is washed or blown away. Fine clay particles spread over bare patches during the short rainy season, causing surface hardening and sealing. Seeds cannot penetrate these hardened surfaces.
+FIGURE 3 Cattle herds have increased rapidly in the Sahel, and in many areas their numbers now exceed the carrying capacity of the pasturelands. IFC/WORLD Bank Photo by K. M. Ibrahim)
+Frequently these patches are covered by stagnant water for extended periods during the rainy season. Because of the destruction of the topsoil cover and loss of organic matter, rains are no longer absorbed where they fall but drain toward lower lying areas, causing the slow but certain death of trees and shrubs due to lack of water or, where it accumulates, to waterlogging. In some areas, the process of degradation continues until the ability of the soils to retain water is almost completely lost.
+Even where there is little wind, terrain is flat, and soils are too sandy to cause runoff, continuous farming of the same fields will eventually deplete the soils to such an extent that the land will have to be abandoned or revegetated unless specific steps are taken to maintain or increase soil fertility. While the revegetation of barren flats is extremely costly, fencing off endangered areas for 3-5 years during the initial phases of degradation can lead to an astonishing recovery of the vegetative cover.
+Advanced farming technology can also accelerate degradation. For example, the removal of stumps, indiscriminate and more complete land clearing, and the use of machinery for deep plowing or frequent pillage expose ever larger areas of land to wind and water erosion. The introduction of cash crops such as cotton requires more thorough land clearing and places higher nutrient demands on the soil. Mechanized transport (even bicycles or donkey carts) permits local farmers to reach more land and makes possible the transport of firewood or charcoal over longer distances. Livestock improvement activities require more grazing resources, and irrigated agriculture requires more water.
+A final cause of degradation is migration. People of the Sahel and Sudan are mobile by tradition. During the last few decades, however, there has been a steady movement from rural lands toward central settlements, causing rapidly increasing pressure on natural resources in the vicinity. Firewood has been drastically over exploited within a range of about 100 km around many capital cities, resulting in a severe energy crisis. Moreover, many young people are leaving the Sahel to try to make a living in urban centers along the Nest African coast. This exodus is severely draining the area of capable manpower and is reflected in a reduction in the numbers of agricultural workers in the Sahel.
+RESOURCE CONSERVATION MEASURES
+The concept of carrying capacity is useful in looking at development or conservation issues since the limits of the available natural resource base cannot be ignored. It is encouraging that a margin still exists between actual and potential production capacities and that locally appropriate resource management options can be pursued through changes in land allocation and land use. When examining resource conservation measures, the following objectives should be considered:
+· Providing people with adequate supplies of basic goods and services
+· Conserving those resources that still exist
+· Increasing the region's long-term sustained carrying capacity.
+Long and often disappointing experience has conclusively shown that any conservation activity, to be applicable, must be understood and accepted by the local population. Without the willingness of villagers to cooperate and eventually integrate whatever technique is introduced into local farm and land use practices, any idea, regardless of how valuable it might be, simply will not take hold. Because it is the rural, local people who ultimately decide the feasibility of any new idea, the following criteria must be taken into account.
+First, the intervention must be technically sound and must focus on such factors as the limited amounts and irregularity of rain and the periodic occurrence of drought years. Rainfall, though infrequent and irregular, is often a direct result of violent, local convectional storms of short duration and high intensity. Under such circumstances even small watersheds or catchment areas yield sharp, high peak flows. Spillway capacity of improvement efforts has to be large, as these short, high-volume flows carry unusually large amounts of sediment, which can quickly destroy inadequately designed water control structures. Terraces intended to control water erosion must accommodate such flows, or they will rapidly wash out. Rainfall quantities and distribution patterns, compared with those of temperate zones, are extremely erratic. Mean annual precipitation is little more than a general indicator. Rainy seasons that are above or below average are frequent (Katz and Glantz 1977).
+Second, investments in agricultural development activities must be appropriate to local skills, techniques, and tools. Projects relying on heavy equipment, expensive commodities, and outside technical assistance require such a large capital outlay that there is little chance the project can be replicated or continued by the local people once outside help has ceased.
+Third, proposed activities will almost certainly require some changes in and adaptation to the existing local socioeconomic framework. Increased production and higher returns are not the only criteria used in calculating whether a new idea or technique is worthwhile to all concerned. In fact, local farmers may be more interested in protection against "downside risks" than in a chance to gain higher returns.
+Fourth, to be successful from an institutional point of view, the interventions considered should be compatible with the existing political thought in the region of concern.
+Finally, cultural values, including those dealing with traditional patterns of tenure and use of land and natural vegetation, are deep-rooted and reflect generations of experience. Modifying animal herding practices in ways that appear minor to outside project designers may well be the focal point of resistance on which an entire scheme may founder. Cultural attitudes and inflexibility may prove insurmountable in many other ways: restrictive definitions of the role of women, reluctance to abandon seasonal migration, traditional views of land tenure, or open grazing rights can pose serious obstacles to an otherwise well-designed conservation project.
+Conservation measures, within these practical limits, are outlined below; agroforestry and related efforts are underlined. (For specific agroforestry techniques, see Chapter 4.)
+1. Increased soil fertility
+a. Introduction of Acacia albida or other leguminous treesinto farm fields
+b. Cover crops, farm management (rotation)
+c. Manure, compost, residue
+d. Tree crops, combined with agricultural crops (Taungya)
+2. Revegetation
+a. Access and use control b. Seed bed treatment, direct seeding, planting c. Fire management
+3. Erosion control
+a. Wind
+(1) Shelterbelts/live fencing
+(2) Sand stabilization, dune fixation
+b. Water
+(1) Contour planting/farming to control sheet erosion
+(2) Vegetation strips
+(3) Infiltration ditches, berms, terraces
+(4) Bank and slope protection to reduce channel erosion
+(5) Small check structures, gully plugs
+(6) Small dams to slow surface runoff.
+4. Conservation of surface water
+a. Micro-catchments
+b. Water spreading, water harvesting
+c. Reservoirs, ponds
+LAND USE PLANNING
+Land use planning involving the integration of agriculture, animal husbandry, and useful trees and shrubs can take several courses. Production can be undertaken concurrently and continuously on the same tract of land; systems of alternating or rotating land use can be employed; or production activities can be geographically separated so that use pressures are distributed over a larger area. All of these variations are elements of traditional Sahelian land use strategies (see Chapter 2). Specific future strategies and emphases will naturally vary depending on local needs and preferences. Nevertheless, the key is to balance overall land use so that total economic returns and social benefits are maximized in the short and long runs.
+While land use planning is a useful tool, traditional cultural values often govern the way land is used, owned, or transferred by individuals, families, tribes, ethnic groups, or entire nations. In many areas of arid and semiarid Africa, retaining current land use patterns, in the face of increasing demographic pressures and notions of progress, is leading to resource destruction. The "first come, first served" approach to the exploitation of common goods such as rangeland or indigenous trees interferes with conservation efforts, requiring the introduction of access control and use regulations. If land and soil resources are to produce, on a sustained-yield basis, more than they do now, basic readjustments of present use patterns and beliefs must be made.
+Changes in land use based purely on resource management logic are unacceptable to most societies, where the first priority has been and still is the survival of the clan or tribe. Seasoned by generations of experience with recurring, devastating droughts, local farmers and herders feel they cannot afford to abandon their current strategies, particularly when they believe no other options are available. Farmers and pastoralists do not destroy their environment out of indifference or carelessness: currently, they have no other options for existing or for surviving periods of drought.
+However, more productive land use patterns could be adopted if governments and regional agencies shared the risks. Considering the above constraints, the best that one can expect is that a more "rational," balanced approach to land use can be established gradually, beginning with low-risk, small-scale demonstration projects, which might serve as examples of how things could work. Such demonstrations might include:
+. Small watersheds with well-planned conservation measures; controlled, multipurpose use of fuel wood and forage; surface water development
+. Agroforestry projects that use land in a balanced manner to serve several local needs (stable farm soils, fuel, fodder)
+. Small, well-identified grazing areas with the necessary vegetation and water reserves restored to help small, well-managed herds survive the next drought.
+Unfortunately, only a few incomplete (and expensive) demonstrations have actually been carried out in the field so far.
+Numerous large-scale land use schemes have been tried, with very mixed results. Group ranching, with or without herder cooperatives, in East Africa is one example. Results, judging by the slow adoption rate by the local herders, are inconclusive.
+Large-scale irrigation projects are being constructed in the mayor river basins at current (1982) initial costs of over $10,000 per hectare. Although "poor" herders and farmers are being resettled, the rupture of family ties, abandonment of traditions, and exposure to different life-styles have increased divorce, suicides (practically unheard of before), and mental illness. Social tension, political unrest, and the incidence of diseases such as malaria and schistosomiasis have increased (Bodley 1975).
+These experiences suggest that, in spite of knowing what logical and systematic land use measures could stem and possibly reverse resource degradation, there is currently no acceptable answer as to how--at the same time--to meet basic social and cultural needs, which are often closely tied to traditional land use patterns,
+Carefully planned, sensitive schemes throughout Africa have attempted to bring about the necessary changes with a minimum of social tension and disruption. While insufficient progress has been made thus far to say that real changes are on the way, encouraging examples do exist.
+. In Senegal and in Chad, pastoralists have cooperated in government-sponsored efforts and private initiatives to revegetate open rangeland. Traditional herders have planted trees in open spaces of the grass steppe, strictly on a voluntary basis and without compensation.
+. In the Ngong hills of Kenya, local farmers now construct infiltration ditches and gully plugs and plant trees on their farmland to provide additional erosion protection. This initiative was based in part on a recently compiled "District Environmental Profile."
+· In Niger, in the vicinity of a project where, with the help of the American private voluntary organization CARE, over 250 km of shelter belts have been planted in the last 6 years, villagers are putting pressure on the local administrators to help them carry out a similar project around their own fields.
+Similar projects have been undertaken in other parts of arid and semiarid Africa. Subtle change is possible; some approaches do work. These limited success stories show, however, that new land use techniques must recognize, consider, and work within the basic social, economic, and cultural frameworks of the people involved. Agroforestry would appear to be almost uniquely capable of integrating these diverse environmental, social, and economic variables into coherent, stable systems of production.
+<section>Chapter 2: Traditional Land Use Systems</section>
+ENERGY FLOW AND PRODUCTIVITY IN TRADITIONAL SAHELIAN AGRICULTURAL SYSTEMS
+In determining the potential productivity and sustainability of an agricultural system, it is often useful to analyze the energy flows that connect the farmer with his crops and livestock. Energy flow, as used in this report, refers to the transformations and sequential dependencies of solar energy as it passes through the food chain.
+Solar energy is the ultimate source of all life on earth. The basic source of energy for man is the chemical energy derived from food. The ultimate source of this food is vegetation. In energy analysis, this vegetation is termed "primary production." It is based on the capacity of plants to transform solar energy into chemical matter through photosynthesis. Man exploits solar energy by eating plants or the animals that eat plants. This relationship is often expressed 'in terms of the following unidirectional energy flow: primary production (vegetation) > herbivore (livestock) >carnivore (man), with subsequent recycling through decomposers such as bacteria and fungi (Bayliss-Smith 1982).
+The amount of solar energy available for primary production is a function of geographical position. This energy is conventionally measured in joules (J). One joule equals 0.239 calories. A larger unit, megajoules (MJ), is often used to describe inputs of solar energy. One MJ equals 239 kilocalories, Approximately 10.5 MJ/day are required in human diets to maintain basic metabolic processes and regenerate tissue. In the Sahel, the annual input of solar radiation is on the order of 0.63 MJ/cm2--much higher than inputs in humid tropical or temperate regions.
+Only a relatively small proportion of incoming solar energy, 1 J/cm2/hr, is converted into chemical energy as a result of photosynthesis by plants. Because photosynthesis is inefficient in its use of solar energy, it is necessary for farmers to increase vegetative cover and to arrange it in such a way that its foliage can achieve optimal productivity. The amount of foliage is often measured through the leaf area index--the total leaf area (in cm2) per unit of soil surface (in cm2). Experiments with many crops have shown that a considerable amount of solar radiation is wasted by falling in the gapsbetween leaves and between plants (Bayliss-Smith 1982). Too much plant cover can also be harmful because many leaves will be shaded and will therefore function inefficiently.
+Although variation in leaf area index, availability of water and nutrients, and other factors will account for most differences in crop performance, the efficiency of photosynthesis is also influenced by the proportion of visible light that can be converted into carbohydrate by different plants. These differing capabilities relate to the so-called C3 and C4 pathways for carbon dioxide use; the former generally associated with temperate species, the latter often associated with plants in tropical and arid regions. The C4 species, such as millet and sorghum, are able to convert very high light intensities into chemical energy more efficiently than C3 species.
+Temperature, moisture stress, and nutrient availability also impose constraints on plant growth. Moisture stress is of particular importance in the Sahel. Approximately 100 mm of rainfall per month is necessary to sustain crop growth. Hence, the hydrological growing season in the region between the 400- and 750-mm isohyets would generally be from 2-4 months. Nutrient deficiency is both an important constraint and the only one that is not, in practical terms, beyond the farmer's ability to control. Nitrogen, phosphorus, potassium, calcium, and magnesium are particularly important nutrients.
+In a traditional Sahelian agroforestry system, trees, shrubs, and annual crops are often integrated in such a manner that leaf area indices are relatively high, permitting correspondingly high levels of productivity during the short growing season. The prominence of C4-pathway staples, such as millet, sorghum, and maize, further contributes to the productivity of traditional agricultural systems. The deep-rooted trees and shrubs in the systems provide a wide range of products of importance to local populations, forage for livestock, and microclimates that support greater crop diversity. They also recycle critical nutrients, including the important nitrogen contributions of leguminous species such as Acacia albida. Research in Senegal has revealed that yields of millet and groundnuts grown under A. albida trees on infertile soils increase from 500 +/-200 kg/ha to 900 +/- kg/ha. In addition to increased crop yields, there are 50-100 percent increases in soil organic matter,
+improved soil structure, increased water-holding capacity, and a marked increase in soil microbiological activity beneath the trees (Felker 1978). In addition to nitrogen-fixing rhizobial bacteria, there are larger populations of other important soil organisms, such as the mycorrhizal fungi that are so important in facilitating phosphorus uptake in plants. The increased stability and productivity of these systems reduces the need for extended fallows.
+The perennial components of traditional Sahelian agroforestry systems are also effective in intercepting rainfall, promoting ground water recharge, and preventing erosion. According to some climatologists, there is also a possibility that increased perennial ground cover increases or maintains higher levels of rainfall (National Research Council 1983).
+Departures from traditional systems of agroforestry in the Sahel have often included the clearance of trees and shrubs from agricultural lands. Land is cleared for a variety of reasons: the perceived need to reduce competition with crops for water, to eliminate roosts for granivorous birds such as Quelea quelea (black-faced diochs), and to permit the use of mechanized farm equipment. Unfortunately, the clearance of woody perennials also results in lower potential productivity: the leaf area index and ground water recharge are often reduced, soil temperatures and soil-water relationships become less stable, soil ecology is disrupted, nutrient cycling breaks down, and erosion increases.
+In many instances, complex mosaics of traditional C4 food crops and legumes have been replaced by mono cropped systems of comparatively less efficient C3 cash crops such as rice and cotton. One result is that a much narrower range of food and other plant products is available for local use, with a corresponding reduction in the self-reliance of rural populations. In the absence of leguminous field trees, these crops require heavy applications of costly commercial fertilizer. Fertilizer requirements are further increased as the mineral nutrients contained in the crops (approximately 5-10 percent of the dry weight of the plants) are lost to the system with the export of the crops. It has been estimated that in some areas the shift to open-field cultivation has reduced the human carrying capacity of the land from 25-40 individuals/km2 to 10-20 individuals/km2 (Felker 1978).
+TRADITIONAL STRATEGIES OF LAND USE
+Two strategies of land use have been employed so far and will, to some extent, continue to be essential in the Sahel. The first is based on nomadic pastoralism and is characterized by:
+· Extensive use of vast areas for grazing
+· Mobility of people and livestock, as a flexible reaction to even small environmental and climatic changes
+· Year-long engagement in land use; seasonality is met by rhythmic migration, adapted development of herds
+· Multiple exploitation of plant cover but no cultivation of plants
+· Little regular market sale of production
+· Animals (cattle, camels, donkeys, goats, and sheep, as well as wildlife) are at the center of all traditional life.
+The second strategy is based largely on sedentary rain fed agriculture, characterized by:
+· Intensive use of small favorable sites
+· Relative immobility of residents; if applicable, shifting or rotation of fields within easy reach of the family compound
+· Short season of concentrated agricultural efforts, dependent on rains (July-October), seasonal "unemployment" frequently taken up by nonagricultural jobs in towns and cities
+· Cultivation of a few plant species for specific products; supplementary multiple use of natural vegetation
+· Only minimal livestock (e.g., small ruminants such as goats) kept for products used in the household (milk, meat, hides)
+· Field crops beyond subsistence demand are regularly sold or exchanged for various goods.
+Additional strategies of regional importance, but more localized application, would include the highly productive recessional (decrue) agriculture practiced along the margins of seasonally fluctuating lakes and rivers.
+Sedentary agriculture is expanding northward, and there is increasing overlap and competition as well as a mixture of the original two basic types of land use. The mayor problems and conflicts arise in the transition zone between pastoralism and rain fed agriculture.
+Natural stands of trees and shrubs have always played a supportive role for both pastoralism and agriculture. With important exceptions such as oasis agricultural systems, however, they have seldom been regenerated or newly planted by local people. In most areas of the Sahel, continuous selective exploitation and land use practices that are incompatible with tree growth have changed the original climax, eliminated many species of trees and shrubs, and resulted in degraded stands on the one hand and in local concentrations of certain species on the other. For example, such highly esteemed trees as Prosopis africana, Lannea spp., and Ximenia americana survived only in the southern savanna lands; apart from relic stands, they have disappeared from the Sahel proper. Other species, such as Adansonia digitata (baobab), Butyrospermum paradoxum (shea-butter), Parkia clappertoniana (West African locust, or nere), and Calotropis procera, concentrate in disturbed areas around human
+settlements. Bush fires have also played and still play a decisive role in species selection, resulting in a "fire-climax" in which only a few resistant species survive.
+Tree culture as a preliminary stage of real "forestry" never had a place in traditional land use systems. Therefore, in discussing the following three agroforestry systems, the multiple and sometimes intensive use of naturally growing trees and shrubs largely represents the forestry contribution. These three systems are variants of the two land use strategies involving trees: first, mainly with livestock (silvo-pastoral systems); second, with agriculture (agro-silvicultural systems); third, with both in combination (agro-silvo-pastoral systems).
+SILVO-PASTORAL SYSTEMS
+Silvo-pastoral land use is predominant in all areas of the Sahel not used for agriculture. There are two main types of silvo-pastoral systems. The first predominates in the northern part of the Sahel where there is little rainfall and where nomadic or transhumant pastoralism is the main land use. Trees and shrubs, which form a more-or-less open canopy over the grasslands, according to site conditions, supply a substantial part of the livestock's fodder needs.
+H. N. Le Houerou (1980) has suggested that, under prevailing conditions, up to one-third of all forage could be supplied by trees and shrubs. Leaves and fruits account for about 5 percent of average livestock fodder needs during the rainy season and up to 45 percent toward the end of the dry season. Their importance, however, is not only to be measured in kilograms of available dry matter but, even more importantly, in terms of fodder quality (for example, content of digestible protein, minerals, and vitamins). Research in northern Senegal has shown that an average tropical livestock unit (corresponding to one 250-kg bovine) consumes about 1,200 kg of grass and herbs and more than 500 kg of woody forage between November and July (dry season). As the net annual increase of grass and herbs in this region is between 300 and 1,300 (average 700) kg per hectare (ha), and that of accessible and digestible forage from woody plants is about 120 kg/ha, empirical research has shown
+that during the entire year, about 5 ha of average bush land are needed to feed one tropical livestock unit. There is considerable variation, however, subject to soil and rainfall conditions. Only 1 ha will be needed on highly productive sites--for example, in seasonally flooded depressions; over large parts of the drier northern Sahel, however, at least 10-20 ha or more will be required.
+Trees and shrubs of the Sahel have thus played a significant role in livestock management. Governments in the past often responded to apparent demand by establishing vast silvo-pastoral reserves, now under the supervision of the national forest and range management services. In addition to forage, trees and shrubs furnish important supplies of edible fruits and leaves to the many people who do not grow agricultural crops. They also provide wood and many other products, including medicinals from the "ever-present pharmacy.
+Natural grasslands with a relatively high proportion of trees and shrubs continue to form the basis of a more-or-less sustainable silvo-pastoral land use system over millions of hectares and for millions of people. Growing populations and steadily increasing numbers of livestock, however, have led to critical and destructive developments during the past few decades. Without improvement and controlled management, the carrying capacity of northern Senegal appears to be just below 1 person and 25 livestock units per square kilometer (100 ha). This would result in the annual removal and consumption of over 125 kg of woody forage and around 5-7 kg of wood and minor forest products per hectare, compared with the annual increment of 120 kg of accessible and digestible woody phytomass and 123 kg of wood and bark as measured at Fete-Ole, Senegal. In other words, pressure on woody forage has reached its critical level in most areas, whereas wood consumption for household use becomes
+destructive in concentrations of more than 25 people per square kilometer. These figures, although provisional and of rather local validity, not only indicate the definite limits to further growth but also explain the existing threat of desertification in some parts of the Sahel.
+A second type of traditional silvo-pastoral system is found mainly in the southern Sahel (largely in areas with more than 500 mm annual rainfall) and in the transition zone between pastoralism and rain fed agriculture. Here, on the same plot of land, crops of millet, cow peas, and groundnuts are grown during the rainy season. After harvest the fields are opened to livestock to feed on agricultural residues and weeds; during the rainy season the livestock are maintained on the surrounding grasslands. This form of rotation is well established and adapted to the ecosystem and to local needs, and is practiced by sedentary or semi sedentary farmers, often by agreement with migrating herders (Gallais 1975). The system comprises a phase of green fallow over several years, where trees cut at stump level recover. These fallows usually offer much richer grass and herb vegetation than surrounding bush lands. Woody plants play a subsidiary role in this system; trees are lopped, and
+leaves and pods are collected as additional fodder. Leaves of bushes and trees sprout 6-8 weeks prior to the arrival of rain, supplying a valuable protein source at the time of greatest forage scarcity.
+AGRO-SILVICULTURAL SYSTEMS
+Agro-silvicultural systems combine tree and shrub utilization with rain fed or, occasionally, irrigated plant production. Most include a livestock component as well. Perhaps the best-known examples are the oases of the desert and sub desert zones. These systems are described in detail in the early literature of the northern Sahel.
+Travelers' chronicles dating from the Middle Ages to the late nineteenth century describe agro-silvicultural systems in the northern Sahel that contained a far greater diversity of crops than is found in the region today. There was frequent mention of northern grains, such as wheat and barley, as well as Mediterranean vine and tree crops such as grapes, olives, and figs. Many of these crops were associated with Berber and Arab settlers from the north and were apparently supported by summer rains, the more frequent winter rains received in the past, and by supplemental irrigation (Robert 1976).
+Other major grain crops included sorghum, millet, and maize. Garden crops grown in the oases included broad beans, lubia, peas, carrots, okra, turnips, swedes and cabbage, cucumbers, various kinds of melons, pumpkins and squash, purslane, eggplant, tomatoes, radishes, beets, onions, garlic, and chili peppers. Sugar cane was also widely grown. Important exports from the oases included mallow, sesame, saffron, cumin, coriander, "Sudan" chilies, raisins, cotton, indigo, esparto grass, and henna. Noteworthy among the trees and shrubs associated with these systems were date palms, lemon trees, Seville orange trees, mulberry trees, pomegranates, and almond, peach, and apricot trees. Wild species exploited for food included colocynth, Zizyphus spp., Hyphaene thebaica (doum palm), truffles, Nitraria tridentata, and wild grains such as the seed of Aristida pungens (Nachtigal 1879, Levtzion and Hopkins 1981).
+Representative of the agro-silvicultural systems of the southern Sahel would be that of the Yatenga region of Upper Volta. In the Yatenga systems, the areas nearest the settlements are under almost permanent cultivation. Fertility is maintained by nutrient cycling through trees--particularly Parkia clappertoniana, Tamarindus indica (tamarind), and Butyrospermum paradoxum; short, 2-year fallows; and by dressing the fields with ash and manure collected in the pasturelands beyond the zone of cultivation.
+The crop rotations employed in the region largely reflect soil qualities. For example, the following rotation would typically be associated with hydromorphic soils:
+Year 1
+Maize associated with cotton
+Years 2-6
+Sorghum and cow peas
+Years 7-9
+Groundnuts
+Year 10
+Grazed fallow
+On better agricultural soils, the fallow period is frequently eliminated:
+Years 1-6
+Maize
+Year 7
+Sorghum and cow peas
+In this rotation, cotton is associated with cereals every 2 years. On lands that are degraded or difficult to cultivate, millet and sorghum are cultivated for a period of 5 years, followed by grazed fallow or the cultivation of groundnuts (Food and Agriculture Organization 1981).
+Today, a number of agro-silvicultural systems appear to be practiced in the Sahel. Gardens are found within settlements where water is available, usually with a tree component that provides shade and shelter and, often, edible fruits or leaves. The same holds true for intensively managed, irrigated, and fertilized gardens near urban centers. Both subsistence home gardens and cash-generating market gardens are highly productive. Fruit and pod-bearing trees, shade trees, and hedges or living fences are the "forestry" components, sometimes supplemented by decorative woody plants. Mangoes, citrus trees, guavas, Zizyphus mauritiana (Indian jujube), cashews, palms, Ficus spp., and wild custard-apples are prominent kinds of fruit trees. Shade is often provided by Azadirachta indica or similar species, while fencing is provided by thorny species of Acacia and Prosopis, and by Commiphora africana, Euphorbia balsamifera, flowery shrubs such as Caesalpinia pulcherrima
+(paradise-flower), and other species.
+Close to the settlements is a ring of suburban gardens, often irrigated, in which cassava, yams, maize, millet, sorghum, rice, groundnuts, and various vegetables are grown, for subsistence as well as sale, depending on the ecozone.
+Outside the villages in areas of adequate rainfall are bush farms, often more than 1 ha in size, where the region's main agricultural crops such as millet, sorghum, maize, and groundnuts are grown. These farms may be and sometimes are so far away that people have to build shelters to stay there for many days without returning home. Woody plants are often cut from the fields to avoid competition with crops or to deny nesting to birds, and for use as fencing material. Where possible, however, Acacia albida or food trees (for example, Butyrospermum paradoxum, Parkia clappertoniana, Tamarindus indica, Borassus aethiopum (ronier), and Hyphaene thebaica) are left and often carefully maintained and protected. With some regional variations, a very old and sophisticated tradition of food-tree culture flourishes, which has resulted in an almost perfect combination of single-tree management and intensively managed farmlands and therefore merits detailed study.
+AGRO-SILVO-PASTORAL SYSTEMS
+These systems combine all three elements of crops, trees, and livestock in both space and time. Two systems are mentioned here. The first is a rotation system that is common in the Republic of Sudan but is also known in Chad and Niger. It is based on about 20 ha of family-owned land subdivided into 4 sections to be rotated every 5 years. For example:
+Years 1-5
+Plantation of Acacia senegal trees; in between agricultural land use (for
+example, where millet is cultivated).
+Years 6-10
+First harvest of gum arabic from the trees;cutting grass from fallow land.
+Years 11-15
+Period of full yields of gum arable; controlled grazing possible between
+trees.
+Years 16-20
+Final harvests of gum arable; clear felling of the acacia trees (used for
+firewood, charcoal,posts); grazing.
+The rotation continues with replanting and agricultural use in the twenty-first year. Depending on site quality and rainfall, these 20 ha can maintain a family of 5-10 people.
+The second system is found in many parts of the Sahel where rainfall and ground water level permit the growth of Acacia albida, the remarkable multipurpose tree of semiarid Africa. Outstanding examples are to be seen in Senegal (near Bambey) in parts of Upper Volta, and in southern Niger (Dallol-Maouri). Acacia albida is, in fact, often regarded as a sacred tree. Proverbs refer to it: "The tree is your better friend: it never demands but always gives. The sultans of Zinder, in former times, used to cut off the hands of people who illegally felled an Acacia albida.
+This leguminous, nitrogen-fixing tree has a deep tap root system that enables it to tap lower sources of water and nutrients inaccessible to agricultural plants. It is leafless during the agricultural season and therefore does not compete with crops for light. It produces leaves and provides ample shade during the hot dry season--a phenomenon known as reverse foliation. The leaf litter of the trees contributes nitrogen, other nutrients, and much-needed organic matter to the fields. In addition to soil improvement, which results in up to 100 percent higher yields than those outside the range of Acacia albida crowns, this tree produces large quantities of qualitatively valuable forage by shedding its apple-ring-like pods during the dry season. The wood is used for local construction and as fuel. The thorny branches serve as fencing material, and many parts of the tree provide medicine for people and livestock. About 20 adult trees per hectare will guarantee an almost perfectly
+balanced system of agroforestry with high yields in millet production in the rainy season (Figure 4) and more than 1,500 (sometimes as much as 2,500) kg of pods for feeding cattle and small ruminants; that is, sufficient for the supply of one tropical livestock unit per hectare in the fodder deficient dry season. Therefore, Acacia albida has been given high priority in agroforestry projects in suitable parts of the Sahel.
+<section>Chapter 3: Uses and Potential of Agroforestry</section>
+As indicated earlier, the term "agroforestry" covers a variety of land use systems in which woody perennials are directly associated with agricultural crops and/or livestock in order to realize higher productivity, more dependable economic returns, and a broader range of social benefits on a sustained basis. Agroforestry can contribute to rural development in the Sahel by:
+· Increasing the variety and stability of food supplies
+· Providing a sustained supply of fuel wood
+· Producing wood and a variety of other raw materials from shrubs and trees for construction, for farmer's subsistence, and to provide a constant supply of locally important "bush products"
+· Protecting the productive potential of a given site and improving its environment and carrying capacity
+· Safeguarding sustainability through appropriate intensification of land use, and improving social and economic conditions in rural areas by reducing risks and creating jobs and income
+· Developing land use systems that make optimal use of modern technologies and traditional local experience and that are compatible with the cultural and social values of the people concerned.
+In large but sparsely populated regions there is usually either no need or no possibility for intensive land cultivation. This has been, and in some areas still is, the case in the rural Sahel. In these areas, people have developed outstanding skills in exploiting available self-regenerating natural resources. They know the characteristics and products of most plants. In the Sahel, there are hundreds of species of trees and shrubs that are used in a variety of ways: for food, fodder, firewood, building poles, fiber for cordage, tannins, dyes, stains and inks, gums, resins and waxes, poisons and antidotes, and drugs for medicinal and veterinary purposes (see Chapter 2). In traditional subsistence strategies, woody plants were used effectively in combination with grasses and herbs and were kept in balance with the needs of wildlife and livestock, according to water availability and other local conditions.
+With population growth, competition between farmers and herders has increased. Urban migration has created markets for food produced by proportionally fewer people. In areas where arable land becomes scarce, people turn to new land and more intensive practices. They try to accomplish this in two ways. One is through specialization, by crop monoculture, to achieve maximum yield of one product. Daily needs are met by exchanging or selling the surplus in order to obtain other goods and services. Alternatively, production can be diversified to satisfy most of the needs of a household or community. The bulk of production is locally consumed, and only small quantities are exchanged for goods not obtainable by other means. Although agroforestry is not necessarily confined to subsistence economies, it is clearly easier to meet the requirements of rural populations through a system of land use that integrates agriculture, pastoralism, and forestry than through monoculture. This is
+particularly true if natural sites and economic conditions such as infrastructure, access to markets, and purchasing power are marginal.
+ECONOMIC BENEFITS
+Crop yields in Sahelian countries are among the lowest in the world. Costs of agricultural infrastructure, fertilizer, and pesticides are among the highest and therefore are beyond the reach of most farmers. The attraction of agroforestry is in the greater potential stability of the system in responding to drought and heat stress, in its nutrient cycling and improved moisture balance, and in the greater variety of products it yields. In any given location, the type and extent of a suitable mixture of trees and crops will depend on environmental factors, such as soil type and rainfall, and on the purpose for which the crops are grown.
+The following sections describe the potential benefits resulting from growing a combination of trees, shrubs, and agricultural crops.
+Food
+Agroforestry can increase the dependability of food supplies' thereby reducing risk in rural economies. As will be shown later, it also contributes to making the best use of scarce water resources. Under Sahelian conditions of extremely variable rainfall, risk is reduced by growing more vegetation per unit area compared with other systems, using mixtures of species, multistory structure, extending the growth period, and protecting and improving the soil. Trees and shrubs play an important role. Fruits and leaves of many species are edible and form part of the staple food of Sahelian people. They also are important sources of fodder for livestock, especially during the dryseason, and therefore indirectly contribute to food production through animal products. Similarly, agroforestry systems often provide habitat for wildlife and thereby increase the availability of bush meat. The many foods available from agroforestry systems can provide a more varied and potentially more
+nutritious diet.
+Energy
+Some families in the Sahel, particularly in urban centers, spend one-third of their income to buy firewood or charcoal. In others, one working day per week of one or two of the family members, often women and children, is spent collecting firewood from the open bush land, often located considerable distances from their homes. Field research in many parts of the Sahel indicates that, on the average, at least 1 kg of firewood is needed for the daily supply of one person. The actual amount of firewood or charcoal required is dependent, in part, on the inherent density of the wood, as heavier woods yield more energy on a per unit volume basis than lighter woods. Continued uncontrolled firewood collection results in severe destruction of vegetation.
+The most severely affected areas are those in the zone between the Sahel proper and the savanna, where increased farming and herding have led to the greatest overuse of the vegetation. In the northern Sahel, the lower population density limits the degree of severity of deforestation; in the southern savanna region, rainfall is adequate to support a relatively plentiful supply of biomass fuel. Exceptions are the result of urban demand, which may extend for hundreds of kilometers as in the case of the charcoal supply for Nouakchott provided by the disappearing Acacia nilotica (gonakier) forests along the northern bank of the Senegal River.
+Firewood plantations appear to have economic and ecological limitations in the true Sahel. Alternative energy supplies are not available or are too expensive. More than 90 percent of all household energy requirements are met by wood. Single tree or shrub cultivation, as applied in agroforestry and adapted to the environment, can make more firewood available to rural households.
+Agroforestry satisfies other energy needs as well. Modern Western agriculture requires constant supplies of energy such as liquid fuel for mechanized farming, transportation, and production of mineral fertilizers. In Sahelian agroforestry, however, the need for mechanization is reduced, and the need for fertilizer can be met instead by animal manure, by mulching and composting of organic waste, and by nutrient cycling through deep-rooted woody perennials.
+Renewable Raw Materials
+Trees and shrubs are important sources of raw materials in the Sahel, since few others are available. Wood, in addition to firewood, ranks first; it is used in almost every aspect of daily life. Of these many uses, traditional building, fencing, and production of agricultural and household implements and furniture are most important.
+Utility wood (predominantly poles, small logs, branch-wood for roofing, or thorny brush wood for fencing) is obtained through selective, single-tree utilization; thus destruction by clear felling rarely occurs. This highlights the possibility of producing wood on agroforestry land in single tree units that perform various productive and protective functions while they are growing.
+In addition to wood, many other products from trees and shrubs are used locally and are even exported. The best-known product is gum arabic from the Acacia senegal, a small leguminous tree that grows in sub-Saharan Africa from Senegal to Somalia (Figure 5). It is currently among the most commercially important natural gums in the world. In addition to a broad range of domestic uses, gum arabic is used in the manufacture of medicine, chewing gum, confectionery, soft drinks, and a variety of foods. It is also used for printing in the textile industry. Although more than 80 percent of all gum arabic on the world market is produced in the Sudan, many Sahelian countries, including Mauritania, Senegal, Mali, Niger, and Chad, export smaller quantities and are making concerted efforts to increase their production. Gum arabic can be produced extremely well in agroforestry systems because the Acacia senegal integrates well with other crops and provides fodder for livestock. It has
+been traditionally used in this way for centuries in the drier areas of the Sahel.
+Increasing the number, species, variety, and quality of trees and shrubs on lands formerly used only for rain fed agriculture or as pastures can improve the supply of many of these products. There is an outstanding demand for tree and shrub products both locally and for export because substitutes are not available, are too expensive, or because natural products are preferred.
+Environment
+When a natural ecosystem is replaced by one managed for subsistence or economic purposes, potentially competitive plants and animals are deliberately eliminated, while others disappear because of changed site conditions. As a rule in arid areas, having fewer species leads to greater risks to productivity because the simpler system is more vulnerable to drought, erosion, pests, and all the uncertainties of agriculture. Agroforestry, on the other hand, protects the environment by approximating the natural three-dimensional structure of a mixed tree/crop system and by maintaining or even increasing the number of plant species. Expensive failures of large-scale monoculture development schemes in the tropics, notably involving cotton and groundnuts in the Sahel, indicate that the kind of land use practiced successfully in temperate zones is not easily transferable. Agroforestry involves changes that benefit the farmer by substituting crops for natural vegetation, thereby reducing
+economic risks because the system can adapt to local conditions and generate a greater variety of products and resources.
+SOCIAL BENEFITS
+Agroforestry can help people to be more self-reliant by meeting daily needs through a more varied and often more productive economy, and by reducing the need to import food, fuel, fertilizer, herbicides, pesticides, fodder, building materials, and other products. It also enables rural Sahelian populations to relate economic production directly to their own cultural traditions and management capabilities rather than to alien perspectives and approaches to management, which are often insensitive to local needs, capabilities, and conditions. By increasing the self-reliance of rural populations and maintaining cultural continuity, agroforestry can help stabilize rural communities and reduce the destructive social anomie so often associated with rapid socioeconomic change. By simultaneously permitting increased production while relieving pressure on environmental systems, agroforestry also enables rural populations to maintain or restore the traditions of environmental
+stewardship so basic to the long-term well-being of the Sahel region.
+FLEXIBILITY
+Soils and vegetation in the Sahel vary, even over short distances. The great variety of sites has, in the past, too often been disregarded in development projects. It is nearly impossible for people unfamiliar with the region to detect site differences during the long, dry season. As indicated in the example of agriculture in the Yatenga region of Upper Volta (Chapter 2), however, site quality has always been carefully respected by local farmers and herders.
+Agroforestry combines plants and animals that are well adapted to varying site conditions. Existing vegetation may serve as an indicator in the selection of more productive species to meet local needs. Unfortunately, however, knowledge about effective plant associations in agroforestry generally is quite limited. Research in this area has been neglected compared with research on conventional cropping systems because of the emphasis placed on improving productivity of good agricultural land in order to feed larger numbers of people. The associations among plants in agroforestry systems are more complex, and the research is more difficult and time-consuming because of the relatively long life of the perennial species involved.
+The Sahel is not suited for true forest. Growing large, closed forests is probably not possible with the region's limited rainfall; however, selected trees and shrubs (or small groups of them) can be grown successfully on soils suitable for their specific nutrient and moisture requirements. The same holds true for agricultural crops.
+The sustained and multiple use of seasonally flooded depressions and areas with adequate ground water availability appears widely neglected. Although these seasonally flooded depressions are used for watering cattle during the Sahelian rainy season, they could be converted into small "agroforestry oases" with an upper story of multifunctional trees and a lower story of agricultural or horticultural crop plants. Several areas with satisfactory ground water recharge, such as the Bahr al-Ghazal depression of Chad, could support higher levels of agricultural production.
+Agroforestry is extremely flexible in its adaptability to ecological niches; and, because of its diversity, it does not impose heavy pressure on specific sites. Beyond the traditional knowledge of local farmers, herders, and other experts in land use, much remains to be improved through trials and experimentation. Each system of agroforestry, with interactions between plant associations and their individual components, is faced with the problem of competition among and within species. The goal of agroforestry is to reduce this competition by optimizing combinations of agriculture, pastoralism, and forestry over space and time.
+Correlations between optimal and minimal population densities and sizes of woody as well as annual plants need to be quantified. Some work has already been done on optimum tree spacing and mean annual rainfall, which will help to develop relevant land use techniques with variable numbers of individual trees. Minimum factors for plant growth show a certain intraspecific variation. This offers an opportunity to optimize plant associations.
+Agroforestry also offers techniques to make optimal use of land on a small scale. There are many interdependencies among plant and animal species to be considered. All animals and man depend on plant biomass production through photosynthesis. Many woody plants depend on rhizobial bacteria or mycorrhizal fungi; others are parasites, saprophytes, or climbers. The food preferences of various forms of livestock are generally complementary--some being primarily browsers, others being preferential grazers. The productive potential of adapting plant and animal species to particular sites in the Sahel has not yet been adequately exploited.
+ACCEPTABILITY
+Agroforestry has been defined as a sustainable land management practice that increases the overall yield of the land, implying management strategies compatible with the cultural practices of the local population. Agroforestry can be improved by new techniques such as irrigation, fertilization, and subsoil treatment, and particularly by selecting and breeding more productive economic species. Local species should be given preference because they are adapted to the sites and their uses are well known to the people; however, exotic species may have attractive production capabilities in the new environment.
+The belief that Sahelian people tend to be conservative, if not entirely against all innovation, is not true. There is, in fact, ample evidence of change. For example, when it is said that nomads continue to enlarge their herds irresponsibly, only for purposes of prestige, this is only a half truth from an external perspective. For the nomad, a large herd composed of animals of all ages will have a larger number of survivors after a period of drought, giving more security to the herd's owner. Similarly, a farmer who has many children and, during years of high rainfall, extends his fields into rangeland areas or around a water hole (thereby giving his cattle access to water), is trying to reduce the risks of harvest failures and lack of grain. It is also true, however, that these strategies often result in increased environmental degradation. Greater effort must be made to reconcile changing local needs and practices with sound environmental management.
+Another especially relevant aspect of land use in the Sahel is that in the present and at least for some future decades, prevailing conditions in the Sahel set definite limits to growth. Although very substantial increases may be possible in specific locations and in selected sectors, higher agricultural yields should be only one among a number of strategies to increase human ecological carrying capacity. Others would include:
+. Improving the quality of the products (for example, higher nutrient content and better digestibility of crop plants, higher yield or value of cash crops)
+. Saving scarce resources (for example, by introducing fuel-efficient stoves, less wasteful charcoal-making technologies, and water-saving trickle irrigation)
+. Substituting deficient items with those more readily available (for example, living fences and hedges for barbed wire or wooden fences; compost and mulch for imported fertilizers).
+These measures will involve making resources available to the local farmers and herders beyond usual agricultural or forestry projects. While this may appear to be a handicap that retards progress, it is, in reality, a multiple-strategy approach based on the way people see their problems and on the way they are accustomed to addressing necessary changes.
+<section>Chapter 4: Agroforestry Applications</section>
+When applied to the traditional African smallholder, the term "farm management" refers to a mixture of crop diversification, crop rotation, and introduction (where adequate water and appropriate soils are available) of small vegetable gardens, fruit orchards, and forage production for locally owned livestock.
+Since intense heat is a mayor constraint in Sahelian environmental management, shade trees are highly valued. Villagers frequently request trees that provide shade for the family compounds, for school buildings, or for the marketplace. Despite the need for good farmland to provide basic staple food crops, local farmers often are willing to set a few corners aside for trees. High on the list are fruit trees: mangoes, citrus, guavas, and papayas. Next come "food trees." Many local sauce and stew recipes call for substantial amounts of leaves from various local trees such as Adansonia digitata. Forage trees and shrubs are also highly desired.
+Quite often, farmers do not interplant more of these useful trees only because seedlings are not available. While the introduction of plastic pots in nurseries has made it possible to produce planting stock of this kind, most forest services plant rapid-growth exotic species used in larger scale reforestation schemes and only recently have begun to promote local species.
+As noted elsewhere in this report, trees can play several important roles if they are properly integrated into conservation-oriented farm practices. They produce shade, fruit, and other foods, but when integrated into soil-conservation activities such as the construction of berms and terraces, they can provide cover and protection against wind and can anchor water-control structures. They also improve the microclimate. Furthermore, leaves and other litter fall to the ground and resupply the soil with nutrients and organic matter. Well-selected trees and shrubs can contribute to soil conservation and improvement and the restoration of ecological balance and, at the same time, play an important role in providing food, fuel, fiber, pharmaceutical products, economic products such as gum and honey, and many other items that have disappeared because of advancing desertification.
+Tree Crops
+Many indigenous fruit and food trees play an important role in providing more balanced diets and/or additional farm income. In areas receiving more than 700 mm of rainfall, or along mares or depressions, two tree species are of particular interest: Butyrospermum paradoxum and Parkia clappertoniana. Both furnish important products that are used in even the most modest kitchen. Shea butter is produced from the former by a long and tedious process and provides fats and vegetable protein, which are inadequately supplied by standard cereal staples. The pods and seeds from P. clappertoniana are used as the base for such local sauces as soumbala which, like shea butter, provide proteins as well as vitamins and minerals otherwise missing from diets. A refreshing vitamin-rich drink is derived from the sticky pods of Tamarindus indica. The acid contained in these pods is mixed with local millet and sorghum gruel to make them more digestible. Moringa oleifera, very much appreciated for
+its edible leaves, is found in many local gardens. Ficus spp., Zizyphus spp., Balanites aegyptiaca (desert date), Borassus aethiopum, and other species similarly serve as important sources of food. These trees contribute so much to the basic diet and traditional well-being of Sahelian populations that they are considered valuable assets in farm fields as well as around compounds and villages, even if they compete to some extent with staple crops.
+Natural regeneration of Acacia albida and other valuable species is declining in many places. Intensive farming "including weeding and land clearance by animal traction or tractors) no longer allows a farmer to weed around young seedlings. Animals in ever-increasing numbers browse on the young shoots and destroy what is left. However, all of these species have been successfully established in nurseries from seeds and transplanted into fields, and seedling supply need not be a problem.
+The major issue in planting trees, then, is to find local people who are willing to take the extra steps necessary to plant and protect the seedlings during the first few years. After the harvest, animal owners allow their livestock to forage on the stalks and leaves of the previous season's crop. While it is not always possible to ask animal owners to keep their sheep, goats, cows, or donkeys away from newly planted trees, which may be scattered throughout the farm fields, it can and has been done in selected sites with considerable effort, supervision, and care.
+Shelterbelts
+Shelterbelts occupy a special place in agroforestry. Where wind and heat adversely affect farm yields, properly designed shelterbelts can increase production substantially. Net production increases of over 30 percent in protected fields have been reported in Niger (in the Bouza District windbreak project).
+What began as an effort simply to establish a living barrier against winds, quickly developed into a multipurpose operation.
+Properly managed, shelterbelts produce not only firewood, poles, and branches for fencing but also some fruit and forage. Further, as leaves fall from the trees, they are scattered across the fields, providing the soil with critical nutrients and substantial amounts of organic matter.
+In certain regions, it has been found that although people are reluctant to set aside larger blocks of farmland for tree plantations, they are less opposed to taking a strip of land out of farm production to establish shelterbelts. Cooperation can be easily arranged because farmers are convinced that they increase crop yields, even after the land they occupy (around 10 percent) is taken into account. The reasons for this receptivity should be carefully documented so that cooperation in such efforts can take place elsewhere.
+The current preferred approach to establishing a multipurpose shelterbelt is to have a mix of rapid-growth species for immediate protection; slower-growing trees that eventually grow quite tall, extending the wind-shielded area; and smaller trees or bushes that produce a variety of by-products (such as Acacia nilotica pods, which are in strong demand by local tanneries) and fill the air spaces closer to the ground.
+For further information regarding the establishment of shelterbelts in the Sahel, see the National Research Council's report, Environmental Change in the West African Sahel (1983).
+Contour Planting
+The planting of valuable, multiple-use tree species in association with terraces, berms, and ditches in soil conservation projects allows socially beneficial production to be combined with much needed soil conservation measures in Sahelian farming systems.
+Vegetation Strips
+Horizontal vegetation strips consisting of bands of different trees and shrubs established along contour lines to prevent soil loss by erosion is another concept worth mentioning. These strips can eventually be rotated every 10 years so that an adjacent band is established while the previous belt is cleared and its restored and rejuvenated soils farmed again.
+Trees and shrubs can also be used effectively to protect and stabilize slopes and banks along natural erosion channels or along runoff swales in farm areas.
+RAINFED AGRICULTURAL PRODUCTION
+Among the numerous factors that limit crop production under rainfed conditions in the Sahel, two are of overriding importance: (1) the efficiency with which crops and range vegetation use available moisture, and (2) soil fertility and the availability of critical plant nutrients. These two factors are intimately interrelated.
+In many traditional systems, crop production, soil fertility, and soil structure (an important determinant in the capacity of the soil to hold and supply water) were maintained by extended fallow periods between shorter cropping cycles. During this fallow period, native plant species--predominantly deep-rooted, woody leguminous species--became reestablished and provided ground cover essentially equal to that provided by the natural vegetation before the land was cultivated.
+Under alternating cycles of 3-4 years of cultivation and 15-20 or more years of fallow, soil fertility and structure, including organic matter content, were maintained with virtually no deterioration over time. Soil fertility was maintained through the recycling of mineral nutrients by trees and shrubs with deep root systems extending beyond the leached surface horizons, and through biological nitrogen fixation by soil microorganisms such as Rhizobium spp. and various free-living, nitrogen-fixing bacteria and blue-green algae. Soil structure was maintained by the combined action of the deep and extensive root systems of the trees and shrubs and by leaf fall. The enhancement of capacity to absorb water contributed to the maintenance of soil moisture at capacity levels, thus controlling runoff and thereby reducing erosion.
+As the intensity of land use has increased with population growth, the long fallow period has been reduced. In some cases, the fallow period has been so reduced that few trees and shrubs survive to become reestablished and make sufficient growth to be useful. The vegetation that develops during the short fallow period is dominated by shallow-rooted grass species that contribute little to regeneration of soil fertility and structure. The recycling of nutrient elements and nitrogen fixation essentially stops. The infiltration of water into the soil is reduced, thus increasing runoff and erosion. Reduced ground cover further facilitates wind erosion. Although there are few reliable data to confirm this, it appears that the productivity of Sahelian soils has declined under more intensive cultivation.
+Investigations by the Institut de Recherches Agronomiques Tropicales et des Cultures Vivrieres (IRAT) in Senegal and Upper Volta have demonstrated that the adverse impacts of the intensive use of Sahelian soils can be counteracted by the use of a variety of management practices. The use of heavy applications of manure or crop residues, applications of chemical fertilizer, and subsequent deep plowing were found to maintain and even increase productivity under conditions of continuous cropping with grain crops for periods of up to 20 years.
+Unfortunately, these results have found little application. They are usually beyond the capabilities of Sahelian farmers, who have little manure, use crop residues for animal feed and other uses rather than for soil improvement, have little physical or economic access to chemical fertilizers, and are usually unable to practice deep plowing because they lack equipment and because the labor requirements are difficult to meet as most workers are engaged in the harvest and other activities such as crop transport and storage. Moreover, maximum effectiveness is achieved only if all practices are combined. The use of chemical fertilizers alone, for example, does not provide as good a response as when used in combination with the other practices.
+The IRAT work, while demonstrating a technical methodology for maintaining productivity under continuous cropping, has not produced a practical solution or method for applying the technical solutions within the constraints under which most Sahelian farmers work. The challenge to researchers now is to develop practical methods for applying these technical solutions. It is within this context that agroforestry might best contribute to agricultural production in the Sahel.
+The following comments relate only to the use of agroforestry plant species in combination with crop production for maintaining or enhancing productivity.
+The principal objective of the farmer in the Sahel is the production of his basic food needs--grain and legume seeds. Any practice that interferes with achieving this objective is not likely to be accepted. Moreover, the precariousness of survival in the Sahel is such that the promise of better production, that is, better living in future years, is not sufficient incentive to ensure acceptance of a practice if doing so increases the risk of failure in satisfying current basic needs, or if it diverts meager resources, especially labor, from the task of producing basic food requirements. These conditions impose very definite limits on options for incorporating productivity maintenance or improvement schemes in the Sahelian rainfed agricultural production system. Hence, perhaps one of the principal advantages of agroforestry in the Sahel is that it is functionally and conceptually related to traditional agricultural systems in the region, and its implementation can therefore be
+supported by existing knowledge and techniques. In this context, agroforestry can be seen as an effort to strengthen and further diversify existing Sahelian systems.
+A wide range of options has been suggested for the incorporation of agroforestry elements in agricultural production, including:
+1. Various forms of intercropping and mulching
+a. Intercropping with food crops
+b. Intercropping with fodder species
+c. Intercropping with browse species
+d. Intercropping with multiple-use species (food, forage, fuel, construction materials, etc.)
+e. Strip cropping with any of the above-mentioned types of crops
+f. Use of mulch carried to cultivated fields from essentially non arable areas.
+2. Use of leguminous plant species in a managed fallow system alternating with crops (strip cropping is a special example of this).
+Studies to date have focused almost exclusively on the several intercropping options and variations of these. Although many species--mostly leguminous--have been mentioned in connection with intercropping, few have been studied to any degree, with the exception of the generally herbaceous food-producing species and a few woody species of genera such as Leucaena, Gliricidia, Prosopis, and Acacia. Very little has been done, or even suggested, to develop managed fallow systems that would simulate the traditional natural fallow system in terms of its capacity to restore soil fertility.
+The study and development of managed fallow systems seem to offer some promise, particularly if certain prerequisite conditions can be met: (l) the system and species used must have utility other than that of soil improvement (for example, food, feed, construction, fuel); (2) the system must not compete for labor during the peak period of labor demand by the food-producing systems; (3) it must be capable of producing useful soil regenerating effects in a relatively short period (2-4 years); (4) it must not require a substantial outlay of capital; and (5) the system must be manageable (that is, the species used must be easily established). Furthermore, the species used must be capable of rapid early growth to reduce weed competition; they must not become weeds themselves or harbor insects, disease, or bird pests; and they must be easily destroyed in order to return the land to cultivation.
+To date, the systematic evaluation of species, both native and exotic, for potential use either in the intercropping or the managed fallow systems has not been undertaken. A thorough understanding of the behavior of the different species under a few carefully selected conditions would greatly facilitate the conceptualization of potentially useful systems that could be tested in a wide range of environmental conditions. The time spent in such a systematic study of species would probably be more than compensated for by reducing the trial-and-error nature of the ad hoc studies carried out to date.
+FORESTRY AS A COMPLEMENT TO SAHELIAN AGROFORESTRY
+Much can be done in the forestry sector both to support agricultural production and to better assure environmental diversity. The Sahel, as mentioned earlier, is not forest land, and many discussions about forestry in the Sahel actually refer to the better-watered savanna zone. Forestry as a land use system in which trees dominate and in which artificial or natural regeneration, silvicultural treatment, and rational wood or multiple use are practiced will have to be studied in order to find a system appropriate for the Sahel. Given the generally harsh conditions, this will not be easy.
+"Traditional" forestry can, however, serve the following roles:
+1. Protective functions resulting in improved quantity or quality of production within the context of an integrated multiple land use system
+a. Improvement of the microclimate at the site b. Regulation of the water regime
+c. Preservation, restoration, and improvement of the soil
+d. Protection of land in use (cropland, pastures, settlements, water basins, roads)
+e. Preservation of plant and animal species, protection of wildlife.
+2. Productive functions as a supplement to animal husbandry and dryland farming; that is, production of:
+a. Wood as an energy source (firewood,charcoal)
+b. Wood as a building material
+c. Fruits, food, and leaves as food and fodder
+d. Additional forest products for commercial use and export, such as gum arable, tannin, and fibers.
+3. Protective and productive functions that lead to social benefits
+a. Improved supply of goods to satisfy daily need; creation of reserves for periods of drought or other emergencies
+b. Activation of resources for economic development
+c. Creation of Jobs, with special consideration of spatial and temporal concentrations.
+Although trees and shrubs have always played an important role in the lives of Sahelian people, the potential of these woody plants has not yet been fully developed. Hence, the forester's responsibilities in the Sahel ideally would be to maintain the existing woody vegetation, to establish and maintain new local and exotic trees, and to improve their productive and protective functions which help prevent desertification, solve household energy problems, and thereby contribute to the stabilization of human societies and environmental systems.
+WHAT CAN BE DONE?
+There are three different levels at which action can be taken: governments, communities, and individual households.
+Action by Governments
+Governments, represented by their forest services and sometimes supported by international assistance, are trying to protect and preserve valuable natural forest resources, carry out inventories, and improve woodland management. Forest plantations should be established on government land in the vicinity of population centers or markets, preferably with one or several fast-growing species, yielding firewood and utility timber. Afforestation costs are high (between US $500 and $1,000 per hectare) and yields are low (rarely over 2 m3/ha/yr)--a very expensive undertaking while funds are extremely scarce (Keita 1981). Regarding the magnitude of demand, afforestation can only solve very specific problems on a small, local scale. In addition, there is a very serious shortage of technically trained manpower. Although locally available manpower should be substituted for mechanization insofar as possible, this proves difficult in large-scale afforestation efforts in the Sahel because
+basic work like clearing operations and soil work (deep-digging, breaking up heavy or stony soil such as lateritic soils, and subsoiling) may require heavy equipment. Also, the bulk of establishment and maintenance work falls within the rainy season (from June to the end of September), and it is almost impossible to mobilize people for forest work when food production has priority and, in fact, requires the presence of every able-bodied member of the family in the fields. Thus, forestry is facing not only a shortage of funds but, more seriously, competition for manpower and, of course, competition for suitable land.
+In addition to preventing forest destruction--for example, by uncontrolled bush fires or illegal felling--the forest services at the outset should concentrate on the establishment or improvement of local nurseries to supply tree seedlings of high quality for village tree planting at the proper time. Forest services should also function as advisors to rural communities and individual tree planters to promote private activities instead of acting mainly as forest police or collecting taxes for what were formerly free uses of forest products.
+Forest services should, moreover, promote agroforestry by opening their plantations for private interplanting of agricultural crops. Even controlled grazing or cutting of grass for livestock would be of mutual benefit and would make people understand the usefulness of forestry operations. The current practice of fencing plantation perimeters, keeping people out, and penalizing those who enter creates hostility instead of willingness to cooperate. Agroforestry, however, could facilitate dialogue with rural people, may prove to be of high educational value, and may help to improve the forester's revenues and reputation at an early stage.
+Action by Communities
+Forestry at the community level is most easily introduced in societies that have a strong traditional structure and are accustomed to neighborhood cooperation and Joint efforts in land management. The leaders of these communities, or the speakers for local development councils, will help to identify the products that people need from the forest. They can arrange for suitable land to be demarcated for tree planting, and for the proper timing of forestry and farmwork.
+Village forestry has great promise in the Sahel. The most obvious application is for shade trees to be planted in the village in public squares such as the market, and in front of public buildings such as offices, mosques, and schools, and alongside roads. There quite often will be a demand for a community tree nursery (if not already available from the forest service) to supply shade and fruit or food trees. Step-by-step extension work can gain cooperation, leading ultimately to community-owned forest tree or shrub plantations that provide firewood, poles, fodder, and various other forest products and that also have protective functions by serving as windbreaks, providing erosion control, and contributing to sand-dune fixation.
+Action by Households
+Quite often it will prove more effective to cooperate with individual progressive farmers than with an entire community or with a farmers' cooperative. Occasionally, farmers who are willing to cooperate may be very selective, because they may have had bad experiences with government or international projects or because they know better than their advisors how to satisfy their specific needs, how to consider site differences, the utility of tree and shrub species, and the risks of planting. Farmers will plant and protect trees if they can expect the initial benefits from them within 1-4 years, if the full right to dispose of their trees rests untouched by official supervisors (and the forest law), and if growing trees is compatible in time and space with their traditional land use patterns.
+FERLO MODEL: A CASE STUDY
+An agroforestry land use model has been developed in the Ferlo Region in northern Senegal to meet people's demands and to combat desertification by increasing the carrying capacity of the region. The Ferlo is rangeland with annual rainfall between 150 and 350 mm in the northern zone and between 350 and 550 mm in the south. Soils are mainly loamy sands with local variations. Nomadic and transhumant herders (Fulbe, Tokolor, and Moors) in the north and sedentary farmers (Wolof) in the south make up the mayor part of the population.
+In 1975 a German-Senegalese forestry project was initiated to:
+. Develop an agro-silvo-pastoral land use system adapted to local needs where all measures preventing desertification and securing sustained yield should be combined. The local peasant population was to be involved in tree-planting projects as part of a self-help program.
+. Aid in restoring the seriously endangered vegetation around six deep-well sites.
+. Create guidelines for the permanent settlement of people in numbers proportional to the ecological carrying capacity of the environment.
+. Increase the production of gum arable, fodder, food, and wood.
+. Improve regional protection against bush fires.
+. Improve the efficiency of the Forest Service.
+. Create jobs and opportunities for cash income.
+. Prevent catastrophes and gain experience in effective regional development under Sahelian conditions.
+The strategy for achieving these objectives was relatively simple. As the region is heavily degraded, initial emphasis was placed on the identification of critical centers of degradation, such as well sites. Remedial measures were then undertaken radially from these centers with diminishing intensity. The strategy relates well to the environmental needs of the region, as well as to the socioeconomic requirements of the semi sedentary population (see Figure 6).
+A plot of suitable land was identified by local village authorities (ideal size is 100 ha, although smaller plots may be chosen). This area was allocated to individual families, about 5 ha per family. These families were given sole responsibility for management of the land and will also be the only beneficiaries. All clearing operations were carried out in the traditional manner with local tools during the dry season. Thereafter, as part of "technical" assistance, cross subsoiling was done with a tractor or Unimog, working to a depth of 40-70 cm. (Cross-subsoiling helps keep the moisture from rainfall available to plants for a much longer time than with other techniques.) In addition, the plot was temporarily fenced with barbed wire, where necessary. All of these operations required an investment of US $50 to $250 per hectare from project funds.
+Since 1975 the project has developed from a Forest Service enterprise to an integrated rural development program with active village participation. Recent development has focused on farm or community forest activities on private farmland. Though simple, the model is very flexible.
+The farmers now plant Acacia senegal or other useful tree seedlings using 10 x 10 meter spacing and at the same time plant traditional crops between the trees. They grow millet, groundnuts, and cow peas during the rainy season for 3 years; weeding is done simultaneously for crop plants and trees. According to available information, overall yields are impressively higher than those of traditional fields. Whether this is due to deep subsoiling, careful protection of the land against animals and bush fires, or the ameliorative effects (shade, wind control, nitrogen fixation) of the trees, or because of all three, remains to be investigated in detail. After 2 years of fallow the natural grass vegetation will recover and surpass biomass production of adjacent pastures. This process can be further improved by sowing selected fodder grasses. Grass eventually has to be cut to avoid competition with the young trees, but it can be sold at the well center, where thousands of head of
+livestock assemble daily during the dry season.
+When the trees are about 5 years old, sheep, and to some extent, cattle and even goats can be admitted to the plantation. It appears that l sheep/ha/yr can be fed without doing harm to the trees. The Acacia senegal trees yield gum arabic over a period of 15 years. Gum arabic is a traditional and profitable product of the region; its price is guaranteed by the government. Twenty years after establishment the trees will be felled for firewood and poles, and the cycle will be started again.
+(1) Center of development (deep well, village): water supply through deep well, administration buildings, residence area, marketplace, shops, workshops; small plots with trickle irrigation for home gardens and vegetable production.
+(2) Inner land use zone: (a) agroforestry plots of some 100 ha each to be managed by about 20 family units; (b) intensive range management of fenced grasslands, with high percentage of tree and shrub cover.
+(3) Outer land use zone: (c) forest plantations (e.g., with Acacia senegal and, if applicable, with intermediate rainfed agriculture or controlled grazing), production of gum arable, firewood, poles, etc.; (d) protected areas (eventually fenced or with firebreaks) for natural regeneration of local species. All other areas are left to traditional land use. (Source: H.-J. von Maydell)
+This system is flexible in that the trees and their products and the crops can be used, and because it meets a variety of basic local needs. It is, moreover, fully acceptable to the people and makes them less dependent on outside assistance. As proof of the project's popular acceptance, more than 20 villages with over 1,000 families had voluntarily joined the program within 2 years of its initiation, and all participants say they are much better off than before. The Senegalese government has used the same guidelines for a large-scale project in the adjoining region to the west, and the European Community Development Fund (FED) will sponsor a similar project to the east.
+This system involves increased responsibility on the part of program planners and managers and the scientists who must ensure that the system follows the overriding principle that every product, every function and organization of land use must be compatible with the sustained productivity of the human and natural ecosystems. Meeting this responsibility in turn demands that a considerable amount of interdisciplinary applied research be undertaken. In every project, each farm or village forms a system of many components with close interactions; therefore, isolated activities may severely disturb the whole project or, at a minimum, have desirable or undesirable effects on the other components. Consequently, applied research in support of agroforestry land use development is considered an integral part of and a precondition for success. Such research might include observations made by farmers and herders as well as desk and laboratory work in expatriate institutions and should
+always be correlated with practical fieldwork and local needs.
+EVALUATION
+It is generally accepted that evaluation is needed at each step of a development process. Determining what constitutes "evaluation," however, is often more complicated than one might suppose. The simplest criterion would be to ask "Does it pay?" Of course, basic rural development goes far beyond monetary considerations. A farmer who was asked what he thought about the changes that took place after he Joined the agroforestry program said: "I am satisfied in my heart." A governor, asked how he evaluated agroforestry in his region, replied: "People, under stress, used to be aggressive and destructive. They are now cooperative. This is the change we welcome." How should such statements be converted into monetary terms? How should conservation of endangered species, of natural resources, and reduction of risks in land use or achievements in making people aware of their responsibility for their country be valued?
+Other sectors are more easily quantified and qualified for evaluation purposes. Monitoring of sites, crops, social changes, and so forth, plays an important role in this context; so do trend analyses and interpretations. In principle, evaluation of project impact requires that an inventory be made at the time of project initiation to define a baseline for future comparison. Evaluation of the project should then quantify and qualify changes in the natural and social environments. The human aspect is particularly likely to be difficult to assess because of subjective responses to change. There will be positive records: firewood production increased tenfold; grass production increased threefold; 1,000 ha of moving sands were stabilized and converted to silvo-pastoral cropland. Agroforestry land use systems, in the long run, will be judged against two criteria: (1) the persistence and (2) the resilience of the agroforestry scheme under Sahelian conditions. Persistence refers to
+the ability of the system to remain as it is, despite environmental and human influences. High persistence means small variations and high resistance to destruction. Resilience refers to the probability of quantitative and qualitative changes, that is, response by adaptation. An ecosystem with high resilience, when disturbed, accommodates high-amplitude variation, but it returns to its former structure as soon as the disturbance subsides.
+Sahelian ecosystems are subject to high-amplitude change and are very flexible in terms of ecosystemic response to these changes. Both persistence and resilience are needed to survive in the Sahel. Agroforestry, properly applied, offers a wide range of techniques, species, and strategies to enable Sahelians to meet their basic needs.
+<section>Chapter 5: Sahelian Agroforestry: Institutional Considerations</section>
+What are the institutional problems involved in the design and implementation of agroforestry programs in the Sahel? In this chapter we focus on information and participation issues that must be addressed if agroforestry extension programs are to work effectively. To this end, a checklist is provided of potential constraints--technical, economic, financial, legal, and political--that may impede or, in some settings, totally block efforts to promote agroforestry. Program designers can begin tackling these issues early in the project design stage, thus markedly reducing difficulties later when agroforestry program personnel seek working rapport with farmers and herders, who will inevitably carry the bulk of the day-to-day burden of Sahelian environmental management. Forestry and agricultural agencies, which now are and likely will remain material- and personnel-poor (Club du Sahel 1981, 1982a), can at best only point the way toward better environmental management practices;
+they can never apply them on any significant scale.
+This chapter is divided into three sections: (1) an initial, brief statement of the problem and general outline of a solution; (2) a review of preliminary information useful to project planners who want to incorporate into agroforestry programs institutional elements that encourage sustained popular participation; and (3) design criteria for effective agroforestry extension systems.
+PROBLEM STATEMENT AND SOLUTION OUTLINES
+Problem
+The problem, in its simplest form, is how to establish working agroforestry programs in arid areas. A "working' agroforestry program will ensure environmental stabilization or improvement. It will also provide for an increased flow of benefits from the environment to its major users--people and livestock.
+People will generally benefit if stock numbers and health levels can be increased without damage to supporting environments. They will enjoy increased access to livestock products, improved food crop production efficiencies, and enhanced environmental capacity to supply fuel, construction wood, and other forest products indispensable to their well-being. Chapter 3 offers a more elaborate definition of the potential range of outputs from an effective agroforestry system.
+A working agroforestry program as defined here assumes extensive largely spontaneous popular participation in program-promoted activities Given current and probable future staffing levels, neither agricultural and livestock services nor their traditionally poorer colleagues in forestry departments can hope to muster enough manpower to work individually with rural dwellers to improve indigenous agroforestry techniques, let alone put those lessons into practice throughout the vast Sahelian area. Wither rural people in the Sahel will teach as well as do agroforestry or it will not be done.
+"Doing agroforestry" is a complex task. It requires capability and willingness to assess varied specific local conditions, field by field, and then fled and implement solutions by associating trees with food crops and pastures. The goal must be to lessen or overcome problems that rural dwellers face in trying to maintain a fragile renewable resource base while, at the same time, extracting from it the wherewithal to stay alive. An approach to the detailed diagnosis and design of agroforestry systems based on East African experience is described by Raintree in Appendix B.
+Participation by rural people in agroforestry projects or programs cannot be limited to simple execution of generalized strategies recommended by experts. Sahelian conditions are too complex to admit of formula solutions. Instead, pastoralists and farmers must be helped to build on what la, frequently, a substantial existing local capital of agroforestry experience and techniques. They will require assistance from local experts if they are to get the most out of their environments consonant with sustained-yield use. But experts, in turn, will require the willing and conscious participation of rural people in thinking through agroforestry problems (Thomson 1980a). Those who till the land and herd the animals must become full partners in any realistic effort to create a working agroforestry system under Sahelian conditions.
+To achieve the goal set out, experts and Sahelian foresters must find ways to work with and through rural people. They can no longer permit themselves the luxury of "purely technical operations, which by and large have been dismal failures in terms of both cost effectiveness and environmental management (Club du Sahel 1981, 1982a, 1982b). Implicit here is the need for an extension service capable of promoting agroforestry under Sahelian conditions.
+Approach to a Solution
+This definition of the problem sets two requirements for a solution. First, in order to interest rural people (who already lead a marginal existence) in resource management, programs must appear to them as worthwhile activities Second, solutions must be tailored to fit the contours, institutional as well as natural, of local settings.
+Solutions will involve people if the solutions promise net benefits and do not overtax local resource bases or organizational capabilities (Thomson 1980b). Institutional and natural characteristics of local settings are clearly not immutable. But if renewable resource management is to depend on increased external support for environmental management--for example, from donor contributions--or on changes in the working rules of local life in thousands of Sahelian communities, realism demands careful assessment of chances of success. Planners will be well advised to think through proposed changes to determine whether they can be effected and then sustained. If changes are feasible, in terms of costs to the target group of resource managers--rural Sahelians--and in terms of sustainability, both of new rules and levels of external funding, then management of renewable resources in specific locations may become a reality. If not, other approaches to stemming Sahelian environmental
+degradation must be sought.
+RELEVANT PRELIMINARY INFORMATION
+Agroforestry planners will require three general kinds of information: (1) baseline data on renewable natural resource availability, in the context of control and use rules; (2) knowledge of people's attitude toward desirability of managing particular renewable natural resources; and (3) clear and precise understanding of factors constraining management of these resources. State-of-the-art technical information on production levels associated with realistic alternative mixes of trees, agricultural crops, and livestock is necessary, in turn, to match with the on-site baseline data sets.
+Baseline Data
+Human activity is almost always patterned and takes place in special, channeled ways in particular settings. Planners need to build up detailed descriptions--word and number pictures--of what people are doing with resources and how they are doing it, so they can analyze trends in resource use with confidence and sophistication.
+A number of general topics must be covered concerning each resource if the global picture regarding trees, pastures, or soils--or interactions between these and other renewable resources--is to be meaningful and accurate. In general, the following areas must be covered (in some situations, supplemental information on other topics will be indispensable):
+1. Current availability of renewable natural resources by district within the country. Of particular importance in the context of agroforestry projects will be information on condition of the woodstock (all ligneous plants, from small bushes to trees). Pasture' soil, water, and human food supply conditions must also be investigated.
+2. Probable evolution of supply and demand situation for each resource in surplus, equilibrium, and deficit areas.
+3. Identity and nature of user communities exploiting each renewable resource.
+4. Benefits--both non consumptive (for example, trees for environmental stabilization, enclosure, and soil regeneration) and consumptive (for example, wood for fuel and construction materials)--that users derive from renewable resources.
+5. Existing management efforts designed to maintain or enhance resource availability, be they private, local, and indigenous, or external, government/donor-sponsored attempts.
+6. Terms and conditions of access to and exploitation of renewable resources both within and outside of management districts. These are often heavily influenced by:
+a. Formal rules--laws, administrative decrees, resource use codes, association statutes, or "customary laws," and the like, which bear on control and use of renewable natural resources.
+b. Effective rules--determined by decisions of enforcing officials and judicial authorities, concerning application of formal rules to real instances of trouble and disputes (Thomson 1977, and literature cited there by Commons, and Llewellyn and Hoebel).
+Note that the effective rules may be the same as formal rules; they may also diverge in small or large ways, depending on the extent to which enforcers and Judicial officials enjoy leeway to determine, in individual incidents, what the real law will be for that dispute. In the final analysis, effective rules control and guide conduct: individuals make calculations regarding resource use based mainly on what they think will happen if a dispute arises, and less on terms of formal, paper rules.
+Note further that "no rule" is still a rule; for example, a forestry code may precisely define, on paper, terms of lawful access to certain tree species, but the code provisions may never be enforced in some areas. In such circumstances, the rule of access is generally "first come, first served," which implies that nothing will constrain resource use short of full exhaustion of supplies. (In surplus supply situations, this may well be the most appropriate--"reasonable and efficient"resource use rule.)
+Information on these points should be collected whenever and wherever efforts at resource management are to be mounted. In Sahelian agroforestry programs, as noted, five types of renewable resources appear of prime importance:
+1. Woodstock
+2. Pastures
+3. Soils
+4. Water
+5. Human food supplies
+The assessment schema outlined above will be briefly illustrated using an analysis of woodstock conditions; it can be similarly applied to the other renewable resources.
+Woodstock Assessment: An Illustration
+Basic woodstock ecological sub-areas within the country must be identified as a preliminary step. These sub-areas might include places where bush cover still predominates, regions of interspersed fields and fallows, permanent agriculture under a tree canopy of species such as Acacia albida or Butyrospermum paradoxum, and areas of substantial deforestation.
+Quality and quantity of remaining wood supplies, as well as the kinds of pressures to which they are subjected (local and distant demand for firewood and building poles, cutting for fodder and fencing, and so forth), must then be precisely described. This information, combined with demand projections from current consumption levels and population growth rates, will permit assessment of probable future deficit areas. (Such projections, however, do not alone Justify siting projects in probable deficit areas.)
+User communities should be carefully canvassed about the benefits they derive from the woodstock. On-site uses may include soil regeneration and/or stabilization, erosion control and fencing, and consumptive uses of products such as fuel, building materials, food crops, medicines, and fencing. These data can be particularly helpful at the design stage if they reveal hitherto neglected bargaining counters to promote conservation and resource management.
+Within each ecological sub-area, data should be gathered on efforts to increase the woodstock in any of the following ways:
+1. Industrial plantations
+2. Community woodlots
+3. Individual or family woodlots, or scatter-site, in-field plantings
+4. Shelterbelts, live fencing, dune stabilization, gully control
+5. Managing natural regeneration (either for on-site or consumptive uses)
+In each instance, accurate, detailed information about sponsorship, initiation, management, and implementation of such efforts will reveal the range of existing agroforestry activities and possible pitfalls of different approaches.
+Finally, the working rules of resource use should be identified. IS there a forestry code? To what extent does it control access in a formal sense, and how is it applied in fact, by area? Where an existing code is irrelevant, because it is not enforced, what are the local rules governing tree tenure or property rights regarding trees? Through what means can they be enforced? Detailed information of this sort promotes real understanding, both of peoples' attitudes toward resource management and of the hurdles they may perceive in various management schemes.
+Popular Interest in Resource Management
+Popular willingness to invest time, energy, goods, and money in renewable resource management critically conditions feasibility of participatory resource management schemes. Villagers with little practical experience in working together toward common goals over long periods of time will likely have trouble managing a village woodlot held in common. Those accustomed to sustained collective action may reject a program focused on improving individual farmers' resource management capabilities. Planners and designers thus need to spend time finding out how people organize to do things in the area of resource management.
+A healthy dose of skepticism is in order when assessing villagers' initial answers to the question, "How would you like to manage resource X?" Village spokesmen may know that current government policy emphasizes a particular format or way of working, for example, "collective action," "individual initiative," "youth groups," "cooperatives," or "the Party." Chances are good that villagers will "want" to manage resources in the preferred manner, if only to avoid antagonizing government officials in the short run. If the opening question runs, "Do you villagers want to organize a collective woodlot?" any collective orientation villagers may express must be viewed even more skeptically, since they will assume the government's preferred format has been stated in the question itself. Even rephrasing the question to a simple, neutral inquiry about the villagers' interest in managing resources at all may not escape biased replies if spokesmen know there is a push on to promote
+reforestation, for example.
+To penetrate this frequently encountered protective smokescreen of politically conditioned responses and get to the realities of village organization, the investigator needs to find out how people carry out other activities. Is farming--usually the fundamental activity in Sahelian rural communities--largely an individually run activity? If there are cooperatives, how well do they function? If trees have been planted in the village, or terraces built on village fields, or if other forms of resource management have been attempted, how were those efforts undertaken? Were they done collectively or individually or by families who owned the property? What was the impetus for the action? Did individuals or some sort of collective group in the village decide, perhaps after consultation with outsiders, that they wanted to start something in the realm of resource management; or did woodlots or rock dams or windbreaks result from a government program imposed on villagers, or from
+inducement provided by a donor-financed or private voluntary organization project?
+Once the general nature of resource management activities is clear, designers will have an easier time assessing feasibility of different organizational approaches to resource management. They should be able to discount the facade of politically structured responses and, through careful examination of real activities, arrive at a general sense of what will and what will not work in a community.
+Investigators, however, should be wary of concluding, from collective or individual activities in areas other than resource management, that the same orientations will automatically carry over into the resource realm. Particularly if resource management has no prominent place in local traditional activities, it would be wise to adopt a frankly experimental orientation to the problem of organization and encourage villagers to try a variety of approaches, each individual or group doing more or less as he, she, or they see fit. It may also turn out that villagers are willing to manage resources, but only when the task is imposed upon them, and when state officials shoulder the burden of making sure each villager does his or her share. (For an enlightening discussion of this type of problem in the context of land reform efforts, see Popkin 1979:50-51, and literature cited there.) Where this is the case, resource management operations will be limited by the size of the civil
+service contingent that can be detached for such activities.
+Constraints on Participatory Resource Management
+Five general categories of constraints may impinge on resource management efforts: technical, economic, financial, legal, and political. (Thomson 1981:125-48, presents a more detailed formulation and illustrations of these constraints.) Each will be examined and briefly illustrated by examples from the area of woodstock management.
+Technical constraints may inhere both in the environment and in the particular species of trees or shrubs selected for use in reforestation activities. In the Sahel, seedlings must be able to survive in the face of harsh temperatures, irregular rainfall, and frequently poor soils (unless special arrangements can be made to irrigate young plants). Some species, particularly among the exotics, simply cannot survive under Sahelian conditions. They can be planted; but as hundreds of stunted or failed Azadirachta indica (neem) plantations attest, they will not necessarily prosper. In other cases, seeds or seedlings of appropriate species may not be available at the right time. Inadequate seed collection or production capacities may explain this and may be remedied with relative ease, but the constraint nonetheless often exists. Finally, genetically improved local species are not yet available. If the local species' hardiness can be coupled with improved growth rates and
+production of subsidiary forest products, popular interest in reforestation may well pick up noticeably.
+For many Sahelians, the idea of planting trees at present raises as many problems as it solves. In certain cultures and agricultural settings, farmers view trees with disfavor as unwelcome competition. Villagers may not yet grasp the full range of values that shelterbelts or live fencing can provide, although in many areas a very clear perception of the usefulness of certain trees has existed for a long time. The extent to which Acacia albida and Butyrospermum paradoxum have been promoted by rural people proves the point. Adansonia digitata, Parkia clappertoniana, and other species have also been widely cultured by Sahelians interested in their fruits and other by-products.
+Finally, popular ignorance of silviculture operates in many places as a factor constraining investment in renewing woodstocks. Many Sahelians have much to learn about seed preparation methods, nursery techniques, and methods and timing of planting. Some would also benefit greatly, as would experts, from clearer appreciation of the values of certain local species, best forms of association with crops and pasturelands, low-cost methods of promoting natural regeneration, and the like. Popular education in silviculture has become indispensable, as an important key to more intensive management of Sahelian woodstocks. The extent to which many Sahelian cultures relied, until recently, largely on passive investment in woodstock management, through systems of bush fallowing or shifting cultivation, makes this educational undertaking doubly pressing. The woodstock was allowed to take care of itself, under conditions where it was rarely overexploited; in most places, it regenerated
+admirably on the strength of almost entirely natural processes. Now, however, changing land/man ratios impose the necessity for intensified silviculture. Drastic reduction of bush areas, particularly when accompanied by severe, localized environmental degradation, has sapped the efficacy of many passive regeneration techniques. Rural dwellers in many places must now master new techniques if they are to survive in their present habitats.
+Economic constraints revolve around the question of profitability of proposed improvement schemes. If farmers and herders can demonstrate to their own satisfaction that investment in reforestation will pay off, they can be expected to show more interest in the matter. In much of the Sahel, active reforestation is, for all practical purposes, a new idea. It has arisen only with the sharply decreased availability of firewood supply--a recent phenomenon in many rural areas (and not as yet a universal one). But examples already exist of individuals making money through investment in wood production for market, and more are developing each year. This orientation will take time, but sharply increasing prices of forest products throughout the Sahel guarantee that activities that were irrelevant 10 years ago, when wood supplies remained adequate in most places, will rapidly take on increased importance. It is critical to capitalize on this rising current of popular interest, by
+putting practical technical and economic solutions at people's disposal.
+The development of markets for various kinds of wood, and price increases that annually outstrip inflation (Club du Sahel 1981, 1982a, 1982b; Winterbottom 1980), have convinced many Sahelians that they must provide for their own consumptive needs on a systematic basis. The impetus to learn tree-raising techniques sharpens as wood supplies dwindle and demand escalates with growing populations. To the extent that technical innovations or newly acquired silvicultural skills lower costs to rural people of investing in new increments of wood supply (family or community woodlots, natural regeneration in the fields, and so forth), multiplication of reforestation activities at the local level throughout the Sahel become possible and indeed probable.
+Financial constraints depend mainly on the cost of reforestation rocesses. Land, labor, and materials may all be scarce items in different Sahelian settings, particularly where intensifying population pressure has confirmed labor migration as a standard response to food shortages. Reforestation techniques that demand a substantial labor component may be beyond the capacity of local communities to provide when able-bodied young people have gone elsewhere in search of work. Complicating the problem are traditional labor bottlenecks during the rainy season, when many critical reforestation actions must succeed each other in timely fashion.
+Evolving popular mastery of silvicultural techniques, as well as improvement in techniques themselves, may eventually alleviate if not fully resolve these problems. Anything that shifts the burden of investment in reforestation from the rainy to the dry season seems positive in this regard. Promoting natural regeneration appears especially promising here.
+Inadequate credit arrangements may also hinder popular reforestation attempts. Manufactured fencing materials such as barbed wire, chicken wire, and posts may eventually Justify initial outlays in some circumstances, but most people will remain too poor to envisage such purchases. Subsidized loans and forest product price rises may sharply modify this situation in the medium term, but in the short and long runs, solutions will more likely be found through improvement in live-fencing techniques. This may involve both enhanced popular awareness of the possibilities of live fencing and a greater mastery, at the local level, of nursery techniques. Species that will meet several additional needs, such as human and animal food production, firewood, and building materials, and that will provide fencing and fencing materials in the form of a reliable local source of thorns, ought to facilitate enclosure. At that point, problems of stock control may become somewhat less pressing.
+Legal constraints will be embedded in the effective rules, whether these closely reflect formal rule provisions or some quite different local arrangement. Where property relations are ambiguous, either regarding land or tree tenure, investors will be cautious. In the particularly discouraging case of the improperly enforced state forestry code--these codes in the Sahel usually provide for management and control of woodstock use by foresters--trees may be treated as an unmanaged common property resource in which each individual is, in effect, free to take what he wants without fearing that sanctions will be imposed. Under such circumstances, investment in reforestation must strike most rural dwellers as nonsense; they correctly see little probability that they will reap any benefits from their work,
+The legal process concerning enforcement of tree-tenure relations is also critical. If "available" recourses, such as finding and informing the roving forester of a code infraction on one's land, are prohibitively expensive, they will not be invoked. If they are not invoked, rules will not be enforced, and common property woodstocks will not be managed.
+In each case, however, it is important to identify local working rules governing woodstock use and management, and to do so before attempting to propose projects or programs envisaging investment, in any form, in woodstock management. In areas where a formal forestry code is not applied, local working rules will determine, either actively or passively, how wood is exploited and to some extent whether investment in reforestation is reasonable' (in places where supply remains adequate, investment in new increments will find little favor with rural Sahelians, whom experience has convinced of the virtues of passive management, that is, regular fallowing and nothing more).
+Political constraints turn on villagers' or herders' incapacity to control local or outside exploiters of renewable resources and on the inability, widespread in Sahelian states, of local communities both to formulate and modify their own renewable resource management rules in light of changing conditions, and also to enforce them regularly, as a framework for management activities. These problems relate to larger political issues, such as inter-ethnic relations and rural development, which public officials, particularly in francophone areas, have tended to handle until very recently as problems amenable to control only through extension of government networks (for detailed illustrations of these points in the Nigerian context, see Thomson, in press). In very recent years costs of this strategy, and its considerable limitations, have become increasingly apparent to most observers familiar with the reality of government- and donor-financed rural development projects. The
+growing sense that decentralization must occur, in close association with efforts to enable local communities to deal with such issues as resource management, is certainly promising for future renewable resource management.
+In summarizing this section, it must be stressed that information about resource availability by local area, popular attitudes toward management of different resources, locally preferred strategies for managing resources, and social or institutional constraints on management activities is often hard to come by. It is, in other words, high-priced information. Some data will be so expensive as to preclude obtaining them in adequate amounts through donor-financed personnel.
+The secondary position is then to create an extension system that uses local peoples' knowledge in these areas to reduce the costs of gathering information. But such participation will not be without cost. It will inevitably complicate and slow planning processes and make implementation of management activities more cumbersome, at least initially. But basing planning and execution on solid, reliable information about local circumstances should make agroforestry programs much more effective over the long run.
+AGROFORESTRY EXTENSION
+The three types of preliminary information Just discussed--baseline data on renewable natural resource availability, ownership, and use rules; information about popular interest in managing particular resources; and constraints that may complicate management of these resources--will indicate areas where severe environmental degradation has occurred, and where popular management opportunities might be identified and developed. To realize and capitalize on these potential opportunities, a working system of communication with villagers must be established.
+Extension System Design Criteria
+The term "extension system" may imply to some a one-way, top-down flow of information from experts to farmers and herders. If so, the term is inadequate. In this chapter, "extension system" is defined as a reliable, two-way communication system. Information flowing in both directions will be critical to the process of pinpointing difficulties at all levels in resolving resource management problems: rural dwellers' intimate knowledge of their own microenvironments, as well as experts' knowledge of genetic engineering, plant compatibilities, soil conditions, and resource management techniques that have worked elsewhere, will prove indispensable to effective management efforts.
+Messages moving through the extension system must also reflect local people's knowledge of their social, economic, legal, political, and organizational circumstances. These factors have as much to do with environmental stabilization and upgrading as do nursery skills and the latest technical advances. Local people are the ones who can most efficiently calculate what will and what will not work for them in resource management. In exactly the same way, they can best put to the acid field test experimental-station hypotheses and results about appropriate plant associations, resource conservation schemes, planting techniques, and 60 forth. In both the technical and social realms, villagers and pastoralists, because they must grapple with specifics of complex local environments, go beyond the generalizations that often underlie experts management propositions toe test whether an idea or process will work here. If extension systems £unction properly, they will encourage farmers
+and herders and help them to tailor solutions in light of what they know about limiting factors in their environments. Through such participation, modifications in general formulas necessary to make them effective in a given environment can be introduced.
+Existing Extension Possibilities
+Content, form, and process will interact in a developing agroforestry extension system. Some information (content) can be transmitted through almost any set of extension institutions; but how valuable that information will appear to clientele, and what use they will make of it, will depend very much on the form of the extension system (its institutional design) and the communication process associated with it.
+Program designers can roughly determine fairly early what they want an agroforestry extension system to do. The task can be as simple and specific as "teach people how to plant and care for nursery-raised neem seedlings properly." It can be as complex as the following. First, find out what people are interested in doing, by region (or by district, village, or family). Depending on circumstances, they may want to plant nursery-raised seedlings of various types. They might prefer to learn how to raise seedlings of their own choice. They might want to start at the beginning, by learning how to collect, grade, prepare, and plant seeds. On the other hand, they might like to learn how to intensify production of natural regenerator, or to acquire new soil and water conservation techniques based on agroforestry principles. Once the basic interests of particular groups or individuals have been identified through a careful dialogue, the second step will be to find out, in detail, what
+they already know about these activities. Third, extension workers can proceed to teach them more of what they want and need to know, while simultaneously making them aware of other possibilities which they can examine for feasibility in light of their knowledge of local conditions. Finally, the extension system should provide materiel back-up for extension activities, whether it be in the form of hand tools, fencing materials, or facilities for regional or local experimental stations, agroforestry resource centers, and so forth. (For a discussion of what such centers might attempt, see National Research Council 1981:87-92. Note that materiel back-up should also be provided to extension workers, in part as encouragement and in part to permit them to do their Job better.)
+These kinds of mayor orientations or definitions of extension system goals will then permit designers to move to the next step of evaluating existing extension possibilities. In some settings it may be possible to graft agroforestry extension efforts onto existing communications systems that have been established, for instance, by forestry, agricultural, or livestock agencies, or by individual rural development projects. This would be particularly effective if existing extension workers could receive supplemental training, enabling them to appreciate the complexities of integrated agroforestry systems. To determine whether the use of existing extension systems is advisable in a given place, three questions must be asked concerning communication:
+1. What messages are being transmitted by existing systems and in what directions?
+2. Row well are they being passed?
+3. To what extent can additional messages to farmers and pastoralists be effectively moved through these networks?
+Answers to these questions, coupled with data acquired through preliminary investigations outlined above, will suggest whether new information exchange systems focused on promoting agroforestry ought to be created and, if so, where. This will be a very subtle process, particularly where some positive agroforestry programs are already under way. Planners will have to identify target areas on an experimental basis. Choices should reflect the need for resource management, popular demand for information about improved agroforestry methods, and political opportunities in light of other programs already functioning in given Jurisdictions.
+Agroforestry Extension Systems
+Whether a policy decision is made to work through existing systems or to develop a new set of institutions specifically designed to foster popular agroforestry, it will be important to devise a series of working hypotheses to be tested in experimental and implementation phases. These hypotheses should help program designers, project personnel, and outside evaluators to monitor activities and results and to clarify the value of original formulations. Where correction becomes necessary, modifications in hypotheses should be introduced but in a conscious manner. Projections must be made about how extension tasks can be accomplished, formulated as working hypotheses. It also is necessary to determine to what extent--and by what means of evaluation of results--these hypotheses will be confirmed or rejected.
+Several hypotheses are proposed here as possible models to be adopted or adapted by future forestry programs. They also provide a summation of points made in this chapter.
+1. Agroforestry extension systems must, to succeed, encourage local people both to implement positive resource management techniques and to experiment with them, using indigenous systems where applicable, and outside expertise or an amalgam of both where such knowledge is appropriate.
+2. Systems that provide the greatest increase in resource productivity for a given investment, or a given improvement in resource productivity for the least investment, will be most successful,
+a. Most farmers and pastoralists live fairly marginal existences in difficult environments; they can afford only limited investments.
+b. If actively promoting natural regenerator of vegetation proves the least expensive approach, it should be explored intensively and extensively.
+3. To get wide and in-depth coverage of target populations, extension networks will have to involve farmers and pastoralists as teachers of their fellows. This implies some sort of training program. A CILSS seminar, sponsored by the Agency for International Development, has produced specific recommendations for Sahelian countries and has outlined an agroforestry curriculum. An informal but sustained education program might well be best, if it could be united with some form of regular, ongoing activity.
+4. The vehicle that might carry extension messages and information flows from individual field experiments to higher levels and, inversely, might be a mini-nursery program designed to transfer knowledge about nursery techniques to (self-selected) villagers, and through their efforts, to make seedling stock easily available at the local level. If nurserymen were allowed to sell their produce as well as their advice on promoting natural regeneration and other forms of renewable resource management, they would have a constant incentive to perform well in order to attract and hold a clientele.
+5. Given the public good expected from effective agroforestry extension work--environmental stabilization or improvement--it would be appropriate to subsidize network members where this proved necessary to keep them operating and moving ahead. Such individuals should not, however, become fully paid state or project employees, since this would reduce their economic incentive to be responsive to their clientele.
+6. If extension networks associated with mini-nursery programs could be tied in directly with regional agroforestry "learning and experimental centers," local extension agents would have a point of contact with experts capable of answering their resource management questions either from their own knowledge, or by contacting others who could, or by devising experiments at the center or elsewhere to generate answers.
+7. Such a resource management extension system should be designed to produce a continuous flow of feedback to the agroforestry learning and experimental center about local resource management problems, successes, and failures, and to identify the best opportunities by area to develop resource management techniques in light of preliminary information and the outcomes of subsequent activities.
+<section>References</section>
+Bayliss-Smith, T. P. 1982. The Ecology of Agricultural Systems. Cambridge University Press, Cambridge, England.
+Bodley, J. H. 1975. Victims of Progress. Cummings Publishing Company, Menlo Park, California, USA.
+Club du Sahel (Permanent Interstate Committee for Drought Control in the Sahel, and Organisation for Economic Co-operation and Development). 1981. Analyse du secteur forestier et propositions: Le Niger. SAHEL D(81)132. Paris, Prance.
+1982a. Analyse du secteur forestier et propositions: La Haute Volta. SAHEL D(82)159. Paris, Prance.
+1982b. Etude du secteur forestier et propositions: Le Mali. SAHEL D(82)165. Paris, France.
+Felker, P. 1978. State of the Art: Acacia albida as a Complementary Permanent Intercrop with Annual Crops. Grant No. AlD/afr-C-1361, University of California, Riverside, California, USA.
+Food and Agriculture Organization of the United Nations. 1981. Agroforesterie africaine. Programme Forestier Pour le Developpement des Collectivites Locales. GCP/INT/347/SWE. Food and Agriculture Organization of the United Nations, Rome, Italy.
+Gallais, J. 1975. Pasteurs et paysans du Gourma: La condition sahelienne. Editions du Centre National de la Recherche Scientifique, Paris, France.
+International Union for the Conservation of Nature and Natural Resources. 1982. Statement on conservation. IUCN Bulletin 13(7-8-9):58.
+Katz, R. W., and M. a. Glantz. 1977. Rainfall statistics, droughts, and desertification in the Sahel. Pp. 81-97 in M. a. Glantz, ea., Desertification: Environmental Degradation in and Around Arid Lands. Westview Press, Boulder, Colorado, USA.
+Keita, J. D. 1981. Plantations in the Sahel. Unasylva 33(134):25-29.
+Le Houerou, H. N. 1980. The rangelands of the Sahel. Journal of Range Management 33(1):41-46.
+Levtzion, N., and J. F. P. Hopkins, eds. 1981. Corpus of Early Arabic Sources for West African History. Cambridge University Press, Cambridge, England.
+Nachtigal, G. 1879 (translated and reissued in 1974). Tripoll and Fezzan, Tibesti or Tu. Vol. 1, Sahara and Sudan. Barnes and Noble, New York, New York, USA.
+National Research Council. 1981. Staff Report: Environmental Degradation in Mauritania. National Academy Press, Washington, D.C., USA.
+1983. Environmental Change in the Nest African Sahel. Advisory Committee on the Sahel. National Academy Press, Washington, D.C., USA.
+Popkin, S. L. 1979. The Rational Peasant: The Political Economy of Rural Society in Vietnam. University of California Press, Berkeley and Los Angeles, California, USA.
+Robert, S. 1976. Archeologie des sites urbains des Rodh et problemes de la desertification saharienne au Moyen Age. PP. 46-55 in La desertification au sud du Sahara. Les Nouvelles Editions Africaines (Dakar, Senegal, and Abidjan, Ivory Coast).
+Thomson, J. T. 1977. Ecological deterioration: Local-level rule-making and enforcement problems in Niger. In Desertification: Environmental Degradation in and Around Arid Lands, M. R. Glantz, ed. Westview Press, Boulder, Colorado, USA.
+1980a. The institutional framework for Sahelian reforestation: Microcatchments, experiments and local autonomy. Paper presented at the Workshop in Political Theory and Policy Analysis, April 21, 1980, Indiana University, Bloomington, Indiana, USA.
+1980b. Le processus juridique, les droits fonciers, et l'amenagement de l'environnement dans un canton hausaphone du Niger. Paper presented at the Commission on Agro-pastoralism, Journee d'Etudes sur les Problemes Fonciers en Afrique Noire, September 22-25, 1980, Paris, France.
+1981. Public choice analysis of institutional constraints on firewood production strategies in the West African Sahel. Pp. 119-152 in Public Choice and Rural Development, C. S. Russell and N. K. Nicholson, eds. Resources for the Future, Washington, D.C., USA.
+In press. Politics of Sahelian desertification: Centralization, non-participation, inaction. In Politics of Environment and Development, R. J. Leonard, ed. Holmes and Meier, New York, New York, USA.
+Weber, F. R. 1977. Reforestation in Arid Lands. VITA Publications, Manual Series Number 37E. Volunteers in Technical Assistance, Mount Rainier, Maryland, USA.
+Winterbottom, R. T. 1980. Reforestration in the Sahel: Problems and strategies--An analysis of the problem of deforestation, and a review of the results of forestry projects in Upper Volta. Paper presented at the African Studies Association Annual Meeting, October 15-18, 1980, Philadelphia, Pennsylvania, USA.
+<section>Bibliography</section>
+Charreau, C. 1974. Soils of tropical dry and dry-wet climatic areas of West Africa and their use and management. Agronomy Mimeo 74-26. Cornell University, Ithaca, New York, USA.
+1975. Organic matter and biochemical properties of soil in the dry tropical zone of West Africa. Pp. 313-335 in Organic Materials as Fertilizers. FAO Soils Bulletin, No. 27. Food and Agriculture Organization of the United Nations, Rome, Italy.
+1977. Some controversial technical aspects of farming systems in semi-arid West Africa. Pp. 313-360 in Proceedings of an International Symposium on Rainfed Agriculture in Semi-arid Regions, G. B. Cannell, ed. University of California, Riverside, California, USA.
+1980. Le ro1e des arbres dans les systemes agraires des regions semi-arides tropicales d'Afrique de l'Ouest. Pp. 33-36 in Le Ro1e des Arbres au Sahel. International Development Research Centre, Ottawa, Ontario, Canada.
+Delwaulle, J. C. Plantations forestieres en Afrique tropicale seche. Techniques et especes a utiliser. 1-8 Bois Forets des Tropiques. 1-(1978), 181, 15-28; 2-(1978), 182, 3-18; 3-(1979), 183, 3-17; 4-(1979), 184, 45-59; 5-(1979), 185, 3-23; 6-(1979), 186, 3-34; 7-(1979), 187, 3-30; 8-(1979), 188, 3-29.
+Felker, P., and R. Bandurski. 1979. Uses and potential uses of leguminous trees for minimal energy input agriculture. Economic Botany 33(2):172-184.
+Ferlin, G. R. 1981. Techniques de reboisement dans les zones subdesertiques d'Afrique. IDRC-169f. International Development Research Centre, Ottawa, Ontario, Canada.
+Food and Agriculture Organization of the United Nations. 1977. Savanna afforestatlon in Africa. FAO Forestry Paper No. 11. Lecture notes for the FAO/DANIDA training course on forest nursery and establishment techniques for African savannas, and papers from the symposium on savanna afforestation, with the support of Danish International Development Agency, Kaduna, Nigeria. Food and Agriculture Organization of the United Nations, Rome, Italy.
+Giffard, P. L. 1974. L'arbre dans le paysage senegalais. Sylviculture en zone tropicale seche. Centre Technique Forestier Tropical, Dakar Senegal.
+International Development Research Centre. 1980. Le Ro1e des Arbres au Sahel. Compte rendu du colloque tenu a Dakar (Senegal) du 5 au 10 novembre 1979. IDRC-158d. International Development Research Centre, Ottawa, Ontario, Canada.
+von Maydell, H.-J. 1977. The contribution of forestry to regional development in the Sahel. Applied Science and Development 10:164-174.
+1979. Agroforestry to combat desertification: A case study of the Sahel. Pp. 11-24 in Agroforestry: Proceedings of the 50th Symposium on Tropical Agriculture. Bulletin 303. Department of Agricultural Research, Koninklijk Institut voor de Tropen, Amsterdam, The Netherlands.
+1981. Forestry in Senegal: Problems and prospects for development. Plant Research and Development, Vol. 14.
+Meckelein, W., ed. 1980. Desertification in extremely arid environments. Stuttgarter Geographische Studien, No. 95. Univ. Stuttg., Stuttgart, Federal Republic of Germany.
+National Academy of Sciences. 1980. A preliminary assessment of environmental degradation and agricultural productivity in the Senegalese Groundnut Basin. Advisory Committee on the Sahel. National Academy of Sciences, Washington, D.C., USA.
+Pelissier, P. 1977. Competition and the integration of agriculture and cattle raising in Sahelian and Sudano-Sahelian Africa. Pp. 72-86 in Proceedings of an International Symposium on Rainfed Agriculture in Semi-arid Regions, G. U. Cannell, ed. University of California, Riverside, California, USA.
+Rapp, A., H. N. Le Houerou, and R. Lundholm, eds. 1976. Can desert encroachment be stopped? A study with emphasis on Africa. Ecological Bulletins, No. 24. Published by the Swedish Natural Science Research Council in cooperation with United Nations Environment Programme and Secretariat for International Ecology, Sweden, Stockholm, Sweden.
+United Nations. 1978. Round-up plan of action and resolutions. Conference on Desertification, 29 August-9 September 1977. United Nations, New York, New York, USA.
+United Nations Educational, Scientific, and Cultural Organization. 1975. The Sahel: Ecological approaches to land use. Programme of Man and the Biosphere, Technical Notes. UNESCO Press, Paris, France.
+Vester, F. 1976. Ballungagebiete in der Krise. Eine Anleitung zum Verstehen und Planen Menschlicher Lebenaraume mit Hilfe der Biokybernetik. Deutsche Verlags-Anst., Stuttgart, Federal Republic of Germany.
+Zech, W., and H.-J. von Maydell. 1981. Futterwert forstlicher Pflanzen im Sahel. Forschungsberichte des Bundesministeriums fur Wirtschaftliche Zusammenarbeit, Band 7. Weltforum Verlag, Munich, Federal Republic of Germany.
+<section>Appendixes</section>
+<section>APPENDIX A: Selection and Use of Tree Species</section>
+CRITERIA FOR SPECIES SELECTION
+Many of the failures of forest plantations and tree-planting activities in agroforestry programs can be traced to the selection of inappropriate species. Use of the following criteria may improve the selection process.
+Adaptation to Site Conditions Climate, soils (especially structure and depth), water regime, and so forth, must be known. A site classification should be made, and results should be laid out in maps and supported by aerial photography. Based on this data, the site characteristics can be matched with the requirements of the trees considered.
+Easy and Safe Establishment, Low Inputs Seeds of selected quality should be obtained. Vegetative propagation may be possible. Preference should be given to species direct seeding. A special effort should be made to keep costs low for establishment and maintenance (for example, reducing cost of production, pesticides, fertilizer).
+Fast Growth, High Yields Multiple-use suitability may be essential, including the possibility of intercropping. Growth and yield often are not the only considerations.
+Compatibility with Other Land Use This is important under agroforestry management and also in mixed stands within the forest. The species selected should not negatively affect crops, grazing, farmland, or installations, and should not attract insects, fungi, birds, rats, or other pests harmful to agricultural crops.
+Plantations with exotic tree species should be limited to sites where the natural tree vegetation evidently fails to meet present or future demands. There are a number of reasons for this recommendation. First, the full use (or use potential) of local plants is not yet sufficiently known or statistically recorded. It may well be that their replacement by exotics will result in permanent, seasonal, or occasional deficiencies (for medicines, for example) which may impair or even threaten the chances for survival of man or his livestock.
+Second, the introduction of new species implies increasing ecological and management risks. Exotic species should be thoroughly evaluated in terms of performance and on-site consequences of their planting before they are extensively used in a new region. It is not easy to identify exotic tree species whose overall benefits can be compared to those of the local species. Third, the conversion to a plantation forest or even enrichment planting (and maintenance) is more expensive than natural forest management on a sustained-yield basis, making use of natural regeneration.
+There are, however, a number of exotic species that should be tested in the Sahel, primarily for use in afforestation projects on land now without forest cover, for specific benefits that cannot be obtained from local species and that can best be provided by planting outside the forest, in villages, along roadsides, and on particularly degraded or endangered sites, within the context of agroforestry.
+The multiple uses of local and introduced tree species are indicated in Table A-1, which begins on page 66.
+<section>Appendix B: Methodology for Diagnosis and Design of Agroforestry and Management Systems</section>
+John Raintree
+If agroforestry is to live up to current expectations concerning its capacity to solve problems, significant improvements will have to be made in the methodology for relating research and development efforts to the actual needs and potential of tropical land use systems. This paper highlights the principal features of the core logic of an evolving diagnostic and design methodology that is intended to serve as a reliable tool for arriving at effective and adoptable agroforestry solutions to local land use problems the world over.
+WHY DIAGNOSIS IS NECESSARY
+The ultimate practical aim is to improve agroforestry land management systems and technologies with specific capabilities to solve land management problems. Unfortunately, technologies implicitly designed for conditions that prevail at research stations, "high access" farms (Rolling 1980), and forest management units are often completely unsuitable when extended to the majority of land users in the same agroecological zone. The problem is not that the biophysical features of the zone have not been taken into account--on the contrary, they are usually well understood--but that discipline-focused researchers often fail to perceive that the existing land use system has its own internal organization and its own unique set of operational constraints and potentials.
+The problem with an ad hoc approach to designing or prescribing technologies is that the technologists are rarely equipped to address the full set of design criteria. Rather than designing technology on the basis of only a partial set of criteria and then treating the nonadoption of the resulting technology as an "extension problem," it will almost always be more useful to place the onus of responsibility squarely on those developing the technology, recognizing that in the first instance, there is a design problem and no substitute for good design. This objective requires coordinated contributions from an interdisciplinary team of professionals as well as from the intended users of the eventual technology product.
+A problem-oriented diagnostic approach to agroforestry design is the most direct and logical route to effective and adoptable agroforestry technologies and land management systems. A long, drawn-out survey process is neither necessary nor useful. The aim is to develop a practical, effective, and quickly accomplishable diagnosis and design method that can prove its usefulness by the results it obtains in a wide range of environments.
+THE LOGIC OF AGROFORESTRY DIAGNOSTIC AND DESIGN METHODOLOGY
+The success of the methodology will be judged not by the number or the elegance of resulting agroforestry technologies but by the impact it has had on the landscape, that is, how effective it has been in transforming landscapes into more productive and sustainable land use systems. A successful methodology must somehow guide the user toward agroforestry technologies that embody three essential attributes: productivity, sustainability, and adoptability.
+The first two criteria are virtually axiomatic. Agroforestry is an approach that seeks to improve the productivity and sustainability of land use systems and has significant potential for achieving both objectives simultaneously. Productivity and sustainability are the most effective criteria by which to measure problems of existing land use systems and evaluate potential agroforestry alternatives. No matter how efficiently or elegantly a technology may solve a problem, however, it will have little impact unless it is adopted by a significant percentage of the intended users. In agroforestry diagnosis and design, there are many factors beyond technological irrelevance that may limit the adoptability of an otherwise promising technology.
+Most of the possible adoption constraints have to do with the level of available resources and management skills in a given system, or with the incompatibility of the potential technology with existing practices or certain cultural factors associated with the general technological tradition of the area. It may be difficult, or even impossible, to diagnose all of the potential constraints on adoption before undertaking farm trials of the proposed technologies, but the process can be guided initially by the common sense assumption that the ability to solve a problem begins with the ability to define it (Steppler 1981, Steppler and Raintree 1981).
+There are two practical implications for a strategy that focuses attention on the solution of perceived problems in existing land use systems. In the diagnostic phase, it becomes even more essential to involve the land users in the process inasmuch as only they can shed light on their perceived problems. Hence, it is important to emphasize analysis of perceived management problems and strategies at the household or unit management level.
+In the design phase, not all of the problems that constrain the productivity and, particularly, the sustainability of a household land management system are clearly perceived by the manager; and even when the problem is perceived, its solution may not rank high in the farmer's priorities, and technologies designed to solve the problem may fail to awaken any adoption interest. Although often viewed as an "extension" or "education" problem, again it may be more productive to regard it as a design problem.
+The multifunctional nature of many potential agroforestry technologies may enable the designer in such cases to find some attractive way to link the not necessarily wanted conservation function to some desirable production function of a well-chosen multipurpose technology.
+For example, in Kenya, farmers with little or no present interest in erosion control (a severe problem in dry hill areas) nevertheless appear very interested in hedgerow planting of fast-growing leguminous trees to satisfy household fuel wood needs. By planting dense hedgerows of coppicing fuel wood trees on the contour with row spacings selected for effective erosion control, both problems can be solved with a single, adoptable design. Other farmers in Kenya, on the other hand, have expressed a definite and immediate interest in hedgerows for erosion control, but there is no currently perceived problem with fuel wood supply. Where trend analysis indicates a potential fuel wood problem, these farmers, with potential fuel wood production systems already in place, could then begin to manage the hedgerows for fuel wood. These two examples of cleverly designed multipurpose agroforestry systems illustrate the kinds of design considerations that follow from a diagnostic approach.
+In making the analysis, it is helpful to distinguish between constraints and potentials of existing land use systems and those that pertain to the appropriateness of potential agroforestry technologies. These two levels of evaluation (dealing with constraints and potentials of different types) are part of a sequence of analyses outlined below:
+Diagnostic Phase
+1. Characterize the essential features of structure and function in the existing land use system and identify the output subsystems.
+2. Evaluate the performance of the subsystems (that is, identify problems).
+3. Determine what constraints limit the performance of the subsystems.
+4. Identify general potentials for performance-improving (constraint-removing) interventions of an agroforestry nature (candidate technologies).
+Design Phase
+5. Determine constraints that condition the appropriateness of candidate agroforestry technologies (components and practices).
+6. Identify remaining potentials for specific agroforestry technologies (existing or to be developed).
+The following section discusses details of the logic of agroforestry diagnosis and design and considers what is needed at each of the above steps.
+Identification of Output Subsystems
+In analyzing land use systems, initial attention must be directed to the evaluation of the resource base. Subsequent priority should be given to the definition of land management units (or their equivalents) as the primary decision-making units and reference systems. Defining land use subsystems in terms of their output seems most appropriate because it is (a) the least restrictive modeling possibility, (b) the most compatible with various techniques of input-output analysis, and (c) the most consistent with the way in which land users manage their land--that is, to produce desired outputs. A "major output subsystem," then, may be defined as the set of activities, resources, and other land use factors that are involved in the generation of an output intended to satisfy one of the basic production objectives of the household,
+In deciding specifically what output categories to consider as "basic," it is important, for a widely applicable methodology, to satisfy two general requirements: (1) general applicability, and (2) adequate representation of the idiosyncrasies of local land use systems. To satisfy both requirements and to facilitate ready linkage with categories of agroforestry technologies, it is fruitful to follow a "basic needs" approach. The output categories considered basic to the economic well-being of households everywhere are:
+1. Food
+2. Energy
+3. Shelter--all forms of shelter (housing for people, livestock, and personal belongings; shade, windbreaks, etc.) and enclosure (fences, kraals, boundary markers, etc.)
+4. Raw materials for home industry--all raw materials for household or village manufacture of everything from clothes and kitchen implements to medicinal preparations--that is, all locally manufactured consumer items, whether for home consumption or sale
+5. Cash income
+6. Community integration--all forms of "social" production and consumption (feasting, gift-giving, brideprice, taxes, education, etc.).
+This approach assumes that (1) the needs identified in the list are basic and universal; (2) local systems will display great variety with respect to the preferred forms in which these needs are satisfied (food and fuel preferences, shelter types, etc.), but that these will all be variations on the same universal themes; and (3) local and regional land use systems are organized to produce goods aimed at satisfying these basic needs (whatever else they might also do). The way in which they do this will, of course, vary from system to system. In commercial land use systems, cash crop production for purchase of the basic commodities will be the predominant household strategy. In more subsistence-oriented economies the household land use system will be organized to satisfy the basic needs more directly.
+The use of the term "basic needs" does not imply any restriction on the level of economic development. The needs that have been highlighted are basic in type, not necessarily in level of satisfaction.
+Problem Identification
+Once the basic needs subsystems have been identified, problems in the productivity and sustainability of the basic production subsystems can be identified by conducting intensive interviews with farmers. The following example from Kathama, Machakos District, Kenya, illustrates the application of the methodology to a semiarid zone, mixed farming system in the midlands of East Africa.
+Problems in Household Basic Needs Supply Subsystems
+1. Food. Seasonal staple food shortages are normal, and deficits must be made up by purchases; drought-related crop failure requiring famine relief occurs on the average of once every five years; low milk and meat production results from dry season feed shortage for livestock.
+2. Energy. Insufficient fuelwood produced from personally owned land requires purchase for household and cottage industry uses; large trees for brick kilos are not available.
+3. Shelter. Lack of construction-quality timber and poles requires purchase of expensive supplies; lack of large trees for brick making; lack of fencing and shade trees; problems with wind desiccation of crops.
+4. Raw materials. Must purchase expensive fuelwood supplies for butchery and brick making.
+5. Cash.Low net household income due in part to cash drain for staple foods, fuelwood, and construction wood; earning and savings potential of livestock enterprise limited by dry season feed gap.
+6. Community integration. Difficulty in meeting expectations for cash contributions to numerous "harambee" community self-help projects; difficulty in meeting educational expenses.
+Analysis of Land Use Constraints
+Once the problem subsystems and the general nature of the supply problem have been identified, analysis of the land use system traces out the causes of the supply problem. In the Kathama example, the causal factors are:
+Crop land
+1. Low fertility and declining yields
+2. Lack of manure
+3. Soil or wind erosion and water loss due to poor infiltration and heavy runoff of rainwater
+4. Waterlogging on low spots
+5. Labor bottleneck at ploughing and weeding time
+6. Pests
+Grazing land
+1. Small grazing area
+2. Insufficient dry season feed production
+3. Overgrazing and soil erosion
+4. Uneven distribution of water supplies
+In the first approach, the analyst has intensive discussions with the farmer to probe the cause of the problem and also observes the farm. Additional objective measures are also being developed to supplement interview and observation data with more quantitative measurements of land use problems. This approach provides (1) a spot diagnosis, and (2) sufficient information to establish a structural model of the problem's causes. With respect to the latter, a causal network diagraming technique (Figure B-1) is a useful tool in analyzing interrelationships among land use problems and identifying the critical constraints that limit the productivity and/or the sustainability of the system.
+Identification of Potential Agroforestry Interventions
+The resulting model or models of problem etiology, such as the partial model of cropping system constraints shown in Figure B-1, then serve as the basis for identifying points in the system where interventions could remove, reduce, or bypass specific constraints. The analyst simply studies the causal diagram(s) and, for each node in the causal network, asks "Is there anything trees can do to solve or mitigate this problem?" Ideally, this exercise should be an interdisciplinary brainstorming session about possible land use alternatives.
+Nonagroforestry alternatives should also be considered. In certain situations, for example, traditional approaches to land use other than agroforestry may be more appropriate than agroforestry systems. Where these are clearly superior to agroforestry alternatives, they should be recommended. Agroforestry is not the solution to every land use problem, and there is simply too much real agroforestry work to be done in the world to squander resources trying to force agroforestry technologies into land use systems where they have no clear and significant role to play.
+At a minimum, the diagnosis and design team identify agroforestry technologies that can solve land management problems by addressing specific end-use or service potentials in the system. Design indications are drawn from the Kathama example previously cited.
+Specific Problem-Solving Agroforestry Alternatives
+1. Alley cropping/mulch farming with leguminous and other suitable trees to control erosion, increase rainwater infiltration, reduce runoff, conserve soil moisture, improve soil fertility and structure, reduce the traction requirements for tillage (or the tillage requirement in general, by minimum tillage management), lessen the labor requirement for weeding, and possibly provide some measure of pest control through use of insect-repelling mulch species such as neem (see Figure B-2 for the logic of this intervention in the form of a causal network diagram).
+2. Elimination or reduction of the dry season feed gap by planting multipurpose fodder trees in grazing areas and as hedgerows in and around crop fields with concomitant erosion control and windbreak benefits and fuelwood and mulch coproduction possibilities; the improved feed situation should potentially allow dry season plowing and planting.
+3. Hedgerows and living fences of high-yielding fuelwood species and fruit-producing thorn bushes for better livestock control; appropriate plantings can also function as a safeguard against famine in bad years and as a source of supplementary livestock feed in average years.
+4. Multistory fruit tree plantings with undersown grass/legume pasture.
+5. Cut-and-carry fodder trees for increased pen feeding of livestock to improve dry season nutrition and increase the amount of collectible manure.
+Identification of Constraints on
+Potential Agroforestry Interventions
+The next step is to evaluate which of the agroforestry technologies identified in the previous step are promising in the context of a detailed analysis of site constraints. Gathering detailed data on site and land management characteristics can now be limited to those necessary to evaluate particular technological possibilities. This is done by eliminating those components rendered inappropriate by topography, soil, or other factors. For example, in the Kathama ease, the presence of large termite populations renders inappropriate any mulch species that provide a good habitat for these pests; and it encourages the use of mulch species that have the ability to repel or discourage termite infestation (for example, Azadirachta indica, Adhatoda vasica, Derris indica)
+Next, the process identifies those practices that are unlikely to be adopted by virtue of their incompatibility with the local farming system because of resource requirements, labor bottlenecks, management incompatibilities, or conflicting government laws and regulations or the manner in which they are enforced. For example, in Kathama the establishment technique initially used to plant out the first round of alley-cropping farm trials was found to be incompatible with the local practice of plow weeding, which tended to bury the young tree seedlings under a heavy layer of soil. As in this case, it may not always be possible to identify all of the potential constraints prior to actual farm trial of the candidate technology, but such identification should be the aim of pretrial screening.
+It may be possible to modify the local farming practice somewhat to accommodate the new technology (for example, a modified plow-weeding practice seems to be acceptable to the farmers in Kathama), or it may be necessary to look further for a suitable agroforestry alternative. A basic understanding of constraints on potential agroforestry interventions is of considerable importance in the planning process.
+Finally, following this elimination process, we arrive at a set of feasible agroforestry alternatives that may be compared with each other, with existing land management practices, and with nonagroforestry alternatives to determine which, if any, should be incorporated into site-specific, problem-solving agroforestry designs.
+Farm Trials and Field Station Follow-up
+The "rapid appraisal" diagnostic and design procedures outlined above are merely the beginning of the technology research and development (R&D) cycle. For project development they should be followed, depending on the state of readiness of the technology in question, by immediate farm trials of "best bet" agroforestry technologies and/or by on-station R&D to develop "notional" or "preliminary" technologies for later incorporation into on-farm trials. These activities entail their own methodological needs. The International Council for Research in Agroforestry (ICRAF) intends to collect, develop, and disseminate information and methodologies for the full range of biophysical and socioeconomic research questions related to the development of agroforestry's potential as a solution to global land use problems (International Council for Research in Agroforestry 1982b).
+REFERENCES
+International Council for Research in Agroforestry. 1982a. Concepts and procedures for diagnosis of existing land management systems and design of agroforestry technology. International Council for Research in Agroforestry, Nairobi, Kenya.
+1982b. The ICRAF Programm of Work 1982-84. International Council for Research in Agroforestry, Nairobi, Kenya.
+Rolling, N. 1980. Alternative approaches in extension. In Progress in Rural Extension and Community Development, G. E. Jones and M. Rolls, eds. John Wiley & Sons, Ltd,, Chicester, England.
+Steppler, R. A. 1981. A strategy for the International Council for Research in Agroforestry. International Council for Research in Agroforestry, Nairobi, Kenya.
+Steppler, R. A., and J. Raintree. 1981. The ICRAP research strategy in relation tO plant science research in agroforestry. In Plant Research and Agroforestry, P. A. Buxley, ed, International Council for Research in Agroforestry, Nairobi, Kenya.

ccm-ldn-terms/data/indexing/training/bostid_b16ene.key

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+CLIMATIC CHANGE
+HISTORY
+PRECIPITATION
+DROUGHT
+WINDBREAK TREES
+ENVIRONMENTAL IMPACT
+SAHEL
+WEST AFRICA

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+<title>Environmental Change in the West African Sahel</title>
+RESOURCE MANAGEMENT FOR ARID AND SEMIARID REGIONS
+Edited in 1984
+NOTE FROM THE LIBRARY FOR SUSTAINABLE DEVELOPMENT CD-ROM 1.1 EDITORS: THIS BOOK HAS BEEN PUBLISHED IN 1984. IT IS INCLUDED ON THE CD-ROM FOR ITS HISTORICAL VALUE AND EXAMPLES OF WHICH MANY STILL APPLY TODAY. OF COURSE SOME SCIENTIFIC ASPECTS OR POLICY PROPOSALS COULD BE -PARTLY- OUTDATED TODAY DUE TO THE RAPID SCIENTIFIC EVOLUTIONS. WE REFER TO MORE RECENT STUDIES FOR DETAILS RELATING TO MORE RECENT FINDINGS.
+<section>Acknowledgements</section>
+NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
+This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine.
+The National Research Council was established by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and of advising the federal government. The Council operates in accordance with general policies determined by the Academy under the authority of its congressional charter of 1863, which establishes the Academy as a private, nonprofit, self-governing membership corporation. The Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in the conduct of their services to the government, the public, and the scientific and engineering communities. It is administered jointly by both Academies and the Institute of Medicine. The National Academy of Engineering and the Institute of Medicine were established in 1964 and 1970, respectively, under the charter of the National Academy of Sciences.
+This report has been prepared by the Advisory Committee on the Sahel, Board on Science and Technology for International Development, Office of International Affairs, National Research Council.
+Funds for this study were provided by the Office of Sahel and West Africa Affairs, Bureau for Africa, Agency for International Development, Washington, D.C., Grant No. AFR-0929-G-SS-1104-00.
+Second printing, June 1984
+Third printing, August 1984
+Fourth printing, April 1986
+Funding for this printing was provided by a grant from the International Foundation.
+Copies available from:
+Board on Science and Technology for International Development
+National Research Council 2101 Constitution Avenue,
+N.W. Washington, D.C. 20418 USA
+ADVISORY COMMITTEE ON THE SAHEL
+LEONARD BERRY, Graduate School of Geography, Clark University, Worcester, Massachusetts, USA, Chairman
+EDWARD AYENSU, Office of Biological Conservation, Smithsonian Institution, Washington, D.C., USA,Vice Chairman
+MOUNKEILA GOUMANDAKOYE, Assistant Director, Forest Service, Ministry of Rural Development, Niger
+FRANCIS LeBEAU, Agricultural Consultant, Crystal Springs, Mississippi, USA
+FRED WEBER, International Resources Development and Conservation Services. Boise. Idaho. USA
+STUDY STAFF, BOARD ON SCIENCE AND TECHNOLOGY FOR INTERNATIONAL DEVELOPMENT
+CAROL CORILLON, Writer/Research Associate
+JEFFREY A. GRITZNER, Professional Associate
+CONTRIBUTORS
+EDMOND BERNUS, Office de la Recherche Scientifique et Technique Outre-Mer (ORSTOM), Paris, France
+KARL BUTZER, Departments of Geography and Anthropology, University of Chicago, Chicago, Illinois, USA
+ROBERT FISHWICK, Western Africa Regional Office, World Bank, Washington, D.C., USA
+SHARON NICHOLSON, Graduate School of Geography, Clark University, Worcester, Massachusetts, USA
+WOLF RODER, Department of Geography, University of Cincinnati, Cincinnati, Ohio, USA
+<section>Preface</section>
+In 1968 a major drought struck the West African Sahel. By the early 1970s, the tragic dimensions of the event had gained worldwide attention; some 25 million people faced hunger and disease as well as social and economic dislocation. Despite ambitious international relief efforts, death rates in the region rose substantially. Losses of the more poorly adapted forms of livestock, particularly cattle, were substantial, and the resource base of the region was severely degraded.
+How typical was that drought? What is the nature of Sahelian climatic regimes? How do Sahelian ecosystems function, and what caused the ecological imbalances throughout the region? To what extent is human activity, rather than climatic fluctuation, responsible for the widespread degradation of Sahelian ecosystems? How are essential ecological processes and genetic diversity in the Sahel most effectively restored?
+Sound development planning in the Sahel requires that these questions be thoughtfully examined. Sustainable development and environmental stability-the twin goals of the governments of the region and technical and economic assistance efforts-require that project decisions be based on scientifically sound analysis. It is also clear that development projects must be reconciled with environmental and social realities in order to build on the strengths of existing systems and achieve positive ecological and socioeconomic results.
+The Advisory Committee on the Sahel (ACOS) was organized by the Board on Science and Technology for International Development in 1978 at the request of the Agency for International Development (AID) to formulate a long-term strategy for environmental rehabilitation and development in the Sahel. This study was undertaken by ACOS at the request of AID's Office of Sahel and West African Affairs to provide a better understanding of environmental change in the West African Sahel and to serve as a resource for the identification of measures that would help restore critical ecological processes and thereby increase sustainable production in the areas of dryland farming, irrigated agriculture, forestry and fuelwood, and animal husbandry.
+To interpret environmental change, the committee called upon acknowledged experts in the environmental and social history of the Sahel region. They were asked to conduct independent studies or prepare papers on particular topics judged to be of critical importance by the committee. Their individual and collective contributions to this study are acknowledged below.
+Karl Butzer of the University of Chicago prepared a paper that appears as Chapter 1, Late Quaternary Environmental Change in the Sahel. Sharon Nicholson of Clark University contributed a study that served as the basis of both Chapter 2, Climate and Man in the Sahel During the Historical Period, and Appendix B, the Climatology of Sub-Saharan Africa. Chapter 3, The Impact of Human Activity on Sahelian Ecosystems, was a collaborative effort by Edmond Bernus of ORSTOM and Jeffrey Gritzner of the BOSTID staff. The discussions in Chapter 4 reflect the experience of the committee members, and that of invited experts Robert Fishwick of the World Bank and Wolf Roder of the University of Cincinnati, who participated in the final meetings of the committee. Appendix A, Shelterbelt Establishment in the Drylands of West Africa, is based on a study jointly undertaken by Robert Fishwick and Fred Weber. All committee members have reviewed and support the report as a whole.
+The committee greatly appreciates the contributions made by other individuals to this report. Comments by George Taylor II and Dayton Maxwell of AID's Office of Sahel and West African Affairs were very helpful in relating the report to AID needs. Representatives of AID, the U.S. Department of Agriculture, the congressional Office of Technology Assessment, the Department of State, the World Bank, and other interested organizations attended the committee meetings and provided information and observations that proved very useful to the committee in preparing this report. Jean Maley of the French Office d' la Recherche Scientifique et Technique Outre-Mer (ORSTOM), Michael Watts of the University of California at Berkeley, F. Kenneth Hare of the University of Toronto, and William Clark of the Institute for Energy Analysis provided valuable criticisms and suggestions on various drafts of the report.
+In addition to the invaluable support of our staff, Carol Corillon and Jeffrey Gritzner, we were also assisted in many ways by others. Michael G. C. McDonald Dow attended our meetings and made important intellectual contributions based on his years of experience in the Sahel. Alverda Naylor willingly and capably performed the many clerical tasks necessary for the completion of the study. The report was edited by Sherry Snyder. Cheryl Hailey assisted with the design and artwork. Irene Martinez typed various drafts and prepared the final version for printing.
+Because of the critical importance of agro-silvo-pastoral systems to Sahelian economies, and the potential importance of better integrated production systems to rehabilitative strategies, the committee has prepared a companion report, Agroforestry in the West African Sahel. The report further explores many of the concerns and suggestions contained in Chapter 4.
+Leonard Berry
+Chairman
+Advisory Committee on the Sahel
+<section>Introduction</section>
+An inadequate understanding of Sahelian climatology, environmental history, and ecosystem function has consistently hindered the formulation and successful implementation of environmental and agricultural projects in the Sahel. Millions of dollars in donor assistance have been ineffectively spent, and Sahelian populations are increasingly vulnerable to economic adversity and natural hazards. In this study the Advisory Committee on the Sahel has attempted to clarify the environmental history of the region and provide needed baseline information for the formulation of projects to rehabilitate Sahelian ecosystems and promote sustainable agricultural and livestock production.
+A paleoenvironmental review and historical analysis were employed to assess the nature of environmental change in the Sahel: the long-term characteristics of the region were determined by examining the evidence provided by stream deposits, fossil sands, and lake beds and their related, abandoned shorelines. This evidence, which is presented in Chapter 1, reveals that little significant long-term climatic change has occurred in the Sahel during the last 2,500 years, although rapid short-term changes are characteristic of the region. The nature of Sahelian climatic regimes is touched on in Chapter 2 of the report and is treated in greater detail in Appendix B.
+Chapter 2 also discusses the interaction of climate and man in the Sahel by examining the rainfall characteristics to which human activities must be adapted. The chronicles of medieval geographers and historians, the journals of early European travelers, the archaeological record, and other sources reveal that rainfall in the Sahel is generally low, unevenly distributed, and highly variable. Drought is an inherent feature of the region. These records indicate that major droughts, persisting for 12-15 years, evidently occurred in the 1680s, the mid-1700s, in the 1820s and 1830s, the l910s, and since 1968. Generally arid conditions characterized the period from 1790 through 1850, and comparatively minor droughts apparently occurred in the 1640s, 1710s, 1810s, the beginning of the twentieth century, and the 1940s. Relatively wet periods occurred during the ninth through thirteenth centuries, the sixteenth through eighteenth centuries, from 1870 to 1895, and during the 1950s. In
+all development planning in the Sahel, high levels of climatic variability and inevitable drought should be accepted as being "normal."
+In examining the impact of human activity on Sahelian ecosystems, it has become evident that man's role in transforming the region's environment has been significantly underestimated. As discussed in Chapter 3, ancient and medieval societies had a substantial impact through activities such as setting bush fires, producing charcoal for local needs, and in connection with trans-Saharan trade, iron smelting, and the establishment of settlements on easily destabilized sites. In modern times, many of these same activities, often on a larger scale, as well as activities associated with development and modernization, have caused further environmental degradation.
+A more complete knowledge of Sahelian environments and the historical impact of human activity on Sahelian ecosystems allows development planners greater appreciation of the nature, causes, and spatial extent of environmental degradation. This knowledge permits planners to better assess the biological potential of the Sahel and identify specific measures that would help restore essential ecological processes and contribute to the development of more stable and productive agro-silvo-pastoral systems. It also allows planners to distinguish between destructive and environmentally sound activities in the Sahel and to combine historical analysis with modern ecological knowledge to develop useful guidelines for project design. Chapter 4 identifies research programs and other measures that would enhance current knowledge of Sahelian ecosystems and promote environmentally sound development activities.
+Shelterbelts have proved effective in supporting higher crop yields and provide fuelwood, building material, and other products of importance to Sahelian populations. They also support wildlife populations, and thereby increase the availability of bush meat and help reestablish the role of wildlife in seed dispersal. Appendix A briefly discusses successful examples of shelterbelt establishment in the drylands of West Africa. Appendix B amplifies the material presented in Chapter 2, providing a more detailed and somewhat more technical description of sub-Saharan climatic regimes.
+<section>Environmental profile</section>
+Sahel (Sahil) is an Arabic term signifying coast or border. In this report the area referred to as the Sahel is a zone approximately 200-400 km wide, centered on latitude 15°N in sub-Saharan Africa. Although examples of environmental change from various regions of this extensive zone are used in this report, the focus of the study is the West African Sahel (Figure 1). Within West Africa, several Sahelian enclaves are found beyond the strict limits of the zone; for example, in the Adrar des Iforas, the Aïr, and in the southwestern Tibesti highlands. Within the Sahel, the interior delta of the Niger River and Lake Chad are atypical of the region as a whole.
+Since the initiation of international efforts to combat the effects of drought in the arid and semiarid zones of West Africa in the 1970s, the term "Sahel" has been more broadly applied to non- Sahelian regions of the member states of the Permanent Interstate Committee for Drought Control in the Sahel (CILSS). The states include Cape Verde, Senegal, The Gambia, Mauritania, Mali, Upper Volta, Niger, and Chad. In these states, the Sahel proper covers approximately 2 million square kilometers, constituting 27 percent of Senegal, 39 percent of Mauritania, 40 percent of Mali, 7 percent of Upper Volta, 50 percent of Niger, and 32 percent of Chad.
+Recent research on the long-term climatic characteristics of the Sahel indicates that the region was repeatedly subject to change during the Late Quaternary. For example, wind-driven sand encroached far into the present Sudanian and Guinean zones to the south of the Sahel between 20,000 and 12,000 years ago (B.P.), while between 9000 and 5000 B.P. the rivers of the region had greater discharge and the lakes substantially greater volumes. The climate of the Sahel has been relatively constant during the last 2,500 years. It has been characterized by short- to medium-term oscillations toward drier or more humid conditions (Figure 2), with rapid, highly variable climatic change occurring within these more predictable fluctuations.
+Variation in precipitation from year to year is also a characteristic of the Sahel; successive years of severe drought are often followed by years with torrential rains. The Sahelian drought that began in 1968 falls within the norm of at least six earlier periods of low rainfall verified since 1400 A.D. In addition to secular, short-term droughts, some researchers believe that major droughts occur cyclically in the Sahel at intervals of approximately 30 years.
+Although precipitation varies with latitude and local conditions, it is generally restricted to a period of 3-5 months. Storms are frequently violent in nature, and the rain is often erratically distributed-both in terms of when and where it falls-with variability increasing from south to north within the Sahel. The rainy season is followed by an extended, unrelieved dry season.
+In some regions of the Sahel, precipitation variability is partially compensated for by groundwater reserves. The most important regional aquifer is the Intercalary Continental found in Niger and in northern Mali. Another important aquifer is the post-Eocene Terminal Continental. This formation is largely associated with the Adrar des Iforas in Mali, southwestern Niger, various areas north of the Niger River, and Senegal. The same aquifer apparently exists in southeastern Mauritania, but it is too deep for practical exploitation. Similarly, erratic rainfall in the western Chadian Sahel is compensated for by the northerly trending subsurface discharge of Lake Chad, a major body of water fed largely by the Chari and Logone rivers issuing from the Central African highlands. The Sahel is also traversed by two major rivers, the Senegal and the Niger, whose sources are in the highlands of Guinea.
+normal). (Source: Nicholson 1982)
+Most of the Sahel lies below 400 meters in elevation. Its surface is largely composed of worn, folded Precambrian rocks. These formations are characteristically aligned from northeast to southwest, with the alignment reflected in the limited relief of the region. The soils of the region range from ferruginous tropical soils in the south, to brown tropical dryland soils and weakly developed sandy soils on shifting and stabilized sands in the north.
+The modern Sahel has often been described as a transitional zone-a territory in which an enriched Sahara and an impoverished Sudan meet in a hybrid no-man's land lacking its own characteristics. This view has been challenged by Theodore Monod, Edmond Bernus, and others who have studied the region. They view the Sahel as an ecoclimatically autonomous region largely defined by its highly variable precipitation and its characteristic seasonal therophyte ("summer prairie") vegetative communities.
+There are no universally accepted delimiting criteria or terms for the various climatic and vegetation zones of West Africa. For the purposes of this report, the Sahel is defined as a zone roughly bracketed by the l00 and 500 mm isohyets. It is described as containing three phytogeographical divisions: the northerly Sahelo-Saharan zone (grass steppe), between the 100 and 200 mm isohyets; the Sahel proper (tree steppe), between the 200 and 400 mm isohyets; and the southerly Sudano-Sahelian borderlands (shrub savanna), extending to the 500 mm isohyet. The Sahel is bounded to the north by the Sahara Desert, and to the south by the Sudanian zone (wooded savanna). Finally, the Guinean zone (woodland) extends from the Sudanian zone to the Gulf of Guinea. Most zones contain coastal subregions (such as the Senegalese Coastal Sahel) and are commonly referred to in combination (for example, the Sudano-Guinean zone)-sometimes to describe a transitional area between zones, perhaps more
+often to group zones as a matter of convenience.
+The Sahelo-Saharan zone has relatively few trees; examples include Acacia ehrenbergiana, A. tortilis, and Balanites aegyptiaca. Sparse grass such as Panicum turgidum is found on dunes. The Sahel proper is more heavily vegetated. Characteristic species include Acacia ehrenbergiana, A. laeta, A. nilotica, A. senegal, A. tortilis, Balanites aegyptiaca, Maerua crassifolia, Salvadora persica, Zizyphus mauritiana. Annuals such as Aristida adscensionis, A. funiculata, Panicum laetum, and Schoenefeldia gracilis are found on silty soils; Aristida mutabilis, Cenchrus biflorus, and Tribulus terrestris are found on sandy soils. The vegetative cover increases in the Sudano-Sahelian zone, reaching 10-12 percent on sandy soils and over 60 percent on silty soils. Andropogon gayanus and Zornia glochidiata are representative grasses of the Sudano-Sahelian zone; representative trees include Acacia al , A. seyal, Adansonia digitata, and Combretum glutinosum.
+<section>Late Quaternary Environmental Change in the Sahel</section>
+One of the more catastrophic and well-documented recent famines occurred during the severe drought that struck the southern Saharan borderlands in 1968. Relatively little attention has been devoted to whether this drought was unique, with its impact increased as a consequence of recent changes of land use patterns and population growth, or whether it was but another example of severe and recurrent environmental stress in the area. A paleoenvironmental review, which places the drought in a historical context, can address this question.
+No other region of Africa has as conspicuous a record of environmental change as the semiarid and subarid zones along the southern margins of the Sahara, between the Senegal and Nile rivers. This record is best expressed in great expanses of active or immobilized sand dunes on the one hand, and dry lake beds on the other. Such evidence is not unique to the Sahel, but nowhere else in Africa is the surface record of ancient climates so extensive.
+Three basic categories of evidence can be examined: (1) stream deposits, exposed in well-studied river valleys and in the offshore sediment cones of the principal rivers (fluvial record); (2) fossil sands, in vegetated dunefields and as struck by cores beneath Lake Chad or in the deep sea (the dune record); and (3) lake beds and related, abandoned shorelines found in the major tectonic depressions, as well as in the swales between fixed or active dunes (the lake or lacustrine record). This primary record is complemented by a number of paleosols, by fossil pollen, and by lake microorganisms such as diatoms. The timing of the mayor events has been reasonably well determined by an unusually large number of dates based on radiocarbon measurements. The emphasis of the discussion is on the amplitude and wavelength of environmental change, not on paleoclimatic reconstruction or interpretation. Appendix B provides a detailed discussion of the Sahelian climatic regimes.
+The Fluvial Record
+In the Senegal River valley the datum for Late Quaternary events is provided by gravelly alluvium, 2 m above the modern floodplain, related to a relatively high world sea level before 31,000 B.P. (Michel 1973, Beaudet et al. 1976). The sea level later fell, and the river was able to remove much of this gravel infilling and cut down into its bedrock floor, suggesting periodically strong floods. Eventually, however, the lower valley was drowned by dunes advancing southwestward out of the Saharan fringe, building up sand forms with a relief of 30 m and extending out onto the edge of the continental shelf; the Senegal River was unable to reach the coast at this time. Later, a deep red soil, indicative of a complete vegetative mat and intensive biochemical weathering, developed on these dunes while the Senegal and other rivers once again cut through the dunefield to reach the sea. During the period between 5000 and 4000 B.P. a rising sea level flooded into the new Senegal Delta,
+and the reduced river gradient favored sandy alluviation as much as 250 km upstream. Sea level then dropped a little and, from 3000-1650 B.P., was again slightly higher, resulting in development of a series of beach ridges along the delta, while the river had a regime similar to that of today.
+This picture of alternating drier and wetter conditions is paralleled farther south in central Sierra Leone (latitude 8°N), where dating is somewhat more precise (Thomas and Thorp 1980). In this wetter environment, broad swampy valleys with poorly defined channels were flooded by high and protracted monsoonal runoff from before 36,000 until about 20,500 B.P. A subsequent absence of sediments and organic matter indicates drier conditions without forest. River discharge increased about 12,500 B.P., first eroding bedrock, then depositing gravelly alluvium increasingly interbedded with swamp clays, by 9000 B.P. About 6000 B.P., river activity had stabilized and soils began to develop on the uplands. Renewed, increasingly swampy deposition is indicated from 3300-1750 B.P. and during the last 900 years or so.
+This pattern is pinpointed in deep-sea core M-12345, off the Senegal Delta, where windborne sands and dust with Saharan pollen were deposited between 16,300 and 12,500 B.P., after which river discharge contributed abundant sediment, with tropical pollen, particularly during several millennia after 8600 B.P. (Sarnthein et al. 1982). A similar pattern is indicated in core KW-31 off the Niger Delta, where discharge was very low between about 20,000 and 15,000 B.P.; thereafter, flow increased markedly and, with brief fluctuations, remained high until about 4000 B.P. (Pastouret et al. 1978).
+At about the same latitude (8°N), the White Nile appears to have been deprived of Ugandan runoff between about 25,000 and 12,500 B.P., so that a body of still, saline water was ponded up in the lower White Nile floodplain (Williams and Adamson 1980). Subsequently, massive White Nile floods built up silts to 4 m above the modern floodplain until 11,400 B.P., when discharge again declined and dunes were able to move across the valley onto the east bank. Stronger floods resumed by 8400 B.P., and local watercourses became more active than they are today. Relatively high discharge is identified in the later record around 7000, 5500, 3000, 2700, and 2000-1500 B.P. The Blue Nile record and that of the combined Nile drainage below the Atbara confluence (Williams and Adamson 1980, Butzer 1980a) mainly reflect trends in upland Ethiopia and are peripheral to the present discussion.
+Preliminary evaluation of the fluvial indicators reviewed here points to an exceptionally dry climate in the Sahel between about 20,000 and 12,500 B.P., when the area evidently was an extension of the Sahara. Subsequently, conditions have been relatively moist but subject to considerable variation. The details of this later variability are only poorly resolved in the fluvial record.
+The Dune Record
+Taken together, the windborne sands of the Sahel and the record of increasing and decreasing stream activity help date the expanse of immobile and vegetated dunefields or sand sheets so common in much of the Sahel (&rove and Warren 1968, Mabbutt 1977, Mainguet et al. 1980, Talbot 1980). In northern Nigeria today, such dunes are well developed in areas with as much as 750 mm of rainfall, although few active sand fields can now be identified in areas with more than 150 mm. This suggests that desert conditions extended an average of 3° latitude farther south than is the case today. But such extreme aridity has not been experienced during the last 12,500 years.
+Dust of Saharan origin first became abundant off the coast of Senegal during two protracted episodes between about 7.5 and 5.5 million years ago (Sarnthein et al. 1982). After 2.5 million years, windborne dust fluctuated considerably but generally remained quite prominent, suggesting an arid Sahara comparable to that of the present day. Deep cores under the Chad Basin record a dominance of clays, lake diatomites, and alluvial sands from the late Oligocene or early Miocene until the end of the Pliocene (Servant and Servant-Vildary 1980). Thereafter, windborne sands are dominant but repeatedly interbedded with lenses of lake deposits.
+The dune sands and windborne dust thus serve to document the development of the Sahara Desert at the onset of the Quaternary period, some 2 million years ago. As interwoven with marine, stream, and lake deposits they indicate a relatively dry climate, as a deteriorating vegetative cover repeatedly allowed windborne Saharan sands to advance into what is now a savanna environment. The last major advance of dunes and sandfields, across a belt up to 500 km wide, predates 12,500 B.P. Latitudinal shifts since about 7000 B.P. have been comparatively limited in extent.
+The Lake Record
+The distribution of dry lake beds in the Sahel and even in parts of the Sahara is quite remarkable and provides the most detailed record of climatic fluctuations during the past 12 millennia. The best-studied record, serving as a key indicator of Sahelian climate, is that of the Chad Basin (Servant 1973, Servant-Vildary 1978, Servant and Servant-Vildary 1980, Maley 1981, 1982).
+During the last millennium, Lake Chad has had a seasonally fluctuating surface area of 10,000-20,000 km², with a mean depth varying from 3-7 m. Situated some 500 km northeast of the modern lake are two lower depressions, the Bodélé and Djourab, which are separated from the lake by a low divide. Overflow from Lake Chad into these depressions can occur when the lake level rises above the +4 m shoreline (around 286 m above sea level). The highest shorelines, however, are at +40 m, revealing the former presence of a great inland body of water of about 350,000 km², about the size of the modern Caspian Sea. This extensive "Paleo-Chad" was primarily fed by the discharge of the Chari and Logone rivers, which rise in the forested highlands of Central Africa between latitudes 6° and 10°N, as well as by precipitation falling elsewhere within the Lake Chad Basin. Despite its vast surface of evaporation, the Paleo-Chad maintained various high levels from 7500 to about 5000 B.P. and not
+only supported a substantially higher water table throughout its basin but probably also indirectly fed innumerable seepage lakes between the dunefields to the west and north and major aquifers that extend beyond the basin.
+The history of Lake Chad episodes first acquires detail with intermediate to high levels about 30,000-20,000 B.P. During the first lacustrine phase-about 30,000-26,000 B.P.-the associated diatoms were of montane or high-latitude environments, but the pollen data indicate a desert vegetation with very few tropical taxa. Later-about 25,000-20,000 B.P.-the "cool" diatoms persisted but in association with several tropical species; the pollen indicate a strong increase in tropical elements and a corresponding decline of desert taxa.
+During the period of maximum aridity between 20,000 and 13,000 B.P., the southern Chad tributaries were characterized by perennial discharge and, after 17,000 B.P., by a major extension of swampy floodplains. North of the lake, lacustrine deposits, mainly of saline facies, reappear between 13,000 and 12,500 B.P. and probably reflect in part a rise in the water table, fed from a southerly source. Between 12,500 and 9200 B.P. several modest lacustrine phases were interrupted by several dry interludes between 12,400 and 9400 B.P. A rapid rise of the lake to an intermediate level began about 9200 B.P., lasting until about 8500 B.P. From about 12,500 until 7000 B.P. the diatom fauna indicates cool waters and oligotrophic conditions. After a fall of the lake level to its modern position around 7400-7000 B.P., the Paleo-Chad maximum was achieved at +40 m, fluctuating below this high level until 5200-5000 B.P. The associated diatoms indicate temperatures similar to those of today,
+with eutrophic waters. After a long and important regression centered about 4000 B.P., a last high lake level is dated between 3500 and 3000 B.P. Subsequent levels fluctuated around those of the last millenium.
+Palynological study of various lacustrine sedimentary sequences (Maley 1981) shows that Sahelian forms began to slowly replace desert shrub after 12,500 B.P., gaining dominance by 10,100 B.P. At this time the 12 verified Sahelian taxa included 5 tree species. Nonetheless, until 7000 B.P., tree pollen account for only 7 percent of the available spectra. Thereafter tree pollen increase rapidly, and around 5000 B.P. they exceeded nonarboreal types, clearly documenting a tree-savanna. This matches the sedimentary record, which indicates maximum precipitation and Chari-Logone river discharge during the same period.
+It is possible to estimate rainfall and moisture levels for the high lake stands of about 7500-5200 B.P., assuming radiation, temperature, and wind conditions similar to those of today. Kutzbach (1980) has suggested that rainfall averaged a little over 650 mm per year across the basin, compared with only about 350 mm today. But he adopted a nonempirical estimate of lake surface evaporation of 1,297 mm per year, whereas this figure is actually over 2,200 mm (J. Maley, personal communication). Perhaps more significant than this conservative modal value is the repeated evidence of sharp periodicities in lake level. Servant and Servant-Vildary (1980) suggest four scale models for such variability: fluctuations of (1) several tens of meters over time spans of several millennia, (2) 1-5 m over several centuries, (3) up to 3 m over several decades, and (4) about 50 cm between seasons. This scale of change is broadly replicated in other, smaller lakes of the Chad Basin fed by
+groundwater or by a combination of runoff and water table. That it is characteristic of a broad climatic belt spanning the African continent from west to east can be seen by comparing the trace of Lake Turkana (formerly known as Lake Rudolf), which has had a history similar to that of Lake Chad since 10,000 B.P., with similar abrupt fluctuations (Butzer 1980b).
+Comparison of measured stream discharge and lake level changes since 1900 (Faure and Gac 1981, Maley 1981) indeed shows that the history of Lake Chad is fully representative of hydrological changes across the Sahel. Basic details in the area west of Lake Chad are reviewed by Talbot (1980) and Maley (1981). Another, less precisely dated local sequence has been reported from the caldera of Gebel Marra (13°N latitude) in the western Sudan (Williams et al. 1980). Here a +25 m lake of considerable longevity shrank about 19,000 B.P. but reconstituted at +5 to +8 m about 19,000-16,000 B.P. After another drop, the level regained +9 m about 14,000 B.P. and then maintained an intermediate level until about 3000 B.P.; since then the level has fluctuated between -2 and +2.5 m. This record to some degree reflects special conditions, but it is interesting because it shows that the time between about 20,000 and 12,500 B.P. was not uniformly arid, confirming local lacustrine beds from the
+Tibesti mountains that indicate that climate at higher elevations and higher latitudes has been predominantly wetter since as early as 16,000 B.P. (Jäkel 1979), even while the Saharan lowlands and Sahel were desert.
+Lake Chad history for the last 800 years has been reconstructed in detail by Maley (1981). Using dune history, pollen, fluctuations in lake level, flood data for the Niger and Nile rivers, and population movements, he has established broadly synchronous climatic anomalies for the Sahel (Figure 3). The lake level dropped some 5 m within a few decades before 1450 A.D., then recovered 3 m by 1500, only to fall again by 1550. A level of +5 m was maintained throughout the seventeenth century. Subsequent levels have fluctuated in the 0 to +3 m range, with two lows during the eighteenth century, one about 1850, another after 1913, and again during the 1970s. This scale of variation is more rapid than that revealed by the older, generalized lake trace but corresponds better with the major oscillations of the parallel pollen records that were frequently compressed within 1-3 centuries (Maley 1981). Even more detailed are the smoothened discharge data of the Sahelian rivers, which
+indicate major dry anomalies every 30 years or so since the turn of the century (Faure and Gac 1981). Together with the historical evidence and oral tradition (Nicholson 1979), this hydrological information points up the following significant differences:
+· Short-term severe droughts such as that which struck in 1968 are generally reversed within less than a decade and appear to be too brief to show up in most sedimentological or biotic records.
+· Intermediate-scale dry anomalies lasting several decades are more likely to be revealed by detailed geological or biological studies. However, even though their impact on productivity, biomass, and carrying capacity may be severe, they most commonly represent no more than temporary oscillations in the highly variable climatic regime of monsoonal Africa (see Butzer 1971b).
+· Long-term drying trends over several centuries or millennia are primarily responsible for the simplified trace of stream, dune, and lake records reviewed here; they comprise many positive and negative oscillations of intermediate scale that cumulatively effect fundamental changes in hydrology, biotic distributions, and regional geomorphologic threshholds. These are the magnitudes of change reflected in the history of Lake Chad over the last 12 millennia.
+The lake records discussed here are among the most detailed available for the Late Quaternary of Africa. They show that much of the period 9000-5000 B.P. was substantially wetter than today, providing a counterpoint to the evidence for drier Sahelian climate in the period before 12,500 B.P. They further place recent climatic oscillations in context: anomalies comparable to the drought beginning in 1968 have been verified on at least six occasions since 1400 A.D. and may recur three times per century.
+Concluding Discussion
+In paleoclimatic terms, the Sahel drought of 1968 evidently falls well within the range of short- and medium-term variability directly documented for the last few centuries and indirectly shown for the last 12 millennia or so. Kates (1981), in fact, argues that the human impact of a similar drought in 1911-1914 was of similar or greater proportions. Other authors, however, believe that colonial and postcolonial changes in land use and sustained population growth since the turn of the century have dramatically increased pressures on the ecosystem, rendering it unusually vulnerable to periodic stress (Glantz 1976, Dalby et al. 1977). Without addressing the issue of whether the rapid technological and social transformations defined as "development" serve to increase systemic fragility, it is pertinent here to explore the degree to which recent desertification has had tangible geomorphic impact.
+It is reasonable to expect that overgrazing, devegetation, soil erosion, and even secondary mesoclimatic change will follow in the wake of ecological disbalance, accentuated by years of extreme drought. Yet the "historical" (i.e., geomorphological) context for desertification remains hopelessly fragmentary. Only a few examples of such analyses have been published thus far.
+Near Niamey, Niger, Talbot and Williams (1979) studied the cycles of erosion and deposition that periodically account for the buildup of small fans below gully systems that cut back into fixed dunes. The most recent cycle switched from fan accumulation to geomorphic stability over 300 years ago, but stream incision is now active, with gullies cutting back into the partly devegetated dunes. Two earlier cycles of cutting seem to have proceeded at similar rates, suggesting that ecological recovery is merely a matter of time.
+On the Adamawa Plateau of north-central Cameroon, Hurault (1975) used an interpretation of aerial photographs, ground controls, and local informants to show that streams of intermediate scale were perennial about 1900 A.D., with low flood peaks, and had deposited suspended sediment. As a result of overgrazing and degraded ground cover during the twentieth century, channels have been incised and are now lined with rocks and gravel. They function intermittently, mainly during flash floods following rains. This set of processes is found in several other contemporary and historical settings-for example, in the American Southwest, the Mediterranean Basin, and upland Ethiopia (Butzer 1981)-and therefore are not unique to the 1968 drought.
+In central Sierra Leone, Thomas and Thorp (1980) established several alluvial episodes that span the last 12,500 years. Although artifacts related to agricultural settlement are evident since 4000 B.P. and imply a measure of deforestation, there is no qualitative difference in the development of earlier and later alluvial sediment suites.
+These examples do not accurately reflect the extent and severity of ecological degradation by rapid population growth in West Africa during the last 50 years. They do caution, however, that environmental trends since the advent of agriculture and pastoralism in the Sahel cannot automatically be attributed to human intervention without verification by meticulous local studies. They also suggest that there is an urgent need for systematic geomorphological examination of modern desertification processes in a historical context in order to determine the extent to which these events are unique or simply cyclical.
+<section>Climate and Man in the Sahel During the Historical Period</section>
+The chronicles of medieval geographers and historians, the journals of early European travelers, the archeological record, and other sources reveal that rainfall in the Sahel is generally low, unevenly distributed, and highly variable. Drought is an inherent feature of the region. These records indicate that major droughts, persisting from 12-15 years, evidently occurred in the 1680s, the mid-1700s, the 1820s and 1830s, the l910s, and since 1968. Generally arid conditions characterized the period from 1790-1850, and comparatively minor droughts apparently occurred in the 1640s, 1710s, 1810s, the beginning of the twentieth century, and the 1940s. Relatively wet periods occurred during the ninth through thirteenth centuries, the sixteenth through eighteenth centuries, from 1870-1895, and during the 1950s.
+This chapter considers the interaction of climate and man in the Sahel by examining the rainfall characteristics to which human activities must be adapted. (A more detailed description of sub-Saharan climatic regimes appears in Appendix B.) The discussion attempts to underscore several points about the Sahel that are too rarely kept in mind. First, the region is part of a global climatic system, and it must be treated as such in any attempt to understand it. Second, it is an environment that can sustain only cautious use, as rainfall is low, spotty, and highly variable (Vermeer 1981); recurring droughts are inherent, and dry years are more prevalent than wet ones. Finally, the interplay of various parts of the climatic system are involved in producing the extreme rainfall fluctuations in the region; therefore, narrowly based attempts to understand and forecast the region's climate and to comprehend its relation to man and environment are generally unproductive. Throughout
+this chapter, remarks applicable to the true Sahel are appropriate for the entire sub-Saharan region from approximately latitude 10°N to latitude 20°N.
+THE HISTORICAL PERIOD: 850-1900 A.D.
+While it is apparent from modern meteorological records that the Sahel experiences marked changes of rainfall distribution on the scale of decades, other classes of data confirm this variability as an inherent characteristic of the region and illustrate that conditions differing significantly from the "average ones can persist over longer periods of time. It is, of course, more difficult to reconstruct the climate of earlier centuries, but historical accounts and geographical texts, together with various classes of environmental data, provide a fairly reliable picture of times before instrumental observations were made.
+The types of information useful for a historical reconstruction of Sahelian climate are sketched in Table 1. By identifying independent indicators of the same event or trend, by comparing evidence from many areas, and by recording anomalous events, it is possible to determine a number of drier and wetter periods during the last three centuries and to broadly describe conditions during the last millenium.
+Relatively little material on the Sahelian climate is available for periods prior to the sixteenth century, and what can be found is general and somewhat speculative. Nevertheless, the level of the groundwater table, the extent of lakes, archaeological studies, descriptions of landscapes and caravan routes from medieval Arabic sources, and climatic descriptions found in the journals of early European travelers all provide evidence of past conditions (Nicholson 1979). Tentative conclusions drawn from these sources are that the Sahel probably experienced wetter conditions in the ninth through thirteenth centuries, and that these conditions may have set in as early as the eighth century and declined sometime during the fourteenth century.
+Several indicators suggest that the sixteenth through eighteenth centuries were generally wetter than subsequent centuries (Nicholson 1979). They include the level and extent of numerous lakes, historical accounts, and descriptions of landscape and climate. As indicated in Chapter 1, perhaps the best point of reference is the level of Lake Chad (Maley 1981), which often stood 4-5 m above modern levels, although within the present century fluctuations have been on the order of 1 or 2 m. Also, historical chronicles from Mauritania, Mali, Nigeria, and Chad indicate a relative absence of drought throughout the period (Nicholson 1979). Early geographical accounts tell of the verdure of many Sahelian regions, suggesting greater rainfall and higher groundwater levels. When such indicators are taken individually, the interpretation of each can often be challenged. Collectively, however, they present an accurate picture of the past and indicate that generally wetter conditions
+prevailed throughout much of the sixteenth, seventeenth, and eighteenth centuries.
+Nevertheless, drought did occur (Cissoko 1968). A major drought apparently occurred in the 1680s. It also appears that droughts at least as severe as that of 1968 occurred in the Sahel from the mid-1730s to the mid-1750s and again in the 1820s and 1830s-persisting for 12-15 years in many areas. The latter drought was continental in extent. Lake Chad was partially desiccated, and signs of increasing aridity appeared throughout much of southern Africa. Generally dry conditions prevailed during most of the period from around 1790 to 1850. Less significant droughts occurred in the 1640s, 1710s, and 1810s (Nicholson 1980).
+TABLE 1 Types of Data Useful for Historical Climatic Reconstructions
+I. Landscape Descriptions
+(1) Forests and vegetation. Were they as they are today?
+(2) Conditions of lakes and rivers
+(a) Height of the annual flood, month of maximum flow of the river
+(b) Villages directly along lakeshores
+(c) Size of the lake (e.g., as indicated on maps)
+(d) Navigability of rivers
+(e) Desiccation of present-day lakes or the appearance of lakes that no longer exist
+(f) Floods
+(g) Seasonality of flow condition in wet and dry seasons
+(3) Wells, oases, bogs in presently dry areas-also,drying up of wells
+(4) Flow of wadis
+(5) Measured height of lake surface (frequently given in travel journals, but optimally some instrumental calibration or standard should accompany this).
+II. Drought and Related Information
+(1) References to famine or drought, preferably accompanied by the following information:
+(a) Where occurred-as precisely as possible
+(b) When occurred-as accurately as possible
+(c) Who reported it-whether the information is secondhand
+(d) Severity
+(e) Cause of famine
+(f) Localized or widespread
+(Note: Some sources mentioning the "very severe drought" may simply be referring to the normal dry season.)
+(2) Agricultural prosperity
+(a) Condition of harvest
+(b) What produced this condition
+(c) Months of harvests-in both bad years and good years
+(d) What crops are grown
+(3) Rainfed agriculture in regions presently too arid
+III. Climate and Meteorology
+(1) Measurements of temperature, rainfall, etc.
+(2) Weather diaries
+(3) Descriptions of climate and the rainy season. When do the rains occur, what winds prevail?
+(4) References to occurrence of rain, tornadoes, storms
+(5) Seasonality and frequency of tornadoes, storms
+(6) Snowfall. Is this clearly snow or may the reporter be mistakenly reporting frost, etc.?
+(7) Freezing temperatures, frost, hail
+(8) Duration (or absence) of snow cover on mountains
+(9) References to dry or wet years, severe or mild winters
+(10) References to wind. Particularly important is the prevalence of the harmattan or a steady northeast wind in areas south of the Sahara (in West Africa) because this is an unambiguous sign of a dry period. Conversely, steady southwest winds (associated with the rainy season) are also important indicators in this region. Important:Does the reporter suggest this is a common or uncommon occurrence?
+(Note: Even very isolated references may be quite important. Also, "tornado" generally refers to the frequent West African wind storms or squalls.)
+SOURCE: Nicholson 1979.
+Such climatic indicators as lake levels and river flow, rainfall, and harvests (Figure 4) indicate extreme fluctuations during the late nineteenth and early twentieth century. A wet episode, comparable to or more extreme than the 1950s (Kimble 1962), lasted from about 1870-1895 (Nicholson 1978, 1981). The harvests of the agriculturalists associated with the nomadic Kel Tamacheq (Tuareg) were abundant during this period; droughts were local and of short duration. The Niger Bend region near Timbuktu yielded abundant crops and became the "breadbasket" of West Africa, whereas current annual rainfall in the area averages 228 mm. The discharge of the Niger and Senegal rivers was higher during this period (1870-1895) than during the twentieth century; and lowland areas of Senegal, Mali, and southern Africa, which are now dry, contained lakes or ponds. The surface of Lake Chad stood several meters above its present level.
+The picture is similar for other parts of Africa. Throughout East Africa, Rift Valley lakes maintained levels several meters above modern ones, and the Nile carried considerably more water than at present. In southern Africa, Lake Ngami, now an expansive marsh, was a deep and extensive body of water. Harvests were consistently good in semiarid regions of Namibia, southern Angola, and some areas of South Africa.
+THE TWENTIETH CENTURY
+Around 1895, conditions became markedly more arid throughout the tropics. A serious drought occurred at the turn of the century. Although Senegal, Mali, and Niger were particularly hard hit (Sidikou 1973), the Ahaggar region of the Sahara was also influenced, and Lake Chad was reduced considerably (Alexander 1907). Lakes, rivers, and rainfall throughout Africa progressively diminished, and harvests were fair to poor. The "desiccation" culminated in severe drought, which was most intense in 1911 and 1914 and which persisted for about a decade (Bernus and Savonnet 1973, Sircoulon 1976, Kates 1981). At Freetown, Sierra Leone, in coastal West Africa, annual rainfall was 30-35 percent lower during the period 1910-1940 than between 1880 and 1895. The discharge of the Nile was reduced by 35 percent, and the mean depth of Lake Chad was reduced by about 50 percent. West African rivers also carried less water. Lake levels dropped rapidly in many areas of the continent. A less intense
+and less widespread drought occurred in the 1940s. Following a period of greater rainfall in the 1950s, drier conditions recommenced in the early 1960s. They set in first around 1960 in the most northerly areas and spread progressively southward. By 1968 the impact of drought was felt throughout the region. The drought continued, with some amelioration in 1974 and 1975, into the 1980s.
+The contrast between the 1950s and the subsequent drought is extreme. It would appear that the sequence of these two episodes was responsible for much of the tragedy associated with the drought, as the wet conditions of the 1950s promoted use of more marginal lands. Rainfall was consistently high throughout the 1950s (Figure 2); as much as 50-60 percent above the mean in the Sahelo-Saharan zone, 20-30 percent above the mean in the Sahel proper, and 10-20 percent above the mean in the Sudanian zone to the south.
+Conditions changed abruptly around 1960, and rainfall continually declined until 1973. During that year rainfall was about 60, 40, and 30 percent below the mean in the Sahelo-Saharan zone, the Sahel proper, and in the Sudanian zone respectively. Thus, in some marginal areas, tropical rainfall in the 1950s was more than twice that for the period 1968-1973; in the Sahel proper, rainfall averaged nearly 350 mm/yr in the 1950s but only 200 mm/yr from 1968-1973. The drought continually spread and intensified from 1968-1973. Even 1969, considered by some to be a year of relatively good rainfall, was abnormally dry in all areas except the far western portion of the Sahel. In the 1950s, rainfall in northern Africa was below average in only 7 of 37 regions but was above average in only 5 regions during the period 1968-1973 (Figure 5). Thus, the drought extended well beyond the Sahel.
+It is commonly thought that the drought ended in the mid-1970s, but a recent analysis of more current data contradicts this. The years 1974 and 1975 were wetter than the preceding ones, but rainfall totals were still below normal. The years 1976-1980 were consistently dry, with certain years apparently matching the worst ones earlier in the decade. In the Sahelo-Saharan zone, rainfall was more than 50 percent below normal in 1977, 1978, and 1980, and 40 percent below normal in 1976 (Figure 6). The Sahel proper and the Sudanian zone were extremely dry in all 5 years (1976-1980), with deficits ranging from 15-35 percent in the Sahel and 10-25 percent in the Sudan. At individual stations, even larger deficits were recorded. These relatively dry conditions have persisted for approximately 2 decades, and it now appears that the present century may be the driest one in the Sahel and its borderlands in over 1,000 years (Figure 7).
+BIOGEOPHYSICAL FEEDBACK
+Perhaps the most satisfactory explanation for the prolongation of the 1968 drought is to be found in a hypothesis initially proposed by J. G. Charney (1975). This hypothesis maintains that Sahelian rainfall is strongly influenced by "biogeophysical feedback." According to the hypothesis, drought would be reinforced either through the changes it evokes in the Sahelian land surface, usually through devegetation, or through similar changes produced by human impact on Sahelian ecosystems. Charney's hypothesis is discussed by Nicholson in Appendix B.
+<section>The Impact of Human Activity on Sahelian Ecosystems</section>
+Problems of environmental degradation in the Sahel are frequently attributed to recent droughts, population pressures, or overgrazing, with little appreciation of the duration and spatial dimensions of man's impact on Sahelian ecosystems. Evidence of human occupation in the Sahel dates from approximately 600,000 B.P. Since that time, selective hunting and gathering, bush fires, agriculture, herding, charcoal production, the destructive exploitation of forest products, and other activities have contributed greatly to the modification of Sahelian ecosystems. No areas, however remote from human settlement, have been left undisturbed. These activities have led to progressive reductions in biological diversity and productivity and, in recent years, serious breakdowns in essential ecological processes. The restoration, enrichment, and sound management of Sahelian ecosystems is basic to sustainable economic development in the region.
+Because climatic change and variability are regular features of the Sahel, the native plant and animal communities of the region are generally well adapted to the range of climatic variation existing in the region. The ecological imbalances that have been exposed by recent droughts can be better understood by looking at the Sahelian people, their livestock, and their agriculture. While the Sahelians are the victims of drought, they have also contributed greatly to their growing vulnerability. Many efforts in "development" or modernization have also contributed to their plight. An appreciation of man's impact on Sahelian ecosystems is of basic importance both to our understanding of the declining ability of the region to support human populations and to the development of strategies to correct this trend.
+In order to provide a better understanding of the role of human activity in modifying Sahelian ecosystems, this chapter briefly explores nine agents of anthropogenic change: bush fires, transSaharan trade, site preferences for settlements, gum arabic trade, agricultural expansion, proliferation of cattle, introduction of advanced firearms, development of modern transportation networks, and urbanization. These agents illustrate the breadth and diversity of the human impact on the region.
+Bush Fires
+The vegetative changes that have coincided with episodes of prehistoric human occupation in the Sahel might well have been caused by the use of fire to support hunting activities. Fire has long been used as a tool in hunting, to improve grazing, and to clear land for cultivation. Perhaps the earliest historical record of bush fires in the region is contained in Hanno's Periplus, a document that records a Carthaginian attempt to establish commercial colonies along the western coast of Africa during the fifth century B.C. The document's reference to the "big and little fires flaming up at intervals everywhere" (Harden 1963) is widely accepted as evidence of bush fires in the interior.
+Primitive hunters often used fire in the belief that tender, green forage would be more readily available to wildlife in areas cleared of the coarse, largely inedible vegetation remaining from the previous season. The same rationale is often applied by modern herders. Unfortunately, while fire can serve as an important management tool, burning volatilizes organic nitrogen compounds, and the excessive leaching of tropical soils during the rainy season results in the loss of salts from the ashes of the burned grass and burned animal manure (Bartlett 1956). According to R. N. Le Houérou (1977), it has been estimated that bush fires in the African grasslands burn more than 80 million tons of forage per year-an amount sufficient to maintain 25 million cattle for a period of 9 months.
+Regardless of when burning was first employed in the Sahel, its use has definitely altered the region's vegetational history. Fast-growing, light-loving trees and shrubs are gradually replaced by less readily disseminated trees and shrubs; and if burning is regularly repeated, normal ecological successions are deflected to permanent grassland, with some trees and shrubs entering from neighboring, drier floristic zones. These species are termed "pyrophytes" and characteristically have their greater mass below ground rather than above the burned-over surface (Kuhnholz-Lordat 1939). Similarly, fire favors perennial grasses with underground stems that regenerate rapidly and produce new green shoots.
+In general, the results of bush fires are a reduction and simplification of vegetation, soil depletion through losses of nitrogen, reduced nutrient cycling through deep-rooted trees and shrubs, and critical breakdowns in soil ecology. In areas where cattle are maintained, this in turn characteristically results in the overgrazing of the perennial grasses, a further reduction of biological productivity, and declining carrying capacity. Cattle are generally replaced by goats and sheep and, finally, when the grasslands have been reduced to desert, camels gain in importance. This transition from woodland to desert has occurred within living memory in many parts of Africa (Cloudsley-Thompson 1977).
+The Trans-Saharan Trade
+Herodotus, writing around 450 B.C., the geographer Strabo, writing some 400 years later, and other classical authors describe an active trans-Saharan trade based on precious stones called "carbuncles," gold dust, and slaves. While the commodities transported have changed through time, the trans-Saharan trade has continued to the present day (Figure 8).
+The environmental impact of this trade on the Sahelo-Saharan zone and the Sahel proper has been surprisingly great. Perhaps the principal impact has been the widespread destruction of Acacia tortilis through the production of charcoal. Such charcoal production on the desert margin is described by Sidi Hamet, a Moroccan active in the trans-Saharan trade during the late eighteenth century. In describing a caravan ". . . of about three thousand camels and eight hundred men," Sidi Hamet recalled that ". . . we stopped ten days, and let our camels feed on the bushes, while half the men were employed in getting wood from the mountain and burning it into charcoal, which we put into bags, as it was light, and laid it on the camels over the other goods." The charcoal was apparently used for roasting the flesh of desert antelopes and camels, for trade, and as emergency rations for the camels. Describing a later journey involving '. . . about four thousand camels, and more than one
+thousand men," Sidi Hamet again indicates that the caravan stopped at the desert margin ". . . and cut wood and burned coals for the camels, for the caravans never attempt to cross the desert [sic] without this article . . . " (Riley 1817).
+II Trade Routes of Northern Africa, Xth to XVIIIth Centuries
+It is noteworthy that various sources indicate that axes were standard equipment for cameleers engaged in the trans-Saharan trade. The writings of Marsh, Bobek, Jorgensen, Darby, Mikesell, and others who have explored the question of deforestation in antiquity convincingly support the claim that charcoal production in relation to the trans-Saharan trade could have had a most profound impact on the ecology of the Sahel region. Furthermore, with the degradation of the desert margin, the dry-season mechanisms of seed dispersal within Sahelian ecosystems-effective northeasterly winds, southerly trending animal movement, etc.-would encourage a progressive southward shift of dry-steppe vegetation leading to a compression of the zone. This, in turn, would alter critical ecological relationships, lead to decreased genetic diversity and, ultimately, amplify the impact of hazards such as drought (National Research Council 1981).
+Site Preferences for Settlements
+The Arab and Berber populations of the Sahel historically have demonstrated a preference for establishing their settlements on elevated sandy surfaces (figure 9). The reasons behind this preference include the following: health, the ritual purity of "high" sand within the context of Islam (Qur'anic surah IV.43), the perceived security afforded by higher elevations (A. Andrawis, personal communication), and the water storage capacity of sand dunes. Of these, considerations of health are perhaps the most frequently cited. Because Arab and Berber populations do not possess the sickle-cell trait, they are far more susceptible to falciparum malaria than are their negroid neighbors, and the establishment of settlements on elevated, well-drained surfaces reduces their exposure to malarial parasites (National Research Council 1981).
+Many colonial military installations in the Sahel were similarly situated atop formerly fixed dunes. Severe environmental degradation occurred around such installations. Although the causes of this degradation vary, the primary contributors seem to have been perimeter clearance, the use of tree trunks in site preparation and building, the use of wood as fuel, and the damage inflicted on the local vegetation by herds of cattle, camels, goats, and sheep maintained by the garrisons (Toupet 1976).
+These site preferences have led to the widespread destabilization of formerly fixed dunes through devegetation and physical disturbance by foot traffic, livestock, and, in recent years, vehicular traffic. This problem is naturally aggravated as settlements grow. Changing architectural traditions (J. Rowland Illickhave further contributed to the problem. Less than 20 years ago, Boutilimit, Mauritania, was described as ". . . a city of tents" (Gerteiny 1967), a description that contrasts sharply with the mud-brick buildings of the city today. The construction of permanent buildings requires the use of much more wood for structural support than is required in the construction of traditional tents and huts. Moreover, in many areas of the Sahel the erection of permanent structures in mobile landscapes has greatly complicated matters, as the buildings themselves are responsible for the accumulation of sand that ultimately results in their destruction (National Research Council
+The reactivation of Sahelian dunes through physical disturbances and the direct removal of vegetation to satisfy the building material, fuel, and fodder needs of local populations carries further environmental implications. It seriously affects the regenerative capacity of the vegetation as the drift sand generated by the dunes causes seedling losses through abrasion, burial, and desiccation.
+The Gum Arabic Trade
+The Dutch were evidently the first Europeans to recognize the commercial potential of the gum arabic produced in the Acacia senegal forests of the western Sahel. It was used largely for printing in the important Dutch textile industry. The gum exported to the Low Countries passed through Arguin, a trading center established by the Portuguese to the south of Cap Blanc (Cape Blanco) in 1448. Arguin had been taken over by the Spanish late in the sixteenth century and passed into Dutch hands in 1638. The French later became interested in the gum arabic trade and, in 1677, the Dutch ceded Arguin to the French following the Peace of Nimegue. Thirteen years later, the Dutch recovered Arguin and held it for 31 years before again losing it to the French. During this period, the Dutch had established commercial ties with 'All Shandora of the Trarza region, which resulted in the founding of Marsa (later Portendik), a commercial outpost located on the coast some 40 km to the north of
+modern Nouakchott, Mauritania.
+The French captured Portendik in 1723; it was subsequently regained by the Dutch, recaptured by the French in 1724, and taken by the English in 1762. By 1763 the English were in complete control of the Mauritanian gum arabic trade. Twenty years later, the Treaty of Versailles, which terminated Anglo-French rivalries in America, also returned control of the Mauritanian coastal zone south of Cap Blanc to the French. Renewed hostility between France and England again resulted in an English presence in the region. This presence was maintained until the peace settlement following Napoleon Bonaparte's defeat at Waterloo returned the region to France in 1816. Despite the apparent finality of this transfer, one finds reports of Moors selling gum arabic to the English in defiance of the French as late as 1834. In 1857, in exchange for the formal renunciation by the English of their gum trade at Portendik, the French ceded their remaining rights at Albreda on the Gambia (Crone 1937,
+Blake 1941-1942, Fage 1969, Church 1980).
+This historical sketch illustrates the importance attached to gum arabic by the European powers. The intense demand for gum arabic resulted in increased competition and higher prices. As the exploitation of gum arabic became more profitable, production increased apace. The environmental consequences of increased production were evidently profound.
+Gum arabic is a storage product of the Acacia senegal. The more stressed the tree, the greater the yield of gum. The tapping methods currently employed in the Trarza and Brakna to stress the trees and increase production also reduce the resistance of the trees to disease and drought. It is probable that similar methods were applied in the past. Trarza experienced severe droughts in the 1680s, from 1738-1756, and during the 1770s, 1790s, 1820s, and the 1830s (Nicholson 1979). Given the historical southward shift in gum production within the Trarza and the sequential decline in the importance of Arguin and Portendik, it would appear that destructive tapping techniques and the droughts of the seventeenth, eighteenth, and nineteenth centuries effectively destroyed the gum forests found inland from these important trading centers.
+In the twentieth century, the well-known gum forests around Boutilimit, Togba, and elsewhere in Mauritania have disappeared (National Research Council 1981). The loss of the gum forests has had far-reaching implications for local economies as well as for environmental stability. In addition to producing gum arable, the trees provide browse, support honey production, and are sources of tannin, wood, and charcoal. The hardwood is often used in the manufacture of such items as tool handles and weavers' shuttles, and a strong fiber can be obtained from the tree's long, flexible surface roots. Locally, the gum has a wide range of uses, extending from preparation of ink for use in Qur'anic schools, to a solution for stabilizing the interior walls of mud-brick buildings. The A. senegal tree can be incorporated into dryland agroforestry systems to restore soil fertility and serve as a living fence as well as provide the products noted above (National Research Council 1981). me
+extensive root system of the Acacia senegal (Figure 10) maintains soil ecology and physical stability in sandy or otherwise well-drained tracts of the Sahel.
+Agricultural Expansion
+Rainfed Agriculture
+The expansion of rainfed agriculture in the Sahel has been prompted by several events and circumstances: the cessation of slaving has encouraged a northward drift of agricultural populations into formerly hostile regions of the Sahel; normal population increase, which for agriculturalists occurs at a rate of 2.5-3.0 percent per year as compared to 1.5-2.0 percent for pastoralists (Le Houérou 1980), has brought additional land into use-often at the expense of fallow; in some regions, soil depletion forces agriculturalists continually to seek more fertile regions; and, increasingly, nomads have adopted the practice of combining farming with seasonal livestock movement. In many areas, expansion was facilitated by the unusually high rainfall of the 1950s.
+The Republic of Mali witnessed an 80 percent increase in rainfed crop production between 1952 and 1975 (International Livestock Centre for Africa 1980); similarly significant increases are reported for Niger and for other countries of the Sahel. The expansion of rainfed agriculture results in a direct acceleration of soil erosion through the removal of vegetative cover and physical disturbance. Additional degradation occurs as trees and shrubs are cut to satisfy the construction and fuel requirements of the cultivators.
+Sedimentation studies in the United States indicate that annual soil losses from forested areas are only a few hundredths of a ton per hectare, in contrast to 54 tons from land cultivated for maize production. Given the substantial amount of land withdrawn from production because of soil depletion in some Sahelian agricultural systems, it should be added that sediment loss for abandoned farmland in the studies cited was 450 tons per hectare (Thacher 1979, cf. Lowdermilk 1948). It should also be noted that agricultural expansion in the Sahel characteristically results in an indirect increase in the degradation of the surrounding rangelands since the conversion of the more productive forage areas to agricultural production forces pastoralists to overgraze" the remaining land base (Thomas 1980). As Marchal (1982) has observed, Sahelian agriculture, after having consumed space, preys upon it.
+In many areas, agriculture development focusing on the cultivation of cash crops such as groundouts has resulted in serious losses of soil structure and fertility, as well as a broad range of socioeconomic problems. The self-sufficiency of rural populations is often reduced as land and labor are devoted to cash crops. Rural subsistence is further impaired as crop yields decline and young men are forced to seek employment in urban centers in order to support their families. In many regions of the Sahel, the loss of young, vigorous farmworkers has resulted in those left on the land being physically incapable of cultivating areas sufficiently large to satisfy local needs (National Academy of Sciences 1980).
+Irrigated Agriculture
+In addition to an expansion of rainfed agriculture, ambitious irrigation schemes have been undertaken periodically in the principal basins of the Sahel. Prominent among them are the projects established in the Senegal River Valley, in the Interior Delta of the Niger, and in the Lake Chad basin.
+The Great Depression in 1934 led to the creation of the Mission d'Etudes du Fleuve Senegal to study and plan comprehensively the economic development of the Senegal River Valley. This project was replaced in 1938 by the Mission d'Aménagement du Sénégal. Initial attention was focused on cotton production until World War II disrupted the importation of the 60,000 tons of rice then consumed annually in Senegal. In 1945 it was decided to shift exclusively to the mechanical cultivation of rice on the uncultivated clay soils at the head of the Senegal Delta.
+The earlier earthen barrages, built annually by the traditionalist farmers of the region, were replaced by a permanent barrage completed near Richard-Toll in 1948. Water was then pumped, at considerable cost, from behind the barrage into approximately 100 km of main canals to 5,402 ha of mechanically cultivated and artificially fertilized rice fields. In 1968, some 5,100 ha produced 10,200 tons of paddy-a very low yield (Church 1980).
+As with all large irrigation schemes in the Sahel, the Richard-Toll Senegal Delta Irrigation Scheme encountered great physical and economic difficulties. Quelea, ducks, and other granivorous birds, as well as insects and rodents consumed large quantities of the rice grown; the control of wild rice became a serious problem; the soils became saline (see Pillsbury 1981); sheet erosion was caused by dry-season winds; and the costs of fertilizer and pumping became burdensome. Capital costs have been written off and the current costs are heavily subsidizd. The scheme has made only a modest and very costly contribution to Senegal's rice needs (Church 1961, 1980; cf. Weiler and Tyner 1981).
+Similar problems have been encountered in the project areas developed in the Niger Delta and the Lake Chad Basin. Presumably, knowledge and experience gained in the development of these costly and largely unsuccessful schemes will be taken into consideration in the current river-basin development efforts in Senegal and elsewhere in the Sahel.
+The Proliferation of Cattle
+It is a common assumption that the Sahel is a natural pastureland for cattle and that domesticated cattle have long sustained the populations of that region. This impression is often reinforced by the depiction of cattle in the rock art of the neighboring Saharan highlands (see, for example, Brentjes 1965, Lhote 1973).
+It is true that cattle have long been associated with the Sahara and the Sahel. Wild cattle, including Bos primigenius and B. ibericus, were prominent among the animals that sustained the ancient hunting populations of these regions (Smith 1980). The archaeological record indicates the concept of domestication diffused into the area around 6000 B.P., and that the concept was evidently accepted and applied by populations of fisherfolk associated with the many lakes that existed in the central and southern Sahara at that time. The so-called Ténérian groups identified from the excavations at Adrar Bous, Niger, would be representative of these early pastoralists (Smith 1976). The expansion of the cattle complex into the Sahel proper was apparently a direct result of the desiccation of the Sahara region.
+The desiccation of the Sahara had an important impact on cattle because their water requirements are considerable. For example, they require four times as much water, at more frequent intervals, as camels under the same conditions. Also, unlike other animals in which the volume of urine is decreased and its concentration increased with higher temperatures, the increased intake of water by cattle results in decreased concentration and increased water loss through urination. Hence, the intake of water is greater than that required simply to compensate for increased losses. It appears that cattle drink not only to avoid dehydration but to cool the body with huge quantities of water (Schmidt-Neilsen 1964, cf. Nachtigal 1879).
+Declining precipitation, a possible shift from a two-cycle rainy season to a single-cycle season (Toupet 1976), the effects of bush fires, deforestation, a reduction in groundwater recharge, and the growing impact of domesticated livestock eventually rendered the Sahel unsuitable for cattle. In response, the prehistoric cattle complexes of the Sahel gravitated southward into the savanna zone, where they are represented by such modern peoples as the cattle-holding Soninke.
+The earliest historical records that describe the livestock inventories of Sahelian populations are those of medieval authors such as Ibn Hawqal and al-Muhallabi. These authors describe the Sahel as a region dominated by camel nomadism, and by peoples whose attachment to the camel carried almost religious overtones (Levtzion and Hopkins 1981).
+A brief reintroduction of cattle into the Sahel occurred when, in 990, the Soninke-dominated empire of Gana (transcribed in Arabic as Ghana) expanded into the Sahel to assure their control over the trans-Saharan trade. Al-Bakri, writing early in the eleventh century, describes the dependence of the Soninke cattle on the wells that had been excavated during the mid-eighth century to support the trans-Saharan trade. His descriptions of the impoverished vegetation around wells and villages contrast vividly with those of al-Muhallabi written in the tenth century, before the expansion of Gana.
+By 1055, Gana was forced to withdraw southward into the savanna zone, and descriptions of camel nomadism again dominated the writings of the medieval authors describing the Sahel.
+Although the occasional presence of cattle in the western Sahel is documented in the writings of Ca' da Mosto (fl. 1455) and later authors, they are few in number and are largely associated with oasis-based Soninke cultivators. The absence of cattle reflects not only the limited carrying capacity of the region for cattle, but also the vulnerability of the herds and herders to the incursions of raiding tribes. In the western Sahel, the problem of raiding was particularly severe following the arrival of the Banu Hilal from North Africa late in the thirteenth century (Trimingham 1962). The problem persisted until the colonial pacification of the region early in the twentieth century.
+It is possible that this relatively long period (thirteenth through nineteenth century) of political instability in the Sahel permitted a measure of ecological recovery. For example, an account of an expedition by Sultan Saboun against the state of Bagirmi in central Chad early in the nineteenth century describes . . . the unoccupied lands situated between the boundaries of the Waday and the Bagirmi [as] covered with mature forests and dense, thorny undergrowth, which served as the refuge of lion, elephant, and rhinoceros (Depierre and Gillet 1971). If a measure of recovery had occurred, it was short-lived.
+The pacification of the Sahel permitted a northward expansion of agricultural populations early in the twentieth century. They took herds of cattle, goats, and sheep with them. The disenfranchised warrior classes were left with only herding and commerce as acceptable occupations, and economic considerations resulted in a rather abrupt numerical shift favoring cattle at the expense of camels, as the former were more marketable within the context of the new economic order. Furthermore, in Mauritania the policy of association-that is, working through traditional leaders-had strengthened the position of the religious leaders, the marabouts, at the expense of the warrior class, and the new wealth acquired by the marabouts was characteristically invested in herds of cattle (Chassey 1978).
+Cattle dramatically increased in number following the pacification of the region. In addition to economic incentives, livestock maintenance and veterinary health programs were instituted throughout the Sahel. During much of this period of development, rainfall levels were unusually high, and therefore for planners and herders, perhaps deceptively high. According to Gallais (1979), the western Sahel as a whole had witnessed a five-fold increase in cattle during the 25 years preceding the 1968 drought (Table 2, Figure 11).
+The relative lack of experience of many modern Sahelian populations in managing cattle, combined with a progressive loss of skilled herders to sedentarization and labor alternatives encouraged by development programs, has in many areas resulted in poor herd control. Poor management, in turn, has greatly increased the environmental impact of livestock. In addition, in many areas of the Sahel while herds of cattle were growing rapidly, other types of livestock that are better adapted to the region, more easily controlled, and less destructive to the environment declined in numbers (National Research Council 1981).
+As indicated above, cattle are poorly adapted to Sahelian conditions; their conversion efficiency is poor, they require substantial quantities of water, and they are highly subject to stress. In response to declining precipitation and growing cattle populations, well-drilling programs were expanded throughout the Sahel. The vegetation around wells, as well as around seasonal pools and in other areas of intense pressure, has been both qualitatively and quantitatively modified (Bille 1976). Unlike camels and goats and most native herbivores, which are predominantly browsers, cattle are grazers. Cattle therefore increase pressure on perennial grasses and often eliminate them (Gaston and Dulieu 1976). Tree cover is also affected by cattle herds, as trees are used as sources of fuel and building material by herders, many species are used for emergency fodder, and broad-hoofed cattle trample seedlings and compact soil. Three tree species have had particularly high mortality rates:
+Acacia senegal, Commiphora africana, and Guiera senegalensis (Poupon and Bille 1974). Hence, the qualitative aspect of vegetative degradation is reflected in shifts from perennial to annual grasses and the expansion of relatively unproductive trees and shrubs such as Calotropis procera at the expense of more useful species such as Acacia ehrenbergiana, A. senegal, and Balanites aegyptiaca (Bernus 1979).
+As noted above, biomass production has also decreased. In the Tamesna region of Niger, for example, it is estimated that primary pasture production has dropped between 1,500 and 2,000 tons/ha to 360 kg/ha through overgrazing. Good fodder species such as Schoenefeldia gracilis disappeared and were replaced by short-cycle species requiring less water, such as Cenchrus spp. (Granier 1975). Equally significant declines in primary production have been recorded in the Senegalese Ferlo and other regions of the Sahel.
+It has been estimated that the usable extent of the pastoral zone has been reduced by almost 25 percent since the onset of the 1968 drought. Nevertheless, in some instances these trends may be reversible. Schoenefeldia gracilis has reappeared in the Tamesna region. In the study in the Ferlo, total seed production was estimated at 30.6 kg/ha in 1970-1971. One-third of this production was consumed by animals; the rest was scattered by wind, water, and animals. Although many seeds were destroyed, 11 percent retained their powers of germination for at least 2 years. This indicates that, with proper management, recovery may be possible in many areas. If excessive livestock pressure is not relieved, however, seed production for many species ceases and regeneration cannot occur (Boudet 1972).
+The reduction or elimination of vegetative cover, often in combination with soil compaction by livestock, triggers additional degradative sequences. For example, once the rainy season begins, raindrops striking the wet soil surface raise mud spatters, first sealing the surface and then mobilizing soil particles subject to transport by overland flow. This results both in reduced infiltration leading to depressed groundwater tables and soil erosion. In some areas of the Sahel, groundwater levels have fallen as much as 8 meters since the medieval period (Toupet 1977). As indicated elsewhere in this report (chapters 2 and 4, Appendix B), reduced vegetative cover might also reduce rainfall through biogeophysical feedback mechanisms regulated by such cover. A mat of vegetation, on the other hand, intercepts the raindrops and controls overland flow, as the water is forced to filter through a tangle of stems, grass blades, dead leaves, and root hairs. Meanwhile, infiltration in
+encouraged, and the rooting network serves to stabilize the soil (Butzer 1976).
+Surface exposure and reduced organic content also disturb soil ecology through altered soil-water relationships and a greater amplitude in soil temperature. It is probable that this altered soil ecology would adversely affect critical microorganisms such as the rhizobial bacteria associated with Sahelian acacias and other leguminous genera (National Academy of Sciences 1979, National Research Council 1981). The rhizobia fix atmospheric nitrogen, increase plant productivity, and reduce the impact of stress. As use pressure, depressed groundwater tables, and altered soil ecology directly eliminate certain plant species and frustrate regenerative processes in others, further losses occur though disruptions in plant dependencies and affinities.
+TABLE 2 Sahelian Cattle Populations
+Number of Cattle (in thousands)
+Country
+Chad
+n.a.
+Mali
+Mauritania
+Niger
+Senegal
+Upper Volta
+SOURCE: Compiled from Gallais 1979.
+Introduction of Advanced Firearms
+Advanced firearms first entered the Sahel in connection with the slave trade. European traders commonly provided their Moorish associates with guns in payment for slaves. During his visit to West Africa around 1456, the Portuguese traveler Diego Gomes reported ". . . that there were caravals there which carried arms and swords to the Moors" in exchange for slaves (Blake 1941-1942). Writing in the 1790s, Mungo Park notes that the Moors obtained ". . . their fire-arms and ammunition . . . from the Europeans, in exchange for the Negro slaves which they obtain in their predatory excursions. Their chief commerce of this kind is with the French traders, on the Senegal River." James Riley, writing in 1817, recalled that "most of the Arabs are well armed with good double-barrelled French fowling pieces." By 1882, the African leader Samory Touré had purchased 4,000 repeating rifles from the British in Sierra Leone in order to check the French advance into the upper Niger region. By
+1892 his forces possessed 8,000 such rifles (Gramont 1975).
+Many medieval and modern authors have described the abundant wildlife of the Sahel (see, for example, Blake 1941-1942). The literature of Sahelian peoples such as the Moors and Kel Tamacheq frequently refer to camels, wildlife, and hunting but reflect virtually no interest in cattle, sheep, or goats. An appreciation of bush meat is revealed in the commercial importance of tishtar, jerked antelope flesh, in Mauritania (Trotignon 1975). Similarly, as recently as the late 1950s, wildfowl and game animals contributed more to the diet of the peoples of the Senegal River Valley than did beef (Cremoux 1963).
+Given the appreciation of Sahelian populations for bush meat, it is not surprising that the introduction of improved firearms would result in a dramatic increase in hunting. Travelers' reports indicate that wildlife populations have declined steadily since the sixteenth century, and Bigourdan and Prunier (1937) indicate that the addax and oryx populations of the Mauritanian Sahel were already threatened by extinction before the conclusion of French pacification in the 1930s.
+The destruction of wildlife populations in the Sahel has greatly aggravated the problem of devegetation in the region. Birds and browsing herbivores formerly played critical roles in the growth stimulation response (McNaughton 1976) and seed dispersal of Sahelian trees and shrubs, prominently including large-seeded legumes such as Acacia, Albizzia, Bauhinia, Cassia, Entada, Parkia, Prosopis, Tetrapleura, and related genera (National Research Council 1981). In turn, habitat modification has eliminated additional wildlife species once important in seed dispersal (Huzayyin 1956) and has also reduced the quantities of seed available for dispersal.
+Finally, changes have taken place in herding with the virtual eradication of wild carnivores in the pastoral zone. In the past, young herders were instructed to avoid forests and thickets in order to maintain herd control and avoid livestock losses to predators. The fear of such losses passed with the elimination of the large carnivores, and herds are now permitted to enter wooded areas. The extension of herding into these areas has resulted in the widespread removal of protective understory and seedlings. In consequence, wildlife habitat have been dramatically decreased, precipitation interception and groundwater recharge have been reduced, many wild plants and animals used by rural populations during periods of famine have been eliminated, and ecological processes have been seriously disrupted.
+Wildlife losses are also significant, because the potential standing biomass of wildlife populations is much greater than that of livestock populations living under similar conditions. For example, studies done in East Africa indicate that acacia savanna carrying 19.6-28.0 kg/ha of domesticated cattle could carry from 65.5-157.6 kg/ha of wild ungulates. In contrast to domesticated livestock, wild animals occupy distinct and usually complementary ecological niches: wildlife eat vegetation that is often too coarse for most livestock, and wild animals use water more efficiently and are more tolerant of stress and disease. Hence, the wildlife of the Sahel could serve as important alternative sources of food during periods of need (Talbot 1963, Knight 1976).
+In addition to the devastating impact of advanced firearms, Sahelian wildlife populations have been further reduced through direct competition with livestock and habitat modification associated with agricultural expansion.
+The Development of Modern Transportation Networks
+The mayor rivers of the Sahel, rails, and roads have opened new areas of settlement, brought new land into agricultural production, and facilitated the exploitation of forest products.
+Towns and villages have been established along the modern transportation networks of the Sahel much as they were along the trade routes of the Sahel in the past, and for many of the same reasons. As in the past, these settlements have had predictable impacts on the environment as the surrounding forests are exploited for domestic building materials, fencing, browse, fuel, tannin, gum, cordage, medicinal substances, and other products to satisfy local needs. These networks also provide new economic opportunities, as local products can be more easily transported to distant markets. Hence, the human impact on the surrounding land is increased as local populations respond to these opportunities.
+The major rivers of the Sahel have long been important arteries of transportation and commerce. The environmental impact of this movement increased substantially with the introduction of wood-burning steamships. On the Niger, the era of the steamship was initiated with the arrival of the Quorrah and the Alburkah from England in 1832. By 1871, steamers from five companies regularly plied the river, and the Niger's banks were dotted with small trading posts and agricultural ventures (Gramont 1976). In addition to the deforestation along the banks of rivers resulting from the considerable fuel requirements of the steamers, further losses were incurred through the construction of buildings.
+Writing early in the twentieth century, de Gironcourt noted the near-disappearance of doum palms (Hyphaene thebaica) along the banks of the Niger's northern bend; their trunks served as structural beams in administrative offices and other buildings. More recently, the riverine forests of the Sahel have been extensively exploited for fuelwood and charcoal production (Figure 12) (National Academy of Sciences 1979). These products are easily transported by boat to urban markets such as Saint-Louis on the Senegal and Niamey on the Niger.
+The significance of the loss of riverine forests has not been fully appreciated in the Sahel. Field observations along the Senegal River made in 1979 and 1980 by the staff of the Advisory Committee on the Sahel have indicated that rates of erosion along the river have dramatically increased as the floodplain has been stripped of its protective vegetative cover, particularly the extensive stands of Acacia nilotica, so important as a source of charcoal (Figure 13) (National Academy of Sciences 1979). The rates of erosion on the floodplains of the Senegal will almost certainly result in levels of sedimentation and salinization far beyond those currently anticipated by agencies involved in the further development of the Senegal River Basin (National Academy of Sciences 1979, 1981a; cf. Organisation pour la Mise en Valeur du Fleuve Sénégal, n.d.).
+Rail transportation in the Sahel was inaugurated with the opening of a line connecting Dakar and Saint-Louis in 1885. A link between the Senegal and Niger rivers was completed in 1904, and additional links connected Dakar with Kaolack (1911), Touba to Diourbel, and Linguére to Louga. The through-route from Dakar to Bamako and Koulikoro on the Niger was opened in 1923. Direct losses of vegetation were incurred in right-of-way clearance, bed preparation, and bridge construction, and in the considerable quantities of wood needed to fuel the steam engines employed on these lines; indirect losses occurred with agricultural expansion into the regions served by the rails. The most notable example of such agricultural expansion was the southward shift in groundnut production from the Senegal River Valley into the so-called Groundnut Basin of west-central Senegal. Senegal has become a world leader in groundout production, but this expansion has also led to a high degree of economic
+vulnerability. The groundnuts are grown largely as a monoculture in an area of highly variable rainfall, and the basin has become degraded through intensive cultivation (Church 1980, National Academy of Sciences 1980).
+Road building has also caused environmental degradation through physical disturbance, particularly in sandy soils, and through the derangement of drainage patterns. Indirect losses of vegetation have been incurred in many areas by the use of rights-of-way to trail cattle to urban markets and by agricultural expansion and the increased exploitation of forest resources in areas served by roads. The impact of rural roads on woodlands can be easily appreciated as one sees the bundles of fuelwood and bags of charcoal stacked along these roads for transport to urban markets. The annual per capita consumption of fuelwood in the Sahel is 1.15 steres, or 0.317 cords. Given the current population trends of the region and the general lack of economically viable alternative sources of fuel, it is anticipated that forest losses will continue to outdistance dramatically the modest gains made by conventional fuelwood production and reafforestation
+Urbanization
+The twentieth century has witnessed an unprecedented development of urban centers in the Sahel (Table 3). Nouakchott, the capital of Mauritania, grew from a village of 2,000 inhabitants in 1957 to a city of 134,000 in 1977. Niamey, the capital of Niger, grew from a village of 7,000 in 1945 to a city of 300,000 in 1979. Equally dramatic increases have been recorded elsewhere. Table 3 illustrates the rapid pace of urban growth in contrast to national growth in the Sahel.
+In many instances new cities have been created. Examples are mining centers such as Zouérate and Nouadhibou in Mauritania, and Arlit in Niger. A further impetus to urban growth in the Sahel has been the creation of new administrative divisions, with their accompanying governmental offices, schools, health facilities, markets, and airports.
+These centers have increased pressure directly on the resources of the surrounding countryside and, indirectly, on the more distant areas that provide food, fuel, fiber, and construction material for the urban dwellers. Delwaulle and Roederer (1973) have noted, for example, that there is little natural regeneration of vegetation within a radius of 15-20 km of Niamey, and that severe "desertification" is occurring within a radius of 40-50 km of the city.
+Much of the degradation reflects the cities' substantial needs for building materials and fuel; some degradation results from an intensification of agricultural activity on already depleted soils in order to help satisfy urban demands for sorghum and other crops. Furthermore, considerable quantities of sand and dust are mobilized through the physical disturbances associated with urban construction activities, off-road traffic converging on the cities, and cultivation in the periurban fringe. This particulate matter often poses health problems, is frequently responsible for highway accidents, and increasingly results in the interruption of air traffic (National Research Council 1981).
+TABLE 3 Population Growth in the Sahel, 1970-1980
+Urban Population
+(in thousands)
+Urban
+Growth
+National Population
+(in thousands)
+National Population
+Growth
+Cape Verde
+n.a.
+Chad
+The Gambia
+Mali
+Mauritania
+Niger
+Senegal
+Upper Volta
+SOURCE: Compiled from Kurian 1982
+<section>Environmental Rehabilitation: Discussion and Recommendations</section>
+The paleoenvironmental review and historical analysis presented in chapters 1 and 2 indicate that little climatic change has occurred in the Sahel for the last 2,500 years. The climate has been characterized as highly variable, with unevenly distributed rainfall and frequent drought. Acceptance of these characteristics is basic to the elaboration of successful environmental rehabilitation strategies in the Sahel region.
+Chapter 3 of the report discusses a broad range of human activities that has dramatically altered the character and content of Sahelian ecosystems: bush fires, settlement on easily disturbed sites, the destructive exploitation of forest products, agricultural expansion, the proliferation of cattle, extensive wildlife 10sses, the development of modern transportation networks, urbanization, and other activities. Although the impact of these activities is by no means uniform throughout the region, for planning purposes it is important to realize that no area of the Sahel has escaped modification.
+A basic understanding of the history of environmental change in the Sahel provides planners with a better grasp of the biological potential of the region and with important insights into ecosystem function and change. It is now clear that both the spatial extent of vegetative cover and biological diversity have been substantially reduced through time. Ecosystems in tropical arid and semiarid regions "renew" themselves only as long as sufficient species diversity is maintained to prevent the collapse of the system. Below a certain threshold, there is a dramatic "domino effect" to species loss within an ecosystem, leading to its collapse or radical simplification. Reduced vegetative ground cover results in increased soil erosion, reduced groundwater recharge, altered soil ecology, and a loss of those plant and animal species unable to adapt to these changing environmental conditions. It is now widely believed that reduced ground cover also results in a reduction of rainfall
+caused by biogeophysical feedback mechanisms regulated by vegetative cover, and reduced evapotranspira~ tion of soil moisture associated with significant losses of vascular plants. It is believed by some that one- to two-thirds of all rainfall in the Sahel is derived from reevaporated soil moisture within the region (F. K. Hare, personal communication).
+The restoration of biological diversity and ecosystem function is basic to environmental rehabilitation efforts and sustainable production in the Sahel. The ecosystem concept provides a scientifically acceptable framework within which rehabilitation efforts can be targeted and coordinated for maximum effect. Unless a realistic, ecologically sound framework for development activities is established, donors and Sahelian institutions alike will simply be involved in a costly and endless search for more and more basic data.
+Declining biological diversity and productivity also threaten the adaptive and evolutionary capabilities of plant and animal species, reduce the viability of Sahelian agro-silvo-pastoral systems, and characteristically lead to economic, social, and political instability. It is important that donor agencies and officials in Sahelian governments as well as rural populations more fully understand the ecological implications of livelihood and development activities in the Sahel. It is also important to determine how Sahelian populations can best be made aware of the problems imposed by degradation and be involved in efforts to combat them. Consideration must also be given to further modifications of Sahelian economic and legal systems to encourage and guide ecologically sound economic activity in both the public and private sectors.
+INSTITUTIONAL AND RESEARCH NEEDS
+It is essential that information concerning environmental problems in the Sahel, and research efforts to resolve them, be systematically gathered, evaluated, and disseminated. The Sahel Institute was established within the framework of CILSS and the Club du Sahel to perform this function. Since its establishment, however, the Institute has frequently found it difficult to efficiently perform its responsibilities.
+To improve this situation, it is recommended that:
+· Sahelian governments and donors alike acknowledge the critical importance of information gathering and dissemination and research coordination in combating environmental degradation in the Sahel. Steps should be taken to strengthen the program and capabilities of the Sahel Institute to enable it to fulfill its mandate.
+· Opportunities for staff development be provided to Sahel Institute officials. For senior staff members, this might take the form of administrative internships at similar institutions elsewhere, or the establishment of a consultative committee of senior scientists to help formulate, executive, and evaluate Institute programs. Junior staff members might benefit from working with postgraduate expatriates in peer relationships.
+· Highly focused, process-oriented research efforts, such as the work of J.C. Bille and H. Poupon of ORSTOM (Office de la Recherche Scientifique et Technique Outre-Mer) on ecology of the northern Ferlo in Senegal, be encouraged and supported.
+· A regional project analogous to UNESCO's Integrated Project in Arid Lands (IPAL) in Kenya be established in the Sahel to conduct practical, long-term multidisciplinary research into the ecological and socioeconomic problems associated with environmental degradation. The project should be institutionally affiliated with the Sahel Institute.
+Scientific exchanges and curriculum modifications should also be considered as important vehicles for stimulating awareness, focusing concern, and effectively addressing issues of environmental degradation.
+It is recommended that:
+· A program of scientific exchanges be established which would permit leading non-Sahelian scientists to visit the Sahel to stimulate and focus scientific research, and would permit visits by Sahelian scientists to dryland research centers and reclamation projects in the United States and elsewhere for study and observation.
+· More attention be given to effective ways of providing supplementary training to individuals in teaching and research positions, so that instruction and research is more directly relevant to the problems of the Sahel region.
+PROJECT IDENTIFICATION AND IMPLEMENTATION
+There is little agreement among development planners on appropriate approaches to project identification and implementation. It is therefore recommended that:
+· The definition and identification of ecological provinces be a particularly high priority in future ecological research in the Sahel, as they constitute the basic physical units for analysis and rehabilitation. (These provinces will differ somewhat from the agrophysical units and other land use categories currently in use in the Sahel.)
+· Simple, easily applied environmental energy flow models be developed and field tested in the Sahel. The use of such models would allow planners to identify breakdowns in ecosystem function and identify program activities that would help restore ecological processes. The use of such models is discussed in the National Research Council report, Environmental Degradation in Mauritania (1981).
+· Case studies be systematically assembled that would enable project managers to benefit from earlier successes in environmental rehabilitation in the Sahel and avoid the pitfalls of past failures.
+WATER RESOURCES AND SOIL CONSERVATION
+As noted above, devegetation in the Sahel has greatly reduced groundwater recharge and has increased soil erosion. Recent hydrogeological research has indicated that groundwater levels in some areas of the Sahel are now 8 meters lower than they were during the medieval period. The reestablishment of adequate vegetative cover and biological diversity in Sahelian ecosystems will depend in large measure on parallel efforts to increase groundwater recharge and conservation.
+It is recommended that:
+· The problems and opportunities related to groundwater hydrology be more thoroughly and systematically explored. In many instances, such as in the Mauritanian Adrar, groundwater exploitation coupled with inadequate natural recharge has been highly destructive. In others, such as in the Bahr al-Ghazal of Chad, it would appear that groundwater resources could be more intensively utilized. Research into groundwater hydrology in the Sahel should build on the earlier studies undertaken by P. Elouard, J. L. Schneider, and others.
+· Water conservation and groundwater recharge components be incorporated into all environmental rehabilitation projects undertaken in the Sahel. These projects might include such proven approaches as revegetation supported by water-harvesting techniques and the use of sand-filled storage dams to capture and hold runoff water that would otherwise be lost. Several approaches to water conservation and groundwater recharge are described in the National Academy of Sciences publication, More Water for Arid Lands (1974).
+· Whenever feasible, domestic and agricultural water supply requirements be satisfied with nonmotorized, low-lift devices such as the traditional shaduf. Motorized pumps should only be installed where the long-term water supply is sufficient and possible negative consequences have been well studied.
+River Basin Development and Irrigated Agriculture
+The principal river basins of the Sahel are relatively dependable sources of water supply, even during periods of drought. The traditional systems of agriculture practiced along the margins of rivers and lakes throughout the Sahel represent a highly sophisticated approach to sustainable agricultural production. Unfortunately, in many areas these systems will succumb to the regulation of river level fluctuation in modern river basin development schemes.
+Few modern, donor-assisted irrigation projects in sub-Saharan Africa have demonstrated economic potential. Although many of the projects have been preceded by seemingly exhaustive studies, the studies are characteristically deficient in historical analysis and reveal little appreciation of the complex interrelationships among soil, water, vegetation, and other constituent elements of a river basin system. For example, in the case of the Senegal River Basin development project, little apparent importance has been attached to problems encountered by colonial irrigation projects in the basin during the nineteenth century or to the economic failure of the subsequent delta irrigation scheme. Furthermore, several classes of data that bear directly on the potential economic success and environmental soundness of the project have been inadequately assessed. These would include the rates and trends of soil erosion in the Futa Jalon highlands and the Mauritanian Chemama which, if not
+arrested, will result in unanticipatedly high levels of siltation and salinization and reduce the useful life and projected benefits of the project.
+· The aggregate value of the sustainable resources that will be lost in modern river basin development schemes should be balanced against the apparently transitory benefits of the capital-intensive activities that will replace them. Long-term economic interests may be better served by building on indigenous strengths and adaptations rather than by superseding them.
+There are additional reasons to be cautious when planning or implementing river basin development projects. First, the incidence of certain diseases, such as schistosomiasis and malaria, is likely to increase. Second, during the dry season, irrigated perimeters attract a considerable variety of crop predators and therefore require constant attention and protection. Third, farmers have to learn a complex system of new crops, new ways of handling cropping, mechanization, the management of unfamiliar water delivery systems, as well as other adjustments. Fourth, such projects are apt to result in the overutilization of the land surrounding the project area, particularly by foraging livestock. Finally, irrigation projects often bring about radical social changes. Family life is disrupted, traditional social controls are often lost, and crime, delinquency, emotional disorders, despair, and other indicators of social anomie, may suddenly increase (Bodley 1975).
+In addition, the level of Western expertise in irrigated agriculture is often exaggerated. (Substantial tracts of agricultural land associated with irrigation projects in the American Southwest and southern Australia have been lost to production through mismanagement, salinization, alkalinization, and waterlogging.) Considerable caution should be used in applying Western experience in irrigated agriculture to the arid and semiarid tropics where environmental factors are even less well understood, and required managerial skills are often limited.
+MANAGEMENT,CONSERVATION, AND AUGMENTATION OF EXISTING BIOLOGICAL RESOURCES
+The relatively high extinction rates of Sahelian flora and fauna, the traditional reliance of Sahelian societies on forests for the provision of food, fuel, and other products, as well as other ecological and economic considerations, require that far more attention be focused on the management and conservation of existing plant and animal resources in the region. Not only are introduced plants and animals generally less well adapted than their native counterparts, but the substitution costs are often unacceptably high.
+Woodland and Grassland Resources
+Since 1972, approximately $160 million has been spent on forestry projects in the Sahel. Most of the projects have focused on the establishment of plantations, often for the provision of fuelwood. Despite this level of effort, there has been a steady decline in fuelwood availability. This decline has been accompanied by the loss of many species locally valued for the many products they provide. Relatively few projects have dealt with the desirability of more effective management and use of existing natural forests. While donors spend substantial sums of money on plantation projects which often fail, the rehabilitation and conservation of natural forest stands costs very little and provides multiple benefits.
+The limited success of plantation projects and social forestry activities in the Sahel is linked to the perception of their benefits to the people. Because of the terms of Sahelian public domain laws, such projects are viewed as de facto state-operated and therefore state-benefitting, activities and provide little incentive for emulation at the farm level. Farmers need practical, economic incentives to plant trees; legal uncertainties, conflicts related to traditional land tenure systems, or uncertainties about their ability to protect and maintain trees over 10-15 years will daunt the farmers' will to plant trees for future firewood needs. If, however, the trees can also produce, in a shorter period, cash benefits or forage, fruit, or other products, there will be much greater likelihood of "spontaneous" planting or replanting. Research is urgently needed to identify, through species trials, more productive multipurpose trees which can be adopted by farmers for their
+short-term economic benefit and for their general benefit, as well as that of the region, through environmental rehabilitation.
+It is recommended that:
+· Sahelian governments and regionally active donors cooperate in developing new multiple-use forest management strategies that permit both the conservation and increased utilization of forest resources. Species trials to identify economically attractive, high-yielding, drought-resistant, multipurpose trees are an essential component for which additional resources must be allocated.
+· Current efforts in the establishment of urban fuelwood plantations be continued to complement natural forest management. In addition to helping satisfy the fuel requirements of urban centers and relieving pressure on natural forests, such plantations serve as auxiliary habitat for wildlife, and, depending on location and need, can serve a variety of other conservation functions. Further attention should be devoted to species selection for urban plantations and, in some instances, to considerations of optimal land use. In some cases, for example, existing or proposed urban plantations are occupying, or will occupy, land that could be more profitably devoted to agriculture.
+· Because the rapid growth of many Sahelian cities has been accompanied by the progressive deterioration of periurban environments, Sahelian governments and donor organizations recognize that urban fringes present an array of linked resource management problems which require coordinated action at the local level to ensure sustainable development, particularly to improve fuelwood availability and water supplies. Interest in urban fringe rehabilitation efforts should be communicated to the Commission on Environmental Planning of the International Union for Conservation of Nature and Natural Resources.
+· Further research be undertaken on the impact of fire on Sahelian ecosystems and the possible use of fire as a tool in the management of Sahelian woodlands.
+· Research be undertaken in large-scale environmental rehabilitation efforts that facilitate seed dispersal and generally reinforce natural regenerative processes. For example, wadi-head plantings would result in seed being washed into and through wadi systems, thereby increasing vegetative cover along wadi courses. As attested by studies in the American Southwest, such plantings can create extensive networks of vegetation available for further dispersal into adjacent areas. Projects should also be designed to better exploit livestock and wildlife movement, seasonally dominant northeasterly winds, and other environmental forces that promote seed dispersal and revegetation. By current project standards, such measures would be highly cost effective and could be complementary to other approaches to large-scale land rehabilitation, such as aerial seeding.
+· Research be initiated to determine rates of extinction for various categories of Sahelian flora and fauna. Many often neglected species perform essential ecosystem functions; others have the potential to make important contributions to medicine, industry, agriculture, and commerce.
+· A Sudano-Sahelian botanical research center be established for the conservation and study of native and exotic dryland flora. Research in appropriate silvicultural techniques should be undertaken. The application of innovative techniques, such as the use of tissue culture to rapidly multiply endangered plant species and accelerate programs of selection, should be incorporated into the center's program of research.
+Agroforestry
+Agroforestry is a new term for the old practice of growing woody plants with agricultural crops and/or livestock on the same land. In addition to being more stable and providing a broader range of economic products, agroforestry systems contribute significantly to the rehabilitation of local environments and are generally preferred by local farmers. Such systems allow more crops to be grown on smaller parcels of land, thus offsetting problems of land and labor scarcity. They provide insurance against crop failure through the differing susceptibilities of the various crops to drought, disease, predation, and other hazards, as well as through" the microclimatic amelioration and nutrient cycling provided by the trees and shrubs in the system. Further information on this topic can be found in a companion National Research Council report, Agroforestry in the West African Sahel (1983).
+It is recommended that:
+· Sahelian governments and international donors support the further development of agroforestry systems in the Sahel.
+· Further efforts be devoted to the establishment of shelterbelts in the Sahel. In addition to the multiple benefits derived from such efforts, it is of some importance to know that shelterbelt programs have already been accepted and successfully undertaken by Sahelian populations. For further information regarding such projects, see Appendix A of this report and the National Research Council report, Environmental Degradation in Mauritania (198l).
+· Browse reserves be established on marginal lands to promote conservation and support livestock production. Such reserves could also serve as emergency sources of food for human populations: many browse species bear fruit, leaves, gum, and other edible substances; some species can serve as sources of revenue through the sale of gum, honey, and other collected products.
+· Efforts be made to more fully determine the economic value of currently underutilized native and naturalized plant species in the Sahel.
+Several plant species already established in the Sahel could make important contributions to agriculture, medicine, and industry. For example, genetic infusions from the wild relatives and local cultivars of Sahelian crops such as sorghum could be of considerable importance in international crop improvement programs. Aloe barbadensis could be commercially exploited for use in pharmaceutical and cosmetic products; the fruit of Balanites aegyptiaca is said to be lethal to the snails which are the intermediary host of schistosomiasis and to the water flea that carries dracunculiasis (guinea-worm disease); Cissus quadrangularis has promising applications in pest control; Acacia seyal and Prosopis juliflora produce gums of commercial quality; Calotropis procera and Euphorbia spp., which can be grown on marginal lands, are promising sources of liquid hydrocarbons; Spirulina platensis, which is native to Lake Chad, is an edible alga rich in protein; several species produce
+vegetable oils which can be used as diesel fuel. In the Sahel these species are virtually untapped.
+The economic value of genetic infusions for existing crops is widely underestimated. In the United States, for example, the value of regular genetic infusions to increase the productivity and adaptability of modern crops is estimated to be $700 million per year. Over-thecounter sale of drugs derived from plants and animals currently exceeds $40 billion a year worldwide (Myers and Ayensu 1983). Exploitation of these and other resources should include strategies that assure long-term use.
+Animal Resources
+The progressive loss of vegetation and wildlife in the northern Sahel has resulted in the compression of the zone and a general breakdown in ecosystem functions.
+To remedy this situation, it is recommended that:
+· Wildlife reserves be created or restored in areas of the Sahel in which significant numbers of endangered species of plants and animals exist or could be reestablished for in situ conservation. High priority should be given to the creation of a wildlife reserve in the borderlands of the Majabat al-Koubra in Mauritania, the creation of a similar reserve in the Aïr region of Niger, and the restoration of the Ouadi Rime-Ouadi Achim Faunal Reserve in Chad. These reserves should serve multiple, nondisruptive social, economic, and environmental objectives. An important function of the reserves would be the protection or reintroduction of various wildlife species that have long served as important sources of food, that have in the past attracted numerous tourists and hunters to the region, and that play critical roles in the stimulation of vegetation and seed dispersal. Determination of the habitat requirements for the species of the reserves will be of basic importance in
+establishing their boundaries.
+· Further research be undertaken to determine the comparative productivity and hardiness of various forms of livestock and their compatibility with Sahelian ecosystems. Such research might also compare the advantages and disadvantages of domesticated livestock vis-à-vis selected, wild ungulates such as the addax and oryx. For example, existing research indicates that the standing biomass for cattle in the acacia savannas of Africa is from 19.6 to 28.0 kg/ha, while that for wild ungulates is from 65.5 to 157.6 kg/ha. Furthermore, various studies indicate that rural Sahelian populations generally prefer bush meat to the meat of domesticated livestock.
+· Research be undertaken on the adaptability of the Asian water buffalo (Bubalus bubalis) to the riverine lowlands of the Sahel. Buffalo can subsist on coarse forage inadequate for the support of cattle and can feed on aquatic vegetation often unavailable to cattle. In addition to providing milk and cheese, buffalo produce beef of excellent quality and can provide traction as well. Basic information regarding the water buffalo can be found in the National Research Council report, The Water Buffalo: New Prospects for an Underutilized Animal (1981).
+Marginal Lands
+Marginal lands-those areas once productive but now so degraded that without attention and investment they will become unable to support vegetation and animal or human population-occupy an increasingly large proportion of the Sahel as the effects of environmental degradation spread. These areas present special problems for development activities where there are traditional religious or historical attachments that may run counter to contemporary economic realities. In many cases, however, these attributes may offer incentives for local participation in rehabilitation that are not present elsewhere, and may justify the use of scarce resources to revive the marginal area rather than comparatively less threatened areas.
+It is recommended that:
+· Demonstrations of sand dune stabilization and utilization be undertaken in selected areas throughout the Sahel to provide training for local populations in dune control. The demonstrations should include instructions in problems of wind-blown sand, provide field demonstrations of techniques in dune stabilization, consider the social aspects of successful dune stabilization efforts, and acquaint participants with activities necessary to support dune stabilization projects-such as the establishment and management of nurseries. Trees and shrubs with secondary and tertiary products of economic value should be included. Special attention should be devoted to the production of films, filmstrips, simple manuals, and other aids to instruction in dune stabilization.
+· Further consideration be given to the ecological significance and responsible utilization of Sahelian wetlands, such as extensive areas of the Interior Delta of the Niger River and the Lake Chad Basin. Many Sahelian wetlands are important in maintaining populations of endangered birds and animals. In some instances, as is the case with the Nile crocodile, village industries could be established which would both assure the survival of the species and permit the controlled and highly profitable exploitation of hides. The conservation and exploitation of crocodiles is the subject of a National Research Council report, Crocodiles as a Resource for the Tropics (1983).
+A considerable amount of recent research into the reclamation and utilization of saline environments undertaken in the United States, Australia, Peru, and other countries would appear to be directly relevant to the problems of the Sahel.
+· It is recommended that mechanisms be identified to assure the application of this research to the severe problems of salinization affecting the Fatik region of Senegal and other areas of the Sahel.
+BIOLOGICAL RESOURCES FOR PROJECT IMPLEMENTATION
+Microbiological Resources
+A prominent factor affecting declining biological productivity and reduced stress tolerance in trees, shrubs, and crops in the Sahel is the widespread disruption of soil ecology, which often includes the absence of effective strains of critical microorganisms such as rhizobial bacteria, mycorrhizal fungi, and Frankia. Because these organisms are of critical importance in facilitating the availability and uptake of nitrogen, phosphorus, and other essential plant nutrients, their absence directly affects the success of many agricultural and forestry projects.
+The Advisory Committee on the Sahel initiated the establishment of a regional microbiological resources center (MIRCEN) to make microbial inoculum available for use in agricultural and environmental rehabilitation projects. The center is directly affiliated with the Senegalese Agricultural Research Institute (ISRA), is associated with the international UNESCO/United Nations Environment Programme/International Cell Research Organization MIRCEN network, and is engaged in research, training, and inoculum production and distribution.
+It is recommended that:
+· Development agencies active in the Sahel acquaint themselves with the programs and services offered by the MIRCEN by writing to: Director, West African MIRCEN, ISRA/CNRA, B.P. 53, Bambey, Senegal.
+· Donors and regional organizations support the further development of the MIRCEN program. Although technical support is currently being received from ORSTOM, the Institut de Recherches Agronomiques Tropicales et des Cultures Vivrières, the U.S. Department of Agriculture, the AID-sponsored NifTAL Project at the University of Hawaii, and Agriculture Canada, direct financial support has thus far been received only from ISRA, the Foundation for Microbiology in New York, and UNESCO.
+Germplasm for Trees, Shrubs, Grasses, and Drought-Tolerant Crops
+Efforts to restore or increase the biological diversity and productivity of agricultural and environmental systems in the Sahel are dependent upon the availability of a broad range of high-quality plant germplasm.
+It is recommended that:
+· Systematic, coordinated species elimination trials be supported and expanded within the various ecological provinces of the Sahel region. Although the initial focus on such trials has largely been on trees, equal importance should be attached to shrubs, perennial grasses, and drought-tolerant crops such as amaranth and short-cycle maize. Whenever possible, these trials should be undertaken at forestry or agricultural schools and research centers. The information generated by these trials should be systematically evaluated, and the trial results should be made available to research institutions throughout the Sahel region. The Sahel Institute should be the lead organization involved in collection and disseminating trial data.
+· It is proposed that a regional germplasm bank be established for the Sahel and West Africa as a whole, including the coastal states. The bank would be responsible for the conservation and documentation of seed, as well as for supplying seed in quantities sufficient for use in major forestry and environmental rehabilitation projects. It is suggested that the bank be associated with the West African MIRCEN so that seed shipments could be accompanied by rhizobial or other inocula if appropriate.
+SOCIAL CONTEXT
+It is almost axiomatic that project success is determined by the extent to which local populations understand the project and directly benefit from their involvement in it. Hence, close cooperation with local populations in developing projects is essential. As demonstrated in the AID-sponsored study, Gourmantche Agriculture (1979), and other similar studies, traditionalist farmers and herders possess a wealth of knowledge regarding the many social, economic, and environmental variables that best assure their well-being and contribute directly to successful project implementation. In part because of commonly held views of social development and progress, developers seldom take full advantage of this knowledge.
+It is recommended that:
+· A more concerted effort be made to reconcile traditional knowledge and modern scientific insight. One mechanism for doing so would be the establishment of agroforestry, or rural resource, canters-neutral ground on which the comparative advantages of traditional and modern approaches to environmental management and food production could be examined (Figure 14). Such centers could also provide the supplementary instruction necessary for local populations to manage nurseries for seedling production or other efforts related to environmental rehabilitation and improved crop production.
+The failure of many environmental rehabilitation projects in the Sahel can be traced to indifferent or unresponsive central governments, inflexible forestry laws, weak local organizations, the decline of traditional authority, a lack of financial credit, insufficient specificity on the part of donor organizations, and poorly managed resources. Some of these problems could be avoided by more actively including regionally significant nongovernmental authorities in development planning, such as clerics associated with the Qadiriyya or Tijaniyya religious brotherhoods and the more recently formed Fadiliyya and Muridiyya orders. These individuals enjoy considerable popular authority and are apt to be highly supportive of projects that would benefit their followers.
+Few, if any, large-scale environmental rehabilitation projects can be successfully implemented in the Sahel without greater control of foraging livestock. A serious obstacle to such control has been that herders, government officials, and donors have not cooperated in developing pastoral systems that are both ecologically sound and economically viable. Such cooperation has successfully taken place in Saudi Arabia and in Syria through the revival of the ancient hema system of range reserves-a system that incorporates conservation measures, such as range reserves and controlled grazing, with the establishment of herder cooperatives. In hema systems, cooperative rangelands are allocated, often on the basis of traditional claims, and grazing is prohibited except for the herds owned by the cooperative members. As evidence of the potential contributions of these systems to environmental rehabilitation, hema cooperatives have been responsible for the revegetation of some 7 million
+hectares of rangeland in the Syrian steppes.
+· It is recommended that the applications of the hema system to Sahelian problems and conditions be thoroughly explored in a regional seminar or workshop that includes appropriate Sahelian officials, appropriate traditional leaders, officials of development organizations concerned with livestock issues, and representatives of Middle Eastern hema cooperatives.
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+Weiler, E. M., and W. E. Tyner. 1981. Social cost-benefit analysis of the Nianga irrigation pilot project, Senegal. Journal of Developing Areas 15(July):655-670.
+Williams, M. A. J., and D. A. Adamson. 1980. Late Quaternary depositional history of the Blue and White Nile rivers in central Sudan. Pp. 281-304 in The Sahara and the Nile, M. A. J. Williams and H. Faure, eds. A. A. Balkema, Rotterdam, The Netherlands.
+Williams, N. A. J., D. A. Adamson, F. M. Williams, W. H. Morton, and D. E. Parry. 1980. Jebel Marra volcano: A link between the Nile Valley, the Sahara and Central Africa. Pp. 305-337 in The Sahara and the Nile, M. A. J. Williams and H. Faure, eds. A. A. Balkema, Rotterdam, The Netherlands.
+<section>Appendixes</section>
+<section>A Shelterbelt Establishment in the Drylands of West Africa</section>
+Robert Fishwick and Fred Weber
+Shelterbelt establishment has emerged as a particularly promising component of environmental rehabilitation programs and more stable agricultural and livestock production in the Sahel. In addition to affording protection against wind and wind-blown sand and the provision of fuel, fodder, building materials, and various tertiary products such as gum and medicinals, the belts substantially increase wildlife habitat. This not only increases the availability of bush meat, but helps reestablish the role of wildlife in seed dispersal. Following are examples of shelterbelts that have been successfully established in the drylands of West Africa.
+CAMEROON
+The earliest record of the establishment of shelterbelts refers to the Diamare and Mayo-Danay districts of northern Cameroon. Between 1956 and 1960, 300-km belts of trees were planted around farms and along roadsides. The species used was Cassia siamea because it is not eaten by animals, and fencing was therefore not required. However, because of its shallow rooting system, it should be combined with other species in shelterbelts. The World Bank-assisted Rural Development Project No. 3031-CM is extending the system for another 750 km over a period of about 5 years. Additional species are being considered for inclusion in the project.
+NIGERIA
+The first shelterbelts were planted in 1963 and 1964 in the Gumel Emirate of Kano State by the Forestry Department in cooperation with the Agricultural Division. The belts consisted of 10 rows of trees spaced 3 m apart and were planted in strips 1.6 km long. These continuous fenced belts prevented people and livestock from crossing the countryside, and in 1965 the design was changed to circular groups of trees with diameters of 49 m, planted in lines in a staggered pattern. In 1969 and 1970, 3 separate sites were planted in Kazaure Emirate, Gumel Emirate, and Hadejia Emirate; the design was changed to staggered rectangular blocks, which permitted people and livestock to cross the area. By 1978, when the program ceased in northern Nigeria because of the high cost of land and protection and the lack of funds, 1,034 ha of shelterbelt plantations over 365 km had been successfully established.
+The original 1963 plantings consisted of 2 rows of Acacia nilotica on the windward side, then 6 rows of Azadirachta indica, then 2 rows of Acacia albida. The 1963 plantings in circular groups consisted of a central core of Azadirachta indica, with Acacia senegal on the windward side and Acacia albida on the leeward side. Later plantings in the more traditional design of 6 lines of trees consisted of Eucalyptus camaldulensis. Anacardium occidentale and Acacia nilotica have been planted around most governmental farm centers.
+NIGER
+Although not planted as shelterbelts, the practice of leaving 10-m wide bands of natural woodland between farmland, instituted in 1964, is an early example of the awareness of the value of protection from the wind by windbreaks. In 1975-1979, in the Majjia Valley of the Bouza District, 250 km of 2 rows of Azadirachta indica were established. More recently, Acacia nilotica, A. senegal, and A. tortilis have been planted by the American relief organization, CARE.
+SENEGAL
+Senegal has a long history of shelterbelt establishment, including plantings of Casuarina equisetifolia to protect the niayes (interdunal depressions in which vegetables are grown for the Saint-Louis and Dakar markets) of the Cayor coastlands. Anacardium occidentale (cashew) has been planted around many farm boundaries for a number of years. More recently, the German Forestry Mission has established shelterbelts of Balanites aegyptiaca and Acacia nilotica, subsp. adstringens, around Vidau Thingoly in the Fleuve. Additional shelterbelt projects are currently under way.
+COSTS AND BENEFITS
+The cost of the blocks planted and fenced in 1963 in northern Nigeria was approximately US $338/ha when daily labor was paid US $0.50 per day. Ninety percent of this was for fencing materials. The 6 lines of Eucalyptus planted in later years cost US $1,590/ha of which US $1,413 was for fencing materials.
+The 250 km of 2 rows of Azadirachta indica established by CAR£ in Niger in 1975-1979 cost US $1 million, which equals US $400/ha for trees planted at 1-km lengths of shelterbelt plants for 10 ha of land. These lines were not fenced. The locally owned livestock were kept away from the planted trees by locally employed guards.
+Because shelterbelts take between 8 and 12 percent of the farmland out of agricultural production, benefits from their protective role must be on the order of 15-20 percent increases in crop yields. Increases greatly in excess of this have been recorded in the Sahel.
+In the Majjia Valley in Niger, for example, a 1-year study of the effects of the 2 rows of Azadirachta indica showed that millet yields in the protected fields were 123 percent of the yields outside the protected areas. This takes into account the loss of production caused by the proximity of the planted trees. At distances up to five times the height of the planted trees on the leeward side, yields were 156 percent greater than in the unprotected fields.
+In the Kazaure Emirate rectangular block plantings of 1965, farmers interviewed in 1980 claimed that in the severe drought years of 1973-1974, surrounding villages without the shelterbelts experienced serious crop failures, whereas the protected fields had normal crops. An additional benefit reported by these farmers is that in normal years, only one sowing of the crops is required to the leeward of the shelterbelts. In the unprotected areas it is frequently necessary to sow seed two or three times each season because of blown surface sand burying or damaging the germinating seed.
+An economic analysis of the value of shelterbelts to northern Nigeria's agricultural production undertaken by J. C. Nautiyal of the Food and Agriculture Organization in 1979, using 1973 costs and produce prices, demonstrated that if the land on which the trees were planted did not have to be purchased, the financial benefits from a 10 percent net increase in crop yields in normal years were positive, even without the value of the fuelwood from selective felling of the shelterbelt trees. The probability of drought every 5 or 6 years reducing overall crop yields and increasing prices accordingly, makes the total relative addition to agricultural values considerably higher than those used in the above model.
+In 1980, the Forest Research Institute of Nigeria initiated an evaluation of the Eucalyptus shelterbelts established in the early 1970s. Groundnut and bean leaf production in the protected fields was double the average of the unprotected fields, but there was no significant increase in nut or bean production.
+DESIGN OF SHELTERBELTS
+The effectiveness of the shelterbelt depends on how impenetrable the wall of vegetation is.* A dense row of trees not only blocks the wind but also confines the effects of the wind close to the shelterbelt. A row of trees that provides less complete wind reduction also means that the effects of the wind are felt farther away. A vegetation density of 60 percent to 80 percent seems to work best in arid zones.
+Gaps or openings in shelterbelts should be avoided as much as possible. Wind rushes through gaps, concentrating its strength, 60 that its final effect can be very damaging (see Figure A-1).
+A shelterbelt is generally wider and more dense than a windbreak. It can provide protection for downwind areas up to 20 times its height, provided it consists of several rows of plants of different heights. As shown in Figure A-2, large trees should be chosen for the center rows (A). Fast-growing species can be mixed with slower growing trees; the choices depend on local preference. The next two rows (B) are of smaller species. If possible, these trees should be chosen for their by-products. Rows C and D are auxiliary rows. These rows are planted with lower, bushier trees, shrubs, and grasses. A well-chosen "mix" of vegetation in the shelterbelt will not only provide protection from the wind but will also yield fruit, nuts, firewood, bark, resins, and possibly grass for grazing.
+Shelterbelts can include carefully planned pathways and driveways for stock. Any opening should be at an oblique angle to allow the orderly movement of people or livestock without opening a gap for the wind. Other points to consider in the design of shelterbelts follow:
+1. The selection of species for shelterbelts should follow the general guidelines for the different rainfall zones. Good selections can be made from species protected by law. Whenever possible, use species that local residents themselves have chosen and value.
+2. The most efficient shelterbelts are those that combine low-growing bushes like Bauhinia, Combretacae, and Salvadora on the outside of the belt with rows of taller trees on the inside.
+3. Frequently a combination of planting methods is highly practical when establishing shelterbelts. In other words, a combination of nursery transplants, live fencing, cuttings, and stumps can be planted (according to the time of year best for planting in the area).
+4. An additional merit in a slightly wider belt is that it can be designed for multiple usage for selective choice of species for the middle portion, such as Tamarindus indica, Acacia senegal, or native fruit and medicinal species.
+5. Preparation and protection of the site involved are important for shelterbelts. Keeping animals away from a long narrow strip of land is very difficult and much more costly than fencing a field of similar area but more rectangular in shape.
+6. In complex situations, or where more extensive protection is desirable-for example, around towns or larger villages-it is most effective to stagger shelterbelts in a pattern of overlapping blocks as shown in Figure A - 3.
+7. Another planting pattern is to line farm fields with shelterbelts and plant trees such as Acacia albida in grids at intervals of 10 m inside the field. Further information on the beneficial integration of trees and shrubs in agricultural systems is contained in the companion NRC volume, Agroforestry in the Nest African Sahel (1983, National Academy Press, Washington, D.C., USA).
+8. The selection of shelterbelt species should take into consideration the requirements of local crop predators in order to minimize crop losses.
+<section>B The Climatology of Sub-Saharan Africa</section>
+Sharon Nicholson
+The sub-Saharan region is characterized by low, highly variable rainfall and a landscape that undergoes a marked and abrupt change between wet and dry seasons within a year. The further south one goes from the Saharan margin, the greater the rainfall and the longer the rainy season. Rainfall gradients are steep-as much as 100 mm per 100 km in West Africa-passing from 100 mm in the northern region of the Sahelo-Saharan zone to over 1,600 mm in the Guinean zone. The duration of the rainy season also varies greatly, ranging from 1 month in the desert margin to more than 8 months in the Guinean coastal zone. Hence, the transition from desert to the humid tropics is abrupt.
+In the semiarid sub-Saharan zones, rainfall is usually limited to the summer months (i.e., from May to October); aridity prevails during the cooler season and is most pronounced from December to February. An understanding of both the seasonality and the rapid transition from subtropical aridity to the humid tropics requires a look at the winds and general atmospheric circulation systems that affect the region, especially the subtropical high pressure zone and the inter-tropical convergence zone (ITCZ). The former is associated with aridity, the latter with rainfall; together these features form part of a mayor feature of the atmosphere's tropical circulation, a cell of vertical air motion called the Hadley circulation. This cell (Figure B-1) consists of rising air near the equator (near the ITCZ) and sinking motion in subtropical latitudes (the subtropical highs are at about 30° latitude).
+The inter-tropical convergence zone (Figures B-2 and B-3), which globally represents the convergence of the northeasterly and southeasterly trade winds, marks over East Africa the transition between the dry northeasterly harmattan winds blowing over the Sahara and the moist southwesterly monsoon flow originating farther south over the tropical Atlantic. This convergence, accompanied by heavy cloudiness and generally intense rainfall, moves northward during the northern-hemisphere summer, bringing a short season of rainfall to the equatorward margins of the earth's low-latitude deserts. The length of the rainy season at a given latitude reflects the number of months in which the ITCZ dominates the local climatology; hence, the season progressively lengthens with southward distance from the Sahara. Later in the year it shifts to the southern hemisphere; a high pressure cell (Figure B-2) and the sinking motion associated with the poleward branch of the Hadley circulation
+prevail in the Sahara and along its Sahelian margins, ushering in the dry season.
+Although the alternation of wet and dry seasons in the Sahel seems straightforward, an attempt to understand thoroughly the region's climate-and especially its climatic fluctuations-requires a departure from this simplistic scenario. The ITCZ represents a climatological mean; the zone is discontinuous in time and space, and it is composed of individual weather disturbances that move eastward across the continent at intervals of about 3-5 days. The most basic disturbance is a "cloud cluster", a super-cell covering hundreds of kilometers and including a number of smaller cells of intense rainfall. A second type of storm is the squall or squall cluster. These are rapidly moving cloud clusters that move westward at variable speeds; while cloud clusters average about 10 km/hr, squalls propagate at speeds up to five times that average. The origin of these systems underscores their large-scale nature. Most are associated with easterly waves and slight disturbances in the
+atmospheric pressure field. These waves appear to originate over eastern Africa and propagate westward as far as the Atlantic or the Caribbean, where they may spawn hurricanes. Climatic fluctuations may be associated with any factor that increases the size, intensity, or frequency of these disturbances.
+Just as the movement of the ITCZ is not the only factor in sub-Saharan rainfall, its absence from the region and replacement by a high pressure regime most of the year is not the only cause of aridity. Other suggested factors governing the general aridity in the Saharan region include the nature of the balance of radiation in the region and the tropical easterly jet stream situated at 12 km above the surface. Thus, these elements may also be important factors governing climatic fluctuations in the Sahel.
+CHARACTERISTICS OF THE RAINFALL REGIME
+The potential for development in the semiarid sub-Saharan margins is limited not only by the small amount of rainfall but also by less commonly considered characteristics of the area's rainfall. These characteristics include extreme variability in time and space; the tendency for the number of below-normal years to exceed the number of wet ones; the occurrence of rainfall in the warm season, when evaporation is greatest; and the persistence of abnormal rainfall conditions such as drought or wet episodes over a multi-year period.
+The maximum and minimum annual totals recorded at various sub-Saharan stations illustrate the extreme interannual variability of rainfall. The highest and lowest recorded annual totals are 219 mm and 7 mm at Akjoujt, Mauritania, in the Sahelo-Saharan zone; 691/141 at Saint-Louis, Senegal, in the Sahel proper; 960/120 at Dakar in the coastal Sudanian zone; and 1,844/750 at Bougouni, Mali, in the Sudano-Guinean zone. The coefficient of variation (CV) roughly defines the percent variation around the mean that is expected two-thirds of the time. It is 15-20 percent in the Sudano-Guinean zone, 20-30 percent in the Sudan, 30-50 percent in the Sahel proper, and as much as 100 percent in the Sahelo-Saharan desert fringe. Thus, the more arid the region, the greater the variability of rainfall; hence, the lower the "reliability" of the rains.
+A related characteristic is variability in space-how well rainfall at any given point correlates with that in nearby areas. High spatial variability is a well-known characteristic of semiarid and arid regions (Sharon 1972, 1974, 1979; Jackson 1977). In Tanzania, for example, in regions with rainfall on the order of 1,000 mm per year, annual rainfall totals at stations only several kilometers apart may be uncorrelated; differences between nearby stations may be several hundred millimeters. These differences are not caused by local effects (e.g., topography) because the long-term averages at the station are the same, rather, this variability in space relates to the randomness of the convective rains that prevail in these areas. This characteristic becomes more extreme as shorter time scales (e.g., 1 month or individual storms) and more arid regions are considered. For the Sahel this means that in any given "normal" year-one in which the region as a whole is neither excessively
+dry nor wet-as many as 40 or even 50 percent of the individual stations experience below-average rainfall (Figure B-4).
+The reason for this is clear when one considers the nature of the rainfall. Most rain is associated with large-scale weather systems (e.g., cloud clusters), but heavy rain is confined to smaller cells that make up a fairly small area of the total system Thus, any individual storm leaves many areas dry. In the Sahel, where a few storms produce most of the rainfall, being randomly "hit" or "missed" by a major rainfall can markedly affect the rainfall totals at a given place.
+The extreme variability of Sahelian rainfall clearly indicates that the concept of "mean" or "average" rainfall has little value for dry lands. This point is underscored by the typical frequencies at which various annual rainfall totals occur at a given location. In subhumid regions, subnormal years clearly dominate the distribution, and a few years of unusually high rainfall inflate the mean. The more arid the region and the shorter the time period considered, the more this distribution is skewed toward above-normal years. At Gao, Mali (mean annual rainfall is 244 mm), for example, August rainfall is below the mean in 23 of 35 years between 1941 and 1975; in only 4 years is rainfall within 10 percent of the August mean, while 19 of the 35 annual totals fall below the annual mean (Katz and Glantz 1977). In all cases, the mean exceeds both median and mode. At Niamey, in the wetter Sudanian zone (mean annual rainfall is 586 mm), 19 August totals and 18 annual totals fall below
+the 35-year mean. Mean rainfall clearly is not a good indicator of the environmental conditions to which livelihoods, life-styles, and agriculture must adapt.
+Because most rainfall in the sub-Saharan region occurs during the warm months, and because of the region's subtropical location, much moisture is lost through evaporation. Indeed, in most of the region the net radiation received during the year is 2-20 times the amount required to evaporate the meager precipitation. Because of the showery nature of most Sahelian rainfall-intense rains of short duration with clear skies shortly thereafter-runoff and subsequent evaporation are high. Thus, compared to persistent drizzly precipitation or cold season rains that frequently occur in the middle latitudes, a relatively small proportion of these subtropical rains penetrates into the ground and becomes effective for plant growth.
+High variability is an inherent characteristic of rainfall in dry regions. The critical factor, however, is not variability alone but in combination with the tendency for abnormal years to occur in succession. In most regions the inhabitants can readily withstand 1 or even 2 bad years. In the sub-Saharan regions, rainfall anomalies can persist for 8, 10, or even 15 years. This means, of course, a devastating drought if rainfall deficits persist. On the other hand, persistent years of above average rainfall can create a false sense of the true climatic conditions. In a wet decade in the Sahel, the pastoralists may advance northward into the delicate desert fringes, while agriculture is pushed northward beyond the true agronomic dry boundary. This, in fact, appears to have contributed to the disaster accompanying the recent drought that followed a decade (the 1950s) of extremely abundant rainfall.
+UNDERSTANDING THE CAUSES OF SAHELIAN RAINFALL FLUCTUATIONS AS A MEANS OF FORECASTING
+Various scientists (Bryson 1973; Lamb 1978a,b; Newell and Kidson 1979; Nicholson 1981b) have speculated about many possible causes of rainfall fluctuations in the Sahel, and numerous forecast schemes have been based on certain hypothesized factors (Bryson 1973, Winstanley 1973b,Greenhut 1981). The suggested variables influencing Sahelian rainfall include the position of the inter-tropical convergence zone, sea-surface temperatures, moisture influx into the atmosphere above the Sahel, the strength and position of wind patterns and jet streams, and the strength of the tropical Hadley. These hypotheses will not be discussed fully here, but they are thoroughly described elsewhere (Nicholson 1982). Instead, remarks will concentrate on three relevant questions: (1) the assumed validity of the hypothesis relating variations in Sahel rainfall to a displacement of the ITCZ; (2) forecasting climate or rainfall fluctuations in the Sahel; and (3) the possibility that "biogeophysical
+feedback" influences the region-that is, that drought reinforces drought through the changes it produces in the land surface.
+The most commonly suggested cause of the 1968-1973 drought is a southward displacement of major circulation features, especially the subtropical high and ITCZ (Bryson 1973; Winstanley 1973a,b; Greenhut 1977, 1981; Kraus 1977; Lamb 1978a,b). This is generally seen as a response to the expansion of the westerly wind belt (circumpolar vortex), which in turn forces the subtropical and tropical zones into lower latitudes. Thus, in the Sahel the aridifying influence of the subtropical high increases while the dominance of the ITCZ and related rains diminishes. Unfortunately, the role of the ITCZ has generally been assumed, and none of the above studies actually presents evidence that an anomalous displacement of this zone was, in fact, a significant factor in the recent Sahel drought.
+There are, however, numerous studies that present evidence that this hypothesis is incorrect (Miles and Fowlard 1974; Tanaka et al. 1975; Krueger and Winston 1975; Bunting et al. 1976; Newell and Kidson 1979; Nicholson 1980a, 1981b; Stoeckenius 1981). The most relevant arguments follow. First, a southward displacement would require a decrease in the length of the rainy season at given latitudes during drought years and a southward displacement of the zone of maximum rainfall. The former occurs only in the region between 18°N and 20°N, a small part of the drought-stricken area of West Africa (Table B-1). Second, there is no consistent and significant difference in the latitude of maximum rainfall over West Africa during dry and wet years; in dry years it is further north than in numerous wet years. Finally, a mere displacement of the ITCZ could not explain the major configurations of rainfall patterns during drought years: the coupling of dry conditions both north and south
+of the Sahara and the tendency for rainfall to decrease synchronously over the entire continent. These characteristics are evident from (1) the four major geographical patterns of rainfall anomalies in West Africa (Figure B-5); (2) the rainfall departures occurring during the same years over the Sahel and southern Africa (Figure B-6); and (3) the marked similarity beween time series of rainfall departures in the Sahel and the Kalahari in the southern hemisphere (Figures B-7). The contradiction of this hypothesis is a critically important point because much nontechnical literature has simply accepted the ITCZ hypothesis as fact, and predictions have also been popularly based on this idea.
+TABLE B-1 Comparison of the Length of the Rainy Season and the Number of Months with Heavy Rainfall in Wet, Normal, and Dry Years
+Number of Latitude (ºN)
+Number of Months with 25 mm or More
+Months with 100 mm or More
+Wet years
+Mean or "normal" years
+Dry years
+SOURCE:Nicholson 1982.
+Numerous forecast models (Bryson 1973; Winstanley 1973a,b; Ilesanmi 1971; Kraus 1977; Greenhut 1981; Faure and Gac 1981; Adedokun 1978) have been developed in an attempt to predict Sahelian rainfall. The results of these models, however, are highly speculative, and some derive from very tenuous, unproven relationships. This is especially true, as noted above, of models based on the ITCZ scenario. In other models, problems arise from faulty applications of statistical techniques. At present, no acceptable forecast scheme is available, and one must view skeptically any rainfall forecasts beyond one season.
+To improve forecasts, models must be developed that rely on physical rather than statistical associations. A word of caution is in order on the current common use of the latter (e.g., Faure and Gac 1981). Most statistical approaches rely on the use of trends or cycles. Although these methods are useful in describing the past, they are of questionable value in predicting the future. Trends, in particular, cannot be extrapolated forward in time, as climatic fluctuations occur abruptly. The use of cycles (the so-called spectral methods) should also be avoided in forecasting. Furthermore, the detection of trends and cycles and their interpretation require a thorough and sophisticated knowledge of statistics. The common nontechnical approaches, such as those used by Faure and Gac-wherein a time series is "smoothed" by averaging and cycles are more or less detected visually-have little predictive value.
+There are numerous reasons why "cycles" lack predictive value. First, as with trends, particular cycles may be present in a time series for some time, then abruptly disappear. Furthermore, exact periodicities are rare: a cycle of about 15 years may mean droughts at intervals of 12-18 years, hardly a basis for predicting a given event. In most cases, especially with fairly long cycles, the time series in which they are detected is so short that a cycle can repeat itself only a few times within the series. This can easily happen by chance or as a result of random events, and the presence of a particular cycle in a longer series cannot be inferred. Consider, as an example, the suggestion of a 30-year periodicity in Sahelian droughts. If this is based on rainfall data for the period 1900 to present, the "cycle" has occurred just twice-a result that can easily be achieved by purely random variations.
+A final objection to using cycles to predict climate relates to a frequent misunderstanding about what they represent. Even if a particular cycle appears to be a real characteristic of some climatic series, it might explain only a small part of the variation of that series. All too often those who use this method fail to realize the difference between statistical significance (nonrandom, perhaps indicative of physical cause) and forecast value. Katz (1978) points this out about the statistically significant persistence in Sahelian rainfall. Consider the case in which spectral methods detect a 5-year cycle in rainfall. If a rigid significance test indicates that this tendency for fluctuations to repeat themselves every 5 years cannot be produced by chance alone, the researcher concludes that the rainfall series contains a real cycle of about 5 years. The problem comes if someone less familiar with the method concludes that a drought will occur every 5 years. The cycle can be
+shown to be significant (i.e., likely representing a real characteristic and not a series of random events) even when it accounts for only 10-15 percent of the rainfall variability. This accuracy, however, is generally insufficient for distinguishing between normal and subnormal years.
+Models based on long-term mean climatologies or statistical correlations are misleading. For example, the association found by Ilesanmi (1971) between the subtropical high and Nigerian rainfall, which has been used in forecast schemes, is based on the seasonal patterns of both. The fact that they have a similar seasonal cycle does not mean that an abnormal position of the high for a given period is coupled with a similar anomaly in rainfall. It is equally unwise to use a pure statistical correlation-a proven similarity between two variables that implies neither cause and effect nor a physical relationship-to forecast one variable from another. Because of its simplicity this method is often and inappropriately applied to climatic forecasts. As commonly used (e.g., Winstanley 1973a,b), it is akin to using a farmer's almanac to predict weather.
+Better approaches to forecasting Sahelian climatic or weather fluctuations include the teleconnections concept and physical models that relate rainfall to other atmospheric parameters, based on the equations of the dynamics of the atmosphere. The topic of teleconnections-or long-distance linkages-is at the forefront of current climatological research. We are seeing global climate anomalies that can be traced back to one or two basic physical phenomena. One example is the well-known El Niño (warmer ocean temperatures in certain areas coupled with increased rainfall in drier areas of the Pacific and surrounding coasts). It is now seen as part of a global pressure oscillation called the ''Southern Oscillation," a phenomenon linked to climatic anomalies throughout the equatorial regions and extending into the higher latitudes of both hemispheres. By attempting to put the Sahel into such a global climatic context, we may have some hope of long-range forecasting if sequential
+relationships can be established. Furthermore, studies based on climatic dynamics rather than statistics have already produced good results for shorter time scales (Krishnamurti el al. 1980) and will probably lead to better seasonal forecasting as well.
+Biogeophysical Feedback
+Jule Charney (1975) initially proposed the hypotheses of modification of Sahelian rainfall through processes termed "biogeophysical feedback"-the concept that drought is reinforced either through changes it evokes in the Sahelian land surface or through similar changes produced by human impact on the ecosystem. According to Charney, removal of vegetation increases surface albedo, which affects the atmospheric energy budget in such a way as to intensify the sinking motion which promotes aridity in the Sahel and Sahara.
+Numerous scientists have picked up this theme and have proposed other ways through which such feedback could arise. Otterman (1974) suggests that a reduction of surface temperature takes place when soils with high albedo are bared through devegetation. Walker and Rowntree (1977) propose that the reduced amount of surface moisture during drought years acts to reinforce the conditions producing the drought. Schnell (1975) hypothesizes that a similar feedback effect occurs through the reduction of freezing nuclei when vegetation-a source of such nuclei-is destroyed. MacLeod (1976) suggests that dust over the Sahel can also have an aridifying influence on the region.
+While the scientific community has been slow to accept the concept of biogeophysical feedback, in recent years numerical models have rapidly enhanced support for this hypothesis. What evidence do we actually have? First, most of the proposed mechanisms are physically sound. Furthermore, mathematical models have tested several hypotheses, and, despite different assumptions and varied surveyed mechanisms, the models universally conclude that changes in the Sahelian land surface can act to diminish rainfall. Finally, the known sensitivity of the tropical atmosphere to surface parameters renders these ideas quite plausible.
+So far, there is no direct and conclusive observational evidence that such feedback operates in the Sahel, but some of the characteristics of the region's climate hint at this, including the extreme persistence observed in the Sahelian rainfall series (on the order of one or two decades (Table B-2)); the lack of such persistence in the Kalahari, its southern hemisphere analog; and the continued intensification and spread of the drought between 1968 and 1973. These observations provide some support for the idea that a positive feedback mechanism acts to prolong and intensify droughts south of the Sahara. Indeed, such feedback may be the only way of explaining the decadal persistence that characterizes Sahelian rainfall. In view of this, it is important to keep one point in mind: any of the changes in the Sahel that have been suggested as potential feedback mechansims (surface albedo, surface temperatures, reduced production of freezing nuclei, reduced surface moisture, dust)
+can also result from human activity alone or can intensify when overuse is coupled with extreme meteorological drought.
+TABLE B-2 Frequencies of Runs of Years with Rainfall Above/Below the Median ( Wet/Dry) in the Three Sahalian Zones (1901-1980) and the Kalahari of Southern Africa (1901-1973)
+Lenght of Run (Years)
+Persistance
+Ratio
+Sahelo-Sahara*
+Sahel
+Sudan
+Northern Kalahari
+Southern Kalahari
+Random expectation
+N = 75 years
+N = 80 years
+*1906 to 1980
+THE NATURE OF RECENT SUB-SAHARAN RAINPALL FLUCTUATIONS
+A number of characteristics of African, and especially Sahelian, rainfall fluctuations become apparent from simple diagnostic analyses (Nicholson 1980a, 1981b), some of which have already been described. These analyses include time series of annual rainfall totals, spatial patterns of abnormal rainfall in extremely wet and extremely dry years, and the seasonality and intensity of rainfall in such years. The major conclusions are also supported by the historical data for the region (Table B-3).
+· The recent Sahel drought is not unique; drought of this magnitude and extent is a recurrent feature of the region's climatology. The above is evident from analyses of both modern and historical records, as described in earlier sections. Drought occurred in the 1940s, though less severe and of shorter duration, and the 1910s were very similar to the period 1968-1973. Other episodes occurred in the mid-eighteenth century and early in the nineteenth century.
+· An unusual feature of rainfall fluctuations in the region is their extreme persistence on the order of one or two decades.In most humid areas, dry and wet years are generally randomly interspersed. In semiarid regions, however, abnormal years tend to cluster together, so that dry (or wet) conditions endure over a multi-year period. In the Sahel this characteristic is extreme: wet or dry conditions may persist for one or two decades (Table B-2). As an example, the period 1960-1980 has been rather consistently dry, and extreme drought characterized at least half of the period. Similar episodes are evident also in the historical record of the region.
+· The rainfall fluctuations occurring in the sub-Saharan lands are extreme in magnitude. Persistent periods with rainfall 30-50 percent above or below the mean are common in the more arid regions. In some areas, rainfall during the 1950s was about twice as great as during the period 1968-1973.
+· Sahelian rainfall fluctuations are associated with preferred geographical patterns of rainfall variability; four basic patterns describe much of the variability of Sahelian rainfall (Figure B-5). Years that are abnormally wet or abnormally dry in the Sahel generally fall into one of the following four patterns of rainfall over West Afrlca (Nicholson 1980a, 1981b):
+- Uniform drought in nearly all areas north of the equator
+- Above average rainfall throughout most of that area
+- Above average rainfall throughout the Saharan and sub-Saharan regions but abnormally dry conditions in the equatorial region below 10°N
+- Drought throughout the Saharan and sub-Saharan regions but above average rainfall in the equatorial region below 10°N.
+TABLE B-3 Characteristics of Rainfall Fluctuations in the Sahel and Elsewhere in Northern Africa
+TEMPORAL FLUCTUATIONS
+Droughts 1910s, 1940s, 1968-1973, 1976-1980
+Wet 1950s
+"Dry" 1960ff
+PERSISTENCE
+Abnormal conditions frequently persist 10-15 years or longer.
+EXTREME MAGNITUDE OF VARIABILITY
+Persistent periods with rainfall 30-50 percent above or below the regional mean are common.
+LARGE-SCALE PATTERNS OF ANNUAL RAINFALL DEPARTURES
+Most years can be represented by a small number of geographical patterns of above or below average rainfall,
+These patterns indicate that conditions of abnormal rainfall are nearly continental in extent.
+EXPANSION AND CONTRACTION OF ARID ZONE
+This is a common characteristic of rainfall variability which is seen on modern paleohistorical time scales.
+It indicates climatic interaction between tropical and extra-tropical areas,
+LENGTH AND INTENSITY OF THE RAINY SEASON
+The rainy season appears to be both longer and more intense during wet years; in dry years it is not shorter than normal but merely weaker.
+SOURCE: Revised, from Nicholson 1982.
+Departures tend to be uniformly negative or positive throughout the Sahel, Sudan, and Sahara and are generally of the same size both north and south of the desert. A less commonly occurring pattern includes drought in the eastern or western Sudano-Sahelian zone, but not throughout the zone.
+· These patterns tend to be continental in extent; abnormal conditions in the Sahel tend to be coupled with abnormal conditions in the analogous semiarid regions of southern Africa. This characteristic is confirmed by numerous analyses and is illustrated by Figures B-6 and B-7, showing rainfall departures in southern Africa corresponding to anomalous years in the Sahel and rainfall fluctuations in the northern and southern Kalahari during the present century. The continental extent of rainfall anomalies is strongly apparent in the years 1950 and 1970
+(Figure B-8).
+· There is a pronounced tendency for rainfall fluctuations to manifest themselves as expansions and contractions of the Sahara, rather than a north-south displacement of the desert. This is true of the four major patterns of rainfall fluctuations (Figure B-5); in each case, rainfall departures of the same sign affect the northern and southern fringes of the Sahara simultaneously. This characteristic is evident also when monthly rainfall totals over West Africa are plotted as a function of latitude, the size of the "rainless" areas changes considerably in time, expanding during the years of Sahelian drought.
+· In the semiarid, sub-Saharan regions, the length of the rainy season during drought years does not significantly differ from its normal duration except in the most northern extreme of the Sahel; instead it tends to be less intense than usual. During wetter years, the season tends to be both longer and more intense. This becomes evident by analyzing at various latitudes the number of months with rainfall in excess of 25 mm and the number of months in excess of 100 mm. These values are respectively used to define the duration and intensity of the rainy season. At 15°N, 0°W (approximately the position of Timbuktu), for example, the "normal" season is 5 months, with 2 of those months having more than 100 mm of rain (Table B-1). During the 6 drought years surveyed, the season is also 5 months, but rainfall exceeds 100 mm in only 1 month. During the 9 wet years surveyed, the season is 6 or 7 months, 3 of which exceed 100 mm. The only area in which the season appears to be
+shorter during drought years is the narrow Sahelo-Saharan zone between approximately 18°N and 20°N, a small part of the drought-stricken area.
+SUMMARY
+In dealing with the Sahelian environment, climate must be treated as a variable, not a constant. Climatic fluctuations in the region are abrupt and extreme; rainfall in one decade may be nearly double that of the next. Both wet and dry episodes may persist on time scales of one to several decades, creating a false sense of "normal" conditions. Drought is an inherent characteristic of the Sahelian environment that recurs at inconstant intervals. While human impact can degrade the landscape, the most severe consequences-such as intense desertification-occur when human misuse is coupled with climatic variations. The search for simplistic solutions must stop, and the complexities of the region's climate must be realized. Sahelian rainfall cannot as yet be predicted on an annual or seasonal basis; long-range forecasts of drought or even drying trends cannot be substantiated.
+From a climatic viewpoint, the best approach to development in the Sahel is one in which life-styles and support systems adapt to-and, when possible, make use of-the nature of the region's climate and fragile environment. The possibility that human activities in the Sahel can affect its climate cannot be ruled out. On the contrary, there is much evidence that the landscape changes produced by a period of drought can "feed back" on the system and reinforce the drought. These changes include the vegetation cover, the reflectivity of the ground surface (due to removal of vegetation and changes of soil quality), and the storage of soil moisture. These changes can occur through human activity even in the absence of drought; but when agriculture and pastoralism are extended into marginal areas during wet years, the environment sustains greater damage when drought recurs. Conservative land use strategies, protection of the vegetation, and soil conservation minimize the risk and
+reduce the potential impact that human use of the system might have on climate through feedback processes. If, however, environmental degradation is of a magnitude large enough to actually have an impact on climate, the effect is likely to prolong and intensify major droughts. We are still striving to gain a complete understanding of Sahelian climate.
+Conclusive knowledge of the possible impact of mankind and environment on the region's climate requires continuous monitoring of the system.
+REFERENCES
+Adedokun, J. A. 1978. West African precipitation and dominant atmospheric mechanisms. Arch. Met. Geoph. Biokl., Ser. A., 27:289-310.
+Bryson, R. A. 1973. Drought in Sahelia: Who or what is to blame? Ecologist 3(10):366-371.
+Bunting, A. H., et al. 1976. Rainfall trends in the West African Sahel. Quart. J. Roy. Meteor. Soc. 102:59-64.
+Charney, J. G. 1975. Dynamics of deserts and drought in the Sahel. Quart. J. Roy. Meteor. Soc. 101:193-202.
+Faure, H., and J. Y. Gac. 1981. Will the Sahelian drought end in 1985? Nature 291:475-478.
+Greenhut, G. K. 1977. A new criterion for locating the subtropical high in West Africa. J. Appl. Meteor. 16:727-734.
+Greenhut, G. K. 1981. Comparison of temperature gradient model predictions with recent rainfall trends in the Sahel. Mon. Weal Rev. 109:137-147.
+Ilesanmi, 0. 0. 1971. An empirical formulation of an ITD rainfall model for the tropics: A case study in Nigeria. J. Appl. Meteor. 10:882-891.
+Jackson, I. J. 1977. Climate, Water and Agriculture in the Tropics. Longman, London, England.
+Katz, R. W. 1978. Persistence of subtropical African droughts. Mon. Weal Rev. 196:1017-1021.
+Katz, R. W., and M. H. Glantz. 1977. Rainfall statistics, droughts and desertification in the Sahel. Pp. 81-102 in Desertification: Environmental Degradation in and Around Arid Lands, M. a. Glantz, ed. Westview Press, Boulder, Colorado, USA.
+Kraus, E. G. 1977. Subtropical droughts and cross-equatorial energy transports. Mon. Weal Rev. 105:1009-1018.
+Kreuger, A., and J. S. Winston. 1975. Large-scale circulation anomalies over the tropics during 1971-72. Mon. Weal Rev. 103:465-473.
+Krishnamurti, T. N., et al. 1980. Prediction of African waves and specification of squall lines. Tellus 32:215-231.
+Lamb, P. J. 1978a. Case studies of tropical Atlantic surface circulation patterns during recent Subsaharan weather anomalies: 1967 and 1968. Non. Weal Rev. 106:482-491.
+Lamb, P. J. 1978b. Large-scale tropical Atlantic surface circulation patterns associated with Subsaharan weather anomalies. Tellus 30: 240-251.
+Macleod, N. B. 1976. Dust in the Sahel: Cause of drought? Pp. 214-231 in The Politics of Natural Disaster: The Case of the Sahel, M. B. Glantz, ed. Praeger, New York, New York, USA.
+Miles, M. K., and C. K. Follard. 1974. Changes in the latitude of the climatic zones of the Northern Hemisphere. Nature 252:616.
+Newell, R. E., and J. W. Kidson. 1979. The tropospheric circulation over Africa. Pp. 133-170 in Saharan Dust (Scope Report 14), C. Morales, ed. John Wiley & Sons, New York, New York, USA.
+Nicholson, S. E. 1980a. The nature of rainfall fluctuations in subtropical West Africa. Mon. Weal Rev. 108:473-487.
+Nicholson, S. E. 1981a. The historical climatology of Africa. Pp. 249-270 in Climate and History, P. G. Wigley, M. J. Ingram, and G. Farmer, eds. Cambridge University Press, New York, New York, USA.
+Nicholson, S. E. 1981b. Rainfall and atmospheric circulation during drought and wetter periods in West Africa. Mon. Weal Rev. 109(10): 2191-2208.
+Nicholson, S. E. 1982. The Sahel: A Climatic Perspective. Club du Sahel, Paris, France
+Otterman, J. 1974. Baring high-albedo soils by overgrazing: A hypothesized desertification mechanism. Science 186:531-533.
+Schnell, R. C. 1975. Biogenic and Inorganic Sources of Ice Nuclei for the Drought-Stricken Sahel-1974. Report to the Directors of the Rockefeller Foundation, New York, New York, USA.
+Sharon, D. 1972. The spottiness of rainfall in a desert area. J. Hydrol. 17:161-175.
+Sharon, D. 1974. The spatial pattern of convective rainfall in Sukamaland, Tanzania: A statistical analysis. Arch. Met. Geoph. Biokl., Ser. B., 22:201-218.
+Sharon, D. 1979. Correlation analysis of the Jordan Valley rainfall field. Mon. Weal Rev. 107:1042-1047.
+Stoeckenius, T. 1981. Interannual variations of tropical precipitation patterns. Mon. Weal Rev. 109:1233-1247.
+Tanaka, M., et al. 1975. Recent African rainfall patterns. Nature 255:201-203.
+Walker, J., and P. R. Rowntree. 1977. The effect of soil moisture on circulation and rainfall in a tropical model. Quart. J. Roy. Meteor. Soc. 103:29-46.
+Winstanley, D. 1973a. Recent rainfall trends in Africa, the Middle East and India. Nature 243:464-465.
+Winstanley, D.1973b. Rainfall patterns and general atmospheric circulation. Nature 245:190-194.

ccm-ldn-terms/data/indexing/training/bostid_b17mie.key

@@ -0,0 +1,17 @@
+ANIMAL RESOURCES
+LIVESTOCK
+GEOGRAPHICAL DISTRIBUTION
+SPECIES
+WILD ANIMALS
+LAND RACES
+POULTRY
+RABBITS
+RODENTS
+CERVIDAE
+ANTELOPES
+LIZARDS
+HONEY BEES
+SMALL FARMS
+ECOLOGY
+PRODUCTION POSSIBILITIES
+RESEARCH

ccm-ldn-terms/data/indexing/training/bostid_b26die.key

@@ -0,0 +1,11 @@
+BIOMASS
+ENERGY
+TECHNOLOGY TRANSFER
+RENEWABLE RESOURCES
+BIOGAS
+FUELWOOD
+CHARCOAL
+STOVES
+ALCOHOLS
+DIFFUSION OF INFORMATION
+DEVELOPING COUNTRIES

ccm-ldn-terms/data/indexing/training/bostid_b48aqe.key

@@ -0,0 +1,8 @@
+FISH CULTURE
+SCHISTOSOMIASIS
+HUMAN DISEASES
+SCHISTOSOMA HAEMATOBIUM
+HOSTS
+VECTORS
+GEOGRAPHICAL DISTRIBUTION
+AFRICA

ccm-ldn-terms/data/indexing/training/faobetf_fb18be.key

@@ -0,0 +1,9 @@
+BANANAS
+PLANT ANATOMY
+PLANT PHYSIOLOGY
+VARIETIES
+PLANT BREEDING
+PLANT PRODUCTION
+ECONOMIC SITUATION
+PLANT DISEASES
+CULTURAL METHODS

ccm-ldn-terms/data/indexing/training/faobetf_fb18be.txt

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+<title>Bananas</title>
+Published by arrangement with the
+Institut africain pour la développement économique et social
+B.P. 8008, Abidjan, Côte d'Ivoire
+FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
+Rome 1977
+FAO Economic and Social Development Series No. 3/18
+Reprinted 1984, 1992
+P-69
+ISBN 92-5-100149-9
+© French edition, Institut africain pour le développement économique et social (INADES) 1971
+© English edition, FAO 1977
+<section>Preface</section>
+The first twenty- six volumes in FAO's Better Farming Series were based on the Cours d'apprentissage agricole prepared in the Ivory Coast by the Institut africain de développement économlque et social for use by extension workers. Later volumes, beginning with No. 27, have been prepared by FAO for use in agricultural development at the farm and family level. The approach has deliberately been a general one, the intention being to constitute basic prototype outlines to be modified or expanded in each area according to local conditions of agriculture.
+Many of the booklets deal with specific crops and techniques, while others are intended to give the farmer more general information which can help him to understand why he does what he does, so that he will be able to do it better.
+Adaptations of the series, or of individual volumes in it, have been published in Amharic, Arabic, Bengali, Creole, Hindi, Igala, Indonesian, Kiswahili, Malagasy, SiSwati and Turkish, an indication of the success and usefulness of this series.
+Requests for permission to issue this manual in other languages and to adapt it according to local climatic and ecological conditions are welcomed. They should be addressed to the Director, Publications Division, Food and Agriculture Organization of the United Nations, Via delle Terme di Caracalla, 00100 Rome, Italy.
+<section>Why bananas are grown</section>
+The banana plant is grown for its fruit.
+Bananas to be eaten raw are grown in commercial plantations, chiefly for export.
+These bananas are soft, sweet, and not very mealy. Two main kinds are planted:
+- Varieties of the so- called Chinese banana, or Canary banana, such as Lacatan (chiefly in Jamaica), Poyo, Big Dwarf, Little Dwarf.
+- Varieties of the fig banana, such as Gros Michel.
+Around houses you often see another variety which produces very small bananas called "sweet figs."
+The kind of banana called plantain is grown as a food crop in forest regions. Its fruits are very large, not sweet and very mealy. They are cooked for eating.
+There are two main types of plantains:
+- French plantains, with heavy bunches containing many fruits;
+- horn plantains, with very big fruits, few in number, shaped like a horn.
+<section>Where bananas are grown</section>
+The banana needs heat, humid air, plenty of water, light.
+It dislikes wind.
+It likes soils rich in organic matter.
+It likes soils that drain quickly.
+Once picked, bananas should not be left long in the plantation.
+Banana plants are planted along roads, tracks, railway lines or lagoons so that the fruits can be quickly moved away.
+In the world as a whole, Central and South America produce most bananas nearly 20 million tons a year. Asia produces 10.2 million tons and Africa 4.2 million tons.
+In Africa, the chief producers of bananas are:
+Angola
+320 000 tons
+Madagascar
+280 000 tons
+Ivory Coast
+230 000 tons
+Central African Empire
+170000 tons
+Somalia
+140 000 tons
+Cameroon
+90 000 tons
+Guinea
+90 000 tons
+The above Figures (for 1974) are from the FAO Production yearbook 1974.
+The production of plantains is often not counted.
+<section>Description of the banana plant</section>
+The banana plant is not a tree.
+<section>Apparent trunk</section>
+It is a giant herbaceous plant with an apparent trunk that bends without breaking (see Booklet No. 2, page 10).
+<section>Underground stem and roots</section>
+The banana has an underground stem with adventitious roots (see Booklet No. 1, page 25). It is full of food for the plant.
+Alongside the main stem, it has other stems called suckers. These stems grow into banana plants.
+The banana plant produces its fruit and dies.
+Another sucker replaces it.
+<section>Leaves</section>
+The banana plant has large leaves closely rolled up one over the other. Together they look like a trunk, but they form only an apparent trunk.
+Inside it there is a bud which produces leaves.
+After 7 or 8 months, when some 30 leaves have grown, the bud produces flowers.
+<section>Flowers</section>
+The flowers of the banana plant form a large spike (see Booklet No. 3, page 6).
+It turns downward to the soil and opens. It hears male and female flowers.
+You can see:
+- the female flowers pressed closely together in the shape of hands.
+- a red bud at the end of the spike containing the male flowers; the male flowers die quickly and the bud slowly becomes smaller.
+<section>Fruit</section>
+The banana plant yields fruits. These fruits are long in shape, with yellow or green skin.
+The spike produces many bananas. The bananas on one spike are called a bunch.
+On this bunch, the bananas are clustered in several hands.
+The flesh of a banana is light in color, sweet and soft.
+In the middle of the fruit you can see little black specks; these are the seeds, but they will not germinate (see Booklet No. 1, page 8).
+For example:
+In southern Ivory Coast, Poyo bananas are planted 2 metres apart in rows that are 2 metres apart. This gives about 2 500 banana plants to the hectare.
+In Cameroon Gros Michel bananas are planted 2.85 metres apart in rows 2.85 metres apart.
+In plantations where bananas are grown with other crops, bananas may. be planted 5 metres apart in rows 5 metres apart.
+<section>Digging the planting holes</section>
+One or two months before planting, make a hole at the places where the pieces of wood were stuck in the ground.
+Make the holes 60 centimetres deep, 60 centimetres wide and 60 centimetres long.
+Put the soil from the top on one side and the soil from the bottom on the other side.
+Fill the holes with compost and manure (see Booklet No. 6. pages 5 - 7).
+Bananas dislike wind. To shelter them, plant bamboos on the edges of the plantation.
+These bamboos will also provide stakes for the bananas (see page 15).
+<section>Planting the suckers</section>
+For planting, use suckers (see page 4). Take them from banana plants that are between 3 and 6 years old. These suckers should be between 50 centimetres and 1 metre high and broad at the base. Let them dry in the shade for 3 or 4 days before planting them.
+Just before planting them, trim them at a point 50 centimetres from the base of the plant and dip them in water in which potassium permanganate is mixed.
+Plant at the end of the dry season, so that roots grow before the rainy season begins, and the suckers do not rot.
+Two months earlier, you made the planting holes. You separated the soil at the bottom from the soil at the top. You put compost in the holes.
+At planting time, take the compost out of the holes. Put the soil from the top into the bottom of the hole, place the sucker in the earth. The base of the sucker is now 10 centimetres from the surface of the ground. Put compost round the young plant. Put the bottom soil on the ground surface.
+<section>Looking after the plantation</section>
+For a fine plantation, you must:
+- keep the soil clean;
+- apply fertilizers;
+- prune the plants;
+- prevent the plants from falling;
+- look after the fruit;
+- protect the plants from diseases and insects.
+<section>Keeping the soil clean</section>
+The grass grows a lot when the banana plant is small.
+When the banana has grown up, the grass dies, because it has no light.
+There is no need to sow a cover plant.
+If the grass does not die, apply Gramoxone. Mix 0.4 litres of the product with 400 litres of water to treat one hectare. Add a spreader to the mixture to make it stick to the grass better.
+You can put down a mulch (see Booklet No.5, page 18) of dry grass and leaves at the end of the rainy season.
+This vegetation will rot, and make humus; it will help to keep the soil moist during the dry season.
+In low- lying ground there is too much water. It must be drained (see page 9).
+In other places, the bananas do not get enough water. So you must give the bananas water by irrigating them (see Booklet No. 6, pages 18- 19).
+Look for a stream where there is water all the year. Dig ditches between the rows of bananas.
+Lead the water from the stream with dams and ditches, so that the soil of the plantation is always moist.
+<section>Applying fertilizers</section>
+You added organic matter in the form of the compost that you put into the planting holes.
+The leaves and stalks cut from banana plants rot on the soil and add more organic matter.
+But the plantation still needs mineral salts (see Booklet No. 1, page 19).
+Bananas like potassium (see Booklet No. 6, page 11).
+You can give a banana plant each year the following:
+- Nitrogen (see Booklet No. 6, page 10) 750 grammes of ammonium sulphate or 300 grammes of urea.
+- Phosphorus (see Booklet No. 6, page 10) 300 grammes of dicalcium phosphate or 500 grammes of Thomas slag (Bessemer basic slag).
+- Potassium (see Booklet No. 6, page 11) 600 grammes of potassium chloride.
+Give also 500 grammes of dolomitic limestone per plant once a Year' in one application.
+The nitrogen and the potassium are given in several applications (four or five times).
+The phosphorus and the lime are applied at the end of the dry season or at the end of the rainy season. The fertilizer will not be washed away by the rain.
+If the banana plants are irrigated, fertilizer may be given during the dry season.
+Instead of applying several different fertilizers, you can use one compound fertilizer (see Booklet No. 6, page 11).
+For young plants you can give 1.5 kilogrammes of 10- 10- 20 fertilizer per plant per year, in several applications.
+For bananas in production, you can give 1.5 kilogrammes of 5- 12- 24 fertilizer per plant per year, in several applications.
+In addition, give 500 grammes of dolomitic limestone in one application per plant per year.
+<section>Pruning</section>
+Pruning banana plants is called suckering.
+There are several ways of doing this.
+We shall deal with only one way.
+The offshoot that you planted is called the parent plant.
+Four months after planting, cut away all the suckers that have sprouted except one.
+Cut the suckers off at ground level or below the surface of the ground.
+Keep the best sucker, the one that is best placed.
+The plantation is laid out in rows, so that if the suckers are in the same line, the plantation rows are unchanged.
+Four months after this first suckering, the parent plant is 8 months old and the one remaining sucker is 4 months old. Once again, cut off all the other suckers except one.
+About 10 months after planting (taking Poyo bananas as an example), the parent plant produces fruits.
+Harvest these fruits, and cut down the parent plant. The first generation sucker is now 6 months old and the second generation is 2 months old.
+You can use a machete or axe to cut out the suckers vou do not want to keep.
+<section>Supporting the plant</section>
+The fruit of banana plants is very heavy. The plant bends under the weight, and the wind may blow it down. You must prevent it from falling.
+To do this, cut thick bamboos about 3 metres long.
+Tie two bamboos together with a piece of wire 40 centimetres long.
+Put the bamboos in place, as shown in the drawing, when the flowers have appeared and turned down to the earth.
+The bamboos hold up the banana plant.
+It rests on the wire between the two bamboos.
+<section>Looking after the fruit</section>
+When the plant has flowered, the male flower bud is a long way from the lowest hand of female flowers.
+Twist the bud to break it off, and cut off the lowest hand of the bunch.
+Cover the whole bunch with plastic when the hands turn upward.
+See that there are holes in the plastic so that the bunch can breathe.
+The plastic protects the bunch from sun and rain and from sprays for leaf spot disease (see page 17).
+If you do not cover the bunch with plastic, the bananas will get black patches and will not be fit to sell.
+<section>Protection against insects and diseases</section>
+The banana is attacked by many insects and diseases.
+- Banana weevil
+This insect makes holes in the base of the banana plant and lays its eggs in these holes.
+The eggs turn into little weevils.
+They eat out the heart of the banana plant.
+You do not see the weevils, but if the fruit bunch does not develop, or if the bunch is small and badly shaped, there may be weevils.
+To find out if there are weevils in the plantation, cut pieces of the plant's apparent trunk lengthwise. Put two pieces on the ground near each plant. Look every day at these pieces. If there are weevils in the plantation, they will hide under the pieces of "trunk."
+To control the weevils, use BHC. Put 25 to 30 grammes of BHC round each plant.
+- Banana eelworm or nematode
+These are tiny worms that are found in the soil.
+They eat the roots, and once the banana has no roots, it cannot feed, and may be blown over by the wind.
+Make sure the bananas have no eelworms when they are planted.
+Before planting, dip the suckers in lukewarm water, or in water mixed with Némagon.
+If there are eelworms in the plantation, put Némagon in the soil.
+- Other pests
+There are other pests that attack bananas such as thrips, aphids, scale insects, etc. They are controlled with BHC, with the latest insecticides, or through integrated pest management.
+- Panama disease
+This disease is caused by a tiny fungus in the soil.
+It makes the leaves break.
+If you cut the banana plant, the apparent trunk is colored brownish red.
+To control the disease, plant resistant dwarf varieties such as Poyo or Lacatan. These bananas are very resistant to Panama disease. The Gros Michel variety is not resistant.
+- Leaf spot disease (see page 15)
+This disease is caused by a fungus.
+The leaves show grey spots ringed with dark yellow.
+The banana plant cannot breathe and the yield falls greatly.
+The disease appears when the temperature is high and the air is very humid.
+It is treated by spraying with mineral oil, using 12 to 20 litres per hectare.
+- Bunchy top
+This disease is carried by an aphid.
+Dark green streaks appear on the leaves.
+The leaves do not grow long and are wavy at the edges.
+Dig up the diseased banana plants.
+The aphid can be controlled with Malathion
+- "Cigar- end" rot
+The fruits go rotten. The disease begins at the tips of the bananas.
+To control this disease, cut off the last hand that does not grow and break off the male flower bud (see page 15).
+- Mosaic disease
+Small yellow patches appear on the leaves toward the midrib (see Booklet No. 2, page 14).
+You can see them easily by holding the leaf up to the sun.
+You can also see little holes in the leaf- stalk.
+To control the disease, dig up the plants and wait a long time before planting again in the same place.
+- false mosaic disease
+Light spots of varying color can be seen on the leaves.
+This is not a serious disease.
+It may be caused by lack of copper in the soil.
+- Lack of zinc
+The plant's leaves do not grow very long, and are pale, narrow and pointed.
+The disease is cured by sprinkling on the ground 50 grammes of zinc sulphate per plant.
+- Lack of magnesium
+The disease is cured by applying dolomitic limestone.
+<section>Harvesting and use of bananas</section>
+<section>Harvesting</section>
+Bananas must not ripen on the plant.
+The bunch of fruits finishes ripening tied to a rope, in the shade.
+If the bunch ripens on the plant, the bananas split and become mealy.
+Bunches can be kept longer if they are harvested unripe.
+<section>Output of a plantation</section>
+A well- cared- for plantation has a big output.
+The third harvest on any one plantation is the biggest,of all.
+From the fourth harvest, the output begins to go down.
+The yield of a plantation may vary between 30 and 50 tons per hectare.
+<section>Use of bananas</section>
+Bananas are a strength- giving food.
+The sweet banana, eaten raw when it is ripe, is as rich as other raw fruits.
+It contains a lot of vitamins.
+It should be eaten very ripe.
+Plantains, when prepared, give more energy than prepared cassava.
+They contain more protein (see Booklet No. 8, page 14) than cassava, but less mineral salts (see Booklet No. 1, page 19).
+It is better to eat plantains than cassava.
+Food crop bananas such as plantains and certain fig bananas are eaten cooked. The greener they are when harvested, the less sweet they are.
+Large quantities of plantains are eaten in all the forest regions of west Africa. Ivory Coast produces about 1 100 000 tons of plantains, Cameroon about 850 000 tons, and Gabon about 80 000 tons.
+- Cooked bananas
+To make foutou, peel plantains, cook them in water, then mash them and roll them into balls.
+Plantains are also eaten grilled over the fire, or fried in oil.
+- Dried bananas
+- Bananas can be dried, if you cannot sell them all. Peel them, then slice them into rounds and dry them in the sun. When they are dry they can be made into powder or flour.
+- Banana flour is made with plantains or with green fig bananas. It is eaten in forest regions.
+- Banana powder is sweet. It is made from ripe bananas. Mash the bananas and dry the paste in the oven. Banana powder should be stored in metal boxes and kept in a dry place.
+- Making banana beer
+The bananas must be very ripe.
+In the rainy season let them finish ripening laid on a hurdle over the fire where the cooking is done.
+During the dry season make a pit in the ground. On one side of it, dig a little ditch. Cover all the sides of the pit with green banana leaves. Pack the bunches of bananas in the pit. Cover them with banana leaves and earth. Light a fire in the ditch and let the warmth and smoke into the pit.
+Keep the fire going every day until the bananas are quite ripe. This takes about six days.
+Then take away the leaves and earth. Peel the bananas. Half- fill a hollowed- out tree trunk with banana pulp. Cover with fine grass. Knead the pulp with a little water. Press it and let the juice run out.
+Then put the juice in a vat or earthenware jar with germinated millet and a little beer.
+Cover the vat or the jar with grass to act as a filter.
+The beer can be drunk the next day through a straw or wooden tube.
+This beer will not keep for very long.
+Banana beer is made chiefly in Rwanda and Burundi with special varieties of bananas.
+- Other uses of the banana plant
+Bananas can be given to animals to eat especially to pigs.
+The skins and the male flower buds can also be used as fodder.
+Oxen like the chopped- up apparent trunk and leaves mixed with oil cake.
+If you leave the remains of the plants (such as apparent trunk, leaves, flower buds) on the ground of the plantation, they will become organic matter in the soil.
+If you take these remains away from the plantation to give to animals, you will not add organic matter to the soil. But a banana plantation needs plenty of organic matter. So if you remove the banana plant remains, you must give the plantation dried herbage, manure or compost.
+Banana leaves contain fibre. Sacks and ropes are made with this fibre.
+It is obtained chiefly from a variety of banana called abaca.
+The fibres of abaca leaves are called "Manila hemp."
+<section>Running a commercial banana plantation</section>
+This example of a commercial banana plantation comes from near Akoupé in southern Ivory Coast:
+Every day, new flowers appear on the plants.
+On the 5th and 20th of each month, the new flowers are counted. They are marked with a little button tied on with wire.
+Buttons of a different color are used each time the flowers are counted.
+In this way, the number of new flowers is known. In about 3 months these new flowers will yield a bunch of bananas for harvesting.
+The planter knows the number of bunches that will ripen and can arrange for transport by banana boat.
+A banana boat comes about twice a week. Each time a little of the harvest is sent
+It works like this: Suppose the planter has ordered transport for 40 tons of fruit during the month.
+Then he sees that the fruit will ripen before the 15th of the month. He asks for transport for 25 tons during the first 2 weeks of the month, leaving 15 tons for the rest of the month.
+All the plantation owners belong to a cooperative, COFRUCI (Compagnie fruitière de Côte d'lvoire). It organizes transport in banana boats.
+Bananas must be graded by size. In the plantation they use an instrument called a gauge to measure the thickness of bananas.
+Bananas are graded from 40 to 45 millimetres thickness There are two grading systems, one with the odd numbers {41, 43 or 45 millimetres) and the other with the even numbers (40, 42 or 44 millimetres)
+When the planter gives his orders for the shipment he can state which system he wants
+For grading, three bananas in one hand are chosen and each is measured.
+The thickness of the bananas on a bunch is related to the number of hands on the bunch.
+If the bunch has 5 to 7 hands, the size of the three bananas measured should be 40 or 41 millimetres, depending on the chosen grading system. If the bunch has 7 to 10 hands, the size of each of the three bananas measured should be 42 or 43 millimetres. If a bunch has more than 10 hands, the size of each of the three bananas should be 44 or 45 millimetres.
+The bunches ready for harvesting are known by the color of the buttons with which the bunches were marked 3 months earlier.
+The planter says what size fruit he wants picked.
+A worker goes through the plantation and counts the number of hands on each bunch with a button of the right color, measures three bananas on each of the bunches, makes sure that the bunch is ready for harvesting, and marks the bunch for cutting.
+The bunches are cut early in the morning.
+This is done one day, at most, before the boat leaves.
+Men carry the bunches out of the plantation on a pad on their backs.
+The bunches are tied to long poles supported by trestles. The string used for tying is soaked in copper sulphate.
+The bunches are weighed.
+The colored buttons are taken off the bunches.
+The buttons of one color, let us say green, are then counted.
+Three months earlier, 1 600 green buttons were fixed to the plants in the plantation.
+Now, for example, 360 green buttons are counted.
+So the planter knows that he still has 1240 bunches marked green (1600 less 360).
+These bunches marked with the green buttons will ripen in the course of the month.
+Transporting and packing bananas
+The goods lorry arrives.
+Inside, it has pads along the sides to protect the bunches.
+On the floor of the lorry there is a thick layer of dry leaves.
+Each bunch is wrapped and a cover is put over each row of bunches.
+The lorry drives to the packing station.
+There, the size of the bananas is measured again.
+All the bunches which do not measure up to the required size are thrown out
+Stained or rotten bunches are also rejected.
+The bunches are cut info hands of bananas and these hands are cleaned and washed.
+The hands of bananas are packed in cartons.
+Some countries still send out complete bunches, but this wastes a lot of space and weight.
+The cartons are then taken to the banana boat.
+<section>Suggested question paper</section>
+ANSWER THE FOLLOWING QUESTIONS
+Why are bananas grown?
+The banana is not a tree, what is it?
+How are the female flowers arranged?
+What is the name for the fruit produced by one spike of flowers?
+What is suckering?
+Why do you put bamboos up against the banana plants?
+Why do you wrap the bunch of bananas in plastic?
+What does the banana weevil do to the banana plant?
+What are the different parts of a banana plant?
+How can you tell when a banana plant has mosaic disease?
+When do you apply fertilizers to a banana plantation?
+Read carefully what follows and reply in the words you use when speaking to a friend.
+One of your friends has a banana plantation. He does not take much trouble over it. He always says that bananas look after themselves. He has heard that you have studied a course on how to grow bananas, and he comes to ask your advice, because his plantation does not produce much. What do you tell him? What do you advise him to do?

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+FRESHWATER FISHES
+FISH CULTURE
+CAGE CULTURE
+EXTENSION ACTIVITIES

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+<title>Better freshwater fish farming: raising fish in pens and cages</title>
+FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
+Rome 1990
+P-69
+ISBN 92-5-102743-9
+© FAO 1990
+<section>Preface</section>
+The first 26 titles in FAO's Better Farming Series were based on the Cours d'apprentissage agricole prepared in Cote d'Ivoire by the Institut africain de développement économique et social for use by extension workers. Later volumes, beginning with No. 27, have been prepared by FAO for use in agricultural development at the farm and family level. The approach has deliberately been a general one, the intention being to create a basic model that can be modified or expanded according to local conditions of agriculture.
+Many of the booklets deal with specific crops and techniques, while others are intended to give farmers more general information that can help them to understand why they do what they do, so that they will be able to do it better.
+Adaptations of the series, or of individual volumes in it, have been published in Amharic, Arabic, Bengali, Creole, Hindi, Igala, Indonesian, Kiswahili, Malagasy, SiSwati, Thai and Turkish. This volume has been prepared by the Inland Water Resources and Aquaculture Service, Fishery Resources and Environment Division.
+Requests for permission to issue this manual in other languages and to adapt it according to local climatic and ecological conditions are welcomed. They should be addressed to the Director, Publications Division, Food and Agriculture Organization of the United Nations, Via delle Terme di Caracalla, 00100 Rome, Italy.
+Booklets 27 to 38 in the FAO Better Farming Series were written and illustrated by Tom Laughlin, working closely with the technical divisions responsible.
+<section>Introduction</section>
+<section>Raising fish in pens and cages</section>
+1. In booklet No. 30, Better freshwater fish farming: the fish you were told that you can put your baby fish in a pen or a cage in one of your fish ponds until you are ready to use them.
+2. Pens and cages can also be used for raising fish from the time they are babies until the time they are big enough to eat or sell.
+3. If you have a stream, over lake or reservoir nearby, you may want to build a pen or a cage and raise fish there.
+4. If you already have a fish pond you may want to put in a cage or two so that you can raise more fish than you could in one pond alone.
+5. Raising fish in pens and cages is somewhat different from raising fish in ponds. Let us begin by looking at some of the differences.
+Feeding
+6. One of the biggest differences, and perhaps the most important, between raising fish in ponds and raising fish in pens and cages is feeding them.
+7. As you know, with a pond you fertilize the water. That is, you add compost, animal manure or plant materials so that there will be natural food for the fish to eat.
+8. In addition, fish in ponds must be given other kinds of food each day. This is to make them grow quickly.
+9. With well- fertilized water and enough of the other kinds of food, the fish can swim about and find food anywhere in the pond.
+10. However, with a pen or a cage built in a stream, lake or reservoir, there may be little natural food and the movement of water may carry the food that you give the fish outside the pen or cage where the fish cannot get it.
+11. So, with pens and cages you must take greater care that the fish have enough to eat, that me food Is very rich and that it does not float away before the fish can eat it.
+Place
+12. It is always a good idea to put a fish pond near where you live so that you can easily take care of it and watch that people do not try to steal the fish.
+13. You can usually find a place near your house with the right kind of soil to build a pond.
+14. If there is no water there, you can dig a water supply ditch and bring water to the pond.
+15. However, with a pen or a cage you must find a place where there is water already.
+16. So, you may have to go quite far from your house to find a stream or a lake which would be good for a pen or a cage.
+17. This may make it hard to take care of the fish and watch that people do not steal them.
+18. Remember, it is very easy to steal fish from a cage because all of the fish are in a very small space and they can be taken quickly with a net while you are not watching.
+19. To dig a pond is hard work, and the bigger the pond the longer it takes. If you dig a pond all by yourself it will take a very long time.
+20. However, to dig a pond you do not have to spend very much money.
+21. The only building materials that you need for a pond are for the inlet and outlet and for the overflow.
+22. To build a pen or a cage is less work than digging a pond. It is easier to do by yourself and it takes less time.
+23. However to build a pen or a cage may cost you more money. Pens and cages are built of bamboo or wood and closed with fish net, woven material or plastic mesh.
+24. You may have to buy some of these materials if you decide to build a pen or a cage.
+Loss of fish
+25. With a pond, if you are careful to cover the outlet and the overflow with screens there is little danger of losing fish.
+26. However, with a pen or a cage that is covered with fish net, woven material or plastic mesh you must be more careful.
+27. A pen or a cage can be easily damaged by animals in the water or rubbish such as logs or tree branches. So, there is greater danger of losing fish.
+<section>The baby fish</section>
+28. The first time you stock a pen or a cage you will need some baby fish.
+29. If you have raised fish in ponds and have built your own nursery pond you may already have baby fish.
+30. If you do not have your own baby fish perhaps you can get them from another fish farmer or from a fish culture station.
+31. After you have built either a pen or a cage you can raise baby fish in it as well. You will learn more about this later in this booklet.
+32. Now let us begin to learn how to build pens and cages and how to raise fish in them.
+<section>Pens</section>
+33. You can build a pen in the shallow water of a stream, a river, a lake or a reservoir.
+34. The water in a pen should be no more than 1.5 metres in the deepest part.
+35. You must also be sure that the water in a pen will never be less than 1 metre even during the dry season.
+36. A pen should be put in a place where the flow of water is gentle, not fast.
+37. It should be protected from wind so that the surface of the water will be calm, not rough.
+38. The water should be clean. You should not build a pen too near an inlet where the water may be muddy or full of rubbish.
+39. Choose a place in the stream or lake where the bottom is firm. It is not so easy to build a pen if the bottom is too soft and where the water may become muddy when you have to work in the pen.
+40. In addition, try to find a place where you can build a pen using very few materials, such as the corner of a reservoir or an angle in a stream.
+<section>Building a pen</section>
+41. A pen can be small or large depending on how many fish you want to raise.
+42. However, when you first begin, start by building a small pen. You will need fewer materials. It will be easier to take care of.
+43. You can begin with a pen that has about 100 square metres (10 by 10 metres). Later, when you have learned more, you can build bigger ones.
+44. A pen is closed by a fence. So, start by driving a row of posts. Posts can be made either of bamboo or wood.
+45. If you are using wood, choose wood that does not rot quickly when it is in the water.
+46. The posts should be long enough to be driven firmly into the bottom. They should also be long enough to reach at least 50 centimetres above the highest water level.
+47. Posts should be 1 to 2 metres apart depending on the material that you use to close the pen.
+48. The best material for the fence of the pen is ordinary fish net. You can also use plastic mesh, or woven material made from split bamboo or wooden strips.
+49. If you are using fish net to close your pen, the posts can be further apart. If you use woven material or plastic mesh, the posts may have to be closer together.
+50. The openings in the material that you use to fence in a pen must be small enough to keep the smaller fish from getting out.
+51. However, if the openings are too small they may become filled with dirt or with the very small plants that grow in the water.
+52. If the openings in the material become filled with dirt, fresh water will not flow through to clean out the pen and the fish may not have enough air.
+53. So, be sure to use material with openings of 1.5 by 1.5 centimetres. This is the right size to keep in the smaller fish and also to let fresh water flow through.
+54. Whatever material you use for the fence, it should be high enough to be buried in the pen bottom at least 30 centimetres deep.
+55. It should also reach to the top of the posts which, you were told in Item 46, should be at least 50 centimetres above the highest water level.
+56. This will keep your fish from getting out of the pen along the bottom or jumping out over the top.
+57. Now you will be shown how to build two kinds of pens, how to attach the fence material and how to bury the material in the bottom.
+mark the place where you will put the fence using wooden stakes or poles and a piece of heavy line
+check the bottom along the line with a long pole to see how far you will have to drive in the posts so that they will stand firmly
+measure the depth of the water every 2 metres along the line
+remember, all posts must be at least 50 centimetres above the highest water level
+so, each post must be long enough to reach 50 centimetres above the water, plus the depth of the water, plus the depth that each post must be driven into the bottom
+now you can cut all of the posts to the proper length
+drive in the posts along the line 1 to 2 metres apart, depending on the kind of fence material that you are going to use (see Items 47 to 49)
+be sure to use material that is high enough to be buried at least 30 centimetres in the pen bottom and that can also reach the top of the posts
+if you use fish net for the fence, tie the edge- line of the net to the top of the posts using strong cord
+if you use woven material for the fence, tie it to the posts with strong cord or you can use strong vines
+if you use plastic mesh for the fence, fasten it to the posts with wire
+when the fence material is well fastened to the posts, you are ready to bury the material in the pen bottom
+you can bury fence material by pushing it into the pen bottom and putting a row of stones on either side to keep it in place
+you can also bury fence material by fastening it to straight poles and pushing the poles into the pen bottom with wooden stakes to keep it in place
+note: to bury fence material you may have to work under the water
+58. When your pen is finished, cut the weeds and grass on the banks clean out most of the plants in the water and take away any rubbish that you find.
+59. Then, remove the unwanted fish, crabs or other water life in the pen. You can do this using a fine- mesh net.
+60. When you have done this, you are ready to stock your pen with baby fish.
+<section>Carrying small fish</section>
+61. Small fish can be hurt easily. So, you must be very careful when you handle them or carry them from place to place.
+62. If you collect small fish using a seine net Carry them in a container such as
+o clay pot with a cover
+o a bucket with a lid
+o a plastic bag.
+63. When you carry small fish you must be careful to
+o use only clean water
+o keep the fish out of the sun or cover the container with a well cloth 10 keep it cool.
+64. If you carry small fish in plastic bags, carry the bags in a box so that they will not break. Cover the box and the plastic bags with a wet cloth to keep them cool
+65. When you are carrying small fish, if you see that they are gasping for air pull some air into the water by
+o splashing the water gently with your hand
+o forcing air into the water with a tire pump.
+<section>Putting baby fish into your pen</section>
+66. If you are raising Tilapia nilotica you will need to put in two baby fish for each square metre of pen. So, if you have built a small pen of 100 square metres you will need 200 baby fish.
+67. The baby fish that you use should be at least 8 to 10 centimetres long or weigh about 15 to 20 grams each.
+Note If you need any help or want to raise a different fish, your extension agent or fishery officer will be able to give you good advice.
+68. Just before you put the baby fish in your pen, be sure that the water they are in is not hotter or colder than the water in the pen.
+69. You can find this out by putting one of your hands in the water with the fish and the other in the pen.
+70. If one is hotter or colder, slowly put water from the pen in the water with the fish until they are both the same.
+71. If you do not do this the fish may die when you put them into the pen.
+72. Do not pour the fish Into the pen. Gently put the container into the water, tip it a little, and let them swim out by themselves.
+<section>Feeding fish in pens</section>
+73. You have already been told that there may be very little natural food in a pen. So, you must be sure to give your fish very rich foods.
+74. Here are some rich foods that fish like to eat. You can give them
+o termites
+o grain mill sweepings
+o rice bran
+o beer wastes
+o cottonseed or groundnut cake.
+75. Prepare all of the food for one day's feeding at one time. Give the fish part of this food at two or three different times during the day.
+76. Always try to feed your fish at the same time each day.
+77. The bigger your fish grow, the more food they will need.
+For each 100 square metres of pen feed them
+o 150 to 200 grams of food every day during the first month
+o 200 to 275 grams of food every day during the second month
+o 275 to 350 grams of food every day during the third and fourth months
+o 350 to 450 grams of food every day from the fifth month until the time you are ready to harvest.
+Note
+100 grams of rice bran is about one handful. Use a small tin to measure this amount.
+78. It is not easy to know exactly how much to feed your fish. You must watch them carefully to learn how much food they need.
+79. Feed your fish in the shallow part of the pen so that you can see them eat.
+80. If you see that the fish do not eat all of their food, give them a little less.
+81. If you see that the fish eat all of their food quickly, give them a little more.
+82. If you feed your fish in the same places each day you will be able to see whether they are eating well. If you give them too much, the food that is not eaten will stay on the bottom.
+83. Too much uneaten food on the bottom of the pen will make me water bad for the fish.
+84. To make it easier to see if your fish are eating well, choose several places in your pen and always feed them there.
+86. When you feed the fish, put the food inside the square farming. That way you can easily see uneaten food collecting on the bottom and you will know that you are giving your fish too much.
+<section>Taking care of the fish and pen</section>
+The fish
+87. You must always watch you fish to see that they are healthy and swimming strongly.
+88. If the fish in your pen are not well, they will stop eating.
+89. It this happens, stop feeding your fish for a day or two.
+90. When you begin to feed them again, at first give them small amounts of food and then slowly more and more. When your fish begin to eat as before you will know that they are well again.
+91. If you find any dead fish floating in the pen, take them out right away.
+92. Then, stop feeding your fish and watch them very carefully during the next days.
+93. If no more fish die you can begin to feed them after a day or two.
+94. If fish continue to die take them out as soon as you can and ask your extension agent or fishery officer for help.
+The pen
+95. You have already been told that a pen can be easily damaged. If this happens your fish may get out.
+96. So, check the pen fence every day to be sure that there are no holes. At the same time, you should check that the fence is well buried in the pen bottom.
+97. If you find any places where your fish can get out, repair them right away.
+98. In addition, you must be sure that the openings in the fence are free of dirt and plants so that fresh water can flow into the pen.
+99. You can clean the fence of a pen using a brush or a broom. However, do it very gently so that you do not damage the fence material.
+<section>Harvesting fish in pens</section>
+100. If you have used baby fish 8 to 10 centimetres long and have fed them well, they will be ready for harvest in about six to seven months. At this time the fish will weigh 100 to 150 grams each.
+101. If you want to harvest only some of your fish you can use a seine net with a large mesh.
+102. A seine net with a mesh size of 3 to 3.5 centimetres will catch only the biggest fish and allow the medium and smaller fish to escape.
+103. To harvest with a seine net you will need several people. Start at the deep end of the pen and pull the seine net slowly toward the shallow end. The drawing below shows you how.
+104. If you want to harvest only part of your fish, you can also use a cast net or a lift net.
+105. If you use a cast net or lift net you will catch both big and small fish. Keep the fish that you want and put the others back in the pen.
+106. With a cast net or a lift net it is easier to catch the fish while they are eating and they are all together. So, feed them some food first.
+107. If you want to harvest all of the fish you can use a seine net with a fine mesh of less than 1 centimetre.
+Now if you do not need all of the fish harvest only what you need and leave the rest in the pen. Fish can be left in a pen as long as you continue to feed them.
+<section>Now you must begin again</section>
+108. After you have harvested, clean and repair your pen as quickly as you can so that you can begin again. You must
+o cut the weeds and grass on the banks
+o clear out most of the plants in the water and take away all rubbish
+o clean and repair the fence and make sure that it is still buried in the pen bottom
+o remove unwanted fish, crabs and any other water life using a fine- mesh net.
+109. If you have harvested using a large- mesh seine net there will be many baby fish left in your pen.
+110. So, to begin again you will not need to put in more baby fish. However, you will have to be careful not to let the baby fish escape when you clean and repair the pen.
+111. If you have harvested using a fine- mesh seine net you will catch all of the baby fish.
+112. You can hold the baby fish that you catch in a pen or in a cage for small fish (see Item 114 and Item 184) until you have finished cleaning and repairing the pen.
+Note
+The faster you can do all of these things, the sooner you will be able to raise another crop of fish.
+113. When you are ready, put in two baby fish 8 to 10 centimetres long for each square metre of pen. However, be sure to choose your biggest and best baby fish to put back into your pen.
+<section>Raising your own baby fish in pens</section>
+114. You can build a small pen in a corner of your big pen and raise your own baby fish there. You can also use a small pen like this to keep the baby fish that you catch when you harvest.
+115. The small pen should be about 2 by 2 metres and at least 50 centimetres deep. Build the small pen just as you built your large pen.
+116. However, the material that you use for the fence of a small pen should have smaller openings to keep in the baby fish. So, be sure to use material with openings of 0.5 by 0.5 centimetres.
+117. Material with such small openings will get dirty more quickly. You must be sure to clean it often enough so that fresh water can flow into the small pen.
+118. You can put up to 500 baby fish 1 to 2 centimetres long in a small pen this size. However, do not put in more than you need to use or sell.
+Note
+If you have more baby fish that you can use or sell you can dry them in the sun. After you have dried the baby fish, grind or pound them and mix them with crushed cottonseed, groundnut cake or rice bran to feed to your big fish, your poultry or your pigs. You can also use the baby fish to fertilize your farm garden.
+119. Feed your baby fish two or three times each day just as you do with your big fish. You can give them
+o termites
+o rice bran
+o cottonseed or groundnut cake.
+120. Feed your baby fish carefully. Break their food into very small pieces and sprinkle it little by little on the surface of the water. Watch very carefully that they eat well and stop giving them food as soon as they stop eating.
+121. With a small pen, it is important to give the baby fish only what they can eat and no more. Uneaten food on the bottom of a small pen is very bad for baby fish.
+122. In 30 to 40 days the baby fish will grow to 8 to 10 centimetres long and you can let them into the big pen. To do this open a part of the fence. However, do not take out the posts.
+123. The baby fish can then swim into the big pen through the open fence. Later, when you need to raise more baby fish or keep small fish you have caught, you can use the small pen again.
+<section>Cages</section>
+124. You can build a cage and put it in a stream, a river, a lake or a reservoir.
+125. In addition, as you have already been told, you can put a cage in a fish pond.
+Note If you have a fish pond and decide to put in some cages, you will raise many more fish. For example, a pond of 20 by 20 metres (400 square metres) will hold 800 fish. If you also put in 3 cages of 1 cubic metre each, you can raise 450 to 600 more fish. So, in this case you can raise as many as 1400 fish in the same pond.
+3 cages
+1 x 1 x 1 m
+= 450 to 600 fish
+800 + 600 = 1 400 fish in all
+126. The water should be deep enough so that when the cage is in place it will be at least 50 centimetres from the bottom.
+127. A cage should be in a place where the flow of water is gentle and not fast. In addition, it should be protected from the wind.
+128. The water should be clean You should not put a cage too near an inlet where the water may be muddy or full of rubbish.
+<section>Building a cage</section>
+129. A cage can be any shape. It can be round, square or long.
+130. A cage can be small or large depending on the number of fish that you want to raise. However, when you first begin, start by building a small cage. You will need fewer materials. It will be easier to take care of.
+131. You can begin with a cage that has about 1 cubic metre (1 metre by 1 metre by 1 metre) of space for the fish. Later, when you have learned more, you can build bigger ones.
+132. The best material to cover a cage is ordinary fish net. If you cannot get fish net you can use either plastic mesh, woven material made from split bamboo or wooden strips.
+133. The openings in the material that you use to cover a cage must be small enough to keep the smaller fish from getting out.
+134. However, if the openings are too small they may become filled with dirt or with the very small plants that grow in the water.
+135. So, be sure to use material with openings of 1.5 by 1.5 centimetres. This is the right size to keep in the smaller fish and also to let fresh water through.
+136. You can build a simple cage by driving four or more posts into the bottom under the water and hanging a fish net inside.
+137. You can also build a simple cage by putting a square float on the water and hanging a piece of fish net inside.
+138. If you want a better floating cage, you can build a frame with floats and close it with fish net, woven material or plastic mesh.
+139. You can use either bamboo or wood for the posts, floats or frame. However, if you are using wood, choose one that does not rot quickly when it is in the water.
+140. The drawings on pages 50 to 66 show you how to build these cages. You will also be shown how to close the tops of cages and how to fix cages in the water.
+A simple post cage
+you can build a simple post cage using bamboo or wooden posts and fish net
+find a place where the water is at least 1.50 metres deep even during the dry season
+drive 4 posts into the bottom to form a square 1.25 m x 1.25 m
+the posts should be about 50 cm above the water
+tie a rope around the top of the posts to hold the fish net at least 25 cm above the water
+hang a piece of fish net over the rope inside the posts and make sure that it is at least 1 m under the water at the deepest part tie the net to the rope all the way around the cage using strong cord
+you can put in the fish now (but first see Items 141 to 145)
+if you have enough fish net stretch a piece over the top of the cage and tie it to the rope using strong cord
+when you feed the fish, do not remove the cover
+however, you may have to open part of the cover from time to time to take out any dead fish
+A simple floating cage
+you can build a simple floating cage using any wood that floats well, such as bamboo or banana stalks, and covered with either fish net, woven material or plastic mesh
+tie 4 pieces of wood together using strong cord or rope to form a float 1 m square
+hang the float about 1.50 m above the ground so you can work on it easily
+cut 1 long piece of material for the sides of sides of the cage and one square piece of material for the bottom
+depending on the material that you are going to use, tie or wire the long side piece arround the outside of the cage
+then, tie or wire the square bottom piece to the lower edges of the sides in the same way
+if you have used fish net or woven material, tie a length of rope to the bottom of each corner to be used for weights when the cage is in the water
+carefully pull the cage into the water
+make sure that there are at least 50 cm of water under the cage and tie it firmly in place
+to do this, tie a piece of rope to one comer at the float and anchor the other end to a stake in the bottom
+if you have used fish net or woven material, tie a weight to the rope on each comer
+note: if the that sinks below the water, tie on more pieces of wood until it floats on the surface
+now you can put in the fish (but first see Items 141 to 145)
+after the fish are in, you can cover the cage with fish net
+if your cage is built of woven material or plastic mesh you can use this material for a cage cover
+depending on the material that you have used for the cover tie or wire it in place just as you did the sides and the bottom of the cage
+however, you may have to open part of the cover from time to time to take out any dead fish
+A better floating cage
+you can build a better floating cage by making a light frame from bamboo or straight pieces of wood cut from trees and covered with either fish net, woven material or plastic mesh
+tie 4 pieces of wood together using strong cord or rope to make one side of the frame, which should be about 1 m by 1.25 m
+make another side the same as the first
+using 4 more pieces of wood, tie the two sides together 1 m apart
+cut 1 long piece of material for the sides of the cage and 1 square piece of material for the bottom
+depending on the material that you are going to use, tie or wire the long side piece around the inside of the float
+then, turn the cage on its side and tie on the bottom piece in the same way
+for floats you can use bamboo, banana stalks, wooden blocks or, if you can get them, plastic containers, pieces of styrene plastic or used tyre inner tubes.
+carefully put the cage into the water
+make sure that there is at least 50 cm of water below the cage and tie it firmly in place
+to do this, tie a piece of rope to one corner at the float and anchor the other end to a stake in the bottom
+the cage should float so that 25 cm of it is above the water and 1 m of it is below the water
+note: if the cage does not float 25 cm above the water tie on more floats until it does
+now you can put in the fish
+(but first see Items 141 to 145)
+after the fish are in, you can cover the cage with a fish net
+if your cage is built of woven material or plastic mesh you can use this for a cage cover
+when you feed the fish do not remove the cover however, you may have to open part of the cover from time to time to take out any dead fish
+you can build an even better floating cage using pieces of squared, rough- cut wood.
+you can build this kind of cage with a door that can be locked and with a special opening for feeding the fish
+with a locked door it is more difficult for people to steal your fish however, you may need more floats for a cage with a heavy wooden door
+141. When your cage is finished and in place in the water, you are ready to stock it with baby fish.
+<section>Carrying small fish</section>
+142. You have already been told that small fish can be hurt easily. So, you must be very careful when you handle them or carry them from place to place. Items 61 to 65 in this booklet will tell you how.
+<section>Putting baby fish into your cage</section>
+143. If you are raising Tilapia nilotica you will need to put in 150 to 200 baby fish for each cubic metre of cage.
+144. The baby fish that you use should be at least 8 to 10 centimetres long or weigh about 15 to 20 grams each.
+Note If you need any help or want to raise a different fish, your extension agent or fishery officer will be able to give you good advice.
+145. Put the fish in your cage just as you were told to do in a pen. Items 68 to 72 in this booklet will tell you how.
+<section>Feeding fish in cages</section>
+146. You have already been told that there may be very little natural food in a cage. So, you must be sure to give your fish plenty of very rich food.
+147. Here are some rich foods that fish like to eat. You can give them
+o termites
+o grain mill sweepings
+o rice bran
+o beer wastes
+o cottonseed or groundnut cake.
+148. Prepare all of the food for one day's feeding at the same time and give the fish part of the food at two or three different times during the day.
+149. Always try to feed your fish at the same time each day.
+150. The bigger your fish grow the more food they will need. For each cubic foot of cage feed them
+o 150 to 200 grams of food every day during the first month
+o 200 to 350 grams of food every day during the second and third months
+o 350 to 450 grams of food every day from the fourth month until the time you are ready to harvest.
+Note 100 grams of rice bran is about one handful. Use a small tin to measure this amount.
+51. It is not easy to know exactly how much to feed your fish. You must watch them carefully to learn how much food they need.
+152. Put the food for your fish near the centre of the cage so that they can eat it before it floats away through the holes in the sides.
+153. Put in the food little by little so that you can watch the fish and see that they are eating.
+154. If you see that the fish do not eat all of their food, give them a little less.
+155. If you see that the fish eat all of their food quickly, give them a little more.
+156. Remember, that if you give your fish too much food to eat it will collect on the bottom and make the water around the cage bad.
+157. So, check the cage often. If you see too much uneaten food on the bottom, you will know that you are feeding too much. When this happens, move the cage to a clean place.
+<section>Taking care of the fish and cage</section>
+The fish
+158. You must always watch the fish to see that they are healthy and swimming strongly.
+159. If the fish in your cage are not well, they will stop eating.
+160. If this happens, stop feeding your fish for a day or two.
+161. When you begin to feed them again, at first give them small amounts of food and then slowly more and more. When your fish begin to eat as before, you will know that they are well again.
+162. If you find any dead fish floating in your cage, take them out right away.
+163. Then, stop feeding your fish and watch them carefully for the next few days.
+164. If no more fish die, you can begin to feed them after a day or two.
+165. If fish continue to die, take them out as soon as you can and ask your extension agent or fishery officer for help.
+The cage
+166. You have already been told that a cage can easily be damaged. If this happens you may lose fish.
+167. So, it is very important to check your cage every day to be sure that there are no holes where your fish can get out.
+168. If you find any places where the fish can get out, repair them right away.
+Note If your cage is in shallow water you may be able to repair any holes in it as you were shown on page 33. However, if the water is deep it may be easier to completely cover the damaged side of the cage with a new piece of material.
+169. In addition, you must be sure that the openings in the cage material are free from dirt and plants so that fresh water can flow into the cage.
+170. You can clean the material of a cage using a brush or a broom. However, do it very gently so that you do not damage the cage material.
+171. Also, do not forget to check for uneaten food on the bottom under the cage from time to time.
+172. If you have put your cage on posts in the water, make sure that the posts are firmly in place so that the cage cannot float away.
+173. If you have a floating cage, make sure that the floats and that the cage is firmly tied in place so that it cannot float away.
+<section>Harvesting fish in cages</section>
+174. If you have used baby fish 8 to 10 centimetres long or weighing about 15 to 20 grams and have fed them well, they will be ready for harvest in about five months. At this time the fish will weigh 100 to 150 grams each.
+175. If you want to harvest only some of your fish, use a small hand net and collect what you want without moving the cage.
+176. If you want to harvest all of your fish and your cage is small enough, pull it into shallow water and begin to collect the fish using a small hand net.
+177. When you have collected most of the fish, you can lift the cage out of the water and collect the rest.
+178. If your cage is too big to lift out of the water, pull it into shallow water as far as you can and collect the remaining fish.
+Note If you do not need all of your fish, harvest only what you need and leave the rest in the cage. Fish can be left in a cage as long as you continue to feed them.
+<section>Now you must begin again</section>
+179. After you have harvested, clean and repair your cage as quickly as you can so that you can begin again.
+180. If your cage is small and you took it out of the water when you harvested the fish, clean and repair it before you put it back into the water.
+181. If your cage is too big to take out of the water, you will have to clean it and repair it in the water.
+Note
+The faster you can do this, the sooner you will be able to raise another crop of fish.
+182. You can hold the baby fish you catch in a small pen or in another cage for small fish (see Item 1 14 and Item 184) until you have finished the cleaning and repairing.
+183. When you are ready to begin again, put in 150 to 200 baby fish 8 to 10 centimetres long for each cubic metre of cage. However, be sure to choose your biggest and best baby fish to put back in your cage.
+<section>Raising your own baby fish in cages</section>
+184. You can raise baby fish in a cage. To do this build a cage just like one of the ones shown on pages 50 to 66.
+185. However, the material you use to cover the cage should have smaller openings to keep in the baby fish. So be sure to use material with openings of 0.5 by 0.5 centimetres.
+186. Materials with such small openings will get dirty more quickly. So, you must be sure to clean it often enough so that fresh water can flow into the cage.
+187. You can put up to 1 000 baby fish 1 to 2 centimetres long in a cage of 1 cubic metre. However, do not put in more than you need to use or sell.
+Note
+If you have more baby fish than you can use or sell you can dry them in the sun. After you have dried the baby fish, grind or pound them and mix them with crushed cottonseed, groundnut cake or rice bran to feed to your big fish, your poultry or your pigs. You can also use the dried baby fish to fertilize your farm garden.
+188. Feed your baby fish two or three times each day just as you do with your big fish. You can give them
+o termites
+o rice bran
+o cottonseed or groundnut cake.
+189. Feed your baby fish carefully. Break their food into very small pieces and sprinkle it little by little on the surface of the water. Watch very carefully that they eat well and stop giving them food as soon as they stop eating.
+190. With a cage, it is important to give the baby fish only what they will eat and no more. Uneaten food under a cage is very bad for baby fish.
+191. In 30 to 40 days the baby fish will grow to 8 to 10 centimetres long and you can put them in a pond or another cage.
+192. To do this take them out carefully using a smooth plastic containers.

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+DEMOGRAPHY
+POPULATION DYNAMICS
+DEVELOPING COUNTRIES
+FERTILITY

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+<title>Taking population seriously</title>
+Frances Moore Lappé
+Rachel Schurman
+A Food First Book
+The Institute for Food and Development Policy
+San Francisco
+Copyright © 1988, 1990 The Institute for Food and Development Policy.
+All rights reserved.
+First published in 1988 by the Institute for Food and Development Policy as "The Missing Piece in the Population Puzzle," Food First Development Report No. 4, September 1988.
+Printed in the United States of America
+ISBN: 0-935028-53-6
+Design: Constance King
+Cover Design: Susan Galleymore
+Typesetting: Access Typography
+Printing: West Coast Print Center
+FOOD FIRST
+The Institute for Food and Development Policy (FOOD FIRST) is a nonprofit research and education center, which, since its founding in 1975, has been dedicated to identifying the root causes of hunger, poverty, and environmental degradation in the United States and around the world. Financed by thousands of members, with modest support from foundations and churches, FOOD FIRST speaks with a strong, independent voice, free of ideological formulas and vested interests.
+In over 50 countries and 20 languages, FOOD FIRST provides a wide array of educational tools - books, articles, films, and curricula for elementary schools and high schools - to lay the groundwork for a more democratically run society that will meet the needs of all.
+For more information about Food First publications, please write or call:
+The Institute for Food and Development Policy
+145 Ninth Street
+San Francisco, CA 94103
+<section>Acknowledgments</section>
+Our colleagues at the Institute for Food and Development Policy deserve our special thanks for their excellent counsel and careful assistance in the development of this analysis: Walden Bello, Medea Benjamin, Marilyn Borchardt, Becky Buell, Joseph Colt fins, Kevin Danaher, Andrea Freedman, Susan Gallymore, Audee Kochiyama-Holman, Marshall McComb, and Ann Kelly. We also appreciate the research assistance of Heidi Beirich and Michele Mattingly.
+Many others with special knowledge in this field also provided valuable comments and criticism. Our special thanks go to Will Alexander, Leon Bouvier, John Caldwell, Ansley Coale, Phillips Outright, Joel Dirlam, Joan Gussow, Betsy Hartmann, V. Parker Mauldin, Thomas Merrick, Alberta Palloni, John Ratcliffe, Robert Repetto, and Bernard Schurman. Of course our gratitude in no way suggests that our reviewers agree with our analysis.
+<section>The population puzzle</section>
+What do you see in this picture?
+If what you see is a population "explosion," you are not alone. That's precisely what biologist Paul Ehrlich dubbed these trends in his eye-opening 1968 book, The Population Bomb. Population growth rates in the third world are historically unprecedented. The world population has doubled since 1950, with 85 percent of that growth occurring in the third world.
+But what set off the population bomb? What problems does it present ? And how can we defuse it to help bring human population into balance with the natural environment? In the past twenty years, this graph of population trends has become almost a "Rorschach test" in which people have seen strikingly different answers to these critical questions.
+In this report, we briefly critique several current interpretations of the population puzzle and point beyond them to an emerging alternative framework for understanding - one that incorporates unmistakable historical lessons.
+We first consider the perspective of the biological determinists - those who see human population overrunning the carrying capacities of their ecosystems. We suggest why this view has been largely discredited and describe a milder version that dominates public perceptions of the population crisis is that growing numbers of people are overwhelming finite resources; the answer is obvious - reduce births.
+Over the last two decades a much more useful analysis has emerged among social scientists, replacing both of these narrow views. It describes the realities of poverty and premature death that keep birth rates high. While we incorporate many of its invaluable insights here, we must dig substantially deeper to seriously confront the population problem.
+In this report we seek to probe beneath the descriptive social perspective in order to examine the relationships of social power - economic, political, cultural - that influence fertility. We construct what we call the power-structures perspective, referring to the multilayered arenas of decision-making power that shape people's reproductive choices or lack of them. We use this framework to show how the powerlessness of the poor often leaves them little option but large families. Indeed, high birth rates among the poor can best be understood, we argue, as a defensive response against structures of power that fail to provide, or actively block, sources of security beyond the family. From this perspective, rapid population growth is a moral crisis because it reflects the widespread denial of essential human rights to survival resources - land, food, jobs - and the means to prevent pregnancy.
+It follows from our power-structures perspective that far-reaching economic and political change is necessary to reduce birth to many children. Social arrangements beyond the family - jobs, health care, old-age security, and education (especially for women) - must offer both men and opportunity. Most important, the power of women must be augmented through expanded opportunities for both men and women. At the same time, limiting births must become a viable option by making safe and acceptable birth control devices universally available.
+In seeking solutions to the population problem, we examine critical lessons from the handful of third world countries that have been exceptionally successful in reducing fertility. In each, we find our thesis reinforced: far-reaching social changes have empowered people, especially women, and provided alternative sources of income, security, and status to child bearing.
+Humanity ignores such lessons at great peril. Unless we are honestly willing to confront the roots of people's powerlessness, we cannot hope to halt population growth in the future - with dire consequences for human well-being and for the biosphere itself. But the consequences are immediate as well: unwillingness to address the social roots of high fertility leads almost inexorably, we argue, to coercive, even hazardous population control strategies, jeopardizing the goal of enhanced human well-being.
+Moreover, lacking an approach that addresses the problem of social power, we can expect no relief to the misery of hunger and the stress of environmental decline, regardless of success in cutting birth rates.
+Finally, we challenge everyone alarmed about rapid population growth to be fully concerned not just about its impact on humanity but on nonhuman life as well.
+Learning the Population Lingo
+Reading the population literature, it's easy to become confused by technical terms. We hope a simple explanation of some of the more commonly used terms can help.
+Crude Birth Rates. The crude birth rate, or CBR, literally measures the number of live births for every thousand women. The C1NR refers to a country as a whole or to a particular subgroup within a country. "Crude" refers to the fact that it does not take into account the age structure of a population, which greatly affects the number of births in any given year. For example, if two countries have the same number of people, but one has twice as many women of childbearing age, it will have a much higher crude birth rate. For this reason, the CBR is not directly comparable across countries, or even across time. It is often used by demographers when better measures are lacking.
+Total Fertility Rates. This rate, often abbreviated as TFR, can be thought of as the average number of children that a woman will have over her reproductive lifetime. It is hypothetical in the sense that it does nor represent the lifetime experience of any particular woman or group of women, but represents a composite measure. The TFR is calculated as the sum of birth rates specific to each age group of women and assumes that each cohort's fertility will hold during the lifetime of the "hypothetical woman."
+Population Growth Rate. The population growth rate is the rate at which a particular population is growing each year. It is calculated relative to a base population size (say, the population size in the preceding year), and reflects the effects of births, deaths, and migration. The current growth rate in the United States is about 1.0 percent per year.
+Replacement Level. A population that is at replacement level will exactly replace itself over the course of a generation with no growth and no decline. In the industrialized countries, replacement level usually corresponds to a TFR of 2.1; in other words, each woman would bear two children, one to replace herself and the other to replace her mate. (The additional .1 births is necessary to offset a small number of infant deaths and childless women. ) In the third world, replacement levels are somewhat higher - about 2.5 - because of the higher infant death rates.
+<section>The population debate</section>
+<section>What set off the population explosion?</section>
+The widely accepted explanation of what tripped the population wire in the third world is that a rapid drop in death rates occurred without a parallel drop in birth rates. With more people living longer, but as many babies still being born, populations began to grow fast.
+While a similar shift was typical of the first stage of a transition to slow population growth in the now industrial countries, what has happened in the third world is different. The mortality decline there has been sharper than that which occurred in Western Europe and the United States, and it happened against a backdrop of higher initial birth rates.^1
+What accounts for this sharp drop in deaths? Here, demographers hardly agree. Some point to the introduction of vaccines, antibiotics, and pesticides from the industrial countries; others stress improvement in education, sanitation, and nutrition.
+And why haven't birth rates declined, too? They have, but not nearly enough to prevent rapid population growth in most third world countries.
+But don't be too alarmed, many population experts tell us. It is only a matter of time before a decline in birth rates will mimic the decline in death rates. The world's population will thus level off or plateau, they predict, about a century from now at about 10 billion, double the world's current population.^2
+We're not so sanguine. While death rates may be brought down, at least somewhat, by imported technologies or public health initiatives, birth rates are not so easily affected. They reflect intensely personal choices in response to a host of economic, social, and cultural forces. Until the forces underpinning high birth rates start to change, we doubt that it is possible to predict the timing of a human population plateau.
+Some demographers share our concern. "Forget plateaus," says population specialist Phillips Cutright. Such projections are likely to be "wishful thinking," he warns.^3 And recent data confirm Cutright's skepticism. Global population is growing faster than expected because many of the most populous nations - China, India, Pakistan, Egypt, and Iran to name a few - are not following the expected pattern of a smooth and continuous fertility decline.^4
+<section>Population: what's the problem?</section>
+To make our own analysis most clear, let us begin with a brief outline of the main schools of thought concerning the nature of the population problem. We present three alternative perspectives and then our own.
+More people - no problem perspective. To some, population growth is no threat at all. To the contrary, it may actually contribute to economic development and higher living standards.
+Julian Simon, author of The Ultimate Resource, is perhaps the heat-known advocate of this position. Writing in Science, Simon argues that in industrial countries, additional people stimulate higher productivity.^5 Growing populations in third world countries also "have a positive net effect on the general standard of living," apparent only in the long term.^6 Simon and his supporters marshal largely historical evidence. If improvements in technology and productivity have surpassed growth in population so far, why not indefinitely, they ask.
+While Simon's view is not widely accepted, his influence can be easily detected in recent mainstream pronouncements on population. In 1986, a report by the National Academy of Sciences downplayed population as a problem, stating that "concern about the impact of rapid population growth on resource exhaustion has often been exaggerated."^7
+In our view, Simon's perspective must first be rejected on ethical grounds. It implies that the impact of population growth can be judged solely as to how it affects human well-being, ignoring any responsibility toward the integrity of the larger ecosphere. Second, its presumption that population growth isn't a problem because of infinite human ingenuity to discover replacements for any depleted resource is blind to the fact that the natural world is a delicate, interacting system, not merely an emporium of separate, replaceable parts. Simon fails to consider the possibility that our efforts to support ever larger numbers is destroying that delicate environmental balance. Because we reject this perspective's first premises, we do not examine it in depth.
+People-versus-resources perspective. The much more widely held view, that which has shaped popular understanding since the 1960s, stands Simon's position on its head: people are pitted against finite resources and we're fast overrunning the earth's capacity to support us. In fact, current environmental degradation and hunger suggest that in some places we've already pushed beyond the earth's limits.
+This conceptualization of the problem came vividly into popular consciousness with Paul Ehrlich's The Population Bomb, first published in 1968. Ehrlich convinced many people that fast-growing populations meant that we had reached the earth's limits to feed people. Ehrlich wrote:
+The battle to feed all of humanity is over. In the 1970's the world will undergo famines - hundreds of millions of people are going to starve to death in spite of the crash programs embarked upon now.^8
+In Famine 1975, published the year before Ehrlich's book, William and Paul Paddock warned that catastrophe was imminent.^9
+By the 1980s, emphasis within the people-versus-resources perspective was less on the danger of humanity simply running out of land to feed itself than on the destruction of the environment by expanding populations. Ehrlich's underlying assumptions have continued to hold sway in the popular consciousness. Perhaps the most widely read expression of this view today comes from the Worldwatch Institute in Washington D.C. In a 1986 Worldwatch publication, Lester Brown and Jodi Jacobson describe the threat of continuing high rates of growth:
+Our contemporary world is being divided in two by demographic forces.... In the... half where birth rates remain high, rapid population growth is beginning to overwhelm local life-support systems... leading to ecological deterioration and declining living standards.^10
+According to Brown and Jacobson, in many third world countries, this process is already well under way.^11
+An extreme version of this perspective is found in the work of biologist Garrett Hardin. He takes the answer to the question "What is the population problem?" a further step toward strict biological determinism. As the influential economist Thomas Malthus argued in the early nineteenth century, Hardin claims that our biology drives us to reproduce at a rate faster than our resources can sustain. Without government policies to prevent it, we are destined to overrun our resource base, with hunger the tragic outcome.^12
+For Hardin, of immediate concern is not the threat of global food shortage, but population caused food shortages at the national and local levels. In his view, the populations of some countries have already overrun their biological "carrying capacities." To Hardin, Ethiopia's repeated famines clinch his case.^13 His views are now echoed by some hard-line environmentalists, like Earth First! founder Dave Foreman.
+This extreme neo-Malthusian view is generally discredited. But a soft-pedaled version - still posing people against resources as the essential problem - captures considerable media attention and dominates the popular understanding of the problem today.
+Much of our prior work, especially Food First and World Hunger: Twelve Myths, is a refutation of this still-influential resources-versus-people perspective. We demonstrate the illogic of seeing population as a root cause of hunger when in so many cases population density and hunger are not demonstrably related. China, for instance, has only half as much cropped land per person as India, yet Indians suffer widespread and severe hunger while the Chinese do not. Sri Lanka has only half the farmland per person of Bangladesh, yet when effective government policies kept food affordable, Sri Lankans were considerably better fed than Bangladeshis. Costa Rica, with less than half of Honduras' cropped acres per person, boasts a life expectancy - one indicator of nutrition - fourteen years longer than that of Honduras, and close to that of the industrial countries.^14 And Cuba, which leads the third world in life expectancy, low infant mortality rates, and good nutrition, has a
+population density similar to Mexico's, where hunger is rampant.
+This lack of a clear link between population density and hunger (highlighted in table 1) is a strong rebuttal to the people-versus-resources conception of the problem. Many other factors beyond sheer numbers obviously determine whether people eat adequately; among them are whether or not people have access to land to grow food, or have jobs providing them with money to buy it.
+The same simplistic formulation must be rejected when it comes to environmental destruction. An obvious example is the ecological havoc now being wrought in the Brazilian Amazon. The slash and-burn agriculture of Brazilian peasants often gets the blame. But if land in Brazil were not the monopoly of the few - with 2 percent of the landowners controlling 60 percent of the arable land - poor Brazilians would not be forced to settle in the Amazon, destroying the irreplaceable rain forest. And surely the logging and cattle ranching, also destroying rain forests, reflect not population pressure but market demand for meat and wood by better off consumers, largely in the industrial countries.
+The social perspective. Fortunately, over the past two decades, an outline has emerged of a strikingly different answer to the question, "What is the problem?" It draws on the research of scores of anthropologists, sociologists, and economists. This newer perspective has taken hold in such varied institutions as the World Resources Institute, the Population Reference Bureau, the UN Fund for Population Activities, and the World Bank. In the 1980s, some from the food-versus-resources perspective, including the Worldwatch Institute, have acknowledged the findings of the social scientists.
+The social perspective takes a look beneath the threat of populations overrunning resources to ask why third world populations are growing so fast, pointing to a complex interaction of economic, social, and cultural forces that keeps third world fertility high. They include the low status of women, the high death rates of children, and the lack of old-age security.
+This perspective presents a powerful challenge to the people-versus-resources view in which growing populations deplete per capita resources, leading to hunger and environmental degradation. In the social perspective it is the realities of poverty that lead to both rapid population growth and hunger. High fertility becomes an effect more than a cause of poverty and hunger.
+The power-structures perspective. Building on the previous work of the Institute for Food and Development Policy, in this report we seek to synthesize crucial insights emerging from this social perspective, while pushing its analysis still further.
+Peeling away another layer, we ask what lies behind the poverty and insecurity keeping birth rates high. In answering, we add a critical dimension without which we believe it is impossible to understand population patterns: power. By this we mean, very concretely, the relative ability of people to have a say in decisions that shape their lives, from those decisions made at the family level to those that are international in scope.
+How society distributes power determines which human rights are acknowledged and protected. We find it most fruitful to view the varied forces keeping birth rates high as aspects of a systematic denial of essential human rights - understood to include not only political liberties, but access to life-sustaining resources and to educational and economic opportunity.
+In our common search for solutions, we challenge all who are beginning to grasp the true social - rather than biological - roots of rapid population growth to follow through on the logical consequences of this deeper analysis. Unfortunately, it is in defining solutions that the promising social perspective falls flat. It describes the link between poverty and high fertility, but it fails to confront the forces that generate and perpetuate poverty.
+The consequences are momentous. Ignoring the social roots of hunger while still trying to reduce birth rates leads almost inexorably to more coercive birth control technologies and programs that jeopardize people's health and self-determination.
+Finally, we call for a shift in the entire debate about the population problem to incorporate insights emerging from environmentalists and from the land stewardship movement. Drawing on ancient insights from diverse cultures, they point to our much larger responsibility. We must halt human population growth not just to insure the well-being of humanity but to restore the interdependent biotic community in which we human beings must learn to see ourselves as members not masters.
+<section>A power-structures perspective</section>
+To understand why populations are exploding in the third world, one must come to see how choices open to people about their reproduction - those most personal, intimate choices - are influenced by structures of decision-making power. These structures include the distant arena of international finance and trade and extend downward to the level of national governments, on through the village, and, ultimately, to relationships within families.
+"Power structures" is not a mysterious concept. We use it simply to refer to the rules, institutions, and assumptions that both determine who is allowed to participate in decisions and in whose interests decisions are made. The decisions most relevant to the population question are those governing access to and use of life-sustaining resources - land, jobs, health care, and the education needed to make the most of them - and contraceptive resources. (See figure 2 for a schematic representation of some of the many arenas of human relationships in which decisions are made that directly and indirectly influence fertility.)
+Decision-making structures fall along a continuum from democratic to antidemocratic. By democratic we mean decision-making structures in which those most affected by the decisions participate or - at the very least - structures that include consideration of the interests of those affected. Of course, in no polity or other social institution is power shared in completely equal measure. But in our view, democratic organization exists to the extent that power is dispersed and no one is left utterly powerless. Antidemocratic structures, by contrast, can therefore be described as nonparticipatory - because those most affected have no say - or unequal.
+In Western societies one tends to think of democracy as a political concept; we think of power primarily as being exercised in the political arena. Many Westerners also assume that in Marxist theory, power is perceived differently - as largely an economic struggle over control of productive resources. And we in the West also assume that because the communist state is the antithesis of political democracy, any use of the term democratic is utterly inappropriate when describing communist societies.
+But why restrict the use of the concepts of power and democracy ? We find it most helpful to understand power as a critical variable in both political and economic affairs as well as in social and cultural life. And we find the terms democratic and antidemocratic - describing structures of decision-making power in a multiplicity of social institutions - most usefully applied not to societies in toto, but to the many arenas of life within societies.
+It follows that we do not presume that within a society a uniform structure of power exists from the political to the economic to the social. While these varied aspects of community life interact and influence each other, asymmetry is more the norm. A society might be highly antidemocratic in the way political power is wielded but allow considerable sharing of economic control over essential resources. China comes to mind here. In contrast to most third world countries where the majority of rural people are denied control over basic resources, in China most rural people control enough land to secure their basic food needs. Even under the former collectivized system, everyone had the right to participate in economic life and share in the fruits from the land. At the same time, political leadership has not been freely chosen and people's right to political expression has not been protected.
+The opposite imbalance is probably more common. In a number of societies - the United States is an example - political participation and expression are protected, but citizens' rights to economic resources essential for livelihood and healthcare are not protected. So a significant share of the population goes without enough income to provide adequate food, housing, and health care.
+And while structures of economic and political power may be relatively participatory at, say, the national political level, they may remain grossly unequal at another level - for example, when it comes to relations between men and women within the family.
+In what follows we apply this power-structures perspective to the population problem. Power becomes the critical variable in explaining population growth patterns. Without it, it is possible to describe conditions like poverty associated with high fertility, but not to understand them or to arrive at workable solutions. In a report of this length, however, we can only sketch how structures of power - interpersonal to international - can influence reproductive choices.
+In largely agrarian societies, the most clear-cut evidence of the economic power structure is who controls farmland and who does not. Access to land determines a family's survival and security. "Without land to feed my family, I go hungry, no matter how much food the country produces," one Indian peasant explained to us.
+So, we must ask what are the consequences for fertility when at least 1 billion rural people in the third world have been deprived of farmland? In many countries, including Brazil, Mexico, the Philippines, India, and most of the Central American countries, land-holdings have become increasingly concentrated in the hands of a minority during a period of rapid population growth. When the more powerful have an incentive to expand - say, to grow lucrative export crops - and have military backing, it is quite easy for them to seize the land of the less powerful. They might do it legally by calling in the loan of a heavily indebted peasant family, or, not so legally, by simply bulldozing the peasant's land and laying claim to it. The peasant family has no legal title nor lawyer to back up its claim in court.
+In this context, without adequate land or secure tenure, and with no old-age support from the government or any other source outside the family, many poor people understandably view children as perhaps the only source of power open to them. For those in extreme poverty, children can be critical to one's very survival.
+<section>Children: poor people's source of power</section>
+Living at the economic margin, many poor parents perceive their children's labor as necessary to augment meager family income. By working in the fields and around the home, children also free up adults and elder siblings to earn outside income.
+One study on the island of Java, Indonesia, for example, found children to be an extremely important asset in the rural economy. As early as age seven, a boy assumes responsibility for his family's chicken and ducks. At nine, he can care for goats and cattle, cut fodder, and harvest and transplant rice. And as early as twelve, he can work for wages. And by his fifteenth birthday, a Javanese boy has, through his labor, repaid the entire investment his family has made in him.^15 Similarly in Bangladesh, by age six a son provides labor and/or income for his family. By twelve, at the latest, he contributes more than he consumes.^16
+The labor of girls is equally important. In Tanzania, one study found that girls between the ages of five and nine spend an average of three and a half hours a day working on economic activities and in the home.^17 In Peru, as in many other third world countries, girls of six and seven can be seen carting younger brothers and sisters around while their mothers are selling wares in the marketplace And on tea plantations in India, girls as young as twelve rise at 4 a.m. to help their mothers prepare breakfast and then spend up to ten hours a day in the herds picking tea during harvest time.^18
+John Caldwell, a foremost theorist in population studies, criticizes his colleagues for underrating the importance of children to the village economy:
+The analysis of the value of children in the village household economy often completely fails to understand the subsistence nature of village services... [In Western] societies, most... expenditure is on goods... which merely occupy space while providing services. Vacuum cleaners pick up the dust; mowers keep down the grass; washing machines clean up the dishes; hot water systems provide hot water... In a society where nearly all these consumer durables are vastly expensive and difficult or impossible to maintain, the services are largely provided by either cheap labour or more frequently by family subsistence labour.... In terms of the availability of cheap or ostensibly free labour, the farmer would be irrational who forced himself and his family to produce ever more crops for sale to buy expensive gadgets to supply the services he could get directly [from his children].^19
+And children aren't assets only for people living in the countryside, Caldwell points out. Among the Yoruba in Nigeria, urban white collar families rely on many children to enhance their position through "sibling assistance chains." As one child grows up and completes school, he or she (most often he!) can help younger siblings climb up the educational ladder. Each successive child is thus in a position to get a higher-paying job. The family gets added income, status, and security.^20
+Moreover, the "lottery mentality" is associated with poverty everywhere. With no reliable channels for advancement in sight, third world parents can always hope that the next child will be the one clever and bright enough to get an education and land a city job, despite the odds. In many countries, income from just one such job in the city can support a whole family in the countryside.
+In nearly all third world societies, those rendered powerless by unjust economic structures also know that without children to care for them in old age, they will have nothing.^21 According to a 1984 World Bank report, 80 to 90 percent of the people surveyed in Indonesia, South Korea, Thailand, and Turkey expect to rely on their children for support in their old age.^22
+In addition to providing old age security, children represent insurance against risk for many rural families, argues Mead Cain, a researcher at the Center for Population Studies in New York. Drawing on extensive experience in South Asia, Cain notes that children's financial help provide "an important means of insuring against property loss" to families for whom a bad crop year or unexpected expense can spell catastrophe, forcing a distress sale of their land. Only when other forms of economic security become available to impoverished families, posits Cain, will the transition to smaller families be instigated.^23
+Of course, the value of children to their parents cannot be measured just in hours of labor or extra income. The intangibles may be just as important. Influence within the community is one. In community affairs, bigger families can carry more weight. And for most parents, children offer incomparable satisfaction, fulfillment, and joy. For the poor - whose lives are marred by much more grief and sacrifice than is true of the better-off - the role children play in fulfilling these very real human needs cannot be underestimated.
+The question of children's economic contributions to the family is not a settled one among population researchers, however. Recently some have begun to argue that the economic advantages children offer may be diminishing in ways that will reduce fertility. As primary and secondary education becomes more widespread, for instance, children have Less time to contribute to their families.^24 Also, as more people lose or are unable to acquire land and migrate to the cities, they will take wage-paying jobs. For wage laborers, children come to represent a cost rather than just a benefit.
+The Population Reference Bureau's Thomas Merrick uses this argument to help explain recent fertility declines in Mexico, Colombia, and Brazil. In each case, he argues, the economic squeeze reflected in declining real wages has made consumer aspirations more difficult to attain. In order to maintain their standard of living, however low, families react by limiting births.^25
+While the shift to wage labor and the simultaneous growth in third world cities may change the economic value of children for some families, we wonder whether it will have as dramatic an effect on fertility as Merrick and others assume. Before children can become a net drain on their wage-earning parents, those parents must have jobs. Yet in third world countries, vast numbers of urban people have not been able to find paid employment. So people find other ways to survive, and in many of these desperate strategies children are still assets. Children can engage in petty commerce, selling trinkets or snacks on the street. In the shantytowns of metropolitan Manila, whole families survive by collecting and selling scrap material from dumps. Children begging from tourists is another source of family income. And in the absence of alternatives, children also become prostitutes to support themselves and often their parents as well. Bangkok and Sao Paolo are both notorious for child
+prostitutes, many of whom are the sole supporters of their families.
+When people are made powerless to provide for their children, children will continue to provide a primary way for parents, themselves, to survive.
+<section>When many babies die</section>
+But to achieve any of the potential benefits of children, the third world poor realize that they need to have many. Where food resources and health care are the monopoly of the better-off, as many as one in every four children dies before the age of five (see table 2). Seeing their babies dying or their children in such poor health that the threat of death is ever present, parents naturally are motivated to have more children. In India, of the six or seven births women average, only four can be expected to survive.^26 One Sudanese doctor angrily described the problem
+In a country like ours where the infant mortality rate is 140 per 1,000 births, where infectious diseases kill so many children, where malnutrition affects about 30-50 percent of the people, where measles is a killer disease although it could be stopped by immunization, how can you tell us to stop having children? When a mother has twelve children, only three or four may live.^27
+Studies by the World Heath Organization confirm that both the actual death and the fear of death of a child will increase the fertility of a couple, regardless of income or family size.^28
+The positive impact of infant death on fertility rates is also a biological fact. Breastfeeding tends to prolong the period during which a woman cannot become pregnant, so that when her infant dies this infertile period is cut short. And this is no insignificant phenomenon. Lactation has been a primary means of birth spacing in many cultures, especially in Africa where babies have typically been breastfed for two years or longer.
+<section>Women: powerlessness and high birth rates</section>
+High birth rates reflect not only the labor income-security needs of the poor, but the disproportionate powerlessness of women. Excluded from many decisions that determine their role in the family, as well as in the society at large, many women have little opportunity for pursuits outside the home. Perpetual motherhood becomes their only "choice."
+Perhaps the best proof that the powerlessness of women undergirds high fertility comes from extensive research on the effect of women's education. In one study after another, women's education turns out to be the single most consistent predictor of lower fertility. As women's schooling increases, fertility typically falls.
+Of course, few would interpret these findings literally that women learn how to limit births. Rather, demographers surmise that the fact that women are getting educated reflects a multitude of changes in society that allow women greater power.
+All this cuts to the core of the population issue because women's subordination to men within the family often translates into a direct loss of control over their own fertility. It has been widely documented that after several births many third world women want to avoid or delay pregnancy. But women simply do not have the power to act on their desire. As one doctor in a Mexican clinic explained:
+When a wife wants to... [try] to limit the number of mouths to feed in the family, the husband will become angry and even beat her. He thinks it is unacceptable that she is making a decision of her own. She is challenging his authority, his power over her - and thus the very nature of his virility.^29
+Women who do try to limit their pregnancies - either with or without the consent of their partners - often receive little or no help from the state. Poor women have particularly limited access to health services, including birth control devices. In desperation, many resort to illegal, and often fatal, abortions. A major cause of maternal death in the third world,^30 complications from illegal abortions are estimated to kill over 200,000 women a year, most of them poor and illiterate third world women.^31
+Where a woman's choices are severely limited - where, for example, women are discouraged from working outside the home - children often represent her only source of power. In Kenya, population researchers note that the low status of women pushes them into early marriage and frequent childbearing.^32 "If society impedes other avenues to power such as pursuit of economic activity," point out two African scholars, "then women may compensate by having large numbers of children."^33 Sally Mugabe, writing in Popline, underscores the point:
+For a [Zimbabwean] woman, bearing and rearing children is the primary source of status in the family and the community. The larger number of children a woman has, the higher the status she enjoys.^34
+Other cultural forces severely limit a woman's freedom to choose fewer births. The influence of the Catholic church is significant in many countries. This is particularly true in Latin America. In the Institute for Food and Development Policy book Don't Be Afraid, Gringo a Honduran peasant woman talks in intimate detail about the many forces depriving her of the power to provide for her family. She reflects on why Honduran women have so many children:
+Not many campesina women use birth control. They just keep having babies, babies, and more babies.... I've thought a lot about why we have so many children....Part of the reason might be the Catholic church. Most of us are Catholics, and the church tells us that it's natural to have children and that going against nature is going against God.^35
+One can well imagine how difficult it is for Catholic women to use birth control if it means having to confess to a central authority figure in your community, the priest, that you have sinned. For many poor women, whose self-esteem is already low, challenging church authority can be virtually unthinkable.
+<section>The fertility consequences of son preference</section>
+Patriarchal family and community attitudes also pressure a woman to keep having children until she gives birth to a son, regardless of her own wishes or even possible jeopardy to her health. Male attitudes and power over women are critical As we just noted, many women do not resist family planning, but as an Egyptian woman explains, it's the men "who are sometimes against it.... They want children until they get a boy.''^36 In India, a preference for sons on the part of both parents is so strong that amniocentisis is now being used in many areas to determine the sex of the fetus. According to population researcher Betsy Hartmann, Indian women found to be carrying females are often pressured to abort by husbands and in-laws.^37 A study in Bombay of 8,000 abortions following amniocentisis found that all but one of the aborted fetuses were female.^38
+Son preference is not only linked to enhanced social status; it often has financial implications as well. China is a good example. A daughter offers her parents much less security than a son. Upon marriage, she leaves to live in her husband's home, whereas a son's wife comes to live with his parents, providing security and companionship in their old age. In Bangladesh, where many women are subject to the Islamic Custom of Purdah (forbidden to leave, much less work, outside the home), the incentive is strong to bear sons for future social and economic support.^39 Sons can also better protect rights to the land, especially important to widows.^40
+<section>Not only women are made powerless</section>
+While the power-structures perspective helps explain the high birth rates of women subordinated within the family and society, it recognizes that often the men who hold power over women are themselves part of a subordinate group - those with little or no claim to income-producing resources. This, too, has important implications for fertility.
+As long as poor men are denied sources of self-esteem through productive work, and are denied access to the resources they need to act responsibly toward their families, it's likely they will cling even more tenaciously to their superior power vis-à-vis women. For many men, this may mean showing their virility through siring large numbers of children. Men who are forced to migrate for work, for example, may decide to start up a second family, further increasing the number of children.
+In many cultures, men unable to bring in enough income to support dependents feel inadequate to maintain a permanent household. The sad irony is that self-blame for this failure, lowering self-esteem, can result in a behavior pattern of moving in and out of relationships and the fathering of even more children.
+<section>Summarizing the power-structures perspective</section>
+In our view, this varied evidence drawn by anthropologists and sociologists working in the third world - about why the poor have many children, suggests that high fertility can best be understood as a response to antidemocratic structures of power within which people are often left with little choice but many births.
+To recap, freedom of choice in fertility is nonexistent where:
+o one's financial security depends entirely or largely on one's surviving children
+o many births are necessary to ensure that even several children live to maturity
+o health services, including birth control, are available almost exclusively to the better-off in urban areas, not to the poor
+o a woman has no choice other than marriage and her only source of power is derived from her children, especially sons
+o few opportunities for education and employment exist for women outside of homemaking
+Thus the power-structures analysis - particularly in recent years^41 - stresses the impact on fertility of women's subordination to men, a condition that contributes to the social pressure for many births. But it places this problem within the context of unjust economic structures that deny people realistic alternatives to unlimited reproduction. Within such a framework, rapid population growth is seen to result largely from efforts by the poor to cope, given their powerlessness in the face of the concentrated economic strength of an elite.
+Thus, the narrowly constricted power of third world women can only be understood in light of relationships extending far beyond the family and even the community (again, see figure 2). From the level of international trade and finance, down to jobs and income available to men as well as women, antidemocratic structures of decision making set limits on people's choices which ultimately influence their reproductive options.
+In a report of this length, we can only offer a few examples to suggest how decisions at these many levels can affect fertility.
+At the international level, consider the debt crisis. In the 1970s, third world governments received large loans from banks in the industrial nations, investing the money in big-ticket projects - airports, arms, nuclear power plants, and so on - responding to the interests of their wealthiest citizens. In the 1980s, many of these loans came due, just as interest rates climbed and prices of raw material exports from the third world hit a thirty-year low. As a result, between 1982 and 1987, the net transfer from poor count tries to banks and governments in the rich countries totalled $140 billion, or the equivalent of two Marshall Plans.^42
+How did third world countries come up with such sums? Health and welfare budgets and food subsidies got slashed first. And to earn foreign exchange land and credit increasingly went toward export crops. But reduced health care budgets means that more babies die and fewer resources are available for comprehensive family planning care. More resources devoted to crops for export means that locally, food becomes more scarce and more expensive. Add to this cuts in government food subsidies. Understandably, nutrition and health worsen; death rates rise. The link between debt and heightened death rates is so clear that sociologists have quantified it: every additional $10 in interest paid per person per year by seventy-three poor countries means 142 days shorter life on average than would be true if life expectancy had continued to improve at pre-debt levels.^43
+Thus, the "international debt crisis" - seemingly remote from intimate reproductive behavior - ends up affecting conditions of basic family security, health, and nutrition known to influence fertility. High growth rates can in part be understood by reference to such far-reaching decisions that end up shifting resources away from the poor. From this analysis, one can surmise that in a country like the debt-burdened Philippines, the disappointing stall in the decline in birth rates is in part due to the increasing insecurity of the poor whose lives have become even less secure in the last decade.
+Government policies directly affect the poor majority's access to land, and: thus influence the peasant family's sense of security which plays a part in its child-bearing choices (see figure 2). In many countries, including the Philippines, El Salvador, and Brazil, for example, agrarian policy is beholden to the most wealthy landowners. They have made sure to block reforms bans ferring land to the poorest peasants. In Brazil, for example, 224 large farms still control as much land as 1.7 million peasant families.^44 Given what we now know about how the insecurity of landlessness affects poor families' view of their need for children, it should come as no surprise that in such countries fertility remains high.
+Honduras offers another illustration. After Haiti, it is the poorest country in the western hemisphere. In 1980, two-thirds of its national budget was devoted to economic and social programs and one-third to debt repayment and defense. But in the 1980s, Honduras became a central staging ground for U.S. military operations in Central America. Millions in U.S. military aid went to Honduras and the government was pressured to increase its own military expenditures. By 1984, Honduras' budget priorities were completely reversed: education, housing, health and other such programs received only a third of the budget. The rest went to debt and the military. Given the link between improved health and education and fertility, it is clear that the geopolitical strategy of a foreign power-diverting the Honduran government from social programs - is powerfully influencing its potential to reduce its high birth rate.^45
+We've only sketched some of the layers of decision making power shaping human reproductive life, but the reader might draw back with skepticism. Does not such a far-reaching approach confuse more than clarify - for could not virtually every economic, political, and cultural fact of life be squeezed into such a broad perspective?
+Our response is that to achieve a holistic understanding one's view must necessarily be far reaching. But this does not mean that it is without coherency. The pivot on which our perspective turns is the concept of power, a concept that we have found woefully missing in the perspectives we earlier critiqued. Without such a concept, we believe it is impossible to understand the complex and interacting problems of poverty, hunger, and population, much less act effectively to address them.
+<section>The debate about solutions</section>
+As we opened this report, we outlined four perspectives on the population problem. Because the problem is defined in such profoundly different ways, it should come as no surprise that proposed solutions vary as drastically.
+Do nothing - the market will provide. The first "solution" is simply not to perceive rapid population growth as a problem - the Julian Simon approach. According to Simon, we need no solution as long, that is, as we allow the market mechanism to operate freely. The market will spur human creativity to discover or create ever-new resources for human betterment. We reject this perspective because of its narrow focus on the human species.
+Let nature take its course. Biological determinists such as Garrett Hardin argue that if third world governments are unwilling to take the action necessary to bring birth rates down, we must let nature take its course. Where rampant hunger and environmental devastation prove that populations have overrun their carrying capacities, the only humane solution is to let them starve. Intervening to try to save lives now will only lead to greater suffering later as even more people press against a depleted resource base.
+Sending food aid is the most misguided form of altruism because it perpetuates people's suffering, according to Hardin. Populations must be allowed to die back to levels sustainable by local resources. Immigration from "overpopulated" countries must not be allowed either, lest it interfere with this natural balancing of population and its habitat.
+Largely because of the moral repugnance this view evokes, it has few adherents. But the fallacies in its logic must be challenged. Widespread hunger is no measure of overpopulation - as the biological determinist assumes - when in a Brazil or a Zaire, plentiful resources per capita exist beside severe hunger. Even Ethiopia, Hardin's favorite example of overpopulation, could feed itself if resources were equitably and wisely developed. Geographers and other social scientists also point out that linking the biological concept of carrying capacity to the boundaries of the nation-state is not particularly meaningful in the first place. What is natural about people being forced to support themselves within the limits of a humanmade and an ecologically arbitrary political unit, they ask.
+Certainly many industrial countries hardly live from their own resource bases. Japan is a particularly dramatic example of a society heavily dependent on imported foodstuffs, but few biological determinists appear ready to declare that the Japanese must die hack to the carrying capacity of their islands.
+Family planning is the only hope. In searching for solutions, the two perspectives we earlier called the "food-versus-resources perspective" and the "social perspective" merge. Both now acknowledge that poor people have many children as part of a survival strategy and that women often give birth to many children because they lack alternative sources of status and security. Yet most mainstream population organizations appear unwilling to address the roots of these problems that lie largely in the economic and political order. When it comes to action toward solutions, the focus narrows to family planning. A leading demographer can write, for example, that "98 percent of the resources and effort should be devoted to social and economic development"^46 but it's on the remaining two percent - population control - that he and his organization choose to focus their work.
+Why are the social causes downplayed or forgone when it comes to a program of action?
+For many, no doubt, an unwillingness to devote resources to attacking the underlying social causes of rapid population growth flows from feelings of impotency in face of the deeper causal forces, coupled with a sense of urgency. They have, in effect, responded: "We can't bring about societywide changes benefiting the poor and we can't wait for others to achieve this goal for themselves. All this would take too long anyway. The population bomb is exploding now. "
+Once in this frame of mind, appropriate action seems obvious. All we in the industrial countries can do is fund ever-more-stringent population control programs in the third world. In 1984, Walter I Holzhausen, Bangladesh representative for the UN Development Program wrote
+No one really doubts the need for massive direct or indirect intervention by government to limit the size of families; nor does anyone seriously believe that Bangladesh has the money or the time to establish better [mother-child health care] services and better educational facilities as a precondition for making voluntary family planning more successful.^47
+Many defending family planning as virtually the only feasible line of attack on high birth rates also imply directly or by their silence that those living outside a fast-growing country cannot address the deeper, social roots of its population problem. Outsiders cannot reform the economic and political structures of other societies, it is assumed. This position ignores the many channels - diplomatic, military, commercial, financial (detailed in our discussion of figure 2) - through which outsiders already greatly influence the structures of decision making power affecting fertility within many third world countries.
+Having rejected the possibility of addressing the underlying social roots of high birth rates - it takes too long, poor countries can't afford it, and we can't tell them what to do anyway - what is left - Family planning. All one can do is to fund family planning services and education, sponsor research on more effective contraceptives, and gently advise foreign governments about the need for family planning programs. To do this, national and international population agencies argue they need more money, more personnel, and a greater political commitment to family planning activities. In the last twenty years, the governments and organizations in the industrialized countries have spent $4 billion on third world population control.^50
+<section>The consequences of focusing narrowly on family planning</section>
+The promotion of family planning programs in the third world sounds beneficent. Indeed, we have stressed all along that access to birth control is essential both to the empowerment of women and reducing birth rates. But we observe a critical difference between those family planning programs developed as part of an overall attack on the social forces keeping birth rates high and, by contrast, programs that promote family planning as an alternative to social change.
+It is this later approach that we find both ethically questionable and self-defeating. Once the social roots of high fertility are deemed impossible to address and fewer births becomes the goal, noble ends get sacrificed to dubious means. Many women are hurt in the process, and ultimately even the end itself - halting population growth - is unattainable.
+This is a controversial statement with far-reaching implications. So let us explain what brings us to this conclusion.
+The argument that it is not possible to address the social conditions leading to high birth rates, but that it is possible to reduce growth rates anyway, starts with evidence of unmet demand for contraception. Those focusing on family planning cite data showing that in many third world countries almost half of all women of child-bearing age want no more children but lack access to birth control. Fertility rates would drop by a third if we could just meet this unmet need, they claim.^51
+This argument entails a big assumption: without altering social conditions - especially the powerlessness of women vis-à-vis men and the meager access of the poor to security resources - women will in fact be able to act on their stated desire for fewer children. But might many women indeed declare their preference for fewer children yet lack the power to act on their preference - even if the technical means of birth control were available? In other words, to believe that the mere provision of contraception will suddenly allow women to step out of their subordinate role in the family, or alter the fact that children still represent a source of security for many third world parents, is to ignore the findings of decades of fertility-oriented research.
+Moreover, if unmet demand were truly as great as it is assumed, why, we ask, have population planners had to resort to incentives and disincentives? In some cases, downright coercion has been deemed necessary to get people to accept birth control, suggesting that people must be made to override their own judgments about their need for children.
+Manipulating contraceptive demand
+As part of their single-minded effort to promote birth control in the third world, many international agencies, together with willing third world governments, have not only sought to respond to existing contraceptive demand, but have actively worked to increase it. While some strategies are relatively innocuous - television soap operas promoting new family size norms - in at least a dozen countries, mainly in Asia, a variety of incentives and disincentives are now used to induce people to undergo sterilization or to use contraception.^52 Incentives are usually material. They range from payments to the individual, family, or family planning clinic to awards of small farm animals, clothes, and even food. Disincentives also tend to be financial: tax differentials (higher taxes after a certain number of children), employment policies (restrictions on maternity leave), or limitations on social services, such as health or education.
+India. During the 1916-1977 "emergency" in which constitutional rights were suspended, the Indian government embarked on a major campaign to lower its birth rate, mainly relying on sterilization.^53 In some Indian states, civil servants were financially penalized for not meeting specified targets, and parents with three or more children who didn't undergo sterilization were denied loans, food rations, land for housing, and free medical treatment at government hospitals.^54 There were even reports of men being rounded up off the street in some villages and given vasectomies by overzealous government employees trying to meet their quotas.^55
+Under heavy attack for these harsh actions, the Indian government tried to reduce abuses by instituting financial incentives; however, abuses appear still to be common.^56 Individuals agreeing to undergo sterilization are currently compensated by an amount equal to ten to twelve days' wages; compensation for a sterilization is fifteen times as high as it is for accepting an IUD. The central government also gives each state money for every person who gets sterilized (30 rupees per woman and 40 rupees per man).^57 "Especially in tribal areas where there is widespread poverty and starvation," notes one respected Indian population specialist, "the cash incentives provided can be considered coercive."^58
+Certain state governments in India have passed some of these incentives on to local promoters. In Maharashtra, for instance, district officials and leaders who achieve unusually high contraceptive acceptance rates are sent on a foreign tour.^59
+Bangladesh. Under the government's incentive program, both men and women are given a free piece of clothing, dubbed "surgical apparel," and are paid 175 take for being sterilized, equal to two weeks' earnings.^60 As in many other countries, doctors and clinic staff also receive a payment for each sterilization they perform and until recently stood to lose wages and even their jobs for failing to meet monthly quotas. Moreover, to spread the inducements beyond the health care system, the government pays a special fee to anyone "referring" or "motivating" someone to undergo sterilization.^61
+All these programs are dubbed "voluntary" by their defenders. But when one is hungry, how many choices arc voluntary ? In Bangladesh, where the majority are desperately poor, sterilizations rose dramatically when incentives were increased in 1983. Most telling, sterilizations tend to fluctuate with the availability of food. In 1984, during the flood months of July to October, according to the Bangladesh Observer, sterilizations rose to an unprecedented quarter million, or almost one-fourth of all sterilizations performed during the entire decade 1972-1982.^62 In some cases, it was found that both a husband and wife had undergone sterilizations in order to receive the incentive payment!^63
+The system of incentives invites abuse, argues author Betsy Hartmann, who has lived and worked in Bangladesh. In 1984, for instance, donations of wheat to the poor in the aftermath of severe flooding in several areas were made conditional on women agreeing to sterilization. After the operation, each woman received a certificate signed by a family planning officer vouching for her sterility and entitling her to a sari, money, and wheat.^64
+Thailand and Indonesia. Not all incentives are targeted at individuals. In poverty-ridden, northeastern Thailand, family planning is combined with government programs offering technical and financial support for animal raising, agricultural activities, environmental projects, and home industry.^65 And in Indonesia, the government has given public recognition and prizes including public meeting halls, road repairs, and a clean water supply^66 - to communities meeting fertility targets or outdoing other locales in controlling births.^67
+But such programs raise a curious question. Why weren't government programs aimed at improving the lives of the poor adopted long ago as part of government's responsibility to its people? If it takes the threat of uncontrolled population growth to motivate attention to such concerns, we question how systemic and effective the poverty-alleviating programs will be. Such programs also raise the ethical question of whether citizens' access to such life necessities as clean water should hinge upon a community's reproductive record.
+Upping the contraceptive ante
+There are further serious implications in any strategy to slow population growth that does not at the same time ameliorate poor living conditions.
+Birth control options shrink to those that don't require sanitary conditions or even clean water, cutting out the safest type of birth control of all, the barrier methods. Moreover, without changes underway in the community to make more open and equal the relations between men and women, population planners will lean toward techniques that do not require the cooperation, or even the approval, of men. Again, under these conditions, the safest methods - condoms and diaphragms - are given short shrift or dismissed as impractical.
+Finally, without progress in providing comprehensive primary health care able to adapt contraceptives to individual women's needs and to deal with side effects, it is easy to rationalize the promotion of technologies that require no individualized application and cannot be readily rejected by women when problems do arise. Studies show high contraceptive rejection rates in the third world: 20 to 40 percent of women using the IUD or the pill discontinue use in the first year.^68 Long-term, injectable contraceptives, however, cannot be rejected between doses. Thus these long-acting contraceptives are fast gaining ground in third world population control programs. Among family planning officials, feelings of urgency about the population crisis and impotency about alternative approaches no doubt further justify the promotion of these more powerful interventions.
+In sum, if the social realities women face are not changing, family planners will be motivated to push the most long-lasting contraceptives, removing from women the option of interrupting use. And, as we explain below, these are also the least safe methods. In other words, once one accepts the position that family planning is virtually all that we can - and must - do to bring population growth rates down, it follows that ever more coercive and intrusive strategies will be designed to reduce births.
+In fact, those who strongly advocate family planning as a solution, inadvertently admit much of the argument we have just made. Once accepting as irremedial the social realities in which women are forced to live, the only alternative is long-acting birth control methods. Jacobson writes:
+In many cultures... the diaphragm is considered undesirable because women are uncomfortable using this method. It may also be impractical where water for washing is in short supply. Though the pill is relatively inexpensive, it may be a highly ineffective method where primary health care is poor and contraceptive supplies uncertain. And unexpected or unpleasant side effects can cause considerable anxiety among women in countries where medical advice is hard to come by.... Long acting, inexpensive birth control methods are more likely to serve the needs of low-income consumers in developing countries.^69
+Resigned to ever more potent birth control technologies as the only tool with which to bring birth rates down, many governments and international agencies have placed effectiveness ahead of women's safety. Arguing that poor health and sanitation conditions - as well as limited education - make it difficult for third world peoples to use barrier methods like the diaphragm, condoms, and spermicidal foams, family planning advocates have pushed for the use of longer-term, more "effective" methods like lUDs, injectable contraceptives, and sterilization.
+One example of a contraceptive whose long-term effects are unknown is the injectable Depo-provera, one dose of which can prevent pregnancy for three to six months. Although judged too hazardous for general use in the United States,^70 family planning agencies promote Depo-provera in over eighty other countries.^71 An estimated 5 to 10 million women have already used the drug; in Thailand alone, a million injections have been given.^72 Known, short-term side effects include menstrual disorders, headaches, weight gain, depression, loss of libido, abdominal discomfort, and delayed return to fertility.^73 Preliminary studies suggest that Depo-provera may also be linked to an increased long-term risk of cervical cancer.^74
+Many, including some third world women, have been quick to point out that Depo-provera has important benefits to women - preventing unwanted and possibly dangerous pregnancies - which may well outweigh its risks. But the individual user can only make such a choice once she has all the facts. Yet seldom do doctors and family planning staff give third world women the full information they need to make an informed judgment. Depo-provera also reduces a woman's options in the sense that once the shot is given she cannot change her mind for the three to six months it takes for the effects to wear off.
+In the Philippines, researcher Lynn Duggan asked the staff of one family planning clinic (funded by the International Planned Parenthood Federation) whether they routinely told their clients of the U.S. ban on the drug's use as a contraceptive. "Of course not," was the reply.^75 Nor is it unusual for women to remain uninformed about the drug's side effects, says Duggan.^76
+The South African government has commonly abused Depo-provera in its effort to control the size of the black population. According to a medical student from that country, black women are given the shot against their will, often without any explanation as to its nature or purpose.^77 Every three months, family planning teams funded by the South African government visit factories and farms just to administer the injection to women. Those who refuse may be subject to dismissal. Having a family planning card as proof of one's "protection" is mandatory for any black woman seeking a job in a factory or as a domestic worker.^78
+One of the newest long-acting contraceptives is Norplant, described as "the most effective contraceptive yet developed."^79 Implanted beneath a woman's skin, Norplant works like a time-release capsule preventing pregnancy for five or more years. Though Norplant has not yet been approved for use in the United States, it is legally available in ten countries, including Colombia, China, Finland, Sweden, Thailand, Indonesia, and Ecuador.^80 One likely advantage, at least from a family planning agency's perspective, is its price tag: Norplant costs as little as $2. 80 per year of protection, a figure that is expected to fall as production increases.^81
+According to its promoters, Norplant's hormonal dose is smaller than the pill's or Depo-provera's; it has shown no adverse effect on future fertility and has a very low failure rate.^82 Yet the list of short-term side effects are not unlike those we noted for Depo-provera.^83 Moreover, because Norplant should only be implanted and removed by trained medical personnel under sterile conditions, a woman who changes her mind about getting pregnant is at the mercy of her country's health care system. For third world women, finding qualified medical help can be a tough challenge. In Jakarta, Indonesia, for example, a city of 12.8 million people, only one facility is equipped to remove Norplant.^84
+Family planners defend long-lasting contraceptives because they are said to be cost-effective and carefree, demanding little attention from the user. But precisely because of these factors, the new technology can actually reduce instead of enhance a woman's choice if reversal depends on scarce medical personnel or if the new technology delays the return of a woman's fertility, even after disuse.
+Sterilization, because it is usually irreversible in women, is the final step in removing choice. And it is becoming increasingly popular among population agencies. In India, for instance, fully 90 percent of the couples practicing contraception have now been sterilized;^85 and Mexican sterilization rates have jumped over 300 percent in only six years.^86 (In fact, as of 1982, over half of all married Mexican women practicing birth control had been sterilized, given injectables, or fitted with an IUD.)^87
+Puerto Rico, however, may he the most extreme example of government programs restricting rather than expanding choice. Worried by rising unemployment as Puerto Rico moved toward a capital-intensive, export economy, the government began promoting sterilization as early as the mid-1940s.^88 A major propaganda campaign, using radio, television, and other forms of media sought to convince women to get "la operacion." In one poster put out by the Puerto Rican National Planning Institute, a mass of people are tangled together fighting to get out. "Let's Plan Today in Order to Avoid This Disaster in the Future" reads the caption.^89
+By 1965, Puerto Rice had the highest sterilization rate in the world: one-third of all ever-married women had been sterilized, two-fifths of them before the age of 25.^90
+The Puerto Rican government has never actively supported birth control clinics supplying other methods.^91 So today contraceptive choice remains limited to sterilization or the pill. Barrier methods such as the diaphragm, condoms, and foam are difficult to obtain.^92
+Women's organizations attack the Puerto Rican sterilization program as the most abusive in the world. Not only were many Puerto Rican women never told that the operation was essentially irreversible, but some were even unknowingly sterilized while under anesthesia for another operation.^93
+Health risks and third world realities
+These long-lasting methods also entail more health risks. Al' though sterilization is usually considered relatively safe for both men and women, given the lack of sterile conditions for surgery in many third world clinics, sterilization can be dangerous. Alarmed by an avoidable 1987 death of a woman from infection following sterilization, a women's health group in Bangladesh called on the government to put concern for women's health first. Shareen Hoq, a leader of the organization, told the press:
+While health care is hard to come by for most third world women and completely out of reach for many, the side effects of contraceptives may affect third world women more severely than they typically affect women in the industrial countries. The overall health of third world women is likely to be much poorer, with lower resistance to infection and higher incidence of anemia, making loss of blood more serious. Thus safe use of contraceptives may require even more health care attention for third world women than would be needed by women in the industrial countries. Earlier we quoted Elvia Alvarado, a Honduran peasant. Again she describes her own experience:
+My daughters take birth control. I told my daughter Clara that her husband is too poor for her to have another child right now. But to tell you the truth, I don't like my daughters using birth control, because of all the problems it causes. Those pills do a lot of harm to women here. Maybe they don't affect the gringos [North American women] so much, because they are more resistant than we are. They are stronger and better fed. But not Honduran women; many of them get sick.
+Methods like the IUD give lots of infections. And you have to remember that when we get sick it's hard for us to get to a doctor. The nearest clinic is far away. And even if we could see a doctor, we can't afford to buy the medicine. I know a woman who had to pay $60 to get rid of an infection in her vagina. That's more than most of us make in a month!^95
+A final point about safety: the availability of safe and legal abortion helps to make possible birth control alternatives with fewer health risks. That is, if abortion is available as a last resort if birth control fails, women are more likely to feel they can opt for the safer barrier methods of contraception which nonetheless entail a greater risk of pregnancy. Thus the U.S. government's position of denying support for family planning programs that offer abortion, directly undercuts women's ability to choose safer birth control methods.
+The ethical issues raised here are extremely difficult to sort out. But before going on, let us summarize the questions we have touched on. While we advocate family planning, we believe that critical questions must be raised in evaluating population programs:
+o Do they enhance the self-determination and well-being of women, or do they remove control of fertility from women, placing it in the hands of health care - or more accurately, birth control - providers?
+o Do they offer ongoing, village-level care needed to assist people in choosing appropriate methods and in dealing safely with side effects ?
+o And answers to these questions in large part turn on another all important one: Does a government view population control as a means of reducing social pressures resulting from economic and political inequities that it is unwilling to confront? In other words, is population control a substitute for economic and political reform responsive to the needs of the poor?
+<section>How far can birth control alone take us?</section>
+Even if population control advocates are willing to ignore the wealth of evidence showing why fertility rates remain high and plunge ahead with ever more intrusive and coercive methods of family planning, we ask, what will this buy the third world country or the world community? Are birth rates likely to fall to replacement levels, and if so, what is the price - the ethical and human costs - we must pay ?
+First, how much are birth rates likely to drop in the absence of other changes leading to more democratic power structures?
+A number of demographers have sought to isolate the impact of family planning programs on fertility, independent of what we would consider key indicators of poor peoples' relative power, i.e., literacy and educational levels, life expectancy, and infant mortality rates. But virtually all have run into a similar snag: family planning programs and these social realities are almost nowhere independent. Sociologist Phillips Cutright explains:
+The very question of whether a family planning program can produce fertility declines in the absence of development is a straw man, since. . . socioeconomic development - in the form of health and educational development - is a prerequisite for the creation of a strong family planning program.^96
+The experience of the Indian state of Kerala confirms the importance of socioeconomic change in reducing fertility. Kerala has had a family planning program since the mid-1960s, which certainly aided in its fertility decline. But not until social conditions were ripe did people turn to modern eontraception.^99 "In Kerala," notes K. C. Zachariah, population analyst at the World Bank, "the steps came in the right order - a reduction in infant and child mortality, accompanied or followed by an increase in female education, followed by redistributive policies and finally by the official family planning program."^100
+Kerala's success with family planning is especially striking when compared to the rest of India. As we noted earlier, the Indian government launched its most comprehensive nationwide family planning campaign in the mid-1970s. Interestingly, however, the fall in Indian fertility doesn't appear to have been hastened by the program; in fact the decline in India's total fertility rates between 1975 and 1985 was virtually the same as it was a decade earlier - about 15 percent over each ten year period.^101 And, according to the latest figures, the downward trend in Indian fertility seems to have slowed considerably.^102
+While a number of poor countries have achieved major reductions in fertility without significantly improving the security of the majority of citizens - Thailand, Indonesia, and Mexico being three examples none has come close to halting population growth. Nor is there much likelihood, given current trends, that they can do so in the near future. In fact, among low-income countries, aside from some small island populations, only China and Cuba have reached or nearly reached an annual increase as low as 1 percent. China has had a government sponsored family program for some time; Cuba has not. The Cuban government provides contraceptives, including abortion, through its free health care system, but has never undertaken an organized family planning campaign. However, both countries have addressed the structural roots of insecurity and opened opportunities to women outside the home.
+Highlighting the fact that family planning programs in and of themselves have not had a dramatic impact on reducing fertility does not mean that we belittle their value. Making contraceptives widely available and helping to reduce inhibitions against their use are critical to the goal of greater human freedom - especially the freedom of women - as well as essential to halting population growth.
+<section>Can reducing population growth alleviate hunger and other social problems?</section>
+The power structures analysis poses one additional question to those advocating family planning as a means of enhancing human well-being and alleviating stress on the environment: Can reducing births reduce poverty, hunger, and environmental degradation? Since rapid population growth is not the cause of these closely intertwined problems, we doubt that simply slowing growth can alleviate them.
+Consider a few of the countries that have managed to reduce birth rates without significantly redistributing access to survival resources - land, jobs, and health care.
+In Mexico, for example, despite a 37 percent decline in fertility rates since 1960, there is little evidence that the people are any less hungry.^103 Data on malnutrition indicate that fully a fifth of all Mexicans are malnourished, with the estimates ranging as high as 40 to 60 percent for children under four in Mexico's rural areas.^104
+The estimates refer to the late 1970s - well after Mexico's fertility decline was underway^105 and at a time when the country was still experiencing an economic boom from oil exports. The economic crisis of the 1980s has made life harder for many Mexicans and falling fertility has provided no measurable relief for Mexico's poor.^106
+Thailand's experience is similar. In part because of an effective family planning program, Thailand's fertility rates have been cut in half since 1960. But according to a 1984 survey conducted by the Thai Ministry of Health, over half of all children under five suffer from malnutrition - equivalent to 3.3 million children.^107 Malnutrition has been increasing despite both lowered birth rates and improved agricultural production.^108 Thailand is not only a major net exporter of rice, the country's main staple food, but of meat, corn, cassava, beans, sugar cane, and many fruits and vegetables, all of which could be used for domestic consumption. ^109 Most of Thailand's hunger results from highly skewed farmland ownership, especially in the central plain, where land is most productive.^110
+India is yet another example. India's fertility rates - while still comparatively high - have declined 32 percent in twenty-five years.^111 Yet is the Indian population any better fed? Despite the country's dramatic economic and industrial development of the last several decades, the majority of the population has not benefited economically. Nearly half the population lacks the income necessary to buy a nutritious diet.^112 Its own people's widespread hunger notwithstanding, India actually exports food; in 1984, its net agricultural exports were worth almost $1 billion.^113
+It could be argued, of course, that without a slowdown in population growth in such countries, the poor majorities would be still worse off. Even more people would be going hungry, and more families would be without jobs or land.
+Stepping back for a minute to consider the deeper implications of this argument - that all we can do is to reduce the rate of population growth today so things won't be worse for even more people tomorrow - we see that it leads to an untenable moral stance. Can we ethically claim success if we hold the number of hungry people in the world to 700 million? Obviously not. The moral imperative is clear. We cannot let ourselves get sidetracked from addressing the undemocratic power structures that give rise to the problems of poverty, environmental destruction, and population growth by "solutions" which at best can only limit the numbers hurt.
+An analogy may be useful. Imagine that you have a disease, which is slowly getting worse. You approach your doctor for help. After examining you, the doctor offers some not-very-comforting news. "I can offer a treatment that will stop the spread of the disease, but I can't prescribe the cure." He openly admits that the cure is well-known, but unfortunately for you, it is only approved for use in certain countries and yours is not among them. Besides, he is not licensed to give it to you anyway - it's not in his specialty.
+Given the seriousness of the population problem for our whole planet, we cannot rationalize dispensing a less effective medicine in the presence of a known cure. Yet such a course is in effect what is being promoted by those who claim that in certain countries there is no hope for social and economic change.
+<section>Solutions from the power-structures perspective</section>
+An alternative approach to solutions flows from what we have called the power-structures perspective on the population problem.
+In this perspective, rapid population growth is a moral crisis because it reflects the widespread denial of essential human rights to survival resources land, food, jobs - and the means to prevent pregnancy. A power structures perspective therefore holds that far- reaching economic and political change is necessary to reduce birth rates to replacement levels. Such change must enhance the power of the poorest members of society, removing their need to cope with economic insecurity by giving birth to many children. Social arrangements beyond the family - jobs, health care, old age security, and education (especially for women) - must offer both security and opportunity.
+In this process, education is key to opportunity. As the opportunity for primary and secondary education becomes more widespread, taking children away from family support activities, the immediate economic value of children to the family will diminish.
+Second, the power of women must be augmented through expended opportunities for both men and women.
+Third, limiting births must become a viable option by making safe and acceptable birth control devices universally available.
+Family planning cannot by itself reduce population growth, though it can speed a decline; it best contributes to a demographic transition when integrated into village-and neighborhood-based health systems that offer birth control to expand human freedom rather than to control behavior.
+To test this thesis as to the cause of rapid population growth and its implied prescriptions, we have looked critically at population trends over the last twenty years. The historical evidence appears to bear it out. Consider the implications of the following statistics covering three-fourths of the world's people who live in some seventy-odd countries the World Bank designates low and lowers middle income.^114
+Lessons from seven successful societies
+While average annual population growth rates in all industrial countries have been below 2 percent a year for decades, among the more than seventy poor countries only six had both reduced their population growth to less than 2 percent by the period 1980-1985 and cut total fertility rates by a third or more since 1960. They are China, Sri Lanka, Colombia, Chile, Burma, and Cuba (see table 3).^115 Although not a country, and therefore not listed in the World Bank statistics, the Indian state of Kerala also meets these criteria.^116
+Population growth in these six countries plus India's Kerala state has slowed at a much faster rate than in the current industrialized countries during their transition from high to low growth.^117 What do these exceptions tell us? What could societies as different as those of China, Sri Lanka, Chile, Colombia, Cuba, Burma, and Kerala have in common?
+Is it that they have carried out the most aggressive family planning programs? In general, no. Some have and some have not.
+A 1985 study rated most third world countries according to what demographers call "family planning effort," the prevalence and strength of organized family planning programs. The study included six of the countries we are focusing on here, Kerala was not included because it is not a country. It found that Chile and Burma had weak or very weak family planning efforts; Cuba showed moderate effort; and China, Sri Lanka, and Colombia showed strong effort.^118
+Our thesis suggests, moreover, that even those three societies in which family planning effort has been strong could not have succeeded nearly as well as they have without social changes allowing people to take advantage of their birth control programs. Thus the striking parallels among these disparate societies lie in just such social changes.
+First, four of the seven have assured their citizens considerable security through access to a basic diet. They have had more extensive food guarantee systems than exist in other third world societies.
+China. Since the early 1950s, every rural family has had access to land and its fruits, and city dwellers were assured a minimum food allotment. At least until very recently, families unable to earn enough through their own labor were assured the "five guarantees," which included a grain ration.^119
+Kerala. Eleven thousand government-run "Fair Price" shops keep the cost of rice and other essentials like kerosene within the reach of the poor. This subsidy accounts for as much as one-half of the total income of Kerala's poorer families.^120 Three-quarters of all school children and most attend school - receive free meals daily.
+Sri Lanka. From the postwar period to 1978, the Sri Lankan government supported the consumption of basic foods, notably rice, through a combination of free food, rationed food, and subsidized prices.^121 Since the late 1970s, however, this elaborate food security system has begun to be dismantled.^122
+Cuba. Rationing staple foods and setting price ceilings on them has kept basic food affordable and available to the Cuban people for nearly twenty-five years.^123 Under Cuba's rationing system, all citizens are guaranteed enough rice, beans, oil, sugar, meat, and other food to provide them with 1,900 calories a day.^124
+Burma we do not discuss here because its demographic data are considered unreliable and little research exists on the reasons for its slowing growth rate. We take up Colombia and Chile below, following a more detailed look at Kerala and China.
+Kerala. Of these seven societies the most intriguing demographic case study - highlighting the several intertwined questions raised in this report - is that of Kerala state in India. Its population density is three times the average for all India,^125 yet commonly used indicators of hunger and poverty - infant mortality, life expectancy, and death rate - are all considerably better in Kerala than in most low-income countries as well as in India as a whole. Its infant mortality is less than one-third the national average.^126
+Other measures of welfare also reveal the relatively better position of the poor in Kerala. Besides the grain distribution system mentioned above, social security payments, pension and unemployment benefits transfer resources to the poorest groups. Expenditures on public health in Kerala, critical to any effort to reduce fertility, have historically been high. Health facilities are spread evenly throughout the state, not concentrated in the capital as in most third world countries. While land reform left significant inequality in land ownership, it did abolish tenancy, providing greater security to many who before were only renters.
+These are all descriptive measures of what makes Kerala so different. But why Kerala? From the 1950s onward, political organization among the poor led to their greater self-confidence. The poor came to see health care as their right, not a gift bestowed upon them. An Indian researcher noted how this affected the delivery of health services:
+In Kerala, if a Public Health Center were unmanned for a few days, there would be a massive demonstration.. . [where people] would demand to be given what they knew they were entitled to.^127
+And among agricultural workers, grassroots political organization has also been the key to making land reform meaningful, to keeping wages relatively high, and to securing old-age pensions. Demographer John Caldwell notes that Kerala is one of the two societies in all of Asia where one finds the greatest grassroots determination and mobilization to secure such rights. The other is Sri Lanka - also among our list of countries exceptionally successful in reducing birth rates.^128
+Centrally important to the thesis being tested here, women's status and power in Kerala are greatly enhanced compared to other Indian states. The female literacy rate in Kerala is two-and-a-half times the all-India average.
+With these few facts about life in Kerala, we can begin to understand how one of a poor country's poorest states could have achieved a population growth rate not much higher than Australia's.^129
+China. While more complex, China's recent demographic history is equally telling. From 1969 to 1979, China achieved a dramatic transition from high to low rates of fertility. Since China's population is one-fifth of the world's total and its birth rate has fallen even more rapidly than its death rate, China accounts for virtually all of the decrease in global rates of population growth in the past two decades. How was this accomplished?
+Those who focus narrowly on family planning as the answer to high rates of population growth credit China's success to its aggressive family planning programs that began in the late 1960s. Through a network of "barefoot doctors" in the countryside, family planning programs reached into every village. They relied not only on making birth control freely available - including the newly developed pill - but group persuasion to change attitudes toward childbearing and family size.
+Unarguably, such a concerted effort helps explain the dramatic fall in China's fertility rate in the 1970s. But viewed from the power-structures perspective, one must probe deeper. How was it possible that such a far-reaching program - unique in the world - was conceived and implemented in the first place?
+China's family planning program did not arise out of thin air. It reflected prior, massive political change bringing a government to power whose ideological orientation was toward advancement for the whole society, not merely the narrow elite to whom the former government, as most governments, feel themselves accountable. We can unequivocally condemn China's totalitarian features while also recognizing that such a shift in power, from leadership long ignoring the needs of the Chinese peasantry to one attempting to address these needs, was a prerequisite to China's population success record. Indeed, its extensive rural health care system - a precondition for its family planning effort - would have been inconceivable without profound prior political change.
+Changes in Chinese society also allowed people to respond to the family planning initiatives. Far-reaching redistribution of access to land and food, along with an assurance of old-age security allowed the Chinese people to opt for fewer children. China's family planning motivators stressed birth planning as a way to increase prosperity for all, and, as researcher John Ratcliffe puts it, the "clearly visible redistribution of economic resources and increased opportunities for women," made that link believable.^130 Note that virtually all of China's dramatic drop in fertility occurred before 1979, that is, before implementation of its notorious one-child policy.
+It was in 1979 that China's family planning policies took a new tack. Despite the dramatic success in lowering fertility, the Deng Xiaoping government believed that population growth was still hindering modernization. It instituted the world's most restrictive family planning program. Material incentives and penalties began to be offered to encourage all parents to bear only one offspring. According to Ratcliffe, "Enormous pressure - social and official - is brought to bear on those who become 'unofficially' pregnant; few are able to resist such constant, heavy pressure, and most accede to having an abortion. While coercion is not officially sanctioned, this approach results in essentially the same out come."^131
+At the same time, China's post- 1979 approach to economic development began to undercut both guaranteed employment, and old age and medical security. Whereas in 1978, close to 90 percent of rural people were covered by a collective medical system, by 1984 less than half were included.^132 In agriculture, the "individual responsibility" system replaced collective production; private entrepreneurialism is now encouraged. The erosion of social security and widening income disparities have important consequences for fertility.
+Thrown back on their own family's resources, many Chinese again see having many children especially boys as beneficial, both as a substitute for lost public protections and as a means of taking maximum advantage of the new economic system.^133
+In part as a result of these changes, China may be defeating its own population goals. China's birth rates have risen since 1980.^134
+We're not suggesting that these economic and social changes are the sole reasons for the rise. Demographer Ansley Coale of Princeton University believes that another explanation is the Chinese government's 1980 decision to relax its stringent policy governing age at marriage. And recently, enforcement of the one-child policy has been relaxed somewhat. But whatever the future of state population policies, surely these underlying economic and social changes add to pressure for higher fertility.
+Chile. Until 1973, Chileans could proud1y claim to live in the oldest political democracy in Latin America. From that system arose one of the most extensive public health and social security programs in the region - the key to explaining Chile's exceptional decline in population growth. Not only did these social protections contribute to an early and swift decline in infant death rates, commonly viewed as a prerequisite for reduced fertility, but they also improved the financial security of the entire population, particularly in old age. Under Chile's public health system, free or subsidized medical care, including pre-and postnatal care as well as contraceptive supplies, is made widely available through public clinics.^135
+Other factors, which are not so positive, also appear to have been at work in Chile's fertility reduction, at least in recent years. First was the tremendous social upheaval of the 1970-1973 period, when the democratically elected government of Salvador Allende was destabilized and ultimately overthrown by rightist forces aided by the U.S. government. Since then the economic policies followed by the military junta led by General Augusto Pinochet have led to such economic hardship and dislocation for the Chilean working class that having children has become increasingly unaffordable.^136 (See our earlier discussion of the role of children among the employed and unemployed poor in urban settings. )
+Colombia. Of these seven societies, Colombia, not known for its government interventions on behalf of the poor, appears to defy the preconditions of security and opportunity. But not entirely. Colombia's health service sends medical interns to the countryside for one year's free service, unlike many third world countries, where medical services barely reach outside the capital city. Colombia's infant mortality is well below most lower-middle-income countries. It has also achieved high literacy rates, and an unusually high percentage of girls attend secondary school. According to the World Bank, over half of all Colombian women aged fifteen to forty-nine were at some point enrolled in primary school - even more than the comparable proportion for men (45 percent) !^137
+Colombia's record also demonstrates that shifting resources toward women, expanding their opportunities and particularly their education, has a much bigger impact on lowering birth rates than an overall rise in income - a general pattern, according to Yale University's T. Paul Schultz.^138 Colombia's women appear to be achieving greater economic independence from men and therefore are becoming better able to determine their own fertility. They are entering the paid work force at a rapid pace.^139 Income from the coffee boom of the 1970s reportedly contributed to new economic independence for many rural women.^140
+Other telling examples
+Thailand. Here is another country that has come very close CO the achievement of those discussed above. Between 1960 and 1985, Thailand's total fertility rate fell by 50 percent; its population growth rate is currently 2.1 percent a year.^141 What factors have contributed to this decline?
+The changing status of Thai women appears significant. Proportionately more women work outside the home than in other third world countries.^142 Education and wealth have been replacing motherhood and matrilineage as status markers for women, according to the University of Washington's Majorie Muecke.^143 At the same time, as education has become a societal norm, the cost of raising and educating children has risen substantially, reducing their potential economic contribution to the family.^144
+Negative changes in Thailand have also no doubt affected people's reproductive behavior. A shift from peasant to commercial agriculture, encouraged by Thailand's integration into the world market, has increased landlessness and indebtedness in the countryside. The result is greater financial insecurity for many rural Thais.^145
+Throughout our report we have linked insecurity with pressures keeping fertility high, but in Thailand (and now in Chile, too) a worsening situation appears to he contributing to fewer births, or at least not preventing the decline. An extensive government family planning program no doubt plays a part. It has made contraceptives free and easily available in rural and urban areas alike. But other aspects of Thai life must also contribute to this different reaction to economic distress. The elevated position of women, compared to most third world countries, suggests that they may have greater autonomy in making reproductive decisions.
+Costa Rica. While Costa Rica has not reduced its overall population growth rate as much as the other countries highlighted here, including Thailand,^146 its fertility rates have declined a striking 53 percent between 1960 and 1985. It has managed to achieve this drop with what demographers call a weak "family planning program effort.^147 Yet the proportion of Costa Rican women using contraception is extremely high - 66 percent, or three times the rate for the rest of Central America.^148
+Why are so many Costa Rican women practicing birth control, without the strong urging of the state ? The answer again seems to lie in Costa Rica's social structures, which have generated more democratic, responsive governments that have long promoted the health and education of the entire population. Costa Rica's health service is free and universal, and since the 1970s, has extended out to even the most remote rural areas. As John Caldwell describes it,
+Costa Ricans were already sufficiently well educated and egalitarian for these [health] facilities to be used fully as soon as they were provided; there was by the 1970s little need for a political revolution to teach them their rights, for that learning process had been underway for decades.^149
+Social security legislation and liberal labor codes were also introduced early on in Costa Rica, with government expenditures on social welfare getting a strong boost in the 1950s.^150 Moreover, most of Costa Rica's social welfare programs are funded by various taxes on employers, making its tax system one of the most progressive in Latin America.
+The experience of Costa Rica brings Up the issue of income distribution more generally, an important measure of how power is shared in any society. Where income is highly skewed, many are cut out of participation in the economy altogether and left jobless and landless. Thus our analysis predicts that those societies with highly unequal distributions of income will typically have higher fertility as well, and vice versa. So it is not surprising to us that in several of the societies exceptionally successful in reducing growth rates, income distribution is less skewed than in the rest of the world. The distribution of household income in Sri Lanka, for example, is more equitable than in India or the United States.^151 Colombia is one of the few Latin American countries in which income distribution has actually become more equal over the last several decades.^152
+An empirical investigation also suggests a positive link between fertility decline and increased income equity. While one might question the possibility of such neat precision one World Bank study of sixty-four different countries indicated that when the poorest groups' income goes up by one percentage point, the general fertility rate drops by almost three.^153 Adding literacy and life expectancy to the income analysis, these three factors explained 80 percent of the variation in fertility among these eountries.^154 Higher literacy rates and longer life spans suggest societywide change toward greater opportunity and security.
+<section>Reflections and implications for action</section>
+<section>Adding the missing piece to the population puzzle</section>
+The varied and complex histories of the societies highlighted here offer powerful lessons for all those trying to piece together the population puzzle.
+They bear out our essential thesis that the population puzzle is impossible to solve without employing the concept of social power. Earlier we suggested that continued high fertility and growth reflect undemocratic power structures that deny people essential human rights. "Democratic" we defined as more than a political concept, for it applies in social, economic, and cultural life as well. Democracy can be seen as a measure of the distribution of power, existing to the degree that those affected have the power to participate in decisions or, minimally, to have their interests considered.
+As the demographically successful societies we have just discussed demonstrate, the concept of power can most usefully be applied within societies, rather than to societies. The very great diversity of these societies underlines our earlier point that power is not a monolithic concept, moving uniformly through the many sectors and levels of a society. It is diverse, characterized by uneven development.
+We have suggested that within each of these societies, shifts in power relations in key aspects of family, community, and national life have made lowered fertility possible: the enhanced power of women - through basic literacy, education, and employment; the heightened power of peasants to provide food and income for themselves because reforms have widely dispersed access to land; the bolstered power of consumers to secure adequate nutrition where deliberate policies have been implemented to keep basic food staples within the reach of all; the enhanced capacity of people to protect their health as medical care is accessible for the first time; and the heightened power of women to limit their births through birth control. These are some vital measures of changes needed for people to be able to choose fewer children.
+In sum, convincing historical evidence suggests that when individuals and families are gaining power because their rights are protected - particularly the rights to education, medical care including contraception, old-age security, and access to income-producing resources - they no longer have to depend only on their own families for survival. Understandably, without such change, choosing smaller families remains beyond people's reach.
+<section>A country's poverty is no excuse</section>
+A final point deserves attention before broadening our vision to build on the implications of this report.
+Earlier we quoted those who suggest that many third world countries are just too poor to address rapid population growth through economic and social development, so they must take the bargain route: family planning. Surely the examples given here demonstrate the fallacy of this easy out. Of the seven societies cited for their exceptionally rapid drop in fertility and population growth, four arc among the world's poorest: China, Sri Lanka Burma, and the Indian state of Kerala. The political, economic, and cultural changes that allowed population growth to slow dramatically did not depend upon first achieving high per capita income. Poverty is therefore no excuse for the continuing violation of basic human rights to essential resources.
+<section>Broadening the vision</section>
+We believe that the power-structures perspective outlined in this report has much to offer, but we are also aware of potential pitfalls in its conceptualization and application. Stressing that it is the relationships among people that lie at the root of the interrelated problems of hunger, poverty, and rapid population growth, those taking this perspective - including ourselves at the Institute for Food and Development Policy - easily risk being misunderstood. We can be heard to say that humanity faces no resource limitation - that as long as people have enough to eat, the nation (or the world) cannot be considered overpopulated.
+On a deeper level, the very fact that the power-structures analysis focuses on human rights may lead some to assume that it is blind to humanity's wider moral obligations. It might appear to reinforce, or at least fail to take us beyond, a human-centered lack of concern for nonhuman members of the community of all living beings.
+These could he serious shortcomings; we see them rather as valuable challenges to strengthen the power-structures perspective.
+First, a power-structures perspective need not make actual or potential resource availability the test of overpopulation. Since the 1960s, those operating from the people-versus-resources perspective have linked the specter of famine to overpopulation, and in challenging this view, structural analysts have understandably focused on food, too. They have documented clearly that hunger is not caused by inadequate resources. (Our earlier works, Food First: Beyond the Myth of Scarcity and World Hunger: Twelve Myths, are examples of this documentation.)^155 Those using the power structures perspective must now clarify that although hunger is not caused by too many people, for many other reasons one might well judge a nation to have too many people.
+Even focusing strictly on human development, surely more than adequate nutrition is necessary to ensure the quality of life. Japan's 123 million people live in a land area the size of California. Bangladesh has over 100 million in an area the size of Wisconsin. Even though both have the capacity to feed themselves Japan through imports and Bangladesh by developing its own agricultural potential - might not these countries be considered overpopulated on any number of criteria?
+To thrive, human beings need a pollution-free environment to protect health and enough physical space to allow for intellectual and spiritual growth. And certainly, human well-being, in the eyes of many, is enhanced by the opportunity merely to enjoy an environment undefaced and untransformed by human manipulation. In attempting to show that hunger does not result from per capita resource limits, the power-structuralist need not lose sight of these important values. The power-structures perspective emphasizes the quality of human relations and can well be broadened to include the quality of our lives within the larger natural world we inhabit.
+This analysis can therefore serve all those concerned about the quality of life for yet unborn generations and their need for resources. At the same time, it can incorporate the insights of environmental philosophers, ecologists, ethicists, and religiously attuned people who are now challenging humanity's assumption that if people are thriving, then everything is all right. The accelerating destruction of irreplaceable rain forests, the historically unprecedented obliteration of species, the erosion of plant genetic diversity, and the depletion of the earth's protective ozone layer represent a moral crisis beyond humanity's well-being alone. Many people are coming to realize that the infinitely rich biosphere itself must be considered of innate worth.^156
+In other words, the power-structures analysis need not imply that solutions lie simply in making fairer and more democratic access to the fruits of a narrowly human-centered economic development model. The analysis can show how the same antidemocratic structures keeping fertility high also play a central role in environmental destruction. But it can go still further - incorporating insights of those questioning any model of development that perceives the environment merely as a pool of resources for human use.
+<section>Effective responses to the population problem</section>
+Now, decades after the population explosion first went offend with considerable experience in trying to defuse it, we must look unflinchingly at the lessons to be learned. The realization that the population explosion is a complex social fact is not enough; we will have to do more than pay lip service to its roots if we are serious about meeting the crisis.
+To continue to focus narrowly on birth control strategies is to imply that regardless of what we know about the real roots of the problem, better birth control is all we in the industrial West can offer. We do not accept this view, especially as U.S citizens. As a major world power, the United States government directly and indirectly shapes the behavior of many foreign governments. It is inconceivable that the United States would ever stop using its foreign policy to aid those governments it deems supportive of its own interests. Thus it is by becoming citizen activists that Americans who are troubled by the dire consequences of high population growth rates can make their most effective contribution.
+Working to change our own government's perception of the kind of foreign governments it can support may be the single most important way American citizens can help address the population problem. Until our government transcends its deep fear of redistributivc change abroad, our tax dollars will continue to go to support governments blocking the very changes we outline in this report, those necessary to allow people the option of smaller famines..
+U.S. policy toward the Philippines illustrates this point. The population growth rate in the Philippines is among the highest in Southeast Asia, while its people are among the poorest and hungriest. Seventy percent of the rural people either lack land altogether or lack secure tenure to the land they farm; and they must turn over much of what they produce to absentee landowners. The United States supplied billions of dollars to maintain the former martial law government of Ferdinand Marcos, which not only refused to reform this gross imbalance in access to resources, but furthered economic concentration. Since 1986, the Philip' pines has had a new government, but one still unwilling to seriously confront the underlying insecurity at the root of hunger and high birth rates. It, too, receives enormous U.S. military, economic, and diplomatic support.
+Ever since the Philippines was a colony of the United States, our government has played a central role in shaping that country's domestic policy. But the emphasis of that attention has been on military buildup to defeat internal uprising and on economic development favorable to the interests of wealthy Filipinos and U.S. investors. Never has the United States made its economic and political support conditional on domestic policies addressing the undemocratic economic structures that stand in the way of a significant drop in birth rates.
+Such a change cannot come about until U.S. citizens reorient their government's understanding of what is in our own interests. For detailed support for this position, see our previous work Betraying the National Interest.^157 There we argue that maintaining structures denying majorities the essentials for survival and dignity is not serving U.S. interests. The same argument can be made about U.S. policies toward Central American countries, which have among the highest birth rates in the world. Simply funding a family planning initiative in the Philippines or in Honduras, for example, is woefully inadequate. U.S. citizens must be willing to do something much more controversial explicitly identify the link between U.S. policies and the very reasons why birth rates are high to begin with and use one's voice as a citizen to alter those ties.
+Taking population seriously means incorporating the concept of power as an indispensable tool of analysis and facing the logical consequences. It means learning from the clear historical evidence. Without more democratic structures of decision making power, from the family to the global arena, there is no solution - short of dehumanizing coercion - to the population explosion.
+Because we have no time to waste with approaches that cannot work, we must face the evidence telling us that the fate of the world - whether it becomes miserably overcrowded - hinges on the fate of today's poor majorities. Only as they are empowered to achieve greater security and opportunity can population growth halt.
+<section>Notes</section>
+1. Michael S. Teitelbaum, "Relevance of Demographic Transition Theory for Developing Countries," Science 188 (2 May 1975): 420-425.
+2. UN Fund for Population Activities, 1986 Annual Report (New York: UNFPA, 1986), 7.
+3. Personal communication, January 1988. Cutright is with the Department of Sociology, Indiana University, Bloomington.
+4. News Release from the Population Reference Bureau, 28 April 1988.
+5. Julian Simon, "Resources, Population, Environment: An Oversupply of False Bad News," Science 208 (27 June 1980): 1434. According to Simon, productivity will be raised not only through economies of scale and larger markets, but also through the addition of more people's contributions to knowledge and technical progress. See also Julian Simon, The Ultimate Resource (Princeton, New Jersey: Princeton University Press, 1981 ).
+6. Simon, "Resources, Population, Environment," 1434.
+7. National Academy of Sciences, Working Group on Population Growth and Economic Development, Population Growth and Economic Development: Policy Questions (Washington: National Academy Press, 1986), 17.
+8. Paul Ehrlich, The Population Bomb (NewYork: Ballantine Books, 1968), prologue.
+9. William and Paul Paddock, Famine 1975! (Boston: Little, Brown and Co, 1967;renamedTimeuJFamines, 1976).
+10. Lester R. Brown and Jodi L. Jacobson, "Our Demographically Divided World," Worldwatch Paper no. 74 (Washington: Worldwatch Institute, December 1986), 5.
+11. Ibid.
+12. Garrett Hardin, "Living on a Lifeboat," BioScience 24 (October 1974): 561-568.
+13. View expressed in televised debate with Frances Moore Lappé, July 1987.
+14. Per capita cropland from Francis Urban and Thomas Vollrath, Patterns and Trends in World Agricultural Land Use, U.S. Department of Agriculture, Economic Research Service, Foreign Agricultural Economic Report no. 198, Washington, D.C., 1984, table 2, 1984. Life expectancy from World Bank, World Development Report 1985 (New York: Oxford University Press, 1985), table 1, 174. According to the Kissinger Commission report, off-cially the Report of the National Bipartisan Commission on Central America, Washington, D.C., 1984, "57 percent of Honduras' families live in extreme poverty, unable to pay the cost of the basic basket of food."
+15. "Children: A Cost to the Rich, A Benefit to the Poor," The New Internationalist (June 1977): 16-17, cited in Morley and Lovel, My Name Is Today, 34. For more detail on this particular study, see Population and Development Review, September 1977.
+16. M. T. Cain, "The Economic Activities of Children in a Village in Bangladesh, " Population and Development Review 3 ( 1977 ): 201- 2 28, cited in W. Murdoch, The Poverty of Nations, (Baltimore: Johns Hopkins University Press, 1980), 26.
+17. C. Lwechungura Kamuzora, "High Fertility and the Demand for Labor in Peasant Economies: The Case of Bukoba District, Tanzania," Development and Change 15, no. 1 (January 1984): 105-123.
+18. "Hundred Dollar Slaves, " The New Internationalist (October 1986): 9.
+19. John C. Caldwell, Theory c-f Fertility Decline (New York: Academic Press, 1982), 37, cited in Betsy Hartmann, Reproductive Rights and Wrongs (New York: Harper and Row, 1987), 7.
+20. John Caldwell, Theory of Fertility Decline, 69.
+21. M. Nag, B. White, and R. C. Peet, "An Anthropological Approach to the Study of the Economic Value of Children in lava and Nepal," Current Anthropology 19 (1978): 293 306.
+22. World Bank, The World Development Report 1984 (New York: Oxford University Press, 1984), 52.
+23. Mead Cain, "Fertility as an Adjustment to Risk," Population and Development Review9, no.4 (December l983): 688-701, especially 699.
+24. A recent study of Thailand, for instance, found that large families arc increasingly perceived as an economic burden in part because the cost of educating children has risen substantially. See Knodel er al., "Fertility Transition in Thailand: A Qualitative Analysis," Population and Development Review 10, no. 2 (June 1984): 297-328.
+25. Thomas Merrick, "Recent Fertility Declines in Brazil, Colombia, and Mexico," World Bank Staff Working Paper no. 692 (Washington D.C.: World Bank, 1985).
+26. India's Sixth Five Year Plan, 374, cited in Sheila Zurbrigg, Rakku's Story: Studies of III-Health and the Source of Change (Madras: George Joseph Printing Company, 1984), 70.
+27. Interview with two women doctors on family planning, Connexions, Summer/Fall 1985, 49.
+28. Murdoch, Poverty of Nations, 45.
+29. Perdita Huston, Message from the Village (New York: The Epoch B Foundation, 1978), 119, cited in Hartmann, Reproductive Rights and Wrongs, 48.
+30. Jodi L. Jacobson, "Planning the Global Family," Worldwatch Paper no. 80, Washington D.C., Worldwatch Institute, December 1987, 20.
+31. Ibid., 21.
+32. Faruqee and Gulhati, Rapid Population Growth in Sub- Saharian Africa, Issues and Policies, World Bank Staff Working Paper no. 559, Washington D.C., World Bank, 1983, 48-52.
+33. Ibid., 54.
+34. Sally Mugabe, "High Fertility Hampers Women's Status," Popline (June 1987): 2. Popline is a publication of the World Population News Service.
+35. Medea Benjamin, ea., Don't Be Afraid, Gringo: A Honduran Woman Speaks from the Heart (Food First Books, 1987), 47.
+36. Huston, Message from the Village, 38.
+37. Hartmann, Reproductive Rights and Wrongs, 247-248.
+38. Charlene Spretnak in "The Population Bomb: An Explosive Issue for the Environmental Movement," Utne Reader (May/June 1988): 86-87.
+39. World Resources Institute, World Resources 1986 (New York: Basic Books, 1986), 21.
+40. Betsy Hartmann, personal correspondence, January 1988.
+41. Hartmann's Reproductive Rights and Wrongs, as well as chapter 3 of our own Institute's book, World Hunger: Twelve Myths, are only two of the most recent expressions of this attempt to incorporate a gender-based analysis of power within a larger structural framework.
+42. Susan George, "Debt: The Profit of Doom," Food First Action Alert, Institute for Food and Development Policy, San Francisco, 1988. See also George, Fate Worse than Debt (New York: Grove Press/Food First Books, 1988).
+43. Ralph R. Sell and Steven J. Kunitz, "The Debt Crisis and the End of an Era in Mortality Decline," Studies in Comparative International Develop' meet, 1987, cited in George, Fate Worse than Debt, 134.
+44. Alan Riding, "In Northeastern Brazil Poverty Cycle Goes On," New York Times, 3 May 1988, A4.
+45. Kevin Danaher, Phillip Berryman, Medea Benjamin, "Help or Hindrance: United States Economic Aid in Central America," Food First Development Report no. 1, September 1987, 19-21.
+46. Personal communication, 31 December 1987.
+47. Mary Kay Magistrad, "Family Planning Program Under Fire in Bangladesh," Christian Science Monitor, 2 June 1988, 11.
+48. Jodi L. Jacobson, "Planning the Global Family," 5.
+49. Ibid., 5-6.
+50. Ibid., 45.
+51. Ibid., 13.
+52. Judith Jacobsen, "Promoting Population Stabilization: Incentives for Small Families,'' Worldwatch Paper no. 54, Worldwatch Institute, Washington, D.C., June 1983, 8.
+53. During this period, an estimated 83 percent of all contraceptive users were sterilized (see Jacobson, "Planning the Global Family," 41).
+54. J. S. Satia and Rushikesh M. Maru, "Incentives and Disincentives in the Indian Family Welfare Program," Studies in Family Planning 17, no. 3 (May/June 1986): 142.
+55. Hartmann, Reproductive Rights, 237-8.
+56. Hartmann, personal correspondence; also see New York Times, 11 January 1988, 4.
+57. Satia and Maru, "Incentives and Disincentives," 136-145.
+58. Interview with an Indian researcher who wishes to remain anonymous, August 1987.
+59. Ibid., 138.
+60. Betsy Hartmann, personal correspondence. Note also that women tend to, earn less than the average, and few Bangladeshis have steady employment at any wage.
+61. Hartmann, Reproductive Rights, 214.
+62. Ibid., 218.
+63. Ibid., 216.
+64. Betsy Hartmann, Food, Saris and Sterilization: Population Control in Bangladesh ( London: Bangladesh International Action Group, 198 5 ), 17.
+65. More specifically, the Community-Based Integrated Rural Development program, as it's called, offers loans, direct credit, and farm inputs to rural families. See John Stoeckel et al., "Maintaining Family Planning Acceptance Levels through Development Incentives in Northeastern Thailand," Studies in Family Planning 17, no. I (January/February 1986): 36 43.
+66. S. Surjaningrat and R. H. Pardoko, "Review of Some of the Management Aspects of the Indonesian Population and Family Planning Programme," Technical Report Series of the National Family Planning Coordination Board, Monograph no. 37, Indonesia, 1983, 3.
+67. World Bank, World Development Report 1984, 125.
+68. Linda Atkinson et al., "Prospects for Improved Contraception," Family Planning Perspectives, July/August. 1980, cited in Jacobson, "Planning the Global Family," 30.
+69. Ibid., 30-31.
+70. Despite the fact that the Food and Drug Administration has not approved its use, several articles in the New York Times recently reported that Depo-provera is being administered as a contraceptive by the Indian Health Service. Although only 35 Native American women are currently being given the drug. at least 200 were prescribed it in the past. See "Indian Agency Using a Banned Contraceptive," New York Times, 7 August 1987, 8; and "Depo-provera and the Indian Women," Editorial, New York Times, 17 August 1987, 18.
+71. Lynn Duggan, "From Birth Control to Population Control," Southeast Asia Chronicle 96 (January 1985): 28-31.
+72. Duggan, "From Birth Control," 28-29; Linda Golley, "Health Care in Southeast Asia," Southeast Asia Chronicle, (June 1982): 7.
+73. Duggan, "From Birth Control," 29; Also see World Health Organization, Injectable Hormonal Contraceptives: Technical Aspects and Safety (Geneva: World Health Organization, 1982), 17-23.
+74. WHO Collaborative Study of Neoplasia and Steroid Contraceptives, "Invasive Cervical Cancer and Depot-medroxyprogesterone Acetate," Bulletin of the World Health Organization 63, no. 3 (1985): 508; L. C. Powell and R. J. Seymour, "Effects of Depot-medroxyprogesterone Acetate as a Contraceptive Agent, " American Journal of Obstetrics and Gynecology 1 l 0 ( 1971 ): 36-41. Another preliminary study by the WHO Collaborative Group suggests that Depo-provera is not linked to increased risk of breast cancer, as originally suspected (WHO Collaborative Study of Neoplasia and Steroid Contraceptives, "Breast Cancer and Depot-medroxyprogesterone Acetate," Bulletin of the World Health Organization. 63, no. 3 (1985): 513 - 519).
+75. Duggan, "From Birth Control," 29.
+76. Ibid.
+77. UN Economic and Social Council, cited in Caroline Pratt, "Whose Right To Choose ? State Control of Fertility in South Africa and Namibia" (Master's thesis, University of Wisconsin, 1988).
+78. Pratt, "Whose Right To Choose ?, " 21, citing a number of studies and reports.
+79. Jacobson, "Planning the Global Family," 31.
+80. Ibid.; see also Hartmann, Reproductive Rights, 196.
+81. Jacobson, "Planning the Global Family," 31.
+82. Hartmann, Reproductive Rights, 197.
+83. These include disruption of the menstrual cycle, headache, depress sign, loss of sex drive, weight change, nausea, and acne. Norplant is also not recommended for lactating women. See Ibid., 197.
+84. Firman Lubis et al., "One Year Experience with Norplant Implants in Indonesia," Studies in Family Planning, 14 (June/July 1983): 183.
+85. Satia and Maru, "Incentives and Disincentives," 14546.
+86. The proportion of married Mexican women who were sterilized in 1976 was 7 percent; by 1982, it had risen to 29 percent. (During the same period, the use of all other methods fell. ) Note that these figures refer to married women using contraception, not to all women. See Francisco Alba and Joseph Potter, "Population and Development in Mexico Since 1940: An Interpretation," Population and Development Review 12, no. 1 (March 1986), table 5.
+87. Alba and Potter, "Population and Development in Mexico," table 5.
+88. Lincoln Bergman et al., Puerto Rico: The Flame of Resistance (San Francisco: People's Press, 1977), 117. It should be noted, however, that the government did not establish an official sterilization program until 1974; when it did, the program came under the jurisdiction of the Division of Family Planning in the Department of Health. See Harriet B. Presser, "Puerto Rico: Recent Trends in Fertility and Sterilization," International Family Planning Perspectives 6 (March 1980): 20-25.
+89. Bergman et al, Puerto Rico: The Flame of Resistance, 118.
+90. Presser, "Puerto Rico: Recent Trends," 20.
+91. Ibid., 22.
+92. Hartmann, Reproductive Rights, 232.
+93. Ana Maria Garcia, La Operacion (film), 1980.
+94. Magistrad, "Family Planning Program Under Fire in Bangladesh."
+95. Benjamin, ea., Don't Be Afraid Gringo, 48-9.
+96. Phillips Cutright, "Family Planning Programs or Development: The Debate Continues," Intemational Family Planning Perspectives 12, no. 3 (September 1986): 105.
+97. W. Parker Mauldin, Bernard Berelson, and Zenas Sykes, "Conditions of Fertility Decline in Developing Countries, 1965-1975," Studies in Family Planning 9, no. 5 (May 1978): 121. See also, Robert J. Lapham and W. P Mauldin, "Contraceptive Prevalence: The Influence of Organized Family Planning Programs," Studies in Family Planning 16, no. 3 (May/June 1985) for a more updated, though slightly different, analysis.
+98. Lapham and Mauldin, ''Contraceptive Prevalence," 124.
+99. It is in Kerala that India's first "family planning camps," criticized as extremely coercive, were held in 1970 and 1971. See J. K. Satia and Rushikesh M. Maru, "Incentives and Disincentives in the Indian Family Welfare Program," Studies in Family Planning 17, no. 3 (May/June 1986): 136- 145. Our point, however, is that this effort did not "take" until social conditions were right.
+100. K. C. Zachariah, "The Anomaly of the Fertility Decline in India's Kerala State," World Bank Staff Working Paper no. 700 (Washington D.C.: World Bank, 1984), 6.
+101. Rates of change in Indian fertility were calculated using data provided by Bruce Fuller of the World Bank's Population Division.
+102. News Release of the Population Reference Bureau, 28 April 1988.
+103. Data provided by Bruce Fuller of the World Bank's Population Division.
+104. Hector L. Dieguez, "Social Consequences of the Economic Crisis: Mexico" (Unpublished paper by the world Bank, Washington, 1986), 4.
+105. See, for instance Francisco Alba and Joseph Potter, "Population and Development in Mexico Since 1940: An Interpretation," Population and Development Review 12, no. I (March 1986), especially table 4.
+106. In the "Social Consequences of the Economic Decline: Mexico," Dieguez refers to a 1983 survey done by Mexico's National Consumer Institute, which shows a significant decline in the consumption of oil, meat, sugar, eggs, beans, fruits, legumes, milk, bread, and fish. Not surprisingly, these declines were concentrated among the poorest house-holds.
+107. The Thai-American Project, "The Role of the State in the Problem of Malnutrition Among the Children of Thailand" (Unpublished paper, Santa Monica, California, February 1986), 2.
+108. The Thai-American Project, "The Role of the State," 1.
+109. FAO Trade Yearbook 1983 (Rome: Food and Agriculture Organization, 1984), tables 10, 41, 48, 66, and 175.
+110. Kraisak Choonhavan et al., United Nations Institute for Training and Research, Thailand Country Report, prepared for the UNITAR International Conference on "Alternative Development Strategies and the Future of Asia," New Delhi, 11-17 March 1980, 24.
+111. The total fertility rate for India is now about 4.5 children per woman. The 25-year period referred to is 1960 to 1985. Data from the World Bank's Population Division.
+112. U.S. Department of Agriculture, Economic Research Service, Agricultural Outlook (December 1985): 14-18.
+113. FAO Trade Yearbook 1985 (Rome: Food and Agriculture Organization, 1986), 39, table 169.
+114. World Bank, World Development Report 1987, table 27. Note that we've included Cuba in this list of 74 low and lower-middle income countries because it was so classified for the first period of our time series. Only in recent years has the World Bank reclassified Cuba as a "nonreporting nonmember economy." Also note that countries of a million or less in population are excluded from the bank's statistics.
+115. Statistically, twos other countries might he included in this group: El Salvador and Mauritius. The first we exclude because its slow growth results from out migration and disruption and death from war. The second, an island whose population only recently passed a million, is so dissimilar to the other countries as to make meaningful comparisons impossible. Data on growth rates are from the World Bank's World Development Report (1984 and 1987) and represent averages for the 1980-85 period. Total fertility rates also come from the World Bank and were provided to us by Bruce Fuller of the bank's Population Division. We use total fertility rates instead of crude birth rates because the former should not be affected by shifts in the size of the cohort of women who are of childbearing age that could occur over a 25-year period.
+116. According to the Indian Census, the population growth rate of Kerala averaged 1.8 percent annually between 1971 and 1981 (Census of India, Kerala State, part 2A, statements 3 and 8, pp. 28 and 32). Interview with Dr. K. C. Zachariah at the World Bank, Population and Human Resources Division, April 1986.
+117. Murdoch, Poverty of Nations, 89.
+118. Robert J. Lapham and W. Parker Mauldin, "Contraceptive Prevalence: The Influence of Organized Family Planning Programs," Studies in Family Planning 16 (May/June 1985): 177-137.
+119. See for example: Elizabeth Croll, The Family Rice Bowl: Food and the Domestic Economy in China (Geneva: UN Research Institute for Social Development, 1982).
+120. S. Kumar, The Impact of Subsidized Rice on Food Consumption in Kerala, Research Report no. 5 (Washington, D.C.: International Food Policy Research Institute, 1979).
+121. U.S Agency for International Development, Sri Lanka: The Impact of PL 480 Title I Assistance, AID Project Impact Evaluation Report no. 39 (Washington, D.C., October 1982), C-8.
+122. Ibid., C-13. Since the 1970s, the food consumption of the lowest income groups has fallen both in quantity and in quality (less dried fish and beans).
+123. Medea Benjamin, Joseph Collins, and Michael Scott, No Free Lunch: Food and Revolution in Cuba Today (New York: Grove Press/Food First, 1986), 26.
+124. Ibid., 92. In 1983, in fact, the Organization of American States reported that Cuba ranked second in Latin America in per capita food availability.
+125. A V Jose, "Poverty and Inequality: The Case of Kerala," in Poverty in Rural Asia, ed. Azizur Rahman Khan and Eddy Lee (Bangkok: International Labour Organization, Asian Employment Programme, 1983), 108.
+126. World Development Forum 6 (29 February 1988): 1, quoting the New Delhi Family Planning Foundation. The infant mortality rate in India is 100; in Kerala it is 30. See also John Ratcliffe, "Social Justice and the Demographic Transition: Lessons from India's Kerala State," in Practicing Health for All, ed. D. Morley, J. Rohde, and G. Williams (Oxford: Oxford University Press, 1983); Ratcliffe "Toward a Social Justice Theory of Demographic Transition: Lessons from India's Kerala State, "Janasamkhya (Kerala University) 1 (June 1983).
+127. Quoted in John Caldwell, "Routes to Low Mortality in Poor Countries," Population and Development Review 12 (June 1986) 198.
+128. Caldwell, "Routes to Low Mortality, 191-4.
+129. World Bank Development Report, 1987, table 27.
+130. John Ratcliffe, Population Policies Attempting to Solve the Wrong Problem?" Politique de Population, Summer 1988, in press.
+131. Ibid.
+132. Ibid.
+133. This may well explain the apparent rise in female infanticide in China since the 1979 change in policy. See "The Threat of Population Growth," World Press Review (August 1987) 59.
+134. Ratclifte, "China's Population Policies." See also News Release from the Population Reference Bureau, 28 April 1988.
+135. Personal communication with demography professor Alberto Palloni at the University of Wisconsin, December 1987. Another explanation of the decline in Chile's fertility offered by Dr. Palloni has to do with the strong European influence which still exists in Chile today. According to Palloni, this European influence has led to a relative openness in attitudes towards contraception.
+136. Note that the Pinochet government's economic policies were originally designed and overseen by conservative U.S. economist Milton Friedman and his "Chicago boys," as they are colloquially known. For more on these policies, see Elton Rayack, Not So Free to Choose (New York Praeger, 1987) and Alejandro Foxley, Latin American Experiments in Neo-Conservative Economics (Berkeley: University of California Press, 1983)
+137. See World Bank, World Development Report 1984, 198-199.
+138. Interview with T. Paul Schultz, an economist and population specialist at Yale University, May 1986. Studies documenting the reduction in fertility associated with women's education abound.
+139. Interview with Dr. Carmen Diana Deere, Department of Economics, University of Massachusetts, January 1986, and with Sherry Keith, World Bank officer, January 1986.
+140. Interview with Dr. Nola Reinhart, Department of Economics, Smith College, April 1986.
+141. Thailand's population growth rate during the 1960s averaged 3.1 percent per year, implying a 27 percent decline over the last 2 decades.
+142. U.S. Agency for International Development, Women of the World: A Chartbook for Developing Regions, Asia (Washington D.C.: Bureau of the Census, 1985) 33-34.
+143. Marjorie A. Muecke, "Make Money Not Babies: Changing Status Markers of Northern Thai Women," Asian Survey 24, no. 4 (April 1984): 459-469. Knodel et. al make a similar point in their article "Fertility Transition in Thailand: A Qualitative Analysis" noting that aspirations for consumer goods has increased greatly in Thailand, presumably motivating a greater desire for wealth. See Population and Development Review 10, no 2 (June 1984) 297-328.
+144. Knodel et al., "Fertility Transition in Thailand: A Qualitative Analysis," Population and Development Review 10, no. 2 (June 1984) 297-328.
+145. Chayan Vaddhanaphuti and Martha Winnacker, "Old Cash Structures and New Crops," Southeast Asia Chronicle 86 (October 1982): 3-9, esp. table 3. Also see M. Muceke, "Make Money, Not Babies"; Knodel et al., "Fertility Transition," 302; and Hartmann, Reproductive Rights and Wrongs, 7. It should be noted, however, that the impact of increased landlessness could just as well have the opposite effect, i. e., of stimulating fertility. While growing landlessness may lessen the need for extra farm hands, it can simultaneously increase a family's need for income earners, since more food must now be purchased.
+146. The population growth rate in Costa Rica averaged 2.7 percent a year for the 1980-85 period.
+147. Lapham and Mauldin, "Contraceptive Prevalence," 123, table 1.
+148. The average contraceptive prevalence rate for Guatemala, El Salvador, Honduras, and Nicaragua combined is 22 percent. Also note that Costa Rica shows the highest contraceptive use of 28 countries classified as having weak family planning program efforts, and a higher rate than 16 countries with moderate family planning efforts, with the notable exception of Cuba (see Lapham and Mauldin, "Contraceptive Prevalence, " 123, table 1).
+149. Caldwell, "Routes to Low Mortality," 200.
+150. Ibid., 199.
+151. World Bank, World Development Report 1984, table 28, 272.
+152. Miguel Urrutia, Winners and Losers in Colombia's Economic Growth of the 1970s (London: Oxford University Press, 1985), 86-87.
+153. The study also controlled for per capita GNP differences. "The poorest groups" here refers to the bottom 40 percent of the population by income. World Bank, Population Policies and Economic Development, A World Bank Staff Report, Timothy King, coordinating author (Baltimore: Johns Hopkins University Press, 1974), appendix A, 147. See also Robert Repetto, The Interaction of Fertility and the Size Distribution of Income, Harvard Center for Population Studies, Research Papers Series no. 8, (Cambridge, Mass., October 1974).
+154. World Bank, Population Policies, 147.
+155. Frances Moore Lappé and Joseph Collins with Cary Fowler, Food First: Beyond the Myth of Scarcity (New York: Ballantine, 1977); Frances Moore Lappé and Joseph Collins, World Hunger: Twelve Myths (New York and San Francisco: Grove Press/Food First Books, 1986).
+156. See, for example, Baird Callicott, In Defense of the Land Ethic (Albany: State University of New York Press, 1988); Holmes Ralston, 111, Philosophy Gone Wild: Essays in Environmental Ethics (Buffalo, New York: Prometheus Press, 1986).
+157. Frances Moore Lappé, Rachel Schurman, Kevin Danaher, Betraying the National Interest (New York and San Francisco: Grove Press/Food First Books, 1988).

ccm-ldn-terms/data/indexing/training/grain_gr02se.key

@@ -0,0 +1,9 @@
+SEED
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+GENETIC VARIATION
+GENE BANKS
+GENE POOLS
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+EUROPE

ccm-ldn-terms/data/indexing/training/gtz_g03vie.key

@@ -0,0 +1,6 @@
+BRICKS
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+APPROPRIATE TECHNOLOGY
+DRYERS
+CLAY
+CONSTRUCTION MATERIALS

ccm-ldn-terms/data/indexing/training/gtz_g32bie.key

@@ -0,0 +1,6 @@
+BIOGAS
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+ANIMAL PRODUCTION
+APPROPRIATE TECHNOLOGY
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ccm-ldn-terms/data/indexing/training/gtz_g50bie.key

@@ -0,0 +1,12 @@
+INDICATOR ORGANISMS
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+ENVIRONMENT
+TROPICAL ZONES
+SUBTROPICAL ZONES
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ccm-ldn-terms/data/indexing/training/habitat_ha30te.key

@@ -0,0 +1,8 @@
+WOMEN
+DEVELOPMENT POLICIES
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+UN
+DEVELOPMENT PROJECTS
+LIVING STANDARDS
+LAND OWNERSHIP
+HOUSING

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+<title>Towards a strategy for the full participation of women in all phases of the united nations global strategy for shelter to the year 2000</title>
+United Nations Centre for Human Settlements (Habitat) Nairobi, 1990
+<section>Foreword</section>
+This document reports on the process initiated by the United Nations Centre for Human Settlements (Habitat) to promote the role of women in the Global Strategy for Shelter to the Year 2000. The main objective of the Global Strategy is to facilitate the provision of shelter for all by the year 2000. "Shelter for all" means affordable shelter for all groups in all types of settlements, meeting basic requirements of tenurial security, structural stability and infrastructural support, with convenient access to employment and community services and facilities.
+Although each country will have to adopt its own timetable, the general framework for the GSS is as follows:
+1989-1991 - Establishment of national policies and strategies, and design of new institutional arrangements;
+1992-1994 - Introduction of new institutional arrangements, and strengthening of existing national programmes;
+Enabling policies, whereby the full potential and resources of all governmental and non-governmental actors in the field of human settlements are utilized, must be at the heart of national and international efforts. The public sector, rather than attempt to shoulder the entire burden of shelter production and distribution, should concentrate on those needs, e.g., infrastructure provision, which people are usually not able to meet themselves, while encouraging and facilitating the shelter-production efforts of other participants, including the formal and informal private sector, small entrepreneurs, civic and community groups, voluntary organizations and private individuals. Women, as income-earners, home-makers and heads of households, have a crucial role, as contributors to the solution of human settlements problems, which should be fully recognized and reflected in equal participation of women in the elaboration of housing policies, programmes and projects.
+This report is presented in three parts. The Introduction outlines the general process followed by UNCHS (Habitat) to define and create awareness of women's shelter issues. Part One presents highlights of findings and required actions identified during 1988-1989 at five regional seminars organized by the United Nations Centre for Human Settlements (Habitat) and funded by the Governments of the Netherlands and Norway. Part Two presents the strategy or plan of action which was developed and recommended by the Interregional Seminar to Promote the Full Paticipation of Women in all Phases of the Global Strategy For shelter to the year 2000, held at Nairobi, from 4 to 8 December 1989.
+Dr. Arcot Ramachandran
+Under-Secretary-General
+Executive Director
+<section>Introduction</section>
+<section>A. Women and shelter</section>
+Although there have been three United Nations International Development Decades, the role of women in the process of development did not capture the attention of international planners until 1975, when the General Assembly of the United Nations declared 1976 to 1985 to be the United Nations Decade for Women: Equality, Development and Peace. It was not until the end of the Decade, however, that shelter issues of concern to women began to appear on the United Nations agenda.
+Shelter issues were brought to the attention of women's movements and of Member States of the United Nations in 1985, when the World Conference to Review and Appraise the Achievements of the United Nations Decade for Women: Equality, Development, Peace adopted the Nairobi Forward-looking Strategies for the Advancement of Women. These called on governments to:
+"integrate women in the formulation of policies, programmes and projects for the provision of basic shelter and infrastructure. To this end, the enrolement of women in architectural, engineering, and related fields should be encouraged, and qualified women graduates in these fields should be assigned to professional, policy-making and decision-making positions. The shelter and infrastructural needs of women should be assessed and specifically incorporated in housing, community development, and slum and squarer projects.
+"Women and women's groups should be participants in and equal beneficiaries of housing and infrastructure construction projects. They should be consulted in the choice of design and technology of construction and should be involved in the management and maintenance of the facilities. To this end, women should be provided with construction, maintenance, and management skills and should be included in related training and educational programmes.",
+<section>B. The Global Strategy for Shelter to the Year 2000</section>
+The main objective of the Global Strategy is to facilitate adequate shelter for all by the Year 2000. "Shelter for all" means affordable shelter for all groups in all types of settlements, meeting basic requirements of tenurial security, structural stability, and infrastructure support, with convenient access to employment and community services and facilities.
+Two important principles sustain the Strategy. The first is that governments must adopt an "enabling" approach - facilitating the activities of all the present and potential participants in the shelter production and improvement process. The second principle is that, while the main focus of the Strategy is on low-income population groups, it is not limited to any one group but, rather, is based on a comprehensive view of all demand actors.
+The operational focus of the Global Strategy is on national strategies to be developed by all governments. International support is recognized as crucial for the success of the Global Strategy and must be directed towards enhancing national capabilities to formulate and implement national action components. The Global Strategy is a commitment by the world community and a mandate for the entire United Nations system.
+The answer to the question of encouraging the participation of women in the Global Strategy is to be found in the very processes of social and economic development sweeping the countries of Africa, Asia, the Caribbean, Latin America and Oceania. These processes have changed the roles and responsibilities of women. Women, as income-earners, homemakers, and heads of household, and women's organizations fulfil a crucial role as contributors to the solution of human settlements problems. This has to be fully recognized and reflected in the equal participation of women in the elaboration of housing policies, programmes and projects, and more specifically in the formulation and implementation of the Global Strategy for Shelter.
+<section>C. UNCHS (Habitat) activities related to women</section>
+Since the World Conference, the United Nations Centre for Human Settlements (Habitat), which has always placed housing policies and programmes in the context of national development plans, has been actively engaged in the promotion of women both as beneficiaries and as agents of change in the area of human settlements. One of the Centre's first follow-up activities after the World Conference was an international seminar on women and shelter, organized jointly by the Centre for Social
+Development and Humanitarian Affairs/Division for the Advancement of Women and the United Nations Centre for Human Settlements (Habitat). That Seminar, held in December 1985 in Vienna, brought together representatives of governmental and non-governmental organizations for women from many countries of the world.
+The purpose of the Seminar was to familiarize women's organizations with key issues of settlements management. It was felt that, through familiarization with mainstream development issues, women's organizations could formulate proposals related to them for inclusion in national agenda for action. At the end of the Seminar, the participants had an increased appreciation of the broad scope of settlements but they felt that, in order to achieve the greatest impact, it was not enough for women's organizations alone to be made aware of the issues; policy-makers in the settlements sector also had to be familiar with women's perspectives on housing and residential environments. It was stressed that only through joint collaborative efforts could realistic and practical national plans of action evolve.
+The Commission on Human Settlements, at its ninth session in May 1986, recommended that:
+"regional or subregional seminars be organized ... in order to exchange experiences on pilot projects and to define and evaluate the role of women and the organizations that represent them..."
+As a result, work intensified to promote the role of women in the management of settlements. In addition to the resources of the United Nations Centre for Human Settlements (Habitat), funding required for regional seminars was received from the Governments of Netherlands and of Norway during and shortly after the tenth (Commemorative) session of the Commission which took place in April 1987.
+The following regional and subregional seminars were organized by the Centre and the respective host countries in 1988 and 1989:
+(a) Asia and the Pacific: 24-29 February 1988 in Indonesia;
+(b) French-speaking African countries: 28 March to 1 April 1988 in Tunisia;
+(c) Caribbean countries: 6 to 10 June 1988 in Saint Vincent and Grenadines;
+(d) English-speaking African countries: 31 October to 4 November 1988 in Zambia;
+(e) Latin American countries: 27 to 31 March 1989 in Argentina.
+The participants, who were drawn from governmental and non-governmental organizations as well as from donor agencies, were all involved in human settlements activities, particularly those concerning women.
+The objectives of the seminars were:
+2/ See Adjustment with a Human Face (New York, United Nations Children's Fund).
+(a) To provide policy and procedural guidance to high-level policy-makers, in such ministries as housing, public works and industry, on the incorporation of women's concerns in their programmes;
+(b) To provide technical information to representatives of governmental and non-governmental organizations on means of ensuring the effective participation of women in human settlements development and management, with particular emphasis on community participation;
+(c) To facilitate the identification of special problems concerning the participation of women in settlements development and management;
+(d) To enhance communication and co-operation between institutions dealing with issues concerning women and those dealing with mainstream sectoral development Issues;
+(e) To create a readiness in institutions to support policies, programmes and projects to mobilize the participation of women in the development and upgrading of settlements;
+(f) To discuss the effectiveness of different communication and information technologies in promoting gender-awareness in the formulation, implementation and evaluation of policies, programmes and projects;
+(g) To develop national advocacy strategies for the continuous promotion of the involvement of women in the development and management of settlements.
+The following key issues were deliberated upon at each regional seminar:
+(a) The role of women in the formulation and implementation of housing policies;
+(b) Women and land;
+(c) The participation of women in housing finance;
+(d) The participation of women in the construction sector;
+(e) The participation of women in shelter projects;
+(f) Women, water, and sanitation;
+(g) Community participation as a means of enhancing the role of women in the development and management of settlements;
+(h) Communications and information as instruments to enhance the participation of women in the development and management of settlements.
+Highlights of the findings and recommendations of the seminars are presented in Part One of this paper.
+The Interregional Seminar to Promote the Full Participation of Women in all phases of the Global Strategy for Shelter to the Year 2000 was convened to give further impetus to the process begun by the earlier series of seminars. The participants (governmental and non-governmental), observers, resource personnel and donors were drawn from each of the five earlier seminars. The Seminar built on regional experiences to develop a plan of action for the continuation of the process which the United Nations Centre for Human Settlements (Habitat) had initiated. Part Two of this document provides an overview of the Seminar.
+The process initiated by the United Nations Centre for Human Settlements (Habitat) is directed towards the achievement of the following long-term development objectives:
+(a) Involving women at all levels of the planning and implementation of human settlements policies and programmes;
+(b) Improving the residential/work environment of women, especially urban and rural low-income women, their families and communities.
+The strategy developed during the Seminar was formulated in the total United Nations context. In his introductory remarks at the regional meeting in Indonesia, the Executive Director of the United Nations Centre for Human Settlements (Habitat) had pointed out that the declaration of 1976-1985 as the United Nations Decade for Women had been a result of the recognition that the scales of world equality had been out of balance. Not only had women experienced negative effects of the shift from traditional to "modernized" societies through the development process, they had been, by and large, excluded from the development planning process itself.
+During the Decade, efforts had been introduced to improve the status of women, and, despite difficulties confronted by all countries, those efforts had resulted in substantial achievements, although they had been unevenly distributed between developing and industrialized countries and among sectors of the economy. Noteworthy among the achievements had been the increase in visibility of women's issues throughout the world; the growth of worldwide women's networks; the expansion of research, writing, and scholarship on the status of women and world development; progress in legislation; the rapid expansion of the female labour force; the narrowing of educational gaps between men and women at the lowest levels of the education system; and a general acknowledgement of the need to include women in development policies and programmes not only for reasons of social equity, but in order to realize overall national development objectives.
+The Fourth United Nations International Development Decade is about to be launched after a decade that has witnessed difficult and painful adjustments to the global economic crisis. As many studies have shown, the debt crisis has affected women and their dependent children especially. The prospects for the 1990s, according to international analyses, indicate that the trends of the 1 980s are likely to continue, given current policies. Macroeconomic trends, particularly the continuing world economic crisis, have negatively affected the shelter conditions of women. Fewer employment and income-generation opportunities have resulted in more homeless women: reduced social expenditures on child care and education have pushed women into marginal, temporary and low-paid jobs. in addition, continuing social prejudices against women keep their needs secondary to those of men, and the process of including women in decision-making is agonizingly slow. The increased fragmentation of the
+family, because of migration, divorce, separation etc., has resulted in a greater number of households being headed by women, but the specific shelter needs of such households have been largely unrecognized.
+For the majority of women in developing countries, the challenge is still one of survival and the satisfaction of the basic needs of their families. They still have to struggle for a bare minimum income, for food, for shelter and for employment. They still have to acquire literacy, an acceptable level of education and training, and health standards which will allow them to work productively and to enjoy the fruits of their work. However, there are signs that women and shelter issues have found a permanent place on the United Nations agenda if not in the reality of daily life. The first such sign is the process initiated by the United Nations Centre for Human Settlements (Habitat) to ensure the full participation of women in the Global Strategy for Shelter to the Year 2000.
+Human settlements are where organized human activity takes place. They function as a system at the global, regional, sub-regional, national and sub-national levels down to the lowest unit of human habitation. Human settlements are not simply housing or the physical structure of a city, town or village but an integrated system of all human activities residence, work, education, health, culture, leisure - as well as the physical structures that support them.
+Human settlements form an important component of a country's fixed capital assets. Public investment in human settlements development - unlike investment in so-called "productive" sectors which, more often than not, suffer rapid obsolescence - are rarely wasted. Investment in human settlements invariably contributes to improvement of a society's ability to respond to basic development needs, such as shelter, education, health, mobility, and (generally) productive output, as well as to conservation of the natural environment.
+It might be said, therefore, that while the United Nations Centre for Human Settlements (Habitat) has a special interest in the provision of shelter (decent and affordable housing) for all, this is placed within a broad concept of human settlements which links the issue, as it should be, with almost every aspect of economic and social development. The strategy developed during the Seminar for the full participation of women, therefore, was squarely in this broad context - viewing women, the family and shelter as parts of integrated community development and the community in toto as a contributor to national development plans and the Global Strategy for Shelter to the Year 2000.
+It is becoming apparent that national development targets can only be achieved if women are approached as the main agents of change. The total sum of their available knowledge and talent is indispensable to progress and the development of humanity. Therefore, in the interest of national development as a whole, the contributions of women to development, which have remained unacknowledged for so long, must be seen by national planners as a valuable resource to supplement and balance those of the long-dominant male.
+As development planners and activists look to the participation of local communities in the development process, they are finding that it is the women in communities who are the main providers of food, water and energy for their families, who build houses and who care for children and the sick. In addition to child-bearing and child-caring, women are often engaged in small-scale businesses in the informal sector. Reaching women at the community level is reaching the prime "agents for change": when only men are targeted for action and provided with resources, women, families and communities do not automatically benefit.
+Human settlements activity requires a specific focus on women, because, in the majority of countries the shelter needs of women are still subsumed under those of the family, even though there is ample evidence that the specific needs of women and the contributions they can make are distinct from those of men. If it is accepted that human settlements are more than physical structures accommodating people i.e., that they are "places to live and produce in, and a space within which the socialization process and social interaction occur, safeguarding the social fabric and social values of all its dwelles", as they were described by the Minister of Women's Affairs of Indonesia, H.E. Mrs. A. Sulaskin Murpratomo, at the seminar in Indonesia, it is essential to the social fabric of a country that the concerns and needs of women be taken into account in all policies, plans, programmes and projects related to human settlements. Women are, after all, the primary users and providers of
+the infrastructural facilities in a settlement, i.e., water supply and sanitary and health services, carrying out income-generating as well as household and child-caring tasks in extremely difficult conditions within the home and, also, contributing to the informal construction of shelter in poor rural and urban areas.
+The earlier series of seminars had addressed the concerns and needs of women in general, but the focus of the meetings and the priority of the United Nations Centre for Human Settlements (Habitat) were given to urban and rural poor and low-income women. Further delineations will no doubt result from future national and sub- national studies, as the process of involving women in the Global Strategy for Shelter progresses. For example, during the International Year of Shelter for the Homeless, two meetings on women and shelter (planned in consultation with the United Nations Centre for Human Settlements (Habitat)), identified additional categories of low-income women. A seminar held in Harare, from 30 November to 5 December 1987, delineated the categories: urban poor women, women on peasant farms, and women on plantations and other worksites. The United States National Congress of Neighbourhood Women Conference on "Housing Options for Women", held at Camden, New Jersey, in
+October 1987, focused on another growing category: the increasing number of homeless women in industrialized urban centres.
+<section>Part one: Overview of regional seminars</section>
+This Part of the report draws upon the work of the five seminars in the earlier series organized by the United Nations Centre for Human Settlements (Habitat) and on selected papers on the subject: women and shelter. It highlights only the main findings of the seminars; detailed regional and country reports are in the Centre's archives for further reference. These highlights were also included in a background paper that provided a framework for the Interregional Seminar to Promote the Full Participation of Women in the Global Strategy for Shelter to the Year 2000. They are discussed below under housing policy, land, finance and construction, as they relate to women, and community participation and communications and information as means of enhancing the involvement of women in the development and management of settlements.
+Women are central to the activities performed for the daily subsistence of families and communities, yet are unrecognized and, hence, are marginal in the sweep of development planning and programmes. However, it has to be emphasized that each community and country should be analyzed in the context of its own history and culture, in order to design appropriate responses to women's issues in human settlements. Thus, when this overview states that women, generally, are experiencing certain problems, it should be kept in mind that there are many distinctions not developed within the scope of this document. These differences need to be studied before making specific plans for action at national and community levels.
+<section>A. Women and housing</section>
+1. Findings policy
+In the formulation of shelter-development policies, the United Nations Centre for Human Settlements (Habitat) has identified two aspects of women's participation.
+The first is the direct participation of women themselves in the formulation of the policies; the second is the inclusion of considerations specific to women in the formulation of policy. Both are essential but, with few exceptions, both were found to be poorly developed in all regions.
+One reason for the low levels of participation by women is the assumption/hat women are only potential recipients of the benefits generated in the human settlements sector, not contributors. This implies a purely welfare-oriented focus on women, even in those national economies that can afford welfare programmes. Another consideration is that shelter is often viewed merely as a physical structure accommodating a group of people - the family. The provision of shelter to the family is, thus, misinterpreted as being the same as the satisfaction of the shelter needs of women.
+Changing social conditions, which tend to disrupt the traditional patterns of family and kinship, are increasing the number of households headed by women in low-income urban settlements. Rural-to-urban migration is also increasing the number of woman headed rural households which must survive precariously on remittances from family members in urban areas, supplemented by income derived from subsistence-level agricultural production and/or paid agricultural work. The double burden of managing the household and generating income places women at a disadvantage in dealing with the complications of obtaining shelter through conventional housing programmes.
+The gender-specific discrimination to which women heads-of-household are subjected costs society a great deal without benefiting any specific segment. Households headed by women are often excluded from programmes and projects simply because existing laws or statutes recognize only males as heads-of-household. In other cases, eligibility criteria for housing applications require a partner. Public announcements, application procedures, down-payment requirements and repayment procedures all discriminate against women - especially against women heads-of-household.
+A particularly intractable difficulty identified at the seminars was the rapid rise in the number of people in need of housing at a time of a severe limitation on overall governmental resources, a situation exacerbated by adjustment policies being followed in many countries. It was pointed out that, in Latin America, economic stagnation and absolute poverty are spreading into the mushrooming spontaneous settlements (slums, shanty towns, ranchos and favelas) that girdle the urban centres of the region, casting doubt on the conventional belief that urban development and economic growth are positively linked. Rural poverty is being exported to the city, especially in the absence of positive urban-development programmes to raise the economic and social status of the poor, particularly women. This situation increases the need for national priorities and policies that will guide human settlements growth equitably.
+The seminars addressed the question of why governments should single out women, in the face of the vast number of men and children who are also not benefiting from current housing programmes. The following points were made in this connection:
+(a) Within the target universe of the disadvantaged population of a country (in many cases, as high as 80 per cent), the needs of the great majority of women are poorly addressed, even when policies generally correspond to the needs of the poor as a whole;
+(b) Many women who are members of "conventional" households are at a disadvantage, because shelter programmes on the whole are not benefiting the poor, and, as a result, women suffer disproportionately;
+(c) Women who are not members of "conventional" households are at a disadvantage, because programmes actively discriminate in favour of "conventional" households;
+The removal of the first type of disadvantage was considered to be relatively easy, because it does not necessarily result in a confrontation over the allocation of limited financial resources. Nevertheless, it does create a confrontation over attitudes and power - essential elements for lasting change - which it might be very difficult to avoid.
+The consensus also recognized that shelter policies are a compromise between conflicting aspirations of different groups in a settlement and their respective stakes in the decision-making process. There appear to be two prevailing ways of viewing and treating urban growth. One approach views the city purely in terms of its market value and land purely as a commodity, the price of which must be maximized in order to sustain municipal finances through property taxes. This approach dismisses the urban poor, their informal economy and their residences as low-value occupiers of urban space. The second approach looks at the city in terms of its use-value as a place in which to live and produce, and tries to safeguard the traditional social fabric and the residential and economic activities of the informal sector. This people-oriented approach, however, is steadily losing ground to conventional economic analysis.
+Planning instruments, such as building codes, redevelopment schemes, zoning ordinances and land-use regulations, tend to further the objectives of large-scale influential businesses rather than those of poor and disadvantaged households. Mixed-use restrictions (which contribute to the destruction of traditional crafts and small-scale workshops to the advantage of corporate manufacturers), banning of street vendors (who are often perceived as a threat to organized trade) and the introduction of various licensing and regulatory devices (which favour formal over informal businesses) all claim priority in urban space for the corporate economy. It is obvious that the losers from such trends are the informal sector and people who obtain their work and their housing from it, particularly women.
+The demand for urban space created by market forces, narrowly defined, has an important impact on the traditional residential-cum-working neighbourhoods inhabited by the poor. It particularly affects women who earn a large portion of their income in the informal sector as well as in home-based crafts and manufacturing activities. Removed from their traditional locations, their employment opportunities disrupted and their transport costs increased, the urban poor in developing countries are often impoverished by the very policies which were ostensibly intended to benefit them.
+The seminars acknowledged that progress has been made in all regions towards the achievement of equality for men and women in access to housing, land and credit, but reiterated that women are under-represented at decision-making levels and, therefore, make but a minimal contribution to the formulation of housing policies. In Latin America, the Costa Rican Government was cited as an exception, because its official programme gives priority to the housing problem and expresses the need for changing the role of women in society through improved conditions for the participation of women in the production process, as well as in social, political, and cultural life.
+During the seminar for French-speaking countries in Africa it was reported that in Tunisia women have had the benefit of advanced legislation since independence. Wives are not under the guardianship of their husbands with regard to the management of their possessions, the acquisition of land or access to credit. Participants at the seminar stressed the need for ratification of the Convention on the Elimination of All Forms of Discrimination against Women, adopted by the United Nations in 1979, and for a popularization of women's legal rights - both of which require above all, a change of attitudes. A Moroccan woman stated that, in her country, laws currently in force were in women's favour and are not discriminatory, but that there was a difference between what the law said and the way things were actually done. Men were not ready to accept women in business, management or labour. Women's organizations still had a lot to do to sensitize women to the need to join together to
+assert their rights and their opinions. She cited a positive example which was beginning to bear fruit in Morocco - that of co-operatives. Women were creating women's co-operatives which gave their members negotiating power with financial institutions and local-government authorities. A woman from Niger also posed the problem this way: "Theoretically women are wanted; their place is reserved and recognized. But because of their inferior level of education they cannot participate." This clearly underscores the inter-relatedness of all facets of development and the need to analyze and act on women and shelter issues within the scope of broad development policies and programmes.
+It was also noted that, in recent years, efforts have been made by some governments in Asia and the Pacific to repeal laws and regulations which discriminate against women and to encourage the participation of women in the political process. Nonetheless, progress is slow, and obstacles persist.
+In all regions, it was stressed that shortfalls in the formulation of human settlements policies and the gap between legal rights and enforcement had the greatest effect on the poorest urban social classes. In this situation men as well as women are excluded from participatory processes. In the rural setting, too, there are distinct land and settlement configurations according to local customs and systems that must be factored into human settlements policies. Without exception, each region stressed the adverse impact of policies on women in all rural and urban economic and social categories.
+2. Action needed to tee taken
+All the seminars confirmed the universally accepted dictum for bringing about policy change in favour of low-income women, their families and communities - there must be a political will to do so. In order to strengthen political will in this direction, they suggested the following:
+(a) Help to establish housing and human settlements as a fundamental right, rather than a market decision;
+(b) Develop plans at the national and local level to communicate this concept to policymakers and to inform women, their families and communities of their rights and responsibilities as citizens - through public education;
+(c) Campaign for the allotment of funds for research that can be applied to improve data on women and their shelter needs;
+(d) Formulate appropriate policy recommendations on such issues as space distribution and design, access to basic public services and amenities, labour-saving technologies, construction-skill development, transport needs, employment options and the special needs of women heads-of-households;
+(e) Analyse current policies and legislation in relation to the needs of low-income women, their families and communities in terms of sustainable human settlements, and determine changes that are needed;
+(f) Work with women's bureaux to encourage other governmental agencies particularly planning ministries and legislative bodies -to disaggregate data by gender (and, where possible, by class and ethnicity, as well) and to apply gender analysis to all sectors at all levels of development planning and programming;
+(g) Elicit the support of non-governmental organizations (NGOs) and community-based organizations (CBOs) - for both men and women - to create an impact on national housing policy formulation, implementation and monitoring, in order to ensure inclusion of women's concerns in the process;
+(h) Create regional, national and local committees, with equal participation of knowledgeable men and women from government, NGOs and CBOs, to plan, implement and evaluate the Global Strategy for Shelter.
+<section>B. Women and land</section>
+1. Findings
+Each of the earlier seminars identified the access of women to land as a critical link that receives almost no attention in the human settlements chain. Monopolization of urban land by commercial interests, escalations in land prices and reluctance of governments to address land issues are obstacles to the acquisition and retention of land by the rural and urban poor in general. Poor women meet many added obstacles, such as low incomes, limited or no access to credit, and cultural biases reflected in restrictive policies on women's ownership of property.
+The United Nations Centre for Human Settlements (Habitat) has observed that neither agricultural programmes with a land-reform component nor urban sites-and-services projects have addressed the issue of the right of women to own land. The rights of women, in general, and of women heads-of-households or of wives in polygamous marriages, in particular, have been neglected. With land providing one of the few recognized forms of collateral, the access of women to shelter and to investment finance in other sectors is constrained.
+The Convention on the Elimination of All Forms of Discrimination against Women, which came into effect in 1981, deals with the property rights of women in three separate articles:
+(a) With reference to rural women (article 14), the Convention calls for equal treatment in land and agrarian reform, as well as in land-resettlement schemes;
+(b) With reference to the status of women before the law, article 15 calls for equal rights for women to conclude contracts and to administer property;
+(c) With reference to marriage and family relations, article 16 calls for the same rights for both spouses in respect of the ownership, acquisition, management, administration, enjoyment and disposal of property.
+Although the Convention does not make a general call for all categories of women rural or urban, daughter, wife or mother -to have equal access to all forms of property, nevertheless, even those property rights agreed upon within the framework of the Convention are not recognized in a large number of countries which have signed and ratified the Convention.
+The problem of the access of women to urban land presents additional complications, requiring understanding of the processes of urban land development and allocation. Access to legitimate and secure shelter in the vicinity of income-earning opportunities, with an acceptable level of essential services such as roads, water supply and drainage, remains an impossible dream for millions in developing countries. Governmental strategies to increase the supply of land to the poor through public-sector interventions, such as squatter-settlement upgrading and sites- and-services schemes, have been insufficient to meet the need, and increasing numbers of low-income people are finding accommodation through informal channels. Non-commercial arrangements include unauthorized invasions of public or private land, encroachments on marginal lands or occupation of abandoned proper ties: unfortunately, the general tendency is for informal arrangements to be increasingly commercialized. Very
+often, residents are subjected to harassment and exploitation and are, therefore, reluctant to invest their savings. Commercial arrangements include the illegal sale of public land, substandard land subdivision, land rental and land fragmentation. Such arrangements normally require a down-payment to the landholder and recurrent charges for services.
+Public-sector intervention usually leaves out the lowest strata among low-income groups, since ability to repay is an eligibility criterion for public-sector schemes. These arrangements have a particularly adverse affect on women, because applying this criterion means that households headed by women are seldom deemed eligible for plots in sites-and-services schemes (although actual repayment performance has not been shown to be related with certainty to apparent repayment ability). In the private sector, poverty, lack of information and social pressures place women in a particularly disadvantaged position with respect to both commercial and non-commercial land arrangements. The decreased availability of vacant land open to squatter invasion or encroachment, strict enforcement of legal measures by the authorities, the decreased supply of cheap rental accommodation in inner-city slums and rises in the number of evictions are factors that have changed the nature of the
+prevailing informal processes of land acquisition - again with particularly negative effects on women.
+The participants in the earlier seminars stressed that much needs to be done by governments to increase the availability of land for shelter through legal and administrative means, so that the poor, the majority of whom are women, may gain access to land and shelter. Access to land for all has to be a component of human settlements development strategies, paying special attention to the needs and contributions of women and other marginalized groups in shelter and infrastructural development.
+In Malaysia, the Federal Land Development Authority (FELDA) allocated land based on a nuclear-family concept, the head of household was expected to be male, and the role of a woman was to assist in development. On the death of her husband, a woman could not claim title to the land; instead, the land was passed to the eldest son. If he was below the legal age, the widow might only hold the title deed until the son attained the age at which he could claim title.
+In Papua New Guinea, land was described as falling into two categories - customary and alienated, i.e., where Western forms of land tenure obtain. Customary land is said to account for approximately 97 per cent of the land area and is viewed as being much more than a commodity. It plays a complex role in the economic, social, and cultural life of the people. Ownership rests with clans and tribal groups, and title is based on historic occupation. However, little or no attention is given to women's specific needs or concerns with respect to land and housing policies. The decision-making process is, by tradition, a male responsibility, and women have little or no control over land distribution, use, or demarcation.
+In India, land is a very scarce resource, with 70 to 80 per cent of it owned by 20 to 30 per cent of the population. Land-reform legislation was enacted for redistribution of land, by placing a ceiling on holdings and providing for the takeover of "surplus lands" to be redistributed to the landless.
+However, implementation of the land-reform law is not considered a success. Urban ceilings on land holdings have been a distinct failure. In any event, it was pointed out that if the law were to be successfully implemented, beneficiaries would be relatively few (less than 1 million) compared with the many millions in need. Guidelines with respect to land rights for women have been issued by the Government, instructing that whenever surplus lands or other governmental lands, house sites etc. are distributed, the title is to be held jointly by husband and wife. The rights of women heads-of-household are not mentioned. In the parts of India where a matriarchal system prevails, however, the access of women to land is reported to be good.
+The Women's Charter of Singapore, passed in 1961, stipulated that married women had the possibility and capacity to acquire, hold and dispose of property in their own names. Creditors of the husband could have no claim against property given by the husband to the wife. Once again, there was no mention of the rights of unmarried women or women heads-of-household in the Charter.
+The participants in the seminars in Africa said that, in general, Africa has two systems of land tenure existing side-by-side. On the one hand, under the inheritance and customary systems dominant in rural areas, where the chief of a tribe is solely responsible for land allocation to different members of the community, women are not permitted to own land or participate in decision-making about land use and shelter policies, although they can have access to land through their fathers, husbands, brothers or sons. On the other hand, there is the legal land- tenure system, introduced by colonial administrations, where land ownership changes according to an individual's capacity to pay; land is seen as a commodity which can be bought and sold. Land ownership has affected the production of housing for all income groups, in particular for low-income people. Land ownership also has implications for the extraction and production of building materials. Under the legal land system,
+anyone can own land, regardless of sex; however, as women are the poorest of the poor, access to land is, for them, an impossible dream. Evidence shows that, in most African countries, customary land tenure is quickly being transformed into legal land tenure, where titles of ownership are guaranteed by governmental legislation. Modern systems discriminate against women more than traditional, even patrilinear, when women had right of use (as men did). Now "ownership" is vested in men only, even in previously matrilinear areas.
+The Population Division of the United Nations Secretariat has determined that the urban population of many large sub-Saharan cities - Nairobi, Dar-es-Salaam, Nouakchott, Lusaka, Lagos, and Kinshasa among them - grew more than sevenfold between 1950 and 1980. The demand for land for commercial and office purposes and to build houses for profit is on the increase. This commercial pressure on urban land has given rise to land speculation. In recent decades, the urban poor, needing shelter close to their workplace and unable to participate in the land market, occupied vacant land on the outskirts of cities and made their own shelter arrangements. There is evidence that the amount of such vacant land for these informal arrangements is decreasing. Poor urban women in these areas, who cannot afford to buy food and would like to have a garden and livestock to feed their families, are often prevented by law from carrying on such activities in urban areas. There is a need for
+allotments in and around urban areas to allow low-income people, particularly women, to grow subsistence foods.
+Governmental interventions in land issues to favour the poor were considered to be negligible, generally confining their role to planning controls and zoning. Even in recognized squatter settlements, governments have been reluctant to grant occupancy titles to residents. This is particularly stressful for women who need to own land for security purposes, e.g., old age and credit-worthiness.
+In Zimbabwe, the Legal Age of Majority Act of 1982 secured for women the right to own land and property, but, in practice, women who wish to buy land have to have the husband as a referee, to secure the transaction. Women who live in rural or mining areas are at a particular disadvantage.
+Land ownership is in the hands of large farm and mine employers (mines and farms occupy 40 per cent of the land and account for over 15 per cent of the population). Farmers and mine employers are responsible for providing housing and services for their employees, but occupancy rights for women only possible through husbands who are employees. Should the husband cease to be an employee, become ill or die, the woman loses her right of occupancy.
+In the United Republic of Tanzania, under modern law, every one over 18 years of age can acquire land. However, in practice, women are still restricted in land ownership because of complicated procedures, inheritance customs and the bureaucracy. In the Ujamaa village system, ownership of land is vested in the heads of households who, by governmental criteria, are men. Upon the husband's death or separation, a woman cannot claim a legal right to property which is in the husband's name.
+In Zambia, women did not have customary rights to own land or buildings, but this has changed with legislation, since independence. Married women, however, must have their husbands consent to any transactions.
+Current legislation in Swaziland was reported to forbid women's possessing land or property or engaging in contractual agreements. The position of women is aggravated by the existence of polygamy. Yet, the low position of women seems to contradict the realities of Swazi society. Historically, the country has a large number of women heads-of-household, as a result of male migration to South Africa (approximately 25,000 a year) and to urban areas. Women have been responsible for producing and maintaining their own shelter, but they have no access to land or property.
+In Egypt, women have the right to own land and property, if they can afford it. A woman automatically shares half the husband's property on marriage.
+The Caribbean seminar highlighted the Sou Sou land concept - the makings of a gender-aware policy on human settlements in Trinidad and Tobago. This concept allows for the development of an explicitly gender-aware approach to human settlements, so that the specific needs and aspirations of women for land and shelter can be understood and addressed. The Sou Sou land concept is a departure from the highly centralized, State-funded and bureaucratized system of settlement planning. It offers an opportunity for opening up dialogue on the variability of the social and economic situation of women who seek land and shelter as a fundamental human right. The non-zoning approach to land use and the organization of shelter, with respect to the provision and use of space, implicitly recognizes the triple role of women, in the home, at work and in the community particularly in the informal sector of the economy. All three can be brought together under one roof, so to speak, thereby
+alleviating hardship for those women who must, of necessity, reconcile their triple involvements related to production, reproduction, and the management of both the domestic household and community action groups.
+The Sou Sou land approach does not appear to assume that the household of the beneficiary needs to be male-headed. Financial viability is definitely not tied to the usual demand that there must be a strong collateral base linked to criteria, such as set income levels, proof of employment stability, and a credit record. While putting the burden of responsibility for financing settlement on the beneficiaries, this approach sustains the idea of State support by categorizing beneficiaries (e.g., squatters and non-squaflers), by initiating the collection of "hands," or partial payments, from would-be beneficiaries and by making provision for a Government-arranged savings plan to be used for land purchase.
+A gender-aware settlement policy requires sensitivity and responsiveness to the social and functional literacy levels of the large number of working women who need shelter. The communication network to make this happen must be "user-friendly." For example, in Trinidad and Tobago, community meetings are conducted to alert the citizenry to the need to participate in the determination and resolution of settlement problems.
+Such meetings, which are held regularly in community centres or other suitable areas in the town or village, allow for face-to-face contact and understanding between settlement administrators and the people. Through such networking, the sensitivity of these "grassroots" planners, many of whom have subsequently assumed public office in Trinidad and Tobago, can be easily attuned to the gender-aware dimension of development planning for settlements.. The incumbent Minister of Settlements, for example, is a former Sou Sou land administrator, involved from the inception of the project. Her commitment to the institutionalization of the Sou Sou land concept, as an integral part of multisectoral State planning is highly regarded. So too, is her dedication to the task of uplifting the status of women in society. This augurs well for the movement to develop a distinctly gender-aware policy on shelter needs.
+Looking at the land issue from the perspective of development and the environment, the recent environmental report, Our Common Future, points out that, in many countries where land is very unequally distributed, land reform is a basic require meet. Without it, institutional and policy changes, meant to protect the resource base, can actually promote inequalities by shutting the poor off from resources and by favouring those with large farms, who are best able to obtain the limited credit and services available. By leaving hundreds of millions without options, such changes can have the opposite of their intended effect, ensuring the continued violation of ecological imperatives.
+2. Action needed to be taken
+The primary focus of the recommendations from all the seminars, concerning women and land ownership, centred on legal aspects. There was a consensus that gender-awareness needed to be institutionalized in the formulation and execution of public policy. For that reason, they called for efforts to develop strategies for sensitizing policy-makers, technocrats, administrators, NGOs and other agencies to:
+(a) Take account of the capability and needs of women in human settlements development and land tenure rights;
+(b) Act on the principles stated in the Convention on the Elimination of Discrimination against Women, by establishing and implementing an equal-opportunity policy on land, by removing all customary and legal constraints which prevent access by women (including women heads-of-household) to land, by enforcing positive discrimination in favour of women, by setting up a publicity campaign aimed at informing women of their rights and, above all, by using planning power to make land available to the poorest group of the population;
+(c) Ensure that planning standards and zoning regulations take into account the need for spatial arrangements allowing women to function as producers, reproducers and community members.
+It was agreed that governments should use regulatory powers to intervene in the urban land market in order to release land for low-income housing which would otherwise remain vacant or be designated for other uses. Governments should also consider including land-sharing the partitioning of a plot of land owned by one set of people and occupied by another - as a housing service. Such a mechanism has been applied successfully in Bangkok. Rural homesteads for women heads of families and single women could take the form of condominiums. Finally, governmental and non-governmental agencies should activate "grassroots" efforts such as the Sou Sou land strategy described above.
+<section>C. Women and construction</section>
+1. Findings
+In all regions, a large portion of the contribution of the labour of women to the construction sector is channelled through the family or the community and concentrated in the informal sector, particularly in rural and poor urban areas. Much of that labour is, therefore, unrecognized and unremunerated. In addition, the labour contributed by women is considered not to involve skills worthy of upgrading for improved human settlements development.
+There is a great deal of cultural variation in the involvement of women in shelter and infrastructural development. Where cultural constraints control the social activities of women outside the home, their work contribution is often confined to the improvement of the family shelter unit. Where cultural norms do not prohibit the participation of women in "outside" activities, their contribution provides an important element in shelter and infrastructural development.
+The participation of women in the formal construction sector is amazingly low - more so in developing than in industrialized countries. Reliance on high technology and imported materials in urban formal construction seems to have pushed women out of a sector in which they have traditionally played an active role. While women have achieved some penetration into the professional ranks of the sector, i.e., as engineers and architects, women constitute a minority among all ranks and levels of employment in the formal sector. Indeed, the female participation ratio in construction is far below the average for all industries.
+According to International Labour Office statistics, female participation in construction in 1984 ranged between 0.18 and 18.84 per cent and averaged less than 5 per cent for countries for which data were available. The ratio tends to be highest in industrialized countries, because of the high ratio of clerical and related workers included in the count. In developing countries, however, women tend to be hired as production workers. Again, regional variations are significant. The participation of women in construction is particularly low in African countries, whereas, in several Asian countries, such as the Republic of Korea, Singapore, Sri Lanka and Thailand, the female ratio is relatively high.
+Lack of training is one of the most limiting constraints to the participation of women in construction. Proper training of women could mobilize unemployed or underemployed labour, promote a balanced distribution of jobs in the construction industry, and help women to acquire shelter through self-help construction. However, existing conventional training institutions do not have the capacity to train the required numbers of skilled and professional workers, and their training programmes are not comprehensive enough for the range of activities in the construction industry.
+It was pointed out that training should not become an end in itself. The link between training and employment has to be made clear. Training, without job placement, credit, or technical assistance for resulting small businesses, is ineffective.
+A training programme for Caribbean women in non-traditional skills was launched to provide an orientation for women in plumbing, refrigeration and electrical installation, that would allow them to assess whether they would wish to pursue long-term training in those areas. Eighteen young women between the ages of 18 and 25 participated - fourteen from Grenada and four from from Dominica and Saint Vincent and the Grenadines. After the assessment, a special two-year accelerated programme was planned for the Grenada participants, most of whom did not have the initial academic qualifications to enter the regular programme at the Grenada Technical and Vocational Institute (GTVI). They did, however, have the potential to complete the entire technical training, and graduates will receive the normal GTVI diploma. Programmes for women in non-traditional fields are being started in other Caribbean countries and are benefiting from direct contact with the Grenada programme. In Dominica,
+participants are being helped to undertake apprenticeship programmes that will qualify them to enter the technical college, if they wish.
+An alternative to the technical colleges is exemplified by the Jamaican experience. The Women's Construction Collective initiated a programme for women, consisting of three months' basic training in carpentry and masonry. The women go directly on to work sites as paid apprentices and, as their skills develop, work their way up to fully-paid workers. At the beginning of the programme, 10 women were trained - with commitments from contractors to place them on-site on a trial "job audition" basis. Every woman who had auditioned had been hired, and the group then expanded (with national and international support) to 34 women from different communities. At the end of the course, more than 90 per cent of the women trained had been placed in employment that used their skills in plumbing, masonry, carpentry, electrical-installation, painting, and steelwork.
+Little by little, examples of women's construction training programmes are beginning to appear in all regions. As in Jamaica, training can lead to jobs and an income, and the construction industry acquires skilled labourers. In addition, employers are reporting the positive influence of women on building sites. In Jamaica, in addition to productivity increases, violence and pilfering decreased. It should be noted, however, that, it women are to be accepted in the use of these new skills, it is necessary to take measures to change the negative attitude of building-site supervisors.
+Another important facet of the construction sector is the choice and use of building materials. The critical role of the informal sector, which accommodates a large proportion of women's work, and the importance of promoting small-scale indigenous building-materials production are largely unrecognized. As a result, the effective participation of women in the shelter sector, as beneficiaries and contributors, is hindered. The importance of the informal sector in the construction of shelter is clear. In many urban areas of developing countries, up to 70 per cent of the population lives in buildings constructed by the informal sector, and rural housing is almost exclusively built by self-help and/or through the informal sector, which also produces a large proportion of the building materials used by the poor.
+The choice of building materials is important for women, both as potential employees of the construction sector and as users of shelter and infrastructure. The use of imported building materials, produced with capital-intensive high technology, not only reduces employment in the national construction industry, but also diverts limited resources from employment-generating activities to other sectors. Traditionally, building materials have been readily available to both rural and urban people, because they have been obtained from the local surroundings. They took many forms - earth in the form of bricks, mud or adobe, fired by heat, sun-dried or solidified by stabilizing agents (lime, dung, ash, shell etc.); wood as timber - poles, beams, shingles, rods and branches; vegetable products, such as bamboo, reeds, palm leaves and grasses; skins and cloths; and stones, sands, gravel, lime, gypsum and cementitious mortars. New industrial products have recently taken over the market,
+supported by rules and regulations, standards and codes, and financing and credit facilities. Some of the new materials have become accessible for popular consumption - concrete wall blocks, flooring slabs and roof panels; asbestos-cement and steel sheets for roofing; steel rods and window frames; plywood panelling. Yet, these materials do not necessarily provide durable or comfortable shelter, are often more expensive than traditional materials and can have serious negative effects on health.
+The majority of developing countries have followed a policy of import substitution, establishing local industries which produce materials identical to those previously imported, e.g., machinery and equipment. What is needed, instead, participants pointed out, is the adaptation of indigenous low-cost building materials that require minimal amounts of capital and foreign exchange and make use of locally available raw materials and skills in small-scale operations. The financial benefits of such a policy could be great. Construction prices could be lowered to a range affordable by low-income populations with the use of such inexpensive local materials; since, with proper design and treatment, they can last a long time. This would create significant savings in building and maintenance costs as well. Such a strategy would especially benefit women.
+For women, the choice of appropriate building materials is very closely linked to their specific roles and associated needs as entrepreneurs, construction labourers, traders, or users of shelter and infrastructure. In construction work, small, light components could easily be handled by women who, with training, could play an important role in the installation of electrical, plumbing and sanitary systems and in the installation and maintenance of ceramic tiles and sanitary ware. As consumers of building materials, women have very specific needs. In Queretaro, Mexico, for instance, 27 per cent of families live in houses which are mixtures of brick and board, with earth floors. Women had been demanding floor materials which were easy to clean and maintain. The informal sector could easily produce soil-cement or lime-pozzolana blocks and clay tiles to meet such needs.
+There is an enormous range of small-scale production units in developing countries, producing a variety of building materials. In the Philippines, for instance, cottage industries produce bamboo, bricks and roofing materials on a substantial scale. In Indonesia, small-scale building-materials industries in both rural and urban areas (mostly unorganized, labour-intensive cottage industries run in traditional ways) produce clay bricks, tiles, cement products, lime, bamboo, timber elements, stone, gravel, sand and pozzolana-lime blocks. In Sri Lanka, small-scale and traditional production units produce bricks, country tiles, sand, and lime, supplying more than 35 per cent, by value, of the total building materials used in the country. In China, 80 per cent of the building materials, including bricks, tiles, fly ash, sand and stone, and 64 per cent of the cement is produced on a small scale by building brigades and communal enterprises.
+In all these small-scale production units, women and, even, children play an important role in the production line, and there is scope for women to have an entrepreneurial role as well. Production in small units, located close to markets, creates local employment and lowers transport costs. It is not necessary to acquire large amounts of land through the formal market for installations. Finance, too, can often be informally acquired. Training of labour is done on the job through apprenticeship, with women and youths doing their share. Locally made machinery and tools are used, and, when foreign machines are brought in, innovative solutions are found to cope with any lack of spare pads.
+While the question of infrastructure in connection with construction projects was not a specific topic of the regional seminars, it was woven throughout the discussions. in all countries in all regions, it was stressed that women tend to suffer most from inadequate water and sanitation services. An enormous amount of a woman's energy is spent in procuring water from distant places. Where water supplies are contaminated, as is often the case, women have the task of nursing the sick or seeking health care to combat waterborne diseases. Inadequate sanitation services also contribute to the high incidence of disease in slums and squatter settlements and in rural areas. In all instances, children are an especially high-risk group.
+Because of their traditional roles, women are the key target group for all water and sanitation projects in both rural and urban areas. Yet, in planning and development for shelter projects, authorities and, in households headed by men, husbands often prevent women from participating in various aspects of housing projects and infrastructural services. To look at housing construction without infrastructural supports bodes ill for the quality of life of a community. Women know this only too well. They are primary users who take care of their families' needs and promote behavioural change. It makes good sense that they should be involved from the planning stage onward.
+2. Action needed to be taken
+Researchers, women's organizations and NGOs should collaborate in a plan of action concerning women and shelter construction, including: campaigns for changes in social attitudes and public policy; development of technical courses in building for women; promotion of self-help, low-income housing schemes that include infrastructural support; and recognition of the need for full participation of women.
+Programmes should focus on women's interest in entering non-traditional fields and should initiate training programmes, keeping in mind lessons learned from others' experience. The following points are from the Caribbean experience in this area:
+(a) Assess the market - the need or local demand for certain skills and potential job opportunities;
+(b) Allow adequate time for pre-planning and preparation - clarify objectives and assess available human and material resources;
+(c) Ensure thorough screening of participants, taking into account their level of education and seriousness of purpose, in particular paying attention to upgrading female trainees' competence in mathematics and basic science skills, so that they are not at a comparative disadvantage in relation to their male counterparts;
+(d) Begin with an orientation programme for potential trainees to help them understand what will be expected of them during the training programme - this will also provide important guidelines for the training programmes;
+(e) Sensitize tutors to the situation/needs and learning styles of women trainees, as well as the inter-relatedness of the various skills being taught;
+(f) In addition to basic theory, include appropriate tools for "hands-on" experience, as well as a personal development component to foster self-confidence and group cohesion and to cope with attitudes that trainees are likely to face in society;
+(g) Pay particular attention to the needs of trainees who have children, so that their participation is not constrained by their domestic responsibilities;
+(h) Ensure that the programme design includes exposure to role models of local trades-women, as well as audio-visual presentations by women working in different fields in the region;
+(i) Contact governmental and private agencies to get their commitment for apprenticeship and job opportunities for trainees;
+(j) Document the training experience, particularly the factors that promote or inhibit women's participation, and disseminate to authorities and other groups interested in promoting such programmes.
+Governments should take measures to incorporate women in general adult education programmes - specific classes for women's groups in locations accessible to them, with childcare facilities as needed, would be appropriate. NGOs and community groups should pressure authorities to look at the needs of poor women, promote co-operatives or building groups based on existing communities, and promote building materials, products and industries based on local natural resources.
+<section>D. Women and housing finance</section>
+1. Findings
+The world survey on the role of women in development, prepared by the United Nations for the World Conference to Review and Appraise the Achievements of the United Nations Decade for Women: Equality, Development, Peace, suggested that the stabilization policies employed by many developing countries, in an attempt to cope with the world economic crisis, had affected women, particularly poor women, more negatively than they had men. While recent trends in the financing, insurance, real estate, and business service sectors had been found favourable to the employment of women, the occupational status of women in that sector had not improved significantly. Women tended to be clustered at the bottom of the ladder; their visible under-representation at the policy-making and decision-making levels contributed to the lack of consideration for women's concerns in the formulation of both macro policies and institutional rules and procedures.
+The economic and financial policies, the priorities of financial institutions and the rules and procedures commonly employed for loans, mortgages and other forms of credit in both the formal and informal sectors have put women at a significant disadvantage in acquiring credit for housing, as well as for other types of investment in the housing sector. The constraints on women in obtaining housing finance are societal and operational, having to do with social prejudices and institutional practices. On the one hand, there is no social and economic recognition of the contribution made by women to the household; on the other, the income women earn outside the home, in the formal and informal labour markets, is viewed as "secondary", because it is disproportionately generated at the bottom of job hierarchies under unstable and temporary circumstances. Even when women are the sole or main supporters of their families, societal norms in general - and laws, regulations and
+institutional practices in particular - discriminate against them.
+Loans taken to finance dwelling units are large, entailing long-term (10-25 years) repayment, require legal-tenure documentation and cover only a percentage (usually 60-80 percent) of the price. Conventional lending institutions need to safeguard their capital, and applicants, thus, have to provide proof of an adequate and dependable (usually interpreted as formal employ meet) income as well as of ownership of the property. Applicants also have to provide a down-payment of 25-40 per cent of the cost of the dwelling unit. However, experience shows that many low-income applicants, especially women, have difficulty raising even 10 per cent.
+The problems of down-payment requirements and savings are closely related. A woman's lack of formal savings precludes her from access to loans for house-building. Results of an International Centre for Research on Women survey of women heads-of- household who had applied for housing in the Solanda project at Quito, Ecuador, for example, showed that only 15 per cent of the women surveyed who were eligible in terms of income had sufficient savings to make a down-payment on a minimum-cost housing unit. Seventy per cent had savings that were not even half the minimum down-payment; and, even where the value of liquid assets, assuming stringent divestiture, had been calculated and added to savings, only 46 per cent of them could raise the minimal down-payment required. Unfortunately, reduced down-payment requirements would not necessarily improve the access of women to housing projects, because of the trade-off between low down-payments and high monthly payments.
+Even where women do have savings, they might not be able to afford both the down-payment for the scheme and the costs of housing their families during the construction period. In sites-and-services schemes, people have to continue renting while they construct a habitable unit on the plot. That means having to find money not only for rent and materials but also for transport between the two sites.
+Other factors are no less important in hindering the access of women to finance. For instance, women might be discouraged from obtaining an application form because of the payment required - money which they prefer to use to purchase staple food rather than to gamble on a "housing lottery"; or they might lack information on the availability of loan opportunities. Then again, women might simply lack the time or child-care support facilities to allow them to travel to commercial institutions, often inconveniently located vis-à-vis poor communities.
+Participants of all regions noted that women have not been recognized as a special group of housing beneficiaries or contributors. Their view was that the removal of conventional barriers to women's participation in socio-economic life and the encouragement of women to assume new responsibilities in the development effort in general are an important prelude to their full participation in all aspects of human settlements development. Accessibility to housing finance is a critical factor at both levels of involvement.
+In Peru, the National Housing Programme proposes to establish the Housing Mortgage Bank which is seen as a significant step towards the financing of public lending institutions with the proviso that low-income groups be accorded priority.
+The Government of Saint Christopher and Nevis encourages private-sector housing development to provide housing for low-income and middle-income earners. In implementing its housing policy, the Government will give due consideration to social infrastructure, recreational facilities and community development programmes. In its Low-income Housing Programme of 1987, 56 per cent of the houses went to women. In order to provide financial assistance to house-owners, the Government did not ask for a down-payment. The applicant paid $EC100 as one year's insurance and paid the cost of one month's rent. Today, the same system is followed. A building-and-repair loan programme was also put in place, so that sugar workers and employees of the Central Housing and Planning Authority could borrow up to $EC10,000 for house repairs or purchases. From 1983 to 1987, 28 loans were granted, 50 per cent of them going to women.
+Participants from Uganda reported that their Government had not taken action on counteracting the effects of inflation and its effects on prices of building materials. There have been some instances, in squatter-settlement upgrading schemes, where women have borrowed money for house construction but, because of increases in the cost of building materials, have been unable to complete the work.
+To overcome a similar problem in the United Republic of Tanzania, loans are provided systematically according to the different stages of house construction. The lenders check each stage of construction before issuing the next instalment. This system also allows for changes in interest rates.
+In Zambia, the Government provides loans at low interest rates for house construction and the provision of infrastructure, after every effort is made to mobilize individual and community financial resources and labour.
+In Egypt, the Government subsidizes special banks which facilitate loans to low-income households at low interest rates. It was reported that, although this system is appropriate for supporting low-income households, it is often misused by clients who apply for a loan to build a second house with the intention of renting it. The Government has now introduced stringent criteria, and only first-time owners can apply for a low-interest loan.
+In the Dandora sites-and-services project in Kenya, women were given financial support towards the cost of building materials, but, as the project developed, new contingency costs arose for which women were not prepared. The inclusion of a sewerage system increased the total cost of the units, and there was an increase in the price of building materials; but the women were unable to obtain extra loans from banks, because they did not fulfil credit requirements. Some women managed to raise the extra money from relatives and informal moneylenders to finish their units: others, particularly women heads-of-household, were unable to continue with construction. Partial subletting of rooms was allowed to provide women with extra income for loan repayment. Again, women heads-of-household were unable to take advantage of this measure, because their units had not been completed.
+In Sri Lanka, women, through their own efforts, had formed co-operative societies. They placed their savings in rural banks managed by women, and, when interest had accrued, small loans were made to members at a 6-per cent interest rate. That facility was especially useful to women in the low-income bracket, who might also be heads-of -household.
+The representative of the Philippines reported promising institutional reforms in that country. Lending policy had been altered to include private developers and a strong emphasis on low-income housing. The social housing package for low-income families provided funds for five to seven households which were then regarded as a mortgage unit. The self-employed in the informal sector were being recognized, and a mechanism for validating the informal income of low-income households had been introduced.
+That development should be particularly beneficial to women engaged in cottage industries. Another noteworthy development has been the promotion of livelihood projects at the community level. They were aimed at providing opportunities for women, who worked at essentially domestic chores and child-rearing, to engage in income-generating activities in their homes. That gave them an income which could be used for shelter and other human settlements improvements, while still allowing them to watch over the children. In general, housing finance in the Philippines was viewed as an integral component of the housing process. That meant that all financing packages were considered in connection with all other resources - land, building materials and labour.
+In Indonesia, some efforts were afoot to increase the access of women to finance. The formal banking systems had instituted small credit programmes aimed especially at grassroots people without collateral: women had equal access to such loans. However, women had not taken full advantage, owing to low confidence and limited knowledge about the necessary procedures. A programme had been established to provide information and skills to women entrepreneurs, to enable them to understand and use the available facilities offering credit. Plans were also being made for an information and consultation centre on financial matters for women.
+In India, housing is not regarded as an industry and, therefore, is not considered productive. Financial institutions give housing low priority, and about 70 per cent of the finance for housing comes from private sources. In high-income brackets, it comes mainly from such things as the sale of jewelry and other household assets. In rural areas capital is saved gradually in the form of building materials, and construction becomes a long, incremental process for low-income groups. Women suffer from restrictive credit facilities for housing. Because of their low incomes and the informal nature of their work, they fail to gain access to finance from banks and other formal institutions. It has been estimated that less than 1 per cent of the total loans made by banks went to women. The Government of India, therefore, decided to establish a National Housing Bank, so that women would have access to credit. Voluntary agencies have played an important role in implementing housing
+programmes. The India National Council of Women, for instance, established a programme for grassroots women to become familiar with finance procedures. One organization, SPARC, works with the pavement dwellers of Bombay to improve their condition through education, advocacy and access to credit.
+2. Action needed to be taken
+NGOs, CBOs and other relevant voluntary groups should advocate measures for the adaptation of terms and conditions of loans to meet the problems of affordability, creditworthiness, down-payment, and repayment by low-income women. Governmental and non-governmental groups should institute income-generating projects for women prior to the start of shelter projects, perhaps in the production of construction materials, and allow reduced initial payments that might gradually be raised as incomes increase. A revolving loan fund and a negative-amortization option might also be introduced.
+Groups could be made responsible for repayment of loans (as a substitute for employment and income as collateral for low-income women), or the possibility of loan-insurance systems and guarantee funds set up by government could be pursued. Some programmes might even accept vendor operating licenses and the house itself as collateral.
+Urban community groups could be encouraged to pool their savings to start their own credit systems - in much the same way as building societies when they were first begun. NGOs could be encouraged to disseminate the experience of successful women's credit systems (e.g., Grameen Bank in Bangladesh; Working Women's Forum, Madras, India; and Women's World Banking). This could encourage finance institutions to accept informal types of collateral, such as trusts or local leaders' guarantees. NGOs can also document self-employed women's repayment-performance records in the various regions and develop methods of assessing informal-sector activities and income and their impact on the lives of women and their families.
+<section>E. Community participation and communications and the implementation of programmes on women and human settlements</section>
+1. Community Participation
+The United Nations Centre for Human Settlements (Habitat) defines community participation as the voluntary involvement of people in making and implementing all decisions directly affecting their lives as well as the activities undertaken by low-income households, with or without outside assistance, to improve their living conditions. By this definition, community participation has always existed in the form of mutual aid in rural societies and was not invented by development agencies. However, with the rapid pace of urbanization in most countries, community participation has been given more attention and taken on new meanings and dimensions. It is sometimes viewed from outside the community as merely an "instrument" for causing change to happen, particularly in low-income settlements. This view has the limitation of organizing outside interventions by "mobilizing" the poor for achieving externally- conceived plans and programmes, rather than providing support for the
+empowerment of men and women themselves to determine the type, degree and direction of change they need and want - which is a basic tenet of democracy.
+While some governments are still reluctant to encourage the latter type of community participation, an increasing number of governments, as well as national and international agencies, have become aware of the importance of full community participation in housing schemes. The disappointing experiences with conventional human settlements programmes in developing countries have helped to convince some governments that it is beyond their financial and administrative capacities to plan for and provide shelter and basic physical and social services for the expanding numbers of poor rural and urban households.
+Instead, governments are recognizing the necessity of fostering and complementing the efforts and investments that poor families themselves are making to meet their basic needs. They are seeing that community participation not only can improve the chances of project success but is a human right - an end in itself. People have the right and responsibility to participate in the planning, implementation and management of projects which affect their lives. Community participation in human settlements development can also stimulate people to seek participation in other spheres of life.
+In an attempt to identify basic models for the application of community participation, the participants in the earlier series of seminars identified the following:
+(a) The first model (usually found in situations where governmental policies explicitly encouraged independent community action) placed final planning and decision-making at the settlements level and assigned agency and technical personnel to advisory and regulatory roles.
+(b) The second model saw the main planning initiatives in the hands of agencies, with community involvement limited to mere consultation on the plans. The pragmatic principle underlying that model was that, if the community agreed to the plans, it would not obstruct implementation and might prove co-operative in undertaking some role in the implementation and subsequent maintenance of development works.
+(c) The third model, which was still the most prevalent, was the "sweat-equity" approach. This confines community participation to individual or group contributions of labour to the construction of houses, the installation of infrastructure or the carrying out of some services, such as garbage collection or drain-cleaning.
+Participants identified several constraints that have been encountered when introducing community participation in human settlements programmes, including difficulties in altering established administrative procedures. National housing authorities and local governments did not enter into serious dialogue with communities but, instead, restricted community participation to the mobilizing of controlled self-help in housing construction and of labour contributions to infrastructure projects. Too often, government officials, whether professionals at the national planning level or technicians at the local project level, have been unwilling to change their established perspectives and procedures, to allow sharing of information and decision-making. As a result, the projects they initiate might be designed and implemented without any real consideration of the particular community's human and financial capacities.
+Other dimensions of the attitudinal resistance of bureaucrats to community-participation approaches resulted from their genuine concern to maintain standards and procedures, as well as from a conservative mentality and a desire for predictable results within a preconceived time-span. Some of these attitudes can be changed over time, particularly if efforts are made to modify institutional links and internal reorganization and agencies (and recruitment of appropriately skilled personnel) is undertaken. Some of the obstacles to realizing the full potential of community participation derive from the fact that it is very new to agencies and to national administrative systems as a management strategy. It cannot be reduced to a tightly scheduled set of fixed procedures that can be replicated in every community. On the contrary, although the concept is transferable, its practical applications vary in accordance with the people, history, and conditions of each community.
+The poor, particularly women, find the greatest difficulty in being informed about, participating in and benefiting from intended community-based projects. When families are struggling to survive and putting in long hours at low-income employment, they usually have little time or energy to attend project meetings and participate in various required activities at specified hours. The limited physical capacity to participate is often compounded socially and psychologically by vexed neighbourhood relationships, by distrust and fear of officials accumulated from early negative encounters and by despair of any change going in their favour. In many cases people, who have experienced severe physical deprivation and have been downtrodden for too long react negatively to pressures to participate, and the whole process might only serve to deepen their isolation.
+There are many other context-specific factors which hinder the participation of a community as a whole, including heterogeneity along economic, racial, ethnic, religious or political lines (and, as stressed earlier, there is also the culturally- biased gender factor). Often, the social and economic vulnerability of the poorest families forces them to seek the patronage or protection of others more affluent and better connected than they. Such patrons can deliver certain services and have contacts with prominent people and governmental officials which might prove of some benefit to their client families. The important point is that, whether they are genuine patrons or exploitative impostors, they have a vested interest in reinforcing attitudes of dependence among the people. Such attitudes and the social patterns crystallized by them are often difficult to change.
+Participants pointed out that, where autonomous community organization was perceived by a government to constitute a threat to national stability, the degree of participation was usually very low. Established top-down patterns of decision-making were confined to activities of priority to government. Whatever has been achieved in social and physical terms through such participation could not be expected to be sustained, maintained or developed.
+Even where governments were sincerely disposed towards fostering grass-roots participation in determining the directions of human settlements development, historical and contextual factors often constrained the capacity and willingness of communities to participate. High expectations about what newly established governments could deliver to their citizens sometimes resulted in communities being unwilling to participate in activities such as mutual-aid construction of settlements infrastructure, which they perceived to be the responsibility of their government. Frequent political changes damaged the potential for community participation, because programmes of a participatory nature did not have enough time to nurture the commitment and participation of hesitant staff and sceptical communities before they were scrapped and replaced by other programme approaches.
+In most developing countries, the very centralized administrative systems that have been developed are not well-suited to the task of developing partnerships with communities at the local levels. Generally, local municipal authorities are not staffed with technicians who have been trained in participatory skills or who have been accorded the necessary discretionary or decision-m -king powers to enable them to engage communities in effective participation.
+It has also been observed that frequently the status accorded to community development departments and to community-development workers has been relatively low: that usually became a serious obstacle to the department's attracting able personnel to carry out crucial functions. All too often, community development work was seen as an optional activity rather than as the key to success of a project, and budget allocations reflected that attitude.
+In the previous sections, where women and policy, land, construction and finance were discussed, many of the recommendations that were made have direct implications for community participation. Rural and urban communities are where poor and low-income women are already carrying out their daily subsistence tasks, including house-building. This is not always counted as community participation but it is indeed contributing to the welfare of the family and the community.
+A quantum leap in strategic planning is required to provide women with options and channels to resources for the integral and sustainable development of human settlements at the community level. This will require a demonstration on the part of governments of a strong political will, supported by a sound systematic plan for sensitizing officials and technicians and for implementing national "enabling" strategies that bring together the governmental, for-profit and voluntary sectors in new partnerships- with the full participation of women in the creation of housing, essential water and sanitation services, transport and employment Opportunities. NGOs can help "ready" communities to participate in these partnerships, by encouraging the start-up of CBOs. CBOs have begun to spring up all around the world, and a large percentage of them are women's organizations. The seminars identified many groups, too numerous to include in this document, whose experiences in organizing,
+motivating, and training community women and men in the participation process (i.e., planning, training, implementation and assessment) can be helpful to others. The participatory approach may be considered by many officials to be slow, but it stands the best chance of producing sustainable results in the long run.
+2. Communications
+While the fundamental causes of underdevelopment are essentially structural, it is increasingly recognized that deficiencies in information and communication processes are among the causes of policy, programme and project ineffectiveness and failure. Each of the seminars devoted time to the discussion of information and communication as an essential policy instrument in support of human settlements development. The impediments to and essential elements of communication methods were given detailed attention that is beyond the scope of this document to present. Each seminar discussed the steps that might be taken to develop a communication strategy for the implementation of specific national policies, programmes and projects.
+It was pointed out, time and again, that women have been excluded from the information chain and that, because information is power, it is critical that links be established for their inclusion. If low-income communities, especially the women, do not have knowledge of the plans, programmes, and resources available to improve their communities and are not aware of their actual and potential roles, as well as of the constraints to participation in human settlements programmes, they are unlikely to exercise their rights and responsibilities in this area. If decision-makers and the general public are not provided with information and knowledge about the current contributions of women to human settlements, as well as the obstacles that must be removed in order for them to participate fully as contributors and beneficiaries, they are unlikely to respond appropriately to the needs, rights and responsibilities of women and their communities. Therefore in addition to the need for
+information, knowledge or data on human settlements, there is a need for communication - or means of transferring or relating this information to others. This calls for a range of social exchanges, i.e., transmitters and receivers on the personal and institutional levels.
+At a recent Seminar on Women and Media in Asia, the status of women in the communications media, the skill-development needs of women in different communications media and the portrayal of women by communications media were examined. The Seminar noted that issues tended to relate to educated and urban women, with very little attention given to rural women who constitute the majority in Asian countries. The Seminar also identified the need for training in order for women to increase their participation in communications professions and related activities.
+The content of what is communicated should also be given high priority. Women's organizations, particularly community- based organizations, have an important role to play in collecting data on the views of women on housing and infrastructure and making them known to the relevant authorities and the local communications media. This cannot be overstressed as the voices of women have for too long gone unheard on matters that directly affect them and their families. It is a known fact that many women and villages have been targets of research the results of which have not been shared with the women themselves or with decision-making authorities.
+Participatory or action-oriented research is an approach that is being employed frequently. It involves women in a partnership with professionals (often students from local universities) in the collection of data on the community and analysis of the data from a woman's perspective. This not only provides baseline data for project design but is a tool for educating women and other community members on the history and current situation of their community. The information and analyses can also be communicated to authorities as a basis for advocating the type and direction of human settlements interventions needed and desired.
+As communication implies dialogue, methods must be devised - with the collaboration of governmental and non-governmental agencies - to communicate policies, programmes and the availability of resources to women and their communities. Seminar participants cautioned that modern media, such as print and radio, often did not reach low-income women who have no time to listen to radio announcements, do not have radios or are illiterate. They found interpersonal communication to be an effective means not only of disseminating information but of effecting behavioural change. Demonstrations, verbal presentations, and displays had also been used to good effect.
+<section>F. Conclusion</section>
+It was apparent, from the discussions in all the seminars, that there was a universal concern about the lack of awareness of and attention to the question of women and human settlements. Participants underscored the urgency of working to place this question high on the agenda of national and international governmental agencies, as well as on the agendas of women's organizations. Another area of concern, highlighted across all regions, was the global trend of random urban growth that was having devastating effects on the urban poor everywhere, i.e., slum living conditions that were not only physically intolerable and psychologically impoverishing to the entire family but also particularly debilitating to the energy and status of women. The position of women heads-of-household and single women was another area of concern that regional participants insisted should be given special study and action, along with study of the informal sector and the importance it has in the lives
+of low-income urban/rural women and the general economy.
+There was a heightened sensitivity to the need for women to find ways of working together with men at all levels and of establishing partnerships between poor-community women and professional women from other economic levels. In this regard, it is recognized that NGOs played an important role in joining their knowledge and skills to the knowledge and skills of low-income women and in helping to organize community-based women's organizations, skill-training programmes, advocacy for policy change, infrastructure and services, and participatory human settlements development. NGOs generally were flexible and adaptable, and could open up cost-effective ways for governments to invest in local communities.
+Another concern of the seminars was the lack of accurate data on the contributions and needs of women. That constituted an obstacle to women's, particularly poor women's, ever achieving the full benefit of development. Participants called upon national and international agencies to develop systematic disaggregated data-collection methods and gender-sensitive analyses for all facets of human settlements plans and programmes. Some initiatives were under way and should be encouraged to develop indicators for measuring the impact on women and their families of action taken in the human settlements areas covered during the seminars, e.g., policy, land, construction, finance, community participation and communication.
+<section>Part two: overview of the interregional seminar to promote the full participation of women in all phases of the global strategy for shelter to the year 2000</section>
+Introduction
+In his opening address to participants at the Seminar to Promote the Participation of Women in All Phases of the Global Strategy for Shelter to the Year 2000, Dr. Arcot Ramachandran, the Executive Director of the United Nations Centre for Human Settlements (Habitat) said;
+Of one conclusion has emerged from the regional seminars, it is the recognition that without the mobilization and participation of women - and the removal of obstacles to their full participation - the goal of the Global Strategy of providing adequate shelter for all cannot and will not be met."
+The establishment of this basic premise by the Executive Director at the outset of the Seminar helped to allay some concerns of the participants that their work toward the design of a strategy might marginalize women from the mainstream implementation of the Global Strategy. Recommendations made by women about women too often have that kind of result. Because the Global Strategy has already been designed and is on its way to being elaborated and implemented by national governments, it is imperative that the strategy for the full participation of women also be elaborated immediately and be given priority in the formulation of national strategies for shelter.
+Another basic premise of the Seminar was that the goal of improving shelter conditions for all must give priority to the poor and that, as the Executive Director said:
+"in the world of the urban and rural poor, it is the women who are more often than not the poorest of the poor, and this is why one can speak with some justification of the 'feminization' of poverty in the third world, a condition that is most shockingly visible in the slums and squatter settlements which are such a prominent feature of the urban landscape in the developing countries."
+This premise, the Seminar participants emphasized, makes it essential that formulation of the strategy for women's full participation be made not only at the global and national levels but at the community level as well, i.e., community strategies for shelter.
+<section>A. Objectives of the Seminar</section>
+The Seminar, which was held at the headquarters of the United Nations Centre for Human Settlements (Habitat) at Nairobi from 4 to 8 December 1989, was clearly a participatory event. Women (governmental and non-governmental) who had attended the five earlier seminars, observers, resource personnel and donor representatives (many of whom also had attended the earlier seminars) all participated in the discussions, and the active exchanges in the working groups laid the groundwork for eventual agreement on a strategy.
+The Seminar's objectives were:
+(a) To exchange information among regions on the experience each had had since the earlier seminars;
+(b) To develop a strategy for improving current practices and involving women in the implementation of the Global Strategy for Shelter to the Year 2000;
+(c) To recommend the types of technical and financial resources needed by governmental and non-governmental agencies in the implementation of the strategy developed during the Seminar.
+<section>B. Update on regional activities</section>
+Following a brief review of the findings of the earlier seminars, as highlighted in Part One of this document, participants made informal presentations on some of the actions that had been taken under the auspices of the United Nations Centre for Human Settlements (Habitat). Because there had not been time nor had provision been made for a systematic assessment in each country represented at the earlier seminars, the reports were more indicative than definitive. Nevertheless, they illustrated the types of actions taken in many of the countries.
+The participant from Zambia said that while no concessions were given to women, they were not discriminated against, either. After the earlier meeting held in her country, however, special attention was given to the issues of housing design and finance, and a new policy was being framed for implementation from 1990 onward.
+There was also some evidence that efforts were being made to treat women as a non-homogeneous group. The problems and needs of single women, women heads of-household, and women in other situations, for example, were being considered for discrete treatment.
+In Uganda, a Ministry of Women's Affairs, set up in 1988 under the President's Office, was conducting activities related to women and human settlements. Two projects had been launched to enable women to obtain loans without collateral.
+Kenyan participants cited progress through the Ministry of Co-operative Development, which had broadened the possibilities for poor women to acquire land. A national housing policy has been drafted, and a Commission on Urbanization was recently established. The Land-Use Commission provided land along the coast to landless people, and slum improvement programmes were increasing. The need for revision of inheritance laws, that deprived a woman of access to her husband's property if she had only daughters, was also noted. It was also pointed out that town planning regulations should be modified to take into consideration the need for land for food production, even in urban areas.
+Twenty-eight African governments and institutions have established and were co-operating through the Company for Habitat and Housing in Africa (Shelter-Afrique) to help the poorest of the poor in Africa. Governments, by and large, seemed to have realized that the need for housing of the poor was a challenge which had to be faced.
+The emphasis was on establishing income-generating activities and improving the housing and sanitary conditions of the poor.
+Indicative of the signs of advances being made in Asia were three developments inIndia since 1988:
+(a) The National Commission on Urbanization had been created to address the issue of land titles, which had become more acute in the urban context than in rural areas;
+(b) A National Housing Policy had been designed to cover the issues of access to land, housing finance, and the needs of the landless;
+(c) Indira Awas Ujna, a rural project, has initiated construction of houses in the joint names of husband and wife.
+There had also been some success stories in slum-improvement projects, and the Government has decided to set up a national housing bank and has asked other banks to support housing as well.
+Among significant developments in Pakistan were the creation of a People's Works Programme and the emergence of trends towards decentralization of authority to local governments. A five-point programme had been established, to include the regularization of slums and the creation and the development of small plots of land in urban and rural areas. The policies and programmes are directed to helping the poor in general but, it was pointed out, no special attention had been given to the specific needs of women.
+Some participants from the Latin American and Caribbean region reported having organized working seminars for town council officials and for professionals within ministries concerned with human settlements issues. However, because the economic and social situation in that region had become worse since the regional meeting at Buenos Aires in March 1989, the daily lives of poor women were becoming increasingly more difficult as a result of less employment, less investment, public and private, in housing, and deterioration in such public services as transport, health, water supply and education. Development of human settlements, therefore, had not received a high priority. Further, the number of women heads-of-household is increasing at a phenomenal rate as a result of war, natural disasters and the normal deterioration of the economic and social situation, while the gap of female unemployment was continuously widening compared with that for males.
+The Sou Sou land concept, that had been discussed during the Caribbean seminar, focused on providing an opportunity for dialogue on the social and economic situation of women who sought land and shelter as a human right. Based on that concept and practice, the National Housing Authority of Trinidad and Tobago had defined its strategic goals as bringing affordable shelter solutions to low-income groups in society, particularly female heads-of-household who headed 30-40 per cent of all households, and fostering and encouraging self-help and self-reliance in the provision of shelter and community facilities and the creation of sustainable human settlements.
+Participants underscored the need to reconcile the triple roles of women (production, reproduction and the managing of both the domestic household and community action groups) in shelter planning, to take into account the need for spatial arrangements allowing women to function adequately in those three areas. Research in Jamaica had found that, although 75 per cent of women who headed households were renters, housing policy did not address renters. Escalating speculation in urban land had eliminated "yards" and had commercialized open spaces. The aftermath of Hurricane Gilbert in 1988 had increased the housing crisis, particularly because relief had not reached renters.
+Members of the Habitat International Coalition (HIC) Women and Shelter Group spoke of the Plan of Action on Women and Shelter launched by HIC in April 1988. The Plan of Action was a response to the Regional Seminar on Women and Shelter held at Harare in 1987 in connection with International Year of Shelter for the Homeless (see annex 1). It called for the setting-up of a global network on women and shelter. This is currently based at the Mazingira Institute, Nairobi, and operates as an outreach system, collecting and disseminating information from and to NGOs and CBOs in the different regions, through focal points. The HIC Women and Shelter Group acts as a policy group which will be constituted by the network of NGOs and CBOs, as it grows, and should represent poor women in rural and urban settlements. The first issue of the HIC Women and Shelter Network Newsletter has been produced in English, French, Portuguese and Spanish. It contains news from slums and other low-income
+settlements in several regions.
+The participants' statements indicated the following overall trends:
+(a) There had been a gradual change in attitudes about the need to focus on women and human settlements;
+(b) Policy-makers were beginning to view women as a force to be reckoned with, and women themselves were seeing the need to make their initiatives more visible;
+(c) There had been an increase in popular and women's organizations and in international networking;
+(d) The ease with which women worked in groups was a sign of hope as a "lead-in" to community level action.
+At the same time, several participants pointed out that housing did not always appear on women's lists of priorities. Priority was given to the need for food, water, sanitation, education, health, income-earning and transport, thus underscoring the wisdom of an integral approach to sustainable development of human settlements and addressing housing needs in that context.
+Participants continually returned to the premise that, they stressed, must be repeated over and over again, even at the risk of annoying those in authority, namely, that global, national and community strategies for shelter must give priority to the poor and, especially, the poorest of the poor who are women. As the global economic crisis widened the gap between the rich and the poor, it was all too easy to lapse into general rhetoric or into plans and programmes for the development of human settlements without a focus on the poorest populations who constituted the majority in most developing countries. The dramatic structural changes required for bridging that gap would necessarily affect those at highest economic levels. (At a discussion meeting after a site visit, participants added that equally dramatic structural changes were needed in community structures as well, i.e., poverty alleviation and strategies that simply managed poverty were not good enough.)
+C. The United Nations Global Strategy for Shelter to the Year 2000
+The participants had before them General Assembly resolution 43/181, adopted on 23 December 1988, as a point of reference for the development of their strategy for the full participation of women in the Global Strategy for Shelter to the Year 2000.
+The General Assembly had, among other things:
+(a) Adopted the Global Strategy for Shelter to the Year 2000;
+(b) Decided that the main objective of the Strategy was to facilitate adequate shelter for all by the year 2000, that the principal focus should therefore be on improving the situation of the disadvantaged and the poor, and that the following fundamental objectives and principles should form the basis of the Strategy:
+(i) Enabling policies, whereby the full potential and resources of all governmental and non-governmental actors in the field of human settlements are utilized, must be at the heart of national and international efforts;
+(ii) Women, as income-earners, home-makers and heads of households, and women's organizations fulfil a crucial role as contributors to the solution of human settlements problems which should be fully recognized and reflected in equal participation of women in the elaboration of housing policies, programmes and projects, and the specific interests and capabilities of women should be adequately represented in human settlements policy formulation and at all levels of government mechanisms for the implementation of housing policies, programmes, and projects;
+(iii) Shelter and development are mutually supportive and interdependent, and policies must be developed in full recognition of the important links between shelter and economic development;
+(iv) The concept of sustainable development implies that shelter provision and urban development must be reconcilable with sustainable management of the environment.
+(c) Designated the Commission on Human Settlements as the United Nations intergovernmental body responsible for co-ordinating, evaluating, and monitoring the Strategy, and the United Nations Centre for Human Settlements (Habitat) as the secretariat for the Strategy and the lead agency for co-ordinating and monitoring the relevant programmes and activities of other United Nations organizations and agencies concerned.
+The general framework for the Global Strategy for Shelter was set up in the following plan of action:
+1989-1991:Establishment of national policies and strategies. Design of new institutional arrangements.
+1992-1994:Introduction of new institutional arrangement and strengthening of existing national programmes.
+1995-2000:Full-scale operation of national programmes. Progressive strengthening of institutions for activities beyond 2000.
+The plan of action fixes the responsibilities of the various actors: the Member States of the United Nations, the General Assembly, the Economic and Social Council, the Commission on Human Settlements, the United Nations Centre for Human Settlements (Habitat), United Nations agencies and organizations, multilateral and bilateral agencies and non-governmental organizations.
+It will be progressively updated and refined by the Commission on Human Settlements during its biennial sessions throughout the period up to the year 2000. A timetable, covering the period 1989-1991, is currently under implementation.
+D. A strategy for the full participation of women in all phases of the Global
+The intention of involving women as contributors to and beneficiaries of the Global Strategy for Shelter is eminently clear from the General Assembly resolution. The Interregional Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 was organized by the United Nations Centre for Human Strategy for Shelter Settlements (Habitat) to develop a strategy that would help transform that intention into a practical reality that could be acted upon.
+The strategy (plan of action) outlined below evolved from the discussions and workshops which centred their attention on regional findings and methods for eliminating obstacles to the participation of women in human settlements activities.
+Participants addressed two basic questions:
+(a) What is a gender-sensitive, enabling shelter strategy?
+(b) What is a gender-sensitive human settlement?
+In answer to the first question, the following links were emphasized between the enabling and the gender-sensitive shelter strategies:
+Enabling (removing obstacles)
+Gender-sensitive
+Using public-sector resources to facilitate and encourage action taken by other sectors: private (formal and informal) and the community
+Using public-sector resources to facilitate and encourage gender-specific action taken by other sectors (promoting women and women-in-development issues)
+Stimulating the use of untapped capacities and resources in all sectors
+Stimulating the use of untapped capacities of women (especially low-income women as individuals producers, home- makers and professionals); and effectively utilizing resources, including the managing and organizing skills of NGOs, CBOs and women's organizations
+Defining the complementary roles of the private and public sectors in the most efficient
+Recognizing and encouraging the role of women in the private and public sectors and defining way possible the complementary roles of those sectors by promoting full participation by women's governmental and non-govern mental organizations
+Concentrating direct public- sector involvement on tasks not covered by other sectors
+Concentrating direct public- sector involvement on tasks specifically relating to women and not covered by other sectors; also directing public- sector support to the poor, taking into account that the majority of the poor are women
+In answer to the second question, participants spoke in terms of the need for a "vision" (a term not uncommon to women and communities) of a gender-sensitive human settlement in order to work towards it. In familiar planning terms, there was a need to have a concept of what were the basic elements of a human settlement that took women, as well as men and children, into consideration.
+First and foremost, the approach is integral and participatory. From the beginning, the planning includes women as well as men (particularly the poor of all ethnic groups). It responds to women's perspectives (as well as men's) on the use and function of private and communal living and working space. It ensures the co-ordination of the services of agencies that take into account practical family needs for water, sanitation, waste-recycling, health, child-care and education. There is no gender division of labour, and the burden of domestic chores is lessened. Of particular relevance to housing, institutional forms of discrimination are eliminated by creating equal rights to land ownership and access to credit. There are opportunities for employment and/or income-generating enterprises for both men and women, with access to transport and markets. CBOs involving women are included in local-government planning and the implementation of programmes favourable to the sustainable
+development of the environment.
+From discussions in working groups on community participation, training, communication and the roles of government, private and community sectors, several points arose that indicated the direction participants thought the strategy for women should take:
+(a) As part of the Global Strategy for Shelter, it should focus on poor women and not try to cover all levels.
+(b) Within the Global Strategy for Shelter it is analogous to the "life blood" (as distinct from a limb) of the human system. There was no way to integrate the strategy for women in the Global Strategy; it is a vital part of it which had to become visible.
+(c) Its emphasis on progressively improving the conditions of women should ensure that the relations between male and female members of households and societies be structured in such a way that the advancements made by one generation of women were not lost to the next - and that new relationships were embodied in law.
+(d) It implied a "paradigm shift" - from focusing on central government to decentralizing planning and implementation to local-government and community levels. It should stress that NGOs should function as a bridge between the official male-dominated policy-making mechanism, with its interdisciplinary and technical language, and the practicality of local communities; that bridging should result in the emergence of a "shared language".
+(e) It required a new system of training and communication within the human settlements and shelter sectors which provided for "bottom-up" activities. It recognized that women are, in great numbers, excluded from the existing formal education system while they were very much involved in non-formal learning-by-doing processes which should be developed and facilitated. Training as a learning and capacity-building process was currently being carried out for women by NGOs and CBOs and should be put on the agenda of governments and receive adequate support by international agencies. The new strategy called for a system of communication which was dependent not upon documents and papers only but also upon the deliberate creation of attractive information means, such as video and radio programmes, conducive to open exchange. Negotiating and leadership capacities were skills that women should acquire through specific training programmes.
+(f) It should support the process of rethinking and reshaping the operational objectives and mechanisms and/or institutions of housing and human settlements, in order to be ready to function when governments wanted to "enable" NGOs and CBOs. Success ful approaches needed to be documented, and their results disseminated for wide use.
+(g) It should recognize and value the contributions of NGOs and CBOs, both of which should increase their network activities - horizontally and vertically, in furthering the goals of the strategy. Enlisting the co-operation of NGOs and CBOs should be accompanied, when possible, by financial assistance, by, for example, making contracts related to human settlements activities open to bids from NGOs and CBOs.
+(h) It should recognize that NGOs and CBOs had a vital role to play in closing the gap between government and the grass-roots, by being informed about governmental policies and programmers and by disseminating that knowledge for use by grassroots organizations. Conversely, they could make their knowledge about the conditions, needs and desires of grass-roots communities known to government and to society as a whole through the mass communication media. Institutional arrangements had to be worked out for NGOs to obtain local and national representation, participation in decision-making processes and financial resources in recognition of the intermediary role they were fulfilling.
+(i) It should support the development of partnerships within the family and the community, and (in the context of the Global Strategy for Shelter) among the public, private and community sectors. It should look for further elaboration, in the Global Strategy for Shelter, of the role of the private sector, on which topic the participants in the Seminar limited their discussions to the need for employment and assistance in the starting up of informal small businesses. Further elaboration was also needed on ways of ensuring equality in the development of those partnerships.
+(j) It should be set in the context of integral sustainable development of human settlements, as envisioned above. To that end, the strategy for women saw it as vital that there should be a further elaboration, in the Global Strategy for Shelter, of the infrastructural components needed in human settlements development, e.g., water, sanitation, roads and transport;
+(k) It implied a heavy reliance on the ability of the United Nations Centre for Human Settlements (Habitat) to "enable" governments to make the strategy effective. One of the principal instruments would be the establishment of a focal point on women that would be provided with credentials and resources commensurate with the scope of the task assigned to it by the Commission on Human Settlements.
+<section>E. Plan of action</section>
+The Seminar participants developed a plan of action patterned after the Global Strategy for Shelter Plan of Action. The actions that need to be taken are identified specifically under:
+A. Member States;
+B. The General Assembly, the Economic and Social Council, the Commission on Human Settlements and the United Nations Centre for Human Settlements (Habitat);
+C. United Nations agencies and organizations, multilateral and bilateral agencies and non-governmental organizations; and
+D. Local governments and community-based organizations, an addition to the list of actors in the Global Strategy Plan of Action which the seminar participants saw as a necessary and logical progression from the insistence that particular attention be given to poor women at the local-government and community level.
+The plan of action is set out in annex 1. The material in bold type is taken verbatim from the Global Strategy for Shelter to the Year 2000: Plan of Action 1989-1991.
+These items are included to indicate how the Women's Plan of Action meshes with the Global Strategy for Shelter.
+<section>F. Monitoring and evaluation</section>
+The Global Strategy for Shelter has been characterized as a framework for a continuous process towards the goal of facilitating adequate shelter for all by the year 2000. The strategy for women developed at the Seminar could also be described as an evolving framework for the process, to include the full participation of women, especially poor women, in the Global Strategy. As with the Global Strategy, the strategy for women would need to be monitored and evaluated continuously and modified accordingly.
+To ensure that each national strategy and programme on human settlements, assisted by the United Nations Centre for Human Settlements (Habitat) and other agencies, included a woman's perspective in its formulation, implementation, monitoring, and evaluation, the participants asked that the most critical and practical indicators concerning women and human settlements be developed in consultation and partnership with the Commission on the Status of Women, the United Nations Children's Fund, the International Research and Training Institute for the Advancement of Women (INSTRAW) and international women's organizations in consultative status with the Economic and Social Council, and be tested as soon as possible.
+With regard to evaluation, participants proposed that:
+(a) The Guidelines Manual of the United Nations Development Programme for technical cooperation project preparation be reviewed from the perspective of gender, making use of the findings of the earlier series of seminars and the strategy for the full participation of women in the Global Strategy for Shelter;
+(b) Technical co-operation projects and programmes incorporate indicators with gender differentiation (providing guidelines on, for example, disagregation by gender and income level among others) making use of the base-line data and impact-assessment system of the United Nations Development Fund for Women, the monitoring and evaluation recommendations and other studies related to human settlements development with a women's perspective.
+<section>G. Conclusion</section>
+In its resolution 9/9 of 16 May 1986 the Commission on Human Settlements recommended that:
+"... regional or subregional seminars be organized, within the framework of the preparations for the International Year of Shelter for the Homeless, in order to exchange experiences on pilot projects and to define and evaluate the role of women and the organizations that represent them, in the conception, financing and execution of such projects, such seminars to be funded from specific resources made available by Governments and organizations in a position to do so;" and in its resolution 10/17 of 16 April 1987 it urged:
+"... continuation of regional seminars initiated during the International Year of Shelter for the Homeless in order to exchange experiences on projects and to define and evaluate the role of women and the organizations that represent them, in the conception, financing and execution of such projects."
+This report has presented the findings of those seminars end outlined actions needed to be taken concerning women and human settlements issues, i.e., policy, land, construction and housing finance. It has also presented the outcome of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 which launched a strategy for the full participation of women in the Global Strategy for Shelter to the Year 2000. The participants in the Seminar expressed the hope that the report would be used to inform the Commission on Human Settlements of the Seminar's views on the essential contribution of women and of organizations for women to the development and management of human settlements.
+The hope that the strategy for women would be taken as seriously as the drafters took the development of it stimulated the further hope that significant progress towards achieving the objectives of involving women at all levels of planning and implementation of human settlements policies and programmes, and of improving the residential/work environment of women, especially urban and rural poor women, their families and communities, would be seen by the year 2000.
+<section>Annex I: Suggested revision of the plan of action of the global strategy for shelter to the year 2000</section>
+<section>A. Member states</section>
+Review progress In implementing a national shelter strategy (NSS) and adjust action programmes in light of experience.
+Ensure that NSS is considered as an integral part of national economic-development strategies by:
+· Designating a person to co-ordinate the strategy for women in the key economic ministry;
+· Setting up a database system to support monitoring of NSS, with data collected as a normal procedure by gender, particularly those on households.
+Take immediate action to improve living conditions of women in low-income settlements; projects for upgrading which include the participation of women should be given priority.
+Strengthen the involvement of all participants in the shelter- delivery process.
+Strengthen legal and institutional frameworks.
+Expand the provision of training and information.
+Develop an integrated approach to gender-awareness in NSS by:
+· Forming or using existing interministerial committees (e.g., a national human settlements commission);
+· Including women's representatives in the national machinery to formulate policy and establishing training programmes for those women;
+· Ensuring that neighbourhood and women's groups are represented in local and national government;
+· Developing ongoing communications between community based organizations (CBOs), non-governmental organizations (NGOs) and ministerial levels;
+· Linking integrated sectoral committees with integrated ministerial committees;
+· Conducting workshops on gender-awareness for public employees, both male and female.
+Legislate to eliminate obstacles to women's equal access to housing, land, infrastructure, training, building materials and finance, with particular attention to the following points:
+· Land titles should be granted on a family basis;
+· Laws of inheritance and tenure rights should be non- discriminatory;
+· Women need to be informed of their rights, and their rights should be facilitated.
+Ensure that initiatives developed at the community level can be responded to at governmental level, by:
+· Mobilizing and distributing financial resources;
+· Ensuring financial support of NGOs that can provide the technical assistance needed for community groups to prepare proposals;
+· Ensuring that the improvement of living conditions meets the basic needs of those concerned;
+· Providing financial assistance, e.g., investments, grants and credit, needed by women to begin income-generating activities.
+Continue holding national workshops and support sub-regional seminars.
+Develop and integrated approach among government, the private sector and the community sector, and, especially, form or use joint co-ordination committees to ensure representation of women's agencies at all levels, e.g., women's bureaux, professional and business women's NGOs and CBOs.
+Ensure that workshops and seminars are held on women and shelter themes, to deal with:
+· Communication/information/education needed for women;
+· Training in participation, leadership, leadership skills, facilitation, concensus-building, caucusing, political organization and negotiation.
+Prepare monographs and case studies on selected aspects of NSS Create mechanisms for receiving proposals relevant to women's involvement in NSS;
+Develop videos to inform government officials of the needs of women;
+Prepare inserts in leading newspapers to highlight gender-sensitive shelter strategy;
+Remove obstacles to land delivery, infrastructure installation, building-materials output and construction productivity;
+Integrate approaches to planning settlements, through joint participation by agencies responsible for housing, services, health and transport and by women of the community;
+Make planning standards and design of technology gender-sensitive, through:
+· Legislation;
+· Training of planners and executives;
+· Consciousness-raising;
+· Policy reformulation.
+Relate water supply, sanitation, waste disposal and environmental management to gender-sensitive shelter strategies;
+Emphasize training for the participation of women in all aspects of the construction sector, including planning and management.
+Prepare a national report for submission to the Commission on Human Settlements at its thirteenth session and for worldwide dissemination.
+Ensure that recommendations of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 are taken into consideration in national reports.
+Observe World HABITAT Day (WHD) by highlighting the achievements to date and plans for the future.
+· Special attention should be given to the achievements of women within the chosen theme for WHD.
+<section>B. United Nations General Assembly, Economic and Social Council, Commission on Human Settlements and United Nations Centre for Human Settlements (Habitat)</section>
+Continue to provide Member States with substantive support for the formulation and Implementation of shelter strategies and assistance In obtaining technical assistance Ensure that gender issues are incorporated in an integrated manner across all sections of the Strategy from the very beginning, by:
+· Appointing a woman to the staff of the United Nations Centre for Human
+Human Settlements (Habitat) to facilitate implementation of the strategy for the full participation of women in the Global Strategy for Shelter;
+· Relating human settlements issues to other sectors of the economy and aspects of social life;
+· Establishing a link between the United Nations Centre for Human Settlements (Habitat) and the Habitat International Coalition Women and Shelter Group for outreach on human settlements issues at the national, sub-regional, regional and inter-regional levels;
+· Involving other networks in these issues (e.g., Women and Law, Women and Environment;
+· Consulting with the Commission on the Status of Women, the International Research and Training Institute for the Advancement of Women and international NGOs.
+Plan an institutional framework to carry out the strategy for the full participation of women in the Global Strategy for Shelter, and establish a mechanism for maintaining dialogue between authorities and women's organizations in regard to:
+· Policy formulation;
+· Implementation;
+· Monitoring;
+Improve gender-sensitivity within all sections of the secretariat of the United Nations Centre for Human Settlements (Habitat) and the Commission itself through:
+· Training programmes in all divisions;
+· Placement of women at decision-making levels;
+· Presentation of the strategy for the full participation of women in the Global Strategy for Shelter to United Nations Development Programme Resident Representatives and to other United Nations agencies;
+· Giving of high priority in technical co-operation projects to the role of women and their participation in the conception, execution and maintenance of human settlements.
+Continue to prepare and disseminate information on the Global Strategy for Shelter.
+Increase public awareness dot the concern of the United Nations Centre for Human Settlements (Habitat) with women and shelter issues, by:
+· Initiating mass media campaigns focusing on women and shelter within the Global Strategy for Shelter;
+· Featuring "women and shelter" in Habitat News.
+Set up a database system to support monitoring of the Global Strategy for Shelter and ensure that data collected are disaggregated and analysed by gender for:
+· Policy formulation;
+· Implementation;
+· Monitoring;
+(breakdown of data by age and gender should be established as a normal procedure. It is particularly important to have data on households as beneficiaries/participants of programmes including women-headed households).
+The Economic and Social Council will receive a progress report on the Global Strategy for Shelter.
+Carry out a follow-up evaluation on how recommendations have been carried out.
+Prepare a monitoring report on national action on the Global Strategy for Shelter for submission to the Commission on Human Settlements at its thirteenth session.
+Ensure that the recommendations of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 are taken into consideration.
+The Commission on Human Settlements at its thirteenth session will:
+(a) Review the monitoring report on implementation of the Global Strategy for Shelter;
+(b) Review and recommend targets and timetables for the second phase of the Global Strategy for Shelter.
+Place the final report of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 on the agenda of the Commission on Human Settlements at its thirteenth session.
+The Economic and Social Council will receive a progress report on:
+(a) Targets and timetables for the second phase of GSS;
+(b) The 1992-1993 work programme of UNCHS (Habitat).
+Ensure that the women's strategy on shelter is taken into consideration in progress report.
+The General Assembly will receive a progress report on the Global Strategy for Shelter.
+Ensure that women's strategies on shelter are taken into consideration.
+<section>C. United Nations agencies and organizations multilateral and bilateral agencies, and non-governmental</section>
+Circulate a summary of the report of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 to agencies.
+United Nations agencies and organizations, multilateral and bilateral agencies, and non-governmental organizations (NGOs). Regional commissions will review their activities in:
+(a) Exchange of information on GSS;
+(b) Policy research on GSS issues;
+(c) Data collection for GSS.
+Incorporate the women's strategy in the review of activities of the regional commissions and other organizations and agencies with reference to:
+· Exchange of information on the Global Strategy for Shelter;
+· Policy research on Strategy issues;
+· Disaggregated data collection by gender;
+Donor agencies should re-evaluate their assistance policies and channel more of their funding assistance to projects which directly benefit women in the human settlements sector;
+Equal status should be given to NGOs and CBOs at international seminars;
+Regional United Nations offices and other international organizations should make use of the Habitat International Coalition Women and Shelter Network's focal points as sources of information, so that the voice of poor women can be strong and also channelled to policymakers;
+Projects should be identified that can become demonstration projects;
+Emergency support should be given to poor, peasants and urban dwellers, of whom women are the poorest, and to those suffering from threats of eviction or dislocation due to natural disaster, drought, war or other disturbances;
+Women's organizations should be brought together with policy- makers to discuss women's strategy issues in international fore;
+Gender-sensitivity should be improved within the donor community, by:
+· Demonstrating gender-based effects of specific loan conditionalities;
+· Analysing connections between poverty, environment and women's subsistence roles;
+The use of land by women for subsistence purposes (food, fuel), which is not planned for in land-use policies or economics, should be recognized and incorporated in the planning process.
+Other United Nations organizations and agencies will prepare annual plane for Global Strategy for Shelter activities
+Ensure that the recommendations of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 are taken into consideration.
+Multilateral and bilateral agencies and NGOs will be invited to submit annual plans for Global Strategy for Shelter activities.
+Ensure that the recommendations of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 are taken into account;
+Submit status reports to the Commission on Human Settlements at its thirteenth session.
+All agencies and organizations will be invited to participate In WHD celebrations to mark the end of the first phase of GSS to distribute Information material focused on this theme.
+<section>D. Local governments and community-based organizations</section>
+Circulate a summary of the report of the Seminar to Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 to CBOs;
+Local governments should become involved in NSS both in planning and implementation. Local governments should then channel information from and into the community to local decision-makers and poor women through:
+· Local meetings;
+· Traditional fairs;
+· Local social gatherings;
+· Posters;
+· Radio announcements;
+Strengthen the capacity and voice of activists within government and NGOs by:
+· Allocating financial resources for training programmes for interface personnel in NGOs and government agencies;
+· Ensuring the participation of these interface personnel on inter- ministerial and inter-sectoral committees;
+· Supporting direct donor contributions to NGOs and CBOs active in women's shelter strategies;
+· Including the representation of women's organizations in decision-making positions in bodies responsible for shelter programmes;
+· Developing vertical communication channels using existing women's organizations as facilitators at all levels;
+· Forming an umbrella organization for lobbying, networking and outreaching CBOs, and ensuring that there is local representation on its board;
+Publicize work implemented at the community level by:
+· Inviting decision-makers to specific functions so that they can see at first-hand what is happening and be informed of needs "on the spot";
+Neighbourhood women's groups should:
+· Identify their needs and priorities;
+· Establish their autonomy;
+· Develop an informal grassroots network;
+Training seminars for local groups should provide:
+· Information sessions;
+· Assertiveness training;
+· Videos on women's needs and women's issues;
+At the local level, there is need to:
+· Review and, if necessary, change zoning regulations to enable women to work for remuneration at home;
+· Use extension workers for outreach systems. (It is important to have independent extension workers employed by local NGOs, in addition to local government employees.)
+Women should be encouraged to become both small-scale and large-scale entrepreneurs through:
+· Practical training apprenticeships for unskilled women;
+· Skill-training programmes;
+· Credit facilitation;
+· Consciousness-raising.
+<section>Annex II: International year of shelter for the homeless regional seminar on women and shelter 30 November to 5 December 1987 Harare</section>
+This Seminar, supported by the Government of Sweden and planned in consultation with the United Nations Centre for Human Settlements (Habitat), was organized by the Governments of Zimbabwe and of Sweden and the Mazingira Institute, a Kenyan-based non-governmental organization (NGO) which is the home of Settlements Information Network Africa (SINA). The Seminar was the culmination of a year-long participatory process. Fourteen countries and two liberation movements were represented. Papers were presented by women in the settlements field, from central and local governments and from NGOs.
+An overview based on the papers and other documents served as the agenda for an action plan for women in three types of shelter situation - the urban poor, peasant women, and women living on plantations and other worksites. The 70 participants produced detailed action plans and a common statement, the Harare Statement on Women and Shelter:
+"The key role which women play in human settlements must be more fully recognized... It is up to us as women to organize and take action... Women's poverty and excessive burdens of unpaid work, including provision of basic services, limit their opportunities for action. These conditions are exacerbated by drought, war, famine and environmental degradation... As women become aware and informed of their situation... they can conscientize their children... This is the main step in a more generalized strategy of improving women's access to land, shelter, credit, training, better health and services, education and representation in decision-making bodies".
+There has been no formal follow-up, but informal networks of women who met at the Seminar and at the later seminar organized by the United Nations Centre for Human Settlements (Habitat) in Zambia, have been involved in some joint projects, including proposals by African NGOs for support to grass-roots women's groups from Swedish NGOs. More focus on women's issues in the SINA programme on promotion of housing and construction co-operatives in the region has also resulted. Perhaps most directly, the Habitat International Coalition Women and Shelter Network, formed as a global follow-up to the meeting, addresses itself to the strategic need for more information from and to the grass-roots level through NGOs. It is hoped to hold more women and shelter meetings in the region between CBOs and NGOs.
+<section>Annex III: Statement by HIC women and shelter group adopted by the interregional seminar</section>
+Habitat International Coalition (HIC) speaks on behalf of shelter NGOs in their dealings with international organizations, including the United Nations Centre for Human Settlements (Habitat). It is a regionally representative coalition which acts in defence of the rights of the homeless, the poor and the inadequately housed, promoting the right of everyone to a secure place to live in dignity, in developing and developed countries.
+The HIC Women and Shelter Group is a sub-committee of HIC, which assists HIC to represent women's shelter concerns, capacities and contributions. It has three representatives on the Board of HIC. It is responsible for the growth and support of the HIC Women and Shelter Network, which operates as an outreach system collecting information from and disseminating it to NGOs and CBOs in the different regions through focal points.
+The Women and Shelter Group proposes to act as a hard-core group which understands the seriousness of the shelter situation of poor women world-wide. It is a policy group which will be constituted by the network of NGOs and CBOs, in HIC, and must represent the poor women in rural and urban settlements. These are the ones to whom the regional members of the Group must listen (they speak only the local language) to ensure that their message gets through.
+It is intended that the HIC Women and Shelter Network should act as a clearing house, giving local women and shelter groups moral support, accurate information about the local power structure, and accurate representation to others. The Network newsletter will contain news from local slums and other low-income settlements in each region.
+The HIC Women and Shelter Group makes the following proposals which have implications for the United Nations Global Strategy for Shelter to the Year 2000:
+(a) There should be an institutional linkage between the headquarters of the United Nations Centre for Human Settlements (Habitat) and the HIC Women and Shelter Group on women and shelter issues;
+(b) Regional United Nations offices and offices of other international organizations should utilize the HIC Women and Shelter Network focal points as a source of information so that the voice of poor women can be loud and strong and channelled to policy-makers;
+(c) Emergency support is needed for the poor of whom women are the poorest, among the peasants, urban dwellers end those living on plantations, who are suffering from threats of eviction, dislocation due to natural disasters, drought, war or other disturbances;
+(d) The United Nations Centre for Human Settlements (Habitat) should have a woman in the unit monitoring implementation of the Global Strategy, to ensure incorporation of women's issues;
+(e) The United Nations Centre for Human Settlements (Habitat) should have a women officer dealing with women and shelter issues.
+<section>Annex I V: Lists of participants</section>
+A. Regional Seminar on Women in Human Settlements Development and Management Bali, Indonesia, 25-29 February 1988
+Australia
+Mr. Eric Olbrei Second Secretary Embassy of Australia Bangladesh Ms. Maryum Katun Deputy Director Social Services Directorate Ms. Nazma Majid Programme Officer Women's Affairs Directorate Brunei Darussalam Ms. Dayang Hajjah Senior Housing Development Officer Sarinah Hj. Umar Housing Development Department Ms. Dayang Rohana Senior Housing Development Officer Hj. Ering Housing Development Department India Ms. Sarla Gopalan Joint Secretary Ministry of Rural Development Ms. Nirmala Buch Development Commissioner Madhya Pradesh Indonesia Ms. A.S. Luhulima Assistant to the State Minister for the Role of Women for the Development of Socio-cultural Environment Mr. Sunarjono Danudjo Director General of Human Settlements Department of Public Works Mr. Lego Nirwono Assistant to the Minister for Housing Mr. Soearli Salam Deputy Assistant to the State Minister for Housing
+Mr. Samedi Sumintaredja Assistant to the State Minister for the Role of Women for the Welfare of the Family
+Mr. Djuwanda Djoekaridi Director for Housing Department of Public Works Mr. Izhar Ibrahim Director of International Organizations Department of Foreign Affairs Mr. Sugeng Soemarto Head of Planning and Legislation Bureau Directorate-general for Village Development Department of Home Affairs Mr. Suyanto Director for Youth Services Programmes Directorate-general of Social Weifare Department of Social Affairs Ms. Sutamtinah Marsaman Head of Sub-directorate for Social Services Directorate-general of Social Welfare Department of Social Affairs Mr. Wahyu Widodo Director for Health Environment of Human Settlements Department of Health Mr. Soedjino Special Staff of the Hardjosutowo Minister of Transmigration Ms. Riga Adiwoso Deputy Assistant to Suprapto State Minister for Population and Environment Mr. Hassan Poerbo National Research Council Ms. O.K. Panjaitan Council member of Real Estate Indonesia (REI) Ms. K. Sumhadi Wariadinata Women's Congress (KOWANI) Ms. C. H. Wardoyo Member
+of KOWANI Ms. Titie Said Head of Public Relations Family Welfare Movement (PKK) Ms. Wahyudi Third Chairperson PKK Ms. Cyinthia Sonnevile REI
+Ms. Sujatni Yayasan Srikandi Dr. Yulia Sumirat Slamet Environmental Technique Division, ITB Ms. Sukanti Suryochondro University of Indonesia Jordan Mr. Shafiq Zawaideh Minister for Housing and Public Works Ms. Hind Nasir Mr. Bassan Attari Deputy Director General Housing Bank Malaysia Ms. Siti Balkish Bte Principal Assistant Director Sharif Agriculture Section Economic Planning Unit Prime Minister's Department Mr. Ooi Eng Chor Principal Assistant Secretary Planning and Development Division Ministry of Housing Mr. Abdul Latif Omar Under-Secretary Planning Development Division Ministry of Housing Nepal Ms. Prathiba Rana Chairperson Women's Social Co-ordination Committee Ms. Roma Kunwar Geographer Housing, Building and Physical Planning Department The Netherlands Mr. H. Van Eyk Ministry of Housing, Physical Planning and Environment Directorate General of Housing International Relation Division Ms. Nel Van Essen Women's Advisory Committee Ms. Lily Hutjes Women's Advisory
+Committee
+Pakistan Mr. Shamsul Haq Joint Secretary Environment and Urban Affairs Division Mrs. Akhtar Riazudin Secretary Women's Division Papua Hew Gulaaa Ms. Molly Willie Project Officer Women's Services Division Department of Home Affairs Ms. Bungtabu Brown President National Council for Women Philippines Ms. Sonia Galvez Department Manager Corporate Planning Office National Housing Authority Ms. Yolanda Velez Manager Corporate Planning Department National Home Mortgage Finance Corporation Ms. Marilu Alferez Director General Central Planning and Administration Offices Housing and Landuse Regulatory Board Ms Marcela Sales Department Manager Financial Management Department National Housing Authority Ms. Alma R. Recio Assistant Manager Research and Development Housing and Urban Development Council Singapore Ms. Yang Ai Fong Senior Principal Architect Housing and Development Board Ms. Beo Yut Mei Singapore Council of Social Services Sri Lanka Mr. Neville Piyadi-Gamma Additional
+Secretary Ministry of Women's Affairs and Teaching Hospitals
+Ms. L. D. Dissanayake Manageress Victoria Project Mahaweli Development Authority Additional Government Agent
+Thailand
+Ms. Ruanko Kuyyakonond Chairperson National Branch Council of Women of Thailand
+Ms. Rataya Chantian Deputy Governor National Housing Authority
+Mr. Narong Nitayaporn Director Social Project Division National Economic and Social Development Board
+Mr. Yuwat Vuthimedhi Deputy Director General of Community Development Ministry of the Interior
+Mr. Sunthand Sochevita Director Environmental Policy and Planning Division National Environment Board
+United Nations Development Programme
+Mr. Magdi Resident Representative United Nations Development Programme Jakarta
+Ms. Wiwiek Sudjono
+Ms. Amelia Yani
+International Labour Organisation
+Ms. Els Klinkert International Labour Organisation Jakarta
+Ms. Djoa Sioe Lam
+World Health Organization
+Mr. Pancaroglu Representative World Health Organization Jakarta
+B. Seminaire international sur la participation des femmes a la gestion et au développement des étaiblissements humains Tunis, Tunisie 28 mars-1 avril 1988
+Benin
+Mme. Karimou Rafiatou Chef adjoins du DAS/CC
+Burkina Faso
+Mme. Marie Suzanne Somda Assistante sociale Directrice provinciale de l'action sociale du Kadiogo
+Mme. Lydia Ouedraogo Géographe Direction de l'urbanisme
+Cameroon
+Mme. Youana Chargee d'etudes Ministere de la condition feminine
+Cote d'Ivoire
+Mme. Adjoua Therese Koffi Ingénieur des techniques des travaux publics Chargee de Mission Ministère de la construction et de l'urbanisme
+Mme. Rachel Gogoua So us-direct rice Chargée des operations urbaines Ministère de la promotion de la femme
+Gabon
+M. Georges Ollomo-Mezui Directeur general adjoins de l'urbanisme et des aménagements fonciers
+Mme. Laurence Paulette Nzang Directeur général adjoins du crédit foncier
+Guinea
+Mme. Mariama Deo Balde Secretaire generale des affaires administratives Prefecture Conakry 11 (Association des femmes de Guinee pour la recherche et le developpement)
+Mall
+M. Bakary Keita Chef du personnel Ministere des transports et des travaux publics
+Mme. Kadiatou Camara Beye Tresoriere generale du bureau executif national Union rationale des femmes du Mali
+Morocco
+Mme. Fatima-Zohra Souleimani Chef de division Ministere de l'equipement, de la formation professionnelle et de la formation des cadres
+Mme. Amina Touhami-Chahdi Administrateur sociologue urbaniste Chargee de projets de developpement urbain Ministere de ['habitat
+Halima Nazih Fonctionnaire Chargee d'etudes au cabinet du Ministere de l'interieur et de ['information
+Niger
+Mlle. Rayanatou Loutou Architecte Chargee de Projets Ministere des travaux publics et de ['habitat
+Mme. Bibata Diallo Directrice condition feminine Ministere de la sante publique
+Senegal
+Mr. Seydou Sy Sall Coordonnateur Bureau d'assistance aux collectivites pour ['habitat social Ministere de l'urbanisme et de l'habitat (DCH/BAHSO)
+Mme. Khadidiatou Wiang Mboup Conseiller en ressources humaines Ministere du development social
+Tunisia
+Mme. Samira Bel Haj Architecte principale Sous directeur a la Direction de l'amenagement urbain Commissariat general au developpement Regional et a l'amenagement du territoire
+Mme. Alia Mimita Ben Hamoud Sous-Directeur a l'agence regionale de la planification et de l'amenagement du territoire Commissariat general du developpement regional et a l'amenagement du territoire
+Mr. Ridha Chaabane Charge des affaires exterieures Commissariat general au developpement regional et a l'amenagement du territoire
+Mr. Sahnoun Directeur general Ministere de ltequipement et de ['habitat Mme. Raoudha Soughir Architecte principal Sousdirection de la recherche Ministere de l'equipement et de Habitat Mr. AWelmoula Architecte principal Direction de la rehabilitation et de la renovation urbaine Ministere de l'equipement et de ['habitat Mr. Lotfi Bel Haj Architecte de direction Expert des Nations Unies (Kulenven) Societe nationals immobiliere de Tunisie Mme. Thouraya Hachicha Conseiller des services publics Chargee des etudes Direction generals Caisse rationale d'epargne logement Mme. Naziha Mazhoud Presidente Commission de sante et affaires sociales Union rationale pour les femmes tunisiennes Presidente du Conseil Municipal de Megrine Mme. Hassiba Chedli Technicienne superieure a la sante publique Tresoriere Union rationale pour les femmes tunisiennes
+C. Regional Seminar on Women in Human Settlements Development and Management Kingstown, Saint Vincent and the Grenadines 6 to 10 June 19~
+Barbados
+Ms. Margaret M.R.B. Talma Senior Housing Planner Ministry of Housing and Lands Belies Ms. Marilyn Panton Director Department of Women's Affairs Guyana Ms. Merna A.P. Pitt Self-Help and Community Administrator Ministry of Housing Jamaica Ms. Perl Barret Inspector Indigent Housing Unit Ministry of Social Security and Consumer Affairs Ms. Cherrie Lee Director Community Services Division
+Ministry of Construction
+Ms. Maureen Aligrove Project Officer Shelter Sector Programme Urban Development Corporation Ms. Dauna R.M. Joseph Deputy LabourCommissioner Salnt Chrlstopher and Nevis
+Ms. Beatrice L.M. Lam
+Ms. Idetha E.R. Richards Acting Secretary Central Housing and Planning Authority Saint Lucla
+Ms. Iona F. Erlinger-Ford Marisule Ms. Bernadette P. Springer Women's Affairs Officer Government Buildings
+Salnt Vlacent and the Grenadines
+Ms. Jeanie McDonald Co-ordinator Women's Affairs Desk Ministry of Women's Affairs
+Ms. Jennifer Glasgow-Brown Assistant Secretary of Planning CPD
+Ms. Lafleur John Assistant Secretary Ministry of Housing Ms. Muriel Byam President National Council of Women
+Mr. Wendol E. King Industrial Officer Development Corporation Trinidad and Tobago
+Ms. Joycelin T.S. Harewood Private Development Co-ordinator National Housing Authority Ms. G.A.P. Williams Lecturer Department of Management Studies University of West Indies
+United Nations Development Fund for Women Ms. Margaret Gill United States Agency for International Development Ms. Maureen Webber
+D. Regional Seminar on Women in Human Settlements Development and Management Lusaka, Zambia 31 October4 November 1988
+Egypt
+Ms. M.S. Madkour Chairman Women's Status Committee Regional Federation for Cairo Associations Lesotho Ms. T.M. MatIatsa Manager Community Development Section Ministry of Interior Ms. L.M. Maema Planning Officer Ministry of Planning and Economic Affairs Malawi Ms. L. P. Kholoma Community Development Officer Ministry of Community Services Ms. D. 1. Njewa Administrative Officer Rural Housing Project Department of Housing Nigeria Ms. C.F.A. Sibeudu Chief Planning Officer Federal Ministry of Works and Housing Swaziland Ms. B.J. Dlamini Project Manager Women in Development Ms. 1. Katamzi Senior Planning Officer Department of Economic Planning Uganda Ms. J. Kagumya Senior Assistant Secretary Ministry of Industry and Technology Ms. S. Ibanda Senior Housing Finance Officer Ministry of Housing and urban Development
+Ms. Stella K. Magoye
+J.P.M. Parry and Associates Ltd.
+Ms. H. Mugerwa Senior Economist Ministry of Planning and Economic Development United Bepubilc of Tanzanla Honourable T. Siwale, MP Tanzania Home Economics Association Ms. S. Kyessi Senior Assistant Town Planner Ministry of Lands, Natural Resources and Tourism Ms. M.M. Mgaza Community Development Officer Ministry of Community Development, Culture, Youth and Sports Ms. Mayawalla Planning Officer Ministry of Planning, Economic Affairs and Finance Zambia Ms. Dorothy C. Muntemba Co-ordinator Women's Programmes National Commission for Development Planning Ms. J. Mapoma Chairman Village Industry Service Ms. Chinonge Regional and Town Planner Ministry of Decentralization Ms. Mercy Siame Representative Member Zambia Association for Research and Development Ms. A. Kabwe Chairman Zambian Home Economics Association Executive Secretary Zambian Red Cross Association Mr. J. Kaona Director of Projects and Architect National Housing Authority Ms. 1. Muuka Chief Housing Officer Lusaka Urban
+District Council Ms. Susan M. Siyuyi Economist National Commission for Development Ms. J.B.C. Muchelemba Under-Secretary Human Resources Planning Department
+National Commission for Development Zimbabwe Ms. O.S. Chlyanja Senior Administrative Officer Ministry of Public Construction and National Housing Ms. R.M.M. Faranisi Assistant Secretary Ministry of Finance, Economic Planning and Development Ms. N. Kheswa Administrative Officer Ministry of Community Co-operative Development and Women's Affairs Observers The Netherlands Ms. Gertje Second Von Banchet Co-ordinatorof Emancipation Affairs Ministry of Housing Physical Planning and Environment Ms. Nel Van Essen-Mook Vice-President Women's Advisory Committee Ms. Lilly Hutges Women's Advisory Committee Norway Ms. Birgitta Soccorsi NORAD Mission Lusaka Habitat Internatlonal Coalltlon Ms. Diana Lee-Smith Habitat International Coalition Nairobi Intematlonal Federatlon of Univeralty Women Ms. Anje Wiersinga International Federation of University Women Geneva Switzerland
+E. Seminario Regional sobre la Mujer en el Desarrollo y Gestion de los Asentamientos Humanos Buenos Aires, Argentina 27 a 31 de marzo de 1989
+Argentina Sra. M. Baranovsky Sub-Secretaria de la Mujer Direccion Nacional de Promocion y Participacion Sra. H. F. Delgado de Gonjalez Intendente Municipal de San Pedro Provincia de Jujuy Sra. Garay de Fernandez Gladys Instituto de Vivienda de Corrientes San Juan 460 Corrientes
+Sra. A Viviani Comision Municipal de la Vivienda Carlos Pellegrini 271 Piso 7 Buenos Aires Bolivla Zoila Acebey C de Blanco Comite Boliviano de Bienestar Social Enriqueta Alzerreca de Prada Paredes Guadalupe Beroni Lopez Ministerio de Asuntos Urbanos Brazil Sra. H. Pereira de Melo Hermes de Araup Universidade Federal Fluminense Chile M. C. Aracena I. Gloria Cruz Dominguez Taller Notre Ana Maria Padilla Ricke Colombh M. Dalmazzo Peillard Marie Dominique de Suremain Costa Rlca Vilma Guzman Gutierrez Apartado 10.227- 1.00 San Jose Ecuador Rafael Garcia Silva Arenas y Manuel Larrea Quito Paraguay Astrid Gustafson Fundacidn Paraguaya de Cooperacion y Desarrollo Presidente Franco 846 Silvia Elena Arias de Martinez V. Iturbe 175 1er. piso Teresita Stefanich Presidente Franco 846 Lina Amparo Yegros Pena de Velazquez 9na.1260 ent. Hidalgo y Morelo Uruguay Nelida Genisans Jose B. Lamas 2709
+Ana Maria Ruggia Br. Artigas 1267 Silvia Tron Andes 1433 United thtatbos Deve/opment Programme Ignacio Perez Salgado ResWente Representante PNUD Esmeralda 130 Piso 13 1035 Buenos Aires Eduardo Nino Moreno Representante Residente Adjunto PNUD Esmeralda 130 Piso 13 1035 Buenos Aires Eva Rodriguez Tlusti Official De Proyectos del PNUD Esmeralda 130 Piso 13 1035 Buenos Aires - Argentina Amanda Palermo Asistente de Informacion del PNUD Esmeralda 130 Piso 13 1035 Buenos Aires - Argentina World Health Organization Miguel Diaz Barriga University of New Orleans Fritz Wagner School of Urban and Regional Studies University of New Orleans t~tahitat Internattonal Coalitton Sra. M.S. Huaman de Joseph HIC America Latina
+F. InterregionalSeminarto Promote the Participation of Women in the Global Strategy for Shelter to the Year 2000 Nairobi, Kenya 4 to 8 December 1989
+Ms. Gertje Second Von Banchet Ministry of Housing, Physical Planning and Environment Directorate-General of Housing International Relatbn Division The Netherlands Ms. Franc,oise Belmont Programme Officer Program me Co-ordinatbn Un it United Nations Environment Programme Ms. Outi Berghall Ministry of Environment UNCHS (Habitat) Programme Finland Ms. Nirmala Buch Development Commissioner Bhopal
+Madhya Pradesh India Misrak Elias Regional Office United Nations Children's Fund Nairobi Ms. Catalina Hinchey Trujillo Director Fedevivienda Bogota Colombia Ms. Josefina Hauman HIC Women and Shelter Representative in Latin America Lima Peru Mr. James Hokans Ford Foundation Nairobi Kenya Ms. Lilly Hutjes Women Advisory Committee The Netherlands Ms. Margaret Jobita Executive Director Housing and Social Services City Commission Nairobi Ms. Rosemary Jomo Women's Programme Officer Environment Liaison Centre International Nairobi Kenya Ms. Rebecca Katumba IPS/IFS Nairobi Kenya
+Ms Ayse Kudat World Bank Washington, D.C.
+Ms. Diana Lee-Smith Mazingira Institute Nairobi Kenya Ms. Anne Lubasi Consultant, Sustainable Agriculture Environment Liaison Centre International Nairobi Kenya Ms. Susan Macharia Planning Committee Member International GROOTS Nakuru
+Kenya Ms. Stella K. Magaye Nairobi Kenya Ms. Erica Mann Executive Vice-Chairman Council for Human Ecology Nairobi Kenya Ms. Ruth Mcleod Homeless Internatbnal Coventry United Kingdom of Great Britain and Northern Ireland Ms. Ingrid Munro Shelter Afrique Nairobi Kenya Ms. Dorothy C. Muntemba Co-ordinator Women's Programmes National Commission for Development Planning Lusaka Zambia Ms. R. Mutunga Shelter Afrique Nairobi Kenya Mr. Per Nygaard Ministry of Local Government and Labour Oslo Norway Ms. Florence T. Ochieng Kenya Mission to the United Nations Centre for Human Settlements (Habitat) Nairobi Kenya Ms. Rita Pasqualini Direzione Generali per la Cooperazione al lo Svil uppo Unita Tecnica Central Ministerio Affari Esteri Rome Italy Ms. Sadiqa Salahuddin Chief Instructor NIPA Gulsham-E-lqbal Karachi Pakistan
+Mme. Fatma Zohra Souleiman Chef Division de la formation Ministere des travaux publics Rabat Morocco
+Mr. Howard Sumka Deputy Director Regional Housing and Urban Development Office United States Agency for International Development Nairobi Kenya Ms. Irene Vance Chief Technical Advisor United Nations Centre for Human Settlements (Habitat) c/o PNUD La Paz Bolivia Ms. Elisabet Viklund Ministry of Housing and Physical Planning Stockholm Sweden Ms. N. Wairimu Shelter Afrique Nairobi Kenya Ms. Grace Wanyonyi Assistant Director Human Settlements Ministry of Lands and Housing Nairobi Kenya Ms. Anje Wiersinga International Federatbn of University Women The Netherlands/Switzerland Ms Gwendoline Williams Lecturer Department of Management Studies University of West Indies Trinidad and Tobago
+<section>Annex V: References</section>
+Joint United Nations Information Committee/NGO Programme on Women, Women and Shelter, Kit No. 4 (1988). English, French and Spanish versions.
+United Nations, Official Records of the Forty-third Session of the General Assembly Supplement No. 8 (A143/8), The Addendum, Report of the Commission on Human Settlements on the work of its eleventh session; Global Strategy for Shelter to the Year 1990.
+United Nations Centre for Human Settlements (Habitat), Building- related Income Generation for Women - Lessons from Experience (Nairobi, 1990) (HS/197/9OE).
+Case Study of Women Block Makers in Kenya (Nairobi, 1988) (HS/08/86-20E).
+La Mujer y los Asentamientos Humanos en America Latina. Bibliografia anotada (Nairobi, 1989).
+La Particiapción de la Mujer en la Gestión y el Desarrollo de los Asentamientos Humanos Manual de formación (Nairobi, 1989) (HS/155/89S).
+La participation des femmes a la gestion et au developpement des etablissements humains, Manuel de formation (Nairobi, 1990) (HSI155/89F).
+The Role of Women in the Execution of Low-income Housing Projects, Training module (Nairobi, 1986) (HS/75185). Available in English, French and Spanish.
+Women and Human Settlements (Nairobi, 1985) (HS/DP/85/18).
+Women and Human Settlements: the Experience. Bibliographic Notes No. 15 (Nairobi, 1989).
+Women and Shelter. Bibliographic Notes No. 7 (Nairobi, 1985).
+Women in Human Settlements Development and Management (Radstock, Tilden Communications Ltd., 1990).

ccm-ldn-terms/data/indexing/training/idrc_id141e.key

@@ -0,0 +1,8 @@
+TECHNOLOGY
+APPROPRIATE TECHNOLOGY
+AGRICULTURE
+FORESTRY
+FISHERIES
+POSTAGRICULTURAL SECTOR
+EQUIPMENT
+DEVELOPING COUNTRIES

ccm-ldn-terms/data/indexing/training/idrc_id19ee.key

@@ -0,0 +1,7 @@
+ENERGY RESOURCES
+ENERGY MANAGEMENT
+RESEARCH
+ENERGY SOURCES
+ENERGY CONSUMPTION
+CASE STUDIES
+DEVELOPING COUNTRIES

ccm-ldn-terms/data/indexing/training/iirr_ii01ee.key

@@ -0,0 +1,4 @@
+RURAL DEVELOPMENT
+FARM MANAGEMENT
+TECHNOLOGY TRANSFER
+ROLE OF WOMEN

ccm-ldn-terms/data/indexing/training/index

@@ -0,0 +1,25 @@
+bostid_b02moe
+bostid_b10vee
+bostid_b14age
+bostid_b16ene
+bostid_b17mie
+bostid_b26die
+bostid_b48aqe
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+faobetf_fb38be
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+grain_gr02se
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+wb_wb46ie
+winrock_wi10ce

ccm-ldn-terms/data/indexing/training/irma_iro07e.key

@@ -0,0 +1,11 @@
+OILSEEDS
+PLANT OILS
+FOOD INDUSTRY
+MARKETING POLICIES
+STATE INTERVENTION
+SUPPLY BALANCE
+IMPORTS
+PRICE POLICIES
+MARKETING BOARDS
+ECONOMIC DISTRIBUTION
+INDIA

ccm-ldn-terms/data/indexing/training/irma_iro07e.txt

@@ -0,0 +1,828 @@
+<title>Oilseed and vegetable oil economy of India: Sectoral policy issues</title>
+RP Aneja,
+KVSM Krishna,
+SJ Phansalkar and VP Gulati
+INSTITUTE OF RURAL MANAGEMENT ANAND
+OCTOBER, 1992
+<section>Contents</section>
+Chapter 1 - Introduction
+Chapter 2 - Imperfections in the sector
+Information imperfections
+Supply estimates
+Price behaviour
+Market imperfections
+Policy imperfections
+Chapter 3 - Consumption of edible oils and nutritional perspective
+Chapter 4 - Major interventions in the sector: Imports
+1. Implications of issue of imports to PDS and vanaspati industry
+2. Performance of public distribution system for edible oils
+2.1 Spatial and temporal allocation, and leakage
+2.2 Growth in Skewness
+3. Impact of issuing low priced imported edible oils to vanaspati industry
+3.1 Historical base
+3.2 Use of Imported oils by the vanaspati industry
+3.3 Price controls in vanaspati
+3.4 Benefits accrued to the vanaspati industry
+4. The net effect of import policy
+Chapter 5 - Major interventions in the sector: NDDB and TMO
+1. Oilseeds and vegetable oil project of the NDDB
+1.1 Project funding
+1.2 Project implementation
+1.3 Project financing
+1.4 Achievements
+2. Technology mission on oilseeds
+2.1 Achievements
+2.2 Integrated policy on oilseeds
+3. Market intervention operation
+3.1 Objectives
+3.2 Criteria for fixing price band
+3.3 Implications of MIO type intervention
+3.4 Progress of MIO
+3.5 Achievements
+4. The net effect of interventions by NDDB and TMO
+Chapter 6 - Need for self-reliance
+Chapter 7 - Conclusions
+Policy implications
+APPENDIX 1 - The role of the press in influencing market sentiments: Case of edible oils
+Note
+<section>Chapter 1 - Introduction</section>
+India has the second largest area under oilseeds, next only to USA. However, it falls behind to the fourth place in terms of production due to comparatively low yields.1 Yields remain lower largely on account of dependence on dryland farming. During the early seventies shortages of edible oils led to substantial increase in the prices. Severe intra-year and intra-seasonal fluctuations in the prices are a common feature of the oilseed economy. Edible oil prices had contributed significantly to the national inflation levels during the recent years. Price movement in edible oils and oilseeds was perceived as a consequence of demand-supply gaps. Addressing these issue several policy options have been adopted in the last one and a half decade. Despite, the production remained stagnant until 1987-88. Only since then a resurgence has taken place.
+Edible oilseeds mainly comprise groundnut, mustard, sesamum, nigerseed, safflower, soybean, and sunflower. Oilseeds contribution to GDP stands only next to cereals and milk.2 Edible oil accounts for about 5.5 per cent of the family budget occupying the third place, next to cereals and milk. India, a net exporter of oilseeds and oilseeds products for long, turned into a net importer during 1976-77 to 1987-88 consequent to edible oil imports worth about Rs.800 crores per annum. The main features of recent developments in the sector are:
+i) Overall production of edible oilseeds has been steady around 17 million metric tonnes since last three oil years.
+ii) Rabi production has been steadily increasing over kharif production.
+iii) Mustard production has been taking rapid strides and mustard oil production has caught up with the production of groundnut oil.
+iv) Contribution of South comprising Andhra Pradesh, Tamil Nadu, and Karnataka to the groundnut production has been quite high.
+v) Imports of edible oils have been slashed on account of foreign exchange crunch.
+vi) Price fluctuations have been substantially reduced.
+vii) Difference between sowing and harvest time prices has been considerably reduced.
+Table 1 shows the area, production and yield of edible oilseeds in India for the period 1971-91. From around 12 million metric tonnes in 1987-88 the production went up to 17 million metric tonnes in 1988-89 and has since then been more or less steady. At no point of time in the history of oilseeds cultivation in India, such a performance has been recorded. Further, the contribution of rabi crops have been only one and a half times. This is clearly demonstrated in Figure 1. It may be noticed that the difference between kharif and rabi production is narrowing down.This is attributed to increasing share of rabi groundnut, rabi sunflower, and safflower, and increases in the cultivation of rapeseed/mustard. A strong reason for increasing share of rabi oilseeds in the total edible oilseeds is the higher and growing in yield rates. Figure 2 depicts this trend. As the growth in the production of kharif oilseeds falls below that of the total edible oils, the growth in overall
+edible oilseeds may be attributed to rabi oilseeds. Further, the growth in the yield rate is far higher with rabi oilseeds than that of kharif oilseeds.
+As shown in Table 2, production of mustard has been steadily going up over the last two decades. It has increased by more than two and a half times whereas the production of groundnut has gone up by only 20-30%. In fact the ncrease in groundnut production is largely due to the shift from kharif to rabi. The yield rate of mustard has also shown a substantial improvement from 594 kgs/hectare in 1970-71 to 900 kgs/hectare n 1990-91. These figures for groundnut are 834 kg and 919 kg, respectively. However, yield being very high the growth of rabi groundnut has taken leaps and bounds. Production of groundnut and mustard and their oil equivalents for all India are shown in Figure 3. Both the curves for mustard are more steeper than that of groundnut. Further, while the differences between the production of the two oilseeds are narrowing down, the curves for oils have shown a reverse trend for the year 1991-92. This is due to the higher realisation of oil from mustard.
+Productions for 1991-92 in Figure3 are estimates made by the Institute of Rural Management, Anand.
+Southern India, comprising Andhra Pradesh, Tamil Nadu and Karnataka, which had more or less a stagnant production around 3 million metric tonnes between 1970-71 and 1986-87, has since then become a more important producer of oilseeds in the country (Table 3). For the last four consecutive oil years it has shown steady increment in the production and by 1990-91 reached as high as 5.6 million metric tonnes. The most interesting trend has been its contribution to groundnut production. This is clearly seen in Figure 4. Since 1984-85 the South has become dominant producer of groundnut over North. Although in 1988-89 share of North rose upto 50 per cent it steadily declined over the last two years.
+Table 1: Area, Production And Yield of Edible Oilseeds (All India)
+AREA (`000HA)
+PRODUCTION (`000MT)
+YIELD (KGsHA)
+YEAR
+KHARIF
+RABI
+TOTAL
+KHARIF
+RABI
+TOTAL
+KHARIF
+RABI
+TOTAL
+Source: Directorate of Economics and Statistics, Ministry of Agriculture, Government of India.
+Table 2: Area, Production and Yield of Groundnut and Mustard (All India)
+GROUNDNUT
+MUSTARD
+AREA (`000 HA)
+PRODUCTION (`000 MT)
+YIELD (KGs/HA)
+AREA
+PRODUC.
+YIELD
+YEAR
+KHARIF
+RABI
+TOTAL
+KHARIF
+RABI
+TOTAL
+KHARIF
+RABI
+TOTAL
+(`000HA)
+(`000 MT)
+(KGs/MT)
+Source: Directorate of Economics and Statistics, Ministry of Agriculture, Government of India.
+Imported oils which had formed more than 30 per cent of the total available oil in the country until 1987-88 have been slashed to a mere 6.7 per cent of the total available oils for the last three years. This is largely due to foreign exchange shortages. Until 1987-88 edible oils ranked next only to petroleum products in the import bill of the country.
+Given the sensitive and speculative nature of oilseed market and high variability in oilseed production, prices of oilseeds and edible oils display great erraticity even within the same season. The trend in fluctuation of prices has come down drastically by 1990-91. Figure 5 shows the intra-year fluctuations of groundnut oil prices at Rajkot market. The physical size of maxima bars shown in the figure are quite large for the period between 1985 and 1990. In comparison with these the variation in 1991 prices are much smaller.
+The magnitude of intra-seasonal price variations can be understood with the help of Table 4. Normally, prices that prevail during the sowing periods get depressed by the harvest season leaving the farmers, thoroughly disappointed. Fortunately, this trend has also seen a reversal since 1988-89. Figure 6 depicts harvest time prices as percentage of sowing time prices in order to understand the phenomenon stated above. Prices of groundnut at Rajkot market have been depicted for this purpose. Harvest time prices have usually remained lower than sowing time prices, with sharpest negative variation of 10 to 20 per cent occurring during drought years of 1972-73, 1974-75 and 1987-88. The exception being 1983-84 when high imports coincided with high level of groundnut production. For the last two years of 1989-90 and 1990-91 harvest prices have remained higher than sowing price. These figures, however do not capture the "real" fluctuations in the prices as the actual differences in
+prices have been lost because of averaging the prices for a month. This phenomenon is further discussed in Chapter 2.
+Table 3: Production of Edible Oilseeds (South North)
+Year
+Production (`000 MT)
+South
+North
+Total
+Source: Directorate of Economics and Statistics, Ministry of Agriculture, Government of India.
+Table 4: Intra-Seasonal Price Variation (Groundnut At Rajkot)
+(Rs./MT)
+Oil
+Sowing
+Harvest
+Support
+Year
+Price
+Price
+Price
+Source: Economic Times for market prices, and Commission on Agriculture Costs and Prices for support prices.
+While the policy interventions to stabilise oilseeds and vegetable oil sector have a history of one and a half decade, it is only during the last three years that the sector has been showing signs of self-reliance. In the present study an attempt has been made to analyse the impact of alternative policy options that have been adopted so far in context of several imperfections in the sector. The reasons for stagnancy in the production have been investigated. While attempting to understand the viability of alternative intervention mechanisms several policy implications have been drawn in order to strengthen the sector.
+Chapter 2 details the imperfections in oilseeds and vegetable oils sector. The sector is characterised by information and marketing imperfections. A long chain of intermediaries in oilseeds and oils trade operate in such a way that the market transactions are kept non-transparent so as to appropriate a maximum share in the consumer rupee. While supply uncertainties result from monsoon dependency, the non-transparent behavior of the market leads to fluctuations in availability. The study concentrates on the latter phenomenon.
+Nutritionists hold the opinion that no health deficiencies can be specifically attributed to low levels of consumption of edible oils. Further, excessive consumption of edible oils and consumption of hydrogenated edible oils would lead to cardio-vascular problems. Discussions on these viewpoints in the context of management of edible oil consumption have been presented in Chapter 3. Given the imperfections of the sector and considering the nutritional perspective, the potential and actual effects of State interventions, such as imports, buffer stocking operations, etc., have been analysed in Chapter 4 and Chapter 5. Chapter 4 discusses the role of imports and Chapter 5 concentrates on the role of National Dairy Development Board (NDDB) and Technology Mission on Oilseeds (TMO). Discussions on the need for self-reliance in the context of World Bank/ FAO recommendations have been presented in Chapter 6. Chapter 7 summarises and concludes with policy recommendations.
+<section>Chapter 2 - Imperfections in the sector</section>
+Oilseeds and vegetable oil sector in India has been characterised by several imperfections. Broadly, these can be classified as information imperfections, market imperfections and policy imperfections.
+<section>Information imperfections</section>
+Reliable information on supply, demand and prices are needed for efficient management of any commodity sector. Several sources of information on these three crucial factors can be identified, the most important being the government agencies. In edible oils, the inventories being extremely low, it may be presumed that demand equals supply and to that extent market clearance price may fluctuate along with the supply trends of edible oilseeds. This leaves only supply and price factors on which information is sought. Ideally every producer has to make his cropping decisions based on the competitors' behaviour. But, as things stand in India, producers act independently unaware of the competitors' behaviour. This becomes inevitable due to non-availability of reliable and timely information on supply trends. Further, the source of information on prices being the mass media, the cropping pattern, sales pattern, storing pattern , etc., could be potentially influenced by
+the long chain of intermediaries between the two end players, viz., producer and consumer. In addition to supply decisions, the policy decisions such as support prices, imports and exports, buffer-stocking operations, etc., also need information on supply and price trends. Several efforts have been made to estimate the crop size well before the harvest. Similarly, attempts have been made to establish relationships between supply and price. On both the counts, the results have been unsatisfactory. As a matter of fact, vested interests keep forecasting both supply and price in a manner so as to appropriate a maximum share in the consumer rupee through exploiting the imperfections. The efforts and progress made in providing reliable information have been discussed below.
+<section>Supply estimates</section>
+Three factors bear major influence on the area under cultivation of any oilseed crop.
+1. Allocation of area under oilseeds such as groundnut is dependent on not only the cash returns but also on the by-products like fodder. The farmer prefers to cultivate some amount of land for groundnut even in hostile circumstances in order to have fodder for his cattle. Precisely due to this behaviour there does not exist any linear relation between price and area under cultivation.
+2. Expectations about the monsoon influence the cropping pattern during kharif. The time and intensity of rainfall are the major influences on production behavior in agriculture.
+3. Fertility characterstics of the farm tend to create preferences for crops.
+In accordance with the suitability of land, oilseeds cultivation is concentrated in a few areas. The yield of oilseeds in kharif is entirely dependent on rainfall, however, even during rabi season the yield varies considerably across various geographical areas. Any estimation of oilseeds crop has to take into account area sown, fertility of land, rainfall, producer prices, and fodder considerations.
+Five methods of estimation have been in practice: Delphi's method, census method, sampling method, remote sensing applications and mathematical modelling. Delphi's method which has been used by almost every organisation in a rather crude form gives significant variation between several estimates. For example, estimates by several agencies for 1991 mustard crop ranged between 55 and 120 lack metric tonnes. Census method which has been adopted by governments is supposed to be more accurate, theoretically. But, the final information on the results are available only after a year of the harvest of the crop. Although information on area sown has been made available by the State governments within 2 months of sowing, it is subjected to changes across the year, and beyond, through revised estimates. Arriving at all India estimates becomes further difficult as the information gathering from all States would normally take substantial time. Certainly these belated data would serve no
+purpose in policy formulations as well as in anticipating production and market behaviour. However, government estimates form the base for future research. It is felt that sampling method yields better results than Delphi method and gives more timely results compared to census method. Large multi-national Corporations like Hindustan Levers Limited (HLL) and Indian Tobacco Company (ITC), other organisations like National Dairy Development Board (NDDB), Operation Research Group (ORG) , and the Institute of Rural Management, Anand (IRMA) have adopted this method for oilseeds crop estimation. However, even these estimates differ substantially from the figures published by the Government of India. For example, IRMA estimate for 1990-91 Saurashtra kharif groundnut of 4.5 lakh metric tonnes falls short of the government estimate of 8.27 lakh metric tonnes. The estimate for 1990-91 for mustard of 60 lakh metric tonnes was on the higher side over the government figure of 51.5 lakh
+metric tonnes. IRMA has been attempting to have more reliable estimates through an integrated approach of sampling method, remote sensing applications, and mathematical modelling. Remote sensing has a greater potential for accurate and timely estimates of area under oilseeds. Estimates for rabi crops such as wheat and mustard have yielded better results. However, estimation for kharif becomes difficult due to the cloud coverage. And also, this method does not have sophistication for estimation of the yields. Mathematical methods have been attempted by researchers to forecast agricultural crop area and yield.3 Particularly, yield models could be very useful in forecasting. The crop cutting estimates of the state agriculture departments contain valuable information for generating realistic yield models as well as other important parameters but the `secrecy' clause denies access to any outside researcher. Unlike the U.S. Department of Agriculture, there is no in-house
+economic research service to undertake such studies in India. In the process, most valuable pieces of information have remained unutilised for years.
+<section>Price behaviour</section>
+Attempts of modelling price behaviour remain unfulfilled due to imperfect information on price trends. While at the core, demand and supply factors influence the price of the commodity, severe fluctuations in intra-seasonal and intra-year prices of oils indicate the futility of a mere economic analysis in understanding the price behaviour. Failure to capture the market sentiments through economic models necessitates an investigation to understand the relevant influential factors. On the whole, intermediaries between producers of oilseeds and consumers of oils play a very significant role in price movements and both the end players are mere residual receivers. To a large extent, the inadequate market intelligence of the intermediaries is responsible for price uncertainty, and the unfair practices of the trade help in appropriation of both consumer and producer margins. Among others, the press has been a strong source of influence. A less than 1% variation in groundnut oil
+prices has many a times been covered in some daily newspapers and business papers by giving it a three column treatment. For the consumers as well as the producers, the source of information on prices is by and large the press. It follows then that press can potentially influence the price behaviour. Cropping patterns, selling patterns, storing, etc., are largely dependent on ruling prices. Also, there is ample scope for the press to politicise the issue of price movements in order to effect certain institutional factors which may be conducive to the trade. For example, sensationalising movement in commodity prices would certainly determine the behaviour of interventions such as imports, buffer-stocking etc. When a commodity like edible oil, whose share of consumer expenditure is only around 5 per cent, is given a comparatively high priority and a large coverage, then the role of the press needs to be analysed.
+Coverage given by a typical business daily on the prices of groundnut oil, wheat, and toordal at Bombay market for the oil year (Nov.-Oct.) 1990-91 was selected to analyse the role of press in influencing market sentiments. Commodities have been chosen to represent one each from cereals, oils and pulses. Fluctuations in the prices have been computed with the help of coefficient of variation and that of the treatment given by press in terms of title size as proportion to the total space provided for the title on the prices of all commodities, comment size as proportion to the total space provided for comments on the prices of all commodities, and title size as proportion to comment size. While the first two measures of treatment given by the press show the focus on the commodity concerned, the latter draws the element of sensationalisation. In conjunction with the variation in the prices, these measures would explain the extent to which undue coverage has been accorded. All
+the issues of the business daily falling within the period of study mentioned above have been surveyed and then aggregated to arrive at monthly and yearly averages. Monthly averages have been analysed to check whether the yearly trends are consistent throughout.
+The results of the above analysis have been presented in "The Role of Press in Influencing Market Sentiments: Case of Edible Oils" by Aneja RP and Krishna KVSM (Annexure I) wherein it has been concluded that the press has been a major factor influencing edible oil and other commodity markets which are characterised by severe imperfections. The arbitrary coverage of price movements provide wrong information to the interest groups. A 3% variation in the prices of groundnut oil would get a 50% treatment while a 15% variation in the prices of relatively more important commodities like cereals and pulses would receive less than 3% treatment. This phenomenon adversely affects the functioning of vertically integrated business as well as market intervention operations.
+Groundnut oil prices are deliberately depressed at the time of harvest by the trade so as to buy farmers' produce at low prices. It is generally felt that the farmers get the same sum of rupees (after adjusting for inflation) for their product whether they produce 30 per cent more or 30 per cent less. Farmers therefore, left with no incentive to produce more. For example, during 1976 groundnut oil was available at Rs.4/- per kg. in October-November, and the same oil was sold at Rs.13/- per kg. in June-July. However, the monthly data on the fluctuations in prices of groundnut/groundnutoil does not show this phenomenon. It is therefore hypothesised that the average of prices on a monthly basis does not capture the market sentiments and their adverse effect on the oilseed growers. Bulk of the crop comes out over a short span of 2-3 months and within this period there are days when the market yards are full and prices get depressed. Ideally, one should look at daily price
+fluctuations, but then there is so much data to be handled. May by, due to this very reason, figures rounded off to the monthly averages were routinely used. An attempt has been made here to look at the amplitude of the variations in price fluctuations computed at daily averages and monthly averages in order to capture the loss of value of data in averaging. This exercising was considered important because averaging of price data on monthly basis does not give a true picture of the loss suffered by the farmers.
+The price fluctuations in groundnut oil in Rajkot clearly brings out the fact that until massive imports of edible oils were resorted to in 1976-77, the flutuations in daily prices were much greater than the fluctuations in monthly average prices (Figure 7). The price spread calculated on the basis of daily average has been twice as much as the price spread based on monthly averages in certain years (1968-69, 1972-73). These fluctuations could be explained to be on account of either too little availability or too much availability of edible oils.
+Between 1976-77 and 1985-86 daily price fluctuations in groundnut oil have been minimised. However, even this benefit was lost during the years 1987-88 probably because of too much availability of edible oils. Besides increases in the prices of groundnut oil, the general trend seems to show that the fluctuations in groundnut pod prices (Figure 8). Groundnut pod prices continued to remain unpredictable and the widest fluctuation was reached in the year 1987-88 in spite of massive imports. For the last two years, the difference between fluctuations computed in terms of the proportional loss in fluctuations of monthly prices over fluctuations of daily prices (Table 5). Table 5 shows fluctuations in the prices of groundnut and ground oil computed over daily average prices. The loss of value of data has also been shown both in case of groundnut and groundnut oils prices. The magnitude of the loss of value of data would suggest one of the major information imperfections. This
+would also suggest the intensity of intra-month fluctuations compounded to the 12 months of a year. As is clear from the table, the loss of value of data is not uniform for groundnut and groundnut oil prices. This would imply that there is no integrated movements between the prices of groundnut and groundnut oil as revealed by a number of empirical studies.
+<section>Market imperfections</section>
+The source of price hike and price fluctuations lies in the supply uncertainties as well as imperfections of marketing. In turn, supply uncertainties arise broadly due to cultural practices of price-related incentives/disincentives. The production behaviour of oilseeds is dependent on both, acreage and non-acreage factors such as rainfall (or irrigation during growing season), use of fertilisers and pesticides, availability of quality (or improved) seeds and the subsidy programmes, price behaviour, etc. (In India more than 90 per cent of the area under oilseeds depends on rain-fed irrigation). The farmer's response to acreage allocation of oilseeds is dependent on the relative farm price and other non-acreage factors including the yield rate. However, the continued dependence on non-acreage factors indicates the influence of institutional and technological rigidities. While the harvest time price of oilseeds is a function of the wholesale prices of edible oils, an increase
+in the wholesale price was associated with less than proportionate increase in farm harvest and retail prices.4 This suggestions an unwarranted appropriation of the share in consumer rupee by the intermediaries, in this case the traders and millers. Further, it was studied that for a given increase in wholesale price the increase in farm harvest price was much smaller than the increase in retailprice5 indicating more disadvantageous distribution towards producers of oilseeds than the consumers of edible oils. In India, there is strong tendency of traders/millers of oilseeds/edible oils getting united to form collusory oligopolistic markets to raise or manipulate prices in order to appropriate the maximum share of the consumer rupee. The speculative nature of the oilseeds market helps them carry out this goal. Since the consumer price has implications for the popular vote, it s likely that the tendency of appropriation is more towards the farmers' share than that of the
+consumers. To that extent, the less numerous producers are reduced to the stage of price takers than price givers/bargainers. This in turn, forms a disincentive for cultivation of oilseeds crops.
+Table 5: Fluctuations in the Prices of Groundnut and Groundnut Oil (Rajkot Market)
+(Percentage)
+Year
+Fluctions in the Prices of
+Loss of Value of Data
+Groundnut
+Groundnutoil
+Groundnut
+Groundnutoil
+Source: Economic Times for price data
+An examination of edible oil prices and oilseed prices would reveal that there does not seem to be any parity between them. This clearly hints at imperfections in marketing and the prevalence of dishonest trade. Most farmers have the option of selling their produce through three principal channels: directly to private traders/consumers, through regulated markets, and/or through cooperative system. A high proportion of the trade by-passes the regulated market. Small traders purchase the produce at farm gate and sell through brokers to oil millers. In many cases millers themselves engage procurers from villages. Often the prices offered in these deals would appear to be slightly higher than those at regulated market yards on account of the potential for tax evasion that these deals bear. In addition, the minimisation of transportation costs and time would prompt the farmers to dispose off the produce at the farm level. Millers/traders ocassionally engage in money lending for
+cultivation purposes and in lieu would demand the sales of the produce to their parties. Since a decade or so, because of the efforts made by the NDDB, cooperatives have emerged as strong players in the trade. Farmers exercise the option of selling the produce through cooperative societies. In Rajkot a certain practice known as pooling system is in prevalence. Under this system the farmer retains the option of final sale through cooperative units. The produce supplied by the farmers is sold only at the market price at any time decided by the farmers. However, the procurement levels of these organisations would be constrained by the available storage facilities, lack of parities on account of the fact that cooperatives do not engage themselves in tax evasion and adulteration, nor deviate from the prices announced before harvest, etc.
+With the easing of restrictions on cash crop cultivation as a part of the `Grow More Food Campaign' in the fifties, groundnut acreage rose at a fast rate. Particularly, in Saurashtra region of Gujarat State, five districts, namely, Amreli,Bhavnagar, Jamnagar, Junagadh and Rajkot have specialised in groundnut cultivation. With the growth in groundnut acreage, number of oil mills also has gone up. Over the years millers and traders have become economically powerful through engaging themselves in speculation activities, creating artificial scarcities to rig prices, purchasing oilseeds from farmers at low prices through information manipulation etc.6
+Through effective communication in newspapers and posting notices at the market yards on the overall crop size, storing capacity, price behaviour etc., farmers' selling pattern is effectively influenced by the millers/traders. Thus, having ensured purchase of oilseeds at low prices, they would again resort to the media for maximum realisation on the finished commodity. The absence of a better estimate of the crop size would help them in running a parallel economy. Parities between seed prices and oil prices have been managed through the appropriate use of 'number one', 'number two' and `number three' accounts; and the options of marketing illegally blended two-three-five or two-five-eight; (the former notation implying the amount of castor, mustard and imported palmolein in kgs. mixed in a 15 kg. groundnut oil tin, while the latter being the composition of cottonseed, mustard and groundnut oils, respectively, in a 15 kg. groundnut oil tin). Further, evading taxes, and
+stealing power also helps them in managing parities. In addition to adulteration and tax evasion trading in illegal speculation insulates them from fluctuations in prices arising out of supply uncertainties. Speculation in oil business became very strong with Rajkot and Dhoraji being two important nerve centres. Speculation or illegal satta continued on even after 1965 when forward trading was banned by the government. This activity prospered in the mid-seventies when large scale exports of groundnut oilcakes and HPS groundnut took place from the region. This led to the establishment of solvent extraction plants in Saurashtra and also vanaspati plants. Most of these plants were attached to oil mills. Several investigators have presented the functioning of illegal satta in groundnut oil.7 It is important to note that a small fraction of the well off farming community has also been engaged in speculation activities. The "jangad" method of purchases by the oil mill may have
+prompted these farmers into speculative trade.8 This method is similar to the pooling system of cooperatives mentioned above with an additional provison that the produce of the farmer is crushed and sold at the convenience of the miller but the deal is settled at the ruling market price selected by the farmer. This form of transactions would help tax evasion. Packing in old used tins, crushing and marketing during peak season and locking out during lean season, engaging only casual labour at relatively low wages, operating in unhieginic environment, etc., have been the other means of cutting costs by the millers. Nexus between politicians and the Telia Rajas plays an important role in safeguarding the power structure of private oil mills and trade and their brotherhood.
+Brokers and commission agents play a very significant role in oilseeds and edible oil trade. The transactions between producer of the oilseeds and purchaser of the oilseeds, between purchaser of the oilseeds and oil miller, and between oil miller and wholesaler are largely carried out through brokers or commission agents. As the information on supply, demand, and price is highly imperfect, brokers are expected to assimilate information and gather the interest groups together in lieu of a certain charge or commission. But, in case of oilseeds and edible oils, brokers appear to be the price givers. The interaction of supply and demand is determined by the broker based on his knowledge. His knowledge claims, trustworthiness and the possibility of collusion cannot be ruled out. Further, quite a few brokers/commission agents do trade in the commodity, which certainly influences their role as moderators.
+In important market centres like Bombay, Madras, and Rajkot brokers along with a few millers and dealers have formed associations/oil exchanges and registered themselves with Forward Markets Commission, primarily for future trading in castor seed. More than 50 per cent of the membership is normally owned by the brokers. Largely the activities carried out in these exchanges are far from being transperent. A detailed study has been conducted on the role of oil exchanges and market yards in the sector.9 In addition to the moderating role, oil exchanges, particularly the one at Bombay, provide price quotations for publication to the press. The way in which these prices are collected and the volume of trade on which the prices are based would suggest that they are not representative of the market sentiment. As the prices quoted by the oil exchange at Bombay influences the price trend in all the leading markets in the country, the few members of the exchange could dictate the
+movements in supply and demand. The irrelevance of the prices quoted may be best explained by the classic example of `karad bold' variety of groundnut. Although this variety is no more existent in the country, until recently the exchange quoted its price. Either this action is an outcome of the routine nature of their task or some signals have been sent to some unknown players in the game! It has been suggest by the BODE that `karad bold' in a hypothetical base price used to arbitrate in cases of disputes.
+On the other hand, Agricultural Produce Marketing Committees (APMC) were set up by the law to provide for 'fair trading practices'. The apex body of these committees will have around 15 representatives from farming community, brokers and other related bodies. Although they provide certain security to the farmers in the form of settlement of disputes, opportunity to withhold the produce in their storage facilities, etc., only between 10 to 15 per cent of the total oilseed production arrives at the market yards. The price support operations that are implemented only at APMCs have no meaning for oilseed growers because the announced support price has usually been much lower than the ruling harvest price in any given year as shown in Table 4. APMCs provide data on price and supply of oilseeds to the press as well as to the government agencies. The price trends based on the price of 10 to 15 per cent production would lead to gross approximation errors. While the practice of
+open auction bears scope for forming cartels of brokers and traders/millers, provisions like keeping the sale pending and resale of the commodity within the premises of APMC helps tax evasion.
+<section>Policy imperfections</section>
+It has been observed that differential tax structure across states/union territories has led to massive evasion of taxes on edible oil trade through inter-state trespassing. Oils are sent on consignments to the states where taxes on the sale of edible oils are lower than the originating areas. The practice of transporting more quantity on permit for a single load would add to the gains. In several states/union territories on account of promoting industrialisation tax waivers are used for a certain period of initial years. This provision has been comfortably used by the private trade to evade taxes in the form of re-registering the company under another name immediately after the waiver period is over. Uniformal tax policy across all the states/union territories would have checked this particular type of tax evasion.
+Blending of oils had been banned by the Government of India. Even more importantly, vanaspati industry is not allowed the use of groundnut and mustard oils in the manufacture of vanaspati, while the use of other oils including imported oils has been permitted. This policy decision has two interesting consequences. First, it has generated a comparative edge for those traders who adulterate preferred oils with cheap oils or even non-edible oils over cooperative units who would not deviate from the government ban on blending of oils. Second, the inter-temporal and inter-spatial imbalances in the supply of edible oilseeds could not be resolved. For example, the less risk prone crops like mustard would get a better supply response if producer prices of these crops are not severely influenced by the preferences of the consumers. Similarly, in the good crop years mustard/groundnut oils may need demand from vanaspati industry. The consumers who were used to the consumption of
+vanaspati, a hydrogenated product of mixed oils, and the passive consumption of oils adulterated by private trade are not expected to find objections with the blending of edible oils. A survey conducted by NDDB reveals that about 60 per cent of the households like blended oils over preferred oils while 15 per cent were indifferent about blended oils.10
+Hedging and futures trading by producers and processors facilitate better resource allocation and planning of production, sales, processing, and storage patterns. However, for the effective functioning of futures market prevalence of two conditions is necessary. First, the differences in the prices across commodity spot market should reflect only the differences in the costs accruing on account of space, time and form utilities, viz., equal minimum transfer, storage and processing costs, respectively. Second, all information on prices, demand and supply should be transparent, accessible and uniform in terms of quantity, quality, taxation, processing, etc. Instead of addressing these requirements the government has banned futures trading in edible oilseeds which has resulted in formation of illegal forward markets in many important trade centres like Rajkot, Jamnagar, Adoni, etc. In the absence of near perfect spot markets and near perfect information futures trade would
+only lead to inefficient gamble on the prices of the commodity. Further, the failure to have an authorised moderator would potentially lead to the losses of weaker players. Similarly, the failure to form an integrated forward market for the commodity would lead to region based concentration of power in the commodity.
+<section>Chapter 3 - Consumption of edible oils and nutritional perspective</section>
+In India the requirements of edible oils are perceived in conjunction with the relationship between growth in per capita income and growth in levels of consumption across the developed countries. Inter-country analysis shows that while the world average per capita consumption of edible oils has gone up from 9.44 kg in 1958 to 14.47 kg in 1987, USA recorded 53 per cent growth at 39.72 kg and Japan recorded 248 per cent growth at 19.84 kg per capita in 1987. These are, in reality, the rate of disappearance of edible oils. In comparison with these rates India's performance of only 21 per cent growth (from 5.62 kg in 1958 to 6.8 kg in 1987) in per capita consumption of edibl oils has been wrongly perceived as edible oil deficiency.11 In addition, wide disparities have been observed in consumption across various economic, spatial and rural/urban groups. Table 6 summarises the skewness in consumption. Skewness is defined as the departure from symmetry. Analysis of the 28th round
+(1973-74) of NSS on consumer expenditure shows that the consumption of edible oil was highly skewed in favour of higher expenditure groups. The coefficients of skewness for rural and urban areas for the economic groups are 1.1 and 1.42, respectively. However, the consumption across the states/Union Territories in comparison is relatively moderately skewed, in favour of those who consume more, at 0.4 for rural areas and at 0.31 for urban areas. Coefficient of skewness explains the magnitude of skewness and its sign specifies the direction. Normally it ranges from -3 to +3. The observations are weighted to the sample size for computing the coefficient. Skewness in the consumption of edible oil during 1986-87 across the expenditure groups as well as the states/Union Territories has increased over 1973-74. As against 1973-74 the coefficients of skewness across the spatial groups is now 0.99 for rural and 1.19 for urban areas. With regard to the skewness across the economic
+groups the coefficients now stand at 1.2 and 1.49 respectively, for rural and urban areas.
+Table 6: Skewness in Consumption*
+Consumption expenditure across (rural/urban)
+Arithmetic mean
+Coeff. of skewness
+Arithmetic mean
+Coeff. Of skewness
+Economic groups (r)
+Economic groups (u)
+Spacial groups (r)
+Spacial groups (u)
+Source: 28th round of NSS (1973-74), "Tables on Consumer Expenditure", and 42nd round of NSS (1986-87), published in Sarvekshana, April-June, 1990.
+* Vanaspati, mustard oil, coconut oil, gingili oil, groundnut oil, linseed oil, refined oil, other edible oils and oilseeds.
+The cross-sectional income data of NCAER's Market Information Survey of Households, 1987-88, shows that the households under Rs. 11,000/- income per annum category (which accounts for 61 per cent of the total population) could purchase only 17.4 kg of edible oil (excluding vanaspati) per household for the year. Consumption of vanaspati had also recorded skewness. The consumption of vanaspati (Table 7) was 48.79 and 34.16 per cent of the urban and rural households, respectively. Of the total consumer strength 27.32 per cent hail from urban areas. These households consumed 34.93 per cent of total quantity of vanaspati produced in the country. The per household consumption of vanaspati was 14.07 and 10.36 kg, for urban and rural areas, respectively. Skewness across the spatial groups was quite significant. Table 8 shows that with 2.41 and 15.9 per cent of the population of Punjab and UP, respectively, consumed 9.89 and 32.81 per cent of the total quantity of vanaspati produced
+in the country. These figures for Bihar and MP, relatively poor states, were 7.71 and 8.4, and 7.34 and 7.99, respectively. Since vanaspati is a predominantly North Indian commodity only North Indian states are taken for comparison. The per household consumption significantly declines as one moves from Punjab to Bihar. Rajasthan, Punjab and UP together have consumed about 51 per cent of the total vanaspati produced in the year. The share in the consumption of vanaspati by various economic groups has been worked out in Table 9. Households earning an income upto Rs. 11,000/- per annum accounted to 61 per cent while their share in total available vanaspati was only 43.06 per cent. The per household consumption ranges from 9.76 kg for the first economic group (i.e., upto 11,000) to 20.86 kg for top economic group (i.e., above 50,000).
+Table 7: Consumption of Vanaspati in Rural and Urban Areas
+% households consumed
+Share of the households (%)
+Share in the consumption (%)
+Per household consumption (kg)
+Urban
+Rural
+Source: Market Information Survey of Households, Vanaspati, National Council of Applied Economic Research, 1988.
+Table 8: Consumption of Vanaspati in Various States
+State
+% age of population
+Share in consumption (%)
+Per household consumption (kg)
+Punjab
+UP
+MP
+Bihar
+Source: Market Information Survey of Households, Vanaspati, National Council of Applied Economic Research, 1988.
+Table 9: Consumption of Vanaspati by Various Economic Groups
+Income class (Rs)
+Share of the household (%)
+Share in the consumption (%)
+Per household consumption (kg)
+up to 11000
+above 50000
+Source: Market Information Survey of Households, Vanaspati, National Council of Applied Economic Research, 1988.
+Perhaps, these considerations, viz., poor growth in per capita consumption and skewness in consumption, have retained the status of essential commodity to edible oils and vanaspati in the policy formulations. However, an altogether different picture emerges as one looks at the recent opinions of nutritionists on the subject.
+Based on several researches across the world it has been inferred that dietary fat is the most important food item causing health hazards among affluent population. Increasing fat content in the diets of affluent people leads to coronary heart diseases (CHD) and diabetes (Type II).12 The steady expansion of middle and affluent classes in India since independence has brought abou a significant change in the dietary pattern. While the changes in life styles and dietary patterns during initial stages of socio-economic advancement are desirable to rectify energy deficits, the persistent growth in the fat component of the diets can lead to serious health complications. It has been observed that over the years affluent sections of the population have opted for increasing consumption of edible fats. An increasing preference for hydrogenated fats over vegetable oils by the middle class and for ghee by the most prosperous groups has also been noticed. Edible oils being hundred per
+cent fats, the consequences of excessive consumption of edible oils on the health have been studied by several researchers. Gopalan (1988) felt that the CHD among affluent Indians has reached more alarming magnitude than their counterparts in the developed countries, possibly because of the dietary peculiarities which comprise reduction in the consumption of more fibrous cereals like millets, increased intake of edible fats and sugar, and an increase in the overall energy intake. These observations have been corroborated by findings of researches on Indian immigrants abroad. Based on these experiences experts are of the opinion that overall intake of fat should be restricted to levels which provide less than 20 per cent of the total calories.
+Achaya has shown that practically every Indian food item including cereals contain invisible fat.13 Coarse cereals like millets contain around 6 per cent fat while fine cereals like rice and wheat contain around 3 per cent. Bengal gram contains around 5 per cent fat and eggs contain around 13.5 per cent. Taking the staple foods across ten states, Achaya has made an estimation of invisible fat content in Indian diets. It has been estimated that the invisible fat intake ranges from around 20 grams per day in UP and Orissa to 50 grams per day in Kerala. Adding to this, the average visible fat availability in recent years computed at 15 to 16 grams a day would keep the contribution of total fat to energy intakes at around 18 per cent in Orissa to 22 en per cent in Kerala, average being around 15 en per cent. More recent calculations indicate the invisible fat content in Indian diets at 15 en percent which would take the overall fat contribution to the total energy at 20 en
+percent (Gopalan C, ibid).
+On the grounds of vitamins, fats are not essential in Indian diets as vitamin A is provided by green vegetables, vitamin D is provided by the sunlight and as for vitamin E its essentiality is not yet properly understood. As regards essential fatty acids, Achaya argues that the invisible fat in Indian diet contributes around 5 to 7 en per cent of linoleic acid which is in excess to FAO/WHO recommendation of 3 en per cent. He also feels that the 0.28 en per cent of linolenic acid provided by an average Indian diet is sufficient to have a balanced ratio of n-3 (derived from linolenic) and n-6 (derived from linoleic) fatty acids. Excess linoleic acid has a potential to lower high density lipoprotein cholesterol which could lead to coronary heart disease, development of certain tumours, and suppression of immune response. Even the polyunsaturated fatty acids have been found to have questionable health properties, e.g., increased gallstones, increased serum triglycerides,
+increased serum cholesterol, and decreased HDL cholesterol.
+The above arguments have been acknowledged by the Indian Council of Medical Research (ICMR). In terms of nutrition, the vegetable fats necessary for a balanced diet as per the recommendations of ICMR (refer `Nutrient Requirements and Recommended Dietary Allowances for Indians', Indian Council of Medical Research, 1990) for the country as a whole comes to 3.5 MMT and 3.57 MMT for the years 1988-89 and 1989-90, respectively (Table 10). As against this, the domestic production of the vegetable oils was of the order 4.75 MMT and 4.78 MMT, respectively. In fact, the growth in the per capita consumption of edible oils by Indians cannot be attributed to growth in per capita income as over years the household budget on edible has been steadily increasing which may suggests the prevalence of low priced imported oil. A comparison of the household budget allocation on edible oil across various NSS rounds (Table 11) shows that despite the decrease in the proportion of food budget, the
+expenditure on edible oil has recorded a constant increase over the period of 1972-73 to 1986-87. Given the fact that the WPI for edible oils is at no point of time more than the WPI for all commodities, the increment in the family budget on edible oils may be safely viewed as an increment in the consumption level of oil. Even a casual examination of the correlation coefficients between the availability and consumption of oils indicates that the growth in the consumption level may be ascribed to the availability of low priced imported oil. The strong and significant correlation (computed for the period 1971-72 to 1988-89) between the imported oils and per capita consumption (0.81) vis-a-vis the availability of domestic oil and per capita consumption (0.19) suggests that the availability of imported oil had a greater influence than the availability of domestic oils on the growth of per capita consumption.
+Table 10: Edible Oil Requirement
+(as per ICMR norms)
+Year
+Population (millions)
+Per capita requirement
+Total requirement
+Domestic supply
+(kg)
+(MMT)
+(MMT)
+Source: Nutrient Requirements and Recommended Dietary Allowances for Indians, ICMR, 1990, New Delhi.
+Table 11: Budget Allocation of the Households
+(Percentage to total expenditure)
+NSS rounds
+Edible oil
+Rural Food
+Non- food
+Edible oil
+Urban food
+Non- food
+Source: Sarvekshana, April-June, 1989.
+Another important dimension is the question of hydrogenated fats. Evidence implicating trans fatty acids as cholesterol raising substances (cis) has been reported.14 Margarine and shortenings are identified as containing trans fatty acids. Production of vanaspati converts about 50 per cent of the good unsaturated fatty acids into not so good trans fatty acids. The hydrogenation process converts naturally occurring cis fatty acids into trans fatty acids. Margarine contain about 27 per cent of trans fatty acids as against 2 to 4 per cent in butter.15 RP Mensink and MB Katan have investigated that although both cis and trans are unsaturated fatty acids, trans fatty acids affect cholesterol levels in much the same way as saturated fatty acids when compared to an oleic acid control. They found that trans fatty acids significantly raised low-density lipoprotein (LDL) cholesterol. As a result, the ratio of LDL, and high-density lipoprotein (HDL) has gone up in favour of LDL which
+increases the risk for heart diseases. During the past three decades the trans fatty acids have been shown to have a serum cholesterol raising effect. Now, they have been reported also to lower the HDL cholesterol ratio. Additionally, these fatty acid isomers formed by the hydrogenation process are saturate equivalents with respect to their physical properties. In other words, consumption of vanaspati or hydrogenated fats leads to enhanced cardiovascular diseases in human beings. In response to these new data, large food corporations all over the world are highly concerned and are attempting to eliminate hydrogenated fats from their product formulations. Governments across the world have also started warning against the increasing trans fats in the diets. In fact, long ago in 1946, Gandhiji wrote in `Harijan' questioning the wisdom of manufacturing vanaspati. He felt that vanaspati would be used to adulterate ghee and that good oils would be turned into expensive and not so
+good vanaspati.
+Piecing together above arguments on the requirements of edible fats, it may be concluded that neither edible oils nor hydrogenated fats are essential commodities. One does not have to be alarmed by the differences between the consumption levels across the countries. Even the poor Indian diets are reasonably adequate in fat and the edible fat intake of the order observed among affluent sections are unnecessary and possibly hazardous. It is in context of the latter issue however, that dispersing the skewness in consumption needs proper attention. For some time, the Technology Mission on Oilseeds and Pulses had made some attempts to discourage excessive consumption of edible oils through advertisements in the press. This path needs to be pursued more vigourously.
+<section>Chapter 4 - Major interventions in the sector: Imports</section>
+Three major interventions have taken place in resolving the problems detailed in earlier chapters:
+i) MASSIVE IMPORTS OF EDIBLE OILS
+ii) VEGETABLE OIL PROJECT BY NATIONAL DAIRY DEVELOPMENT BOARD
+iii) TECHNOLOGY MISSION FOR OILSEEDS
+Imports are considered a softer option to bridge the demand-supply gap, since 1976-77. Table 12 presents the share of imports in total available oil for consumption in the country. Imports accounted for 35% of oil availability during 1987-88. However, during 1988-90 imports were slashed to the level of 9.33 per cent of the total available oil. The CIF unit value of the edible oils being much lower than the ruling domestic price in any given period, it was felt that the imports of edible oils will check the increase in the prices of domestic oils and will also bring a stabilisation in the seasonality of prices. Incorporated into an effective distribution system imported oils may be useful in correcting the skewness in consumption as well. Imported oils were by and large issued to the vanaspati industry and directly to the consumers through the public distribution system (Table 13). During the first five years (1976-81) the share of the vnasati industry in the imported oils
+was quite high. It was generally felt that the vanaspati industry should be encouraged to use non-conventional/imported oils in the manufacture of vanaspati. Since 1981, the share of PDS in the use of imported oils kept on increasing. This may be due to the fact that the PDS was expected to be effective in correcting the skewness in consumption and moderate atleast the seasonal increases in prices.
+Table 12: Availability of Edible Oils for Human Consumption
+(`000 metric tonnes/oil year)
+Year
+Domestic product of edible oil
+Imported oils
+Total availability
+Oils imported as percentage of total oils
+Source: Data for 1971-72 to 1987-88 is taken from Ashok Gulati (1990). Data for 1988-89 is collected from NDDB Studies and Department of Civil Supplies, Government of India. Data for 1989-90 is taken from Economic Times, Ahmedabad, dt. 2.2.1991.
+Table 13: Issue of Imported Edible Oils to Vanaspati and the PDS
+(Lakh Metric Tonnes/Oil Year)
+Oil Year
+Oil issued to vanaspati
+Oil issued to PDS
+Oil Year
+Oil issued to vanaspati
+Oil issued to PDS
+Source: The Economic Times, Bombay, dt. 1.12.1990; and Department of Civil Supplies, Government of India.
+The consumer price of imported oils is fixed (after making allowance for customs duty, expenses of processing and transportation, and also some marginal surpluses to the agencies involved in PDS ) at much lower levels than the ruling prices of the domestic product. Table 14 clearly indicates that in any given oil year the issue price of imported oil to the PDS was much lower than even the minimum of the ruling market price of both the costly groundnut and relatively cheaper mustard oil sold in bulk. Even to the vanaspati industry imported oils were made available at relatively lower prices in the name of price controls. It was also believed that vanaspati industry has been given low priced imported oils ostensibly to make up for the fact that they were denied the use of groundnut and mustard oil. As shown in Table 15 imported oilswere issued to vanaspati industry at both concessional and commercial rates. However, more than 90 per cent of these oils had been supplied at
+concessional rates. Only since December 1988 issue at concessional rate was withdrawn. Since vanaspati is usually sold at the prices prevailing for groundnut oil, the difference between prices of raw oils and prices of manufactured vanaspati is not expected to be as much as the difference between prices of imported oils and prices of groundnut/mustard oil whichever was cheaper. However, there is a downward trend in this difference from 1988-89.
+Table 14: Issue Price of PDS Oil and the Harvest Season Market Prices of Domestic Oils
+Oil year
+Issue price to PDS
+Min.-max. market price of
+Groundnut oil (at Bombay)
+Mustard oil (at Calcutta)
+(Rs/metric tonnes in bulk)
+Source: Reply in Loksabha dated 1.3.89, and Economic Times.
+<section>Implications of issue of imports to PDS and vanaspati industry</section>
+The following consequences emerge with the issue of an imported commodity at prices much lower than the domestic prices, unless balancing mechanisms are imposed.
+i) depression of domestic prices of the commodity;
+ii) increase in the level of per capita consumption;
+iii) development of vested interests;
+iv) increased foreign exchange outflow; and
+v) internal generation of taxes.
+The following framework is intended to explain the effect of imported oils made available for consumption through PDS and vanaspati industry on the prices of domestic oils and on the creation of undeserved profits to the interest groups. The price of oil in the open market is determined by the interaction of market demand for and supply of the local oil, and the portion of imported oil that leaks into the open market. The introduction of public distribution affects open market in two ways: i) assuming the imported oil and the domestic oil are substitutable, an increase in PDS oil will decrease the demand for local oil by the same amount, implying a decline in its price, and ii) the income of the consumers receiving the PDS oil will increase by an amount equal to the savings in their oil budget resulting from the difference between market and PDS prices for each unit of PDS oil, which increases the demand for oil. The former is the substitution effect and the latter is the
+income effect, and the net effect is the market displacement effect. The net reduction in the market demand curve for local oil is determined as follows:
+D = [a Qi-b Qi(P-Pi)/P];
+where,
+D = net shift in the demand
+a = marginal rate of substitution of PDS oil for local oil
+Qi= increase in PDS oil
+b = marginal propensity to consume oil
+P = market price of oil
+Pi= issue price of PDS oil
+The net result of the opposing effects is expected to be such that the reduction in open market demand because of an increase in quantity of PDS oil would be lesser than the increase in PDS oil. In other words, increased PDS oil will lead to a net increase in effective demand. Similarly, the issue of imported oils to the vanaspati industry will cut down its demand for the domestic oils.
+Figure 9 captures the potential effect of imported oil distribution through the existing PDS mechanism. The values in the diagram pertain to the financial year 1987-88. In this hypothetical treatment, only groundnut and mustard oils are considered. It may be noted that groundnut and mustard oils put together accounted for 69 per cent of the total edible oil produced in the year. The price of the domestic oils is weighted by the quantities of respective oils. The domestic supply of (groundnut and mustard) oils was 2.33 MMT in the year 1987-88. Of the total 1.82 MMT imported oil, 1.15 MMT was issued to consumers through PDS. Hence, the total availability of edible oil for direct consumption was 3.48 (2.33+1.15) MMT. Using the data of NCAER's Market Information Survey of Households, 1988, it is estimated that 57.89 per cent of the imported oil issued through PDS had leaked into the open market during 1987-88. Thus, the supply of domestic oil in the open market increased,
+through adulteration, by 0.67 MMT to 3 MMT. Since, in short-run the supply response to the changes in the demand is almost zero for any agricultural commodity, the supply curves in the diagram are assumed to be vertical. S1 is the supply of domestic oil, S2 is the total availability of oil which includes both domestic and PDS oils, and S3 is the total oil available in the open market which includes domestic and the PDS oil leaked into the open market. In 1987-88 imported edible oil was sold through PDS at an administered price of Rs. 13,050 per MT. The weighted average price of the domestic oil (including the leaked-in PDS oil) at which the actual transactions took place was Rs.23,080 per MT. At this price the free market was at an equilibrium where the demand curve D1 intersects the supply curve S3, and the quantity demanded was 3 MMT. Also 0.48 (1.15-0.67) MMT of imported oil was purchased by the consumers at a much lower price of Rs. 13,050 per MT. There are two possible
+ways in which consumer behaviour could have been affected by the availability of low-priced oil. First, the consumers shift their demand for edible oil from open market to PDS. Second, they increase the consumption of edible oil to the extent their oil budget permits. The interaction of both the effects suggest that in the absence of public distribution, the open market would have secured an additional demand which is less than 0.48 MMT. Therefore, it is understandable that, the original demand curve for the domestic oils would have been somewhere above D1. A parallel shift in the demand curve D1 towards right will fix the equilibrium price at a point which is higher than Rs. 23,080 per MT. In Figure 9, D indicates the original (hypothetical) demand curve and Rs. 25,000 per MT as the original price. Further, the downward sloping nature of the demand curve suggests that if the PDS oil was not leaked into the open-market economy the price of the domestic oil would have been
+still higher, which in the diagram works out at Rs. 30,000 per MT. In essence, what would have happened was that, given the demand curve D, the supply and demand factors would have kept the price of the commodity at Rs. 30,000 per MT. But, the leakage of the low-priced imported oil into the economy brought down the equilibrium price to Rs. 25,000 per MT. Further, the availability of oil through PDS shifted down the demand for open-market oil causing a further decline in its price. The trader can afford bringing down the price because the procurement cost of the additional quantity supplied is much lower than Rs. 23,080 per MT, somewhere between Rs. 13,050 and Rs. 23,080 assuming that the issue of PDS oil and leakage of PDS oil will take place almost simultaneously. This difference is shared by the trader on the one hand and the relevant sources of supply on the other hand. The relevant agents, including the consumers who use resale of imported oil to strengthen their
+purchasing power, who supply imported oil for illicit trade as well as the traders are well-off in the deal. The losers are the domestic producers of oilseeds who are offered a much lower price in the coming years in view of the depression of oil prices, and those sections of the consumers who either due to preferences or due to non-availability of PDS oils depend on the open market for edible oils. To the extent they get adulterated oil, the consumers who consume open market oil due to preferences lose in the transaction. And the consumers who due to non-availability of PDS oil rely upon open market lose because now they are required to pay a higher price than PDS price. The lower producer price naturally forms a disincentive for the production of oilseeds. In the present analysis the total financial loss accruable to the producers of oilseeds is, equal to the rectangular area between a,b,c, and e1, which works out to Rs. 16,124 millions for one year. It may be noted that
+the decline in the general price level of oils might be beneficial to the consumers of branded oils because the producers of these branded oils are also forced to bring down the prices on account of competition. This does dampen the spirit of a fair trade in the oils. However, the responsiveness of the branded oils to the movements of general price level is also dependent on their power to charge premium for purity and trustworthiness. The demand curve D2 shows the level of demand for open market oil in the absence of leakage of PDS oils. If PDS oil is not leaked into the open market the price of domestic oil may decline further. As is seen in the diagram the price now works out to be less than Rs. 22,000 per MT. In this case the loss accruable to the farmers is even more than the earlier case as the rectangular area a,b1,c1, and e1 is larger than that of a,b,c, and e1.
+<section>Performance of public distribution system for edible oils</section>
+PDS for edible oils had been undertaken since 1974, presumably, with a view to ensure the availability of reasonable quantity of oil at affordable prices to the needy sections of the population. PDS of edible oils as it operated in the country, may be characterised by the following features: i) unusually low prices, ii) higher allocation to surplus states (in terms of oilseed production), and iii) untimely releases. Apparently, these features led to a) increase in aggregate demand for edible oils, and b) leakage of PDS oils and consequent adulteration of domestic oils. Fluctuations in edible oil prices however remained as high as 80-100 per cent. PDS is not restricted to weaker sections whose consumption of edible oils is much lower.
+<section>Spatial and temporal allocation, and leakage</section>
+Unlike in other basic commodities like cereals, there are gross inequalities in the consumption expenditures on edible oils across income categories. Given this context, the provision for low priced oil either increases the aggregate demand or creates a scope for leakage of the imported oil from the intended beneficiaries who often sell it out for want of purchasing power, or both. In addition to the leakage from intended beneficiaries the leakage due to the skewed spatial and temporal allocations of PDS oils would result in adulteration of the domestic oil which brings down the producer prices as well as causes social injustice to those sections of population who rely upon free market edible oil either due to the preferences of specific oils or due to the habit of excessive use of oil. The share of PDS oils in the total oil available is 15.34 per cent for he oil rich states, Maharashtra and Gujarat (Table 16), whereas the oil poor states, Bihar, Rajasthan and UP get only
+3.12 per cent of the total available oil from PDS. Excessive releases of PDS oil to the states, which have a strong oil trade, especially when these states are not deficient in oil, would only mean that the imported oils under PDS form an important constituent of the private trade. This observation gets strengthened with the fact that PDS is ineffective in dispersing the skewness in consumption, a finding which is discussed a little later. It is also observed that during 1985-89 more than 70 per cent of the PDS oil was issued during the harvesting season for groundnuts, when the markets were glutted with domestic oils (Table 17). This gives scope for adulteration of domestic oils as well as depression of its price. In case of imported oil leakage to the unintended consumers (commercial users such as hotels, and rich consumers, etc.), it results in strengthening the existing lopsided distribution. In 1986-87 almost 68 per cent of the PDS oils has been estimated to have not
+reached the consumers through PDS (Table 18). Gujarat, Maharastra and West Bengal being the major centres for oil trade have recorded less than 20 per cent of the PDS oils released, as direct purchases by the consumers. In 1987-88 the leakage was estimated at 57.89 per cent for the whole country (Table 19). (The above two estimates are based on the data generated by NSS and NCAER, respectively.) While analysing NCAER data only palmolein, palm oil and rapeseed/mustard oil (under the brand name of Ganesh No.1) are considered as oils issued under PDS due to lack of data on other oils. However, the inclusion of other oils may not change the estimate significantly, as the share of other oils in the total PDS oils is meagre.
+Table 16: Per Capita Availability of Oil Across States/UTs, 1985-88
+(kgs/annum)
+States/UTs
+Domestic oils
+PDS oils
+Total oils
+Share of PDS oils(%)
+Maharashtra & Gujarat
+Bihar,Rajasthan & UP
+Others
+All India
+Source: Department of Civil Supplies, and Directorate of Economics and Statistics, Ministry of Agriculture, GOI.
+Table 17: Lifting of PDS Oils Across the Seasons
+(all in percentages)
+Season
+Oct-Feb
+Mar-June
+July-Sept
+Total
+Source: Department of Civil Supplies, Government of India. Figures in parentheses indicate quantity in metric tonnes.
+Table 18: Estimated Leakage of PDS Oils, 1986-87
+(metric tonnes)
+State
+Purchase of PDS oil by households
+PDS oil lifted by states
+Estimated leakage
+Percentage of PDS oil leaked-out
+AP
+Gujarat
+Karnataka
+Maharashtra
+Tamilnadu
+West Bengal
+All India
+Source: 42nd round of NSS (1986-87), published in Sarvekshana, April-June, 1990, and Department of Civil Supplies,GOI.
+Table 19: Estimated Leakage of PD Oils,1987-88
+(metric tonnes)
+State
+Purchase of PDS oil by households
+PDS oil lifted by states
+Estimated leakage
+Percentage of PDS oil leaked-out
+North
+East
+West
+South
+India
+Source: Department of Civil Supplies,Government of India, and the NCAER's Market Information Survey of Households, December 1988.
+* North comprises Haryana, HP, J&K, MP, Punjab, UP, Chandigarh and Delhi. East comprises Assam, Bihar, Meghalaya, Orissa and WB. West comprises Gujarat, Maharashtra, Rajasthan and Goa. South comprises AP, Karnataka ,Kerala, TN and Pondicheri.
+<section>Growth in Skewness</section>
+The skewed allocation of PDS oils across the states/UTs might be to some extent responsible for the growth in skewness across spatial groups discussed in Chapter 3. While PDS in itself may not be responsible for this disparity, it has at least failed to disperse it. The spatial comparison of oil consumption and distribution does show substantial disparities (Table 20). The consumption figures of edible oils for all states show that Gujarat and Maharashtra have consumption levels of 8.54 and 6.13 kgs per capita which far exceed the ICMR recommended intake of 4.38 kgs per capita. Paradoxically, these two states together account for nearly 40 per cent of the total PDS oil releases in the ountry, while states such as Bihar, Orissa and UP with far lower consumption levels languish far behind accounting for only 4 per cent of the total PDS oil releases. Further, the states of Gujarat and Maharashtra are also among the leading consumers in terms of per capita PDS oils with 2.9 and
+1.6 kgs., respectively, whereas the latter states reveal extremely poor consumption in terms of per capita PDS oils. Another dichotomy in the public distribution lies in its urban bias. With all India per capita consumption of edible oils at 4.06 and 6.84 kgs for rural and urban areas, respectively, public distribution reinforces this disparity by allocating more oil per head to urban areas. It may be noted that the consumption of edible oil includes only edible oil and vanaspati, and not ghee which is estimated to be at 7 lakh tons for all India.
+One possible reason for the ineffectiveness of PDS in dispersing skewness is that the benefits of the PDS for edible oils are equally distributed across all the income groups of the population. Table 21 shows the percentage share of the PDS oil purchased by the households across fractile groups during 1986-87. In India, the `poorest' 40 per cent and some of the `not-so- poor' 20 per cent fall below poverty line.16 The poorest 40 per cent could obtain only 37.4 and 39.3 per cent of the total PDS sales in rural and urban India, respectively. The share of the richest 40 per cent is 43.2 and 37.4 per cent, respectively, for rural and urban areas. Further, the shares of the value of PDS sales by the fractile groups are more or less similar of the quantities, because the prices of the PDS oils were uniform across the income groups. It is clear from the table that the PDS for oils is equally accessible to the rich also and that the distribution is lop-sided more towards urban areas
+than rural areas.
+Table 20: Per Capita Consumption and Public Distribution of Edible Oils
+State
+Consumption of edible oil (kg)
+Consumption of PDS oil (kg)
+Distribution of PDS oil percapita (kg)
+Share in total PDS oil release (%)
+Rural
+Urban
+Total
+Rural
+Urban
+Total
+Total
+AP
+Assam
+Bihar
+Gujarat
+Haryana
+HP
+J&K
+Karnataka
+Kerala
+MP
+Maharashtra
+Orissa
+Punjab
+Rajashtan
+Tamilnadu
+Tripura
+UP
+WB
+INDIA
+Source: 42nd round of NSS (1986-87), Sarvekshana, April-June, 1990, and GOI.
+Note: It may be noted that the consumption of edible oil includes only edible oil and vanaspati, and not ghee which is estimated to be at 7 lakh tonnes for all India.
+Table 21: Distribution of the PDS Sale of Oils across Fractile Groups
+(percentage to total sale)
+Fractile
+Quantity
+Value
+Rural
+Urban
+Rural
+Urban
+Total
+Source: 42nd round (1986-87) of NSS. Taken from BS Minhas (1990).
+To sum up, Achaya's (1988) study states that no health deficiency has been recorded so far on account of low levels of edible oil consumption. On the other hand, Minhas (1990) found that the benefits of the PDS for edible oils are equally distributed across all the income groups of the population. The PDS, is view of its low coverage and the distribution pattern, could not improve the consumption pattern of the poor.
+Further, certain characteristic features of PDS for edible oils at it operates in the country are found to be quite harmful or the edible oil economy. First, the PDS creates scope for adulteration. Added to the unsually lower prices of PDS oils, this would lead to the depression of market prices of domestic oils and a consequent disincentive to production of oilseeds. Second, PDS for edible oils is not only ineffective in dispersing the skewness in consumption, but serves to intensify skewness in the spatial distribution. Besides, it only strengthens the per capita consumption of oils by the rich.
+Piecing together the above findings one may argue that the country could now withdraw edible oils from the PDS. Or, alternatively, the targeting and sourcing of the PDS should be restructured.
+<section>Impact of issuing low priced imported edible oils to vanaspati industry</section>
+<section>Historical base</section>
+Between September 1968 and February 1970, the GOI had exempted vanaspati factories from the requirement of industrial licence upto a capacity of one hundred metric tonnes a day. Within this short spell the industry, which could expand its units from 1 in 1930 to only 51 by September 1968, double its capacity. For about 16 years before this delicensing policy, new entry into the industry was banned and consequently entrepreneurs in this sector concentrated on establishing solvent extraction plants, cottonseed crushing units, etc. The delicensing phase then provided a logical diversification for their activities. Further, press reports on shortages played a decisive role in attracting entrepreneurs and financial institutions, each acting independently, unaware of the actions of the others. The utilisation of the large capacity in vanaspati industry posed severe problem since during the early the 70s the domestic supply of edible oils had more or less stagnated. Despite the
+increasing imports of soybean oil and other fats, vanaspati industry found it difficult to obtain raw oils at economic rates. The effect of these trends may be clearly seen in Table 22.
+Table 22: Production of Vanaspati and WPI of Edible Oils
+Year
+Production of vanaspati (MT)
+WPI of edible oil (base=1970)
+Source: Annual Report 1990-91, VMA, and India Data base, 1990
+Out of the capacity of 16 lakh MT, vanaspati industry could utilise only 22 per cent in the year 1974. The substantial fall in output in 1973 and 1974 was attributed to the rise in raw material costs. Given this state of affairs it is to be expected that pressures were mounted on the GOI to exercise the option of imports in order to tackle the question of underutilisation of capacity in the industry on one hand and to minimise the consumption of preferred groundnut and mustard oils by vanaspati industry in order to check price rise on the other. Use of groundnut/mustard oil in the manufacture of vanaspati was banned from 1976-77 to 87-88. In place of these two major oils vanaspati industry has been using imported oils. Undoubtedly this was in the good interests of the vanaspati industry. It is now evident that the policy which ensured supply of imported oils to vanaspati industry has not been in the overall interests of the oilseed sector.
+<section>Use of Imported oils by the vanaspati industry</section>
+Since April 1976 imported oils have been used in vanaspati manufacture in massive proportions. Table 23 shows the use pattern of edible oils by source of origin. The proportion of imported oils in the total oils used by the vanaspati industry ranges from 50 to 88 per cent during the period 1976-77 to 1987-88. However, the vanaspati industry hasbenefited the edible oil sector by providing an outlet for minor oils. The usage of minor oils ranged from 6.29 per cent in 1979-80 to 59.11 per cent in 1989-90. The increase in the use of minor oils was largely due to the lowering down of the releases of imported oils in the later years by NDDB. The use of minor oils have been doubled in quantity since 1988-89. This phenomenal increase may show that the shortage of low cost minor oils has never been a base for issuing low cost imported oils. In addition, this sudden shift n the demand for domestic oil would result in the price hike and it did. It is quite obvious that the vanaspati
+industry because of its monoply in blending oils, paid lower prices for minor oils and to that intend actually hampered the growth in the production of minor oils. The profit vanaspati industry made on account of minor oils, more or less nullifies the claims the industry makes on the development of minor oils. The trend lines shown in Figure 10 trace the period between 1986-87 and 1987-88 as the origin of the regime of reduced supply of imported oils to vanaspati industry. If vanaspati industry is considered as a provider of market for indigenous minor oils the reversal of trend in the use pattern of raw oils emerging now is in the right direction. However, the decline in the supply of imported oils would actually find justification in the non-essentiality of vanaspati. It may be said with fair amount of conviction that vanaspati is a more urban-based-rich-household/state commodity as discussed in Chapter 3. In the event of non-essentiality of the commodity vanaspati may now
+be used as a source of demand for minor oils which has become possible by cutting down the supply of imported oils.
+Table 23: Use of Indigenous and Imported Oils by the Vanaspati Industry
+(MT)
+Oil year
+Imported oils
+Use of Indigenous major oils
+Indigenous minor oils
+Total oils
+Production of vanaspati (mt)
+Figures in brackets indicate percentages to total oils used.
+Source: Annual Reports, VMA.
+<section>Price controls in vanaspati</section>
+Price controls in vanaspati have generally been voluntary in nature and hence claiming this goal for the issue of imported oils at lower prices may be baseless. The main thrust of the control system in the past has been to keep down the price of vanaspati by supply of cheap imported oils as input or vanaspati manufacture and thereby to keep down prices of edible oils by diverting the demand from vanaspati industry away from indigenous oils to imported oils. Nonetheless, the market price of vanaspati has frequently been considerably higher than the controlled price (Dagli Committee on Controls and Subsidies). In fact, the expected result that the price of vanaspati would be lower than the prices of edible oils, within the country, used for direct consumption, could not be realised. With an exemption to some isolated years the weighted average price of vanaspati has been always higher than the prices of preferred edible ils like groundnut/mustard oil. This becomes more
+striking if one looks nto the vanaspati price as percentage of the prices of above mentioned two oils. Further, vanaspati price as percentage of ghee price fluctuates between a narrow band of 35 to 45 which suggests that vanaspati price was keeping pace with ghee price all through. Best fit curves of vanaspati as percentage of groundnut oil, mustard oil and ghee are shown in Figure 11. With regard to groundnut oil best fit trend line is obtained in view of non-linearity of the relation. Relation between the prices of vanaspati and mustard oil tends to be uniform across the years, also both Vanaspati and mustard oil, are predominantly consumed in the same region; therefore the trend seems reasonable. However, the linear fixation of the proportion of the prices of these two commodities is now around 110 which clearly provides for the processing margins required to produce vanaspati. The similarity of the relationship prior to the use of imported oils and the later period is
+disturbing. The declining trend in the vanaspati price as percentage of groundnut oil may be interpreted as preferences associated to the flavour of the latter. Consumers appear to be willing to pay more for groundnut oil. With regard to ghee, although the proportion moves within a band the linear trend shows a slight upward movement since late 70s. It seems, in view of the high prices of ghee, consumers are willing to pay a little more for vanaspati.
+Despite the disappointment regarding the expected results of price controls over vanaspati one may notice a desirable trend in the vanaspati price. Table 24 shows growth of prices of vanaspati, ghee, groundnut and mustard oils in the last four decades. Vanaspati price has shown uniform growth since 1960s. This tantamounts to say that annual fluctuations in vanaspati price were relatively lower. A steady growth in the prices was the major achievement that vanaspati industry could obtain. In fact, even the seasonal fluctuations are minimal with the price of vanaspati in comparison to other edible oils and ghee. Only till August 1968 vanaspati prices fluctuated along with domestic oil prices. Another contribution the supply of imported oils to vanaspati industry demonstrated has been to keep prices of indigenous edible oils at the level where they were. If vanaspati industry was to depend totally on the indigenous market for raw material then prices of domestic oils would have
+gone up. At the same time vanaspati industry could have effectively checked the price hikes of domestic oils if the price control over vanaspati had been successful.
+However, the argument on the low issue price of imported oils to vanaspati industry notes that the purpose with which this option was exercised could not be realised for whatever reason it may be. Thus the failure of vanaspati industry to positively contribute to the vegetable oil economy has only harmed the industry as reflected in the current stagnation in the production.
+Table 24: Growth in the Prices of Vanaspati, Ghee, GNO and MEO
+% increase in the price of
+50s
+60s
+70s
+80s
+Vanaspati
+Ghee
+GNO
+MEO
+<section>Benefits accrued to the vanaspati industry</section>
+Gains through cost reduction
+Given the fact that during the entire phase of supply of imported oils to the vanaspati industry price of vanaspati has been more or less ahead of the prices of groundnut/mustard oil, it is meaningful to assume that the cost of inputted imported oils would be of the order of the market price of groundnut/mustard oil whichever was cheaper. But as observed earlier the issue price of imported oils has been much lower than that. Nevertheless, about 75 per cent of the inputted oils was supplied through imports. The difference between issue price of imported oils and market price of groundnut/mustard oil would then form as a net gain to the vanaspati industry through cost reduction, since cost reduction has not been reflected in sale price of the output. In other words, an incentive equivalent to the gain referred above has been given to the vanaspati industry by GOI in order to achieve the levels of production the vanaspati industry actually did. As discussed above such gain to a
+singular player in the commodity economy would form a strong disincentive to the farmers. If the vanaspati industry was to draw all its raw materials from indigenous markets, then the price of domestic oils would have gone up and a certain proportion of increment in the price would have percolated down to oilseed growers. This would then have helped in expansion of oilseed production. It is therefore right to term the incentive given to the vanaspati industry as the amount used by GOI against the farmers. For the last 15 years the amount used against farmers has been computed at about Rs. 3.5 thousand crores. The annual average of this amount works out to Rs. 231 crores, bulk of which goes as gain to the vanaspati industry.
+Market expansion
+If the vanaspati industry was required to draw its raw material exclusively from domestic market then the price of vanaspati would have gone up by at least an amount equal to the difference between the issue price of imported oils and the market price of groundnut/mustard oil. In such a situation the quantity of vanaspati demanded would have fallen . This is to say that by the supply of imported oils to the vanaspati industry at low prices the economy could check the downfall in the demand for vanaspati. In other words, the vanaspati industry could expand its market on account of the availability of low priced imported oils.
+Market expansion directly benefits the industry in terms of better utilisation of the capacity and lowering of overheads per unit of production. Gauranteed supply of raw materials at low prices enabled the industry to make `high' margins even at relatively low prices of the commodity. As mentioned earlier, by 1974 the industry had suffered an acute under-utilisation of the capacity due to raw material shortages. At the same time reports of shortages of vanaspati in the press created a social dimension to the commodity. It seems the GOI felt that a certain incentive to the vanaspati industry may be imperative in order to match the supply of and demand for vanaspati. Checking the vanaspati price was not necessary because the market forces would have naturally settled the price at an affordable level since vanaspati has fairly good substitutes in the country. The second apparent goal of the policy that supply of vanaspati should be expanded to meet demand could not be justified
+either on health grounds or on equity grounds. It was sheer accident that substantial number of units were established during the `free' regime of 1968-70, and they could not produce the commodity at competitive prices. It was but natural that vanaspati could not be supplied at the market price of its raw material (groundnut/mustard oil), because the quantity required of the raw material is little more than the quantity manufactured of vanaspati. If vanaspati was manufactured through indigenous minor oils alone then, naturally, price of minor oils would have shot up making it uneconomical again. The only way out was to import raw material at lower prices and expand the supply of vanaspati so that the unwisely established units would be able to better utilise the capacity. Precisely this is what happened. An uneconomic speculative investment decision, namely, expansion of vanaspati units has been ruthlessly safeguarded by the industry and the GOI at the cost of the oilseed
+growers.
+A function moel has been developed in the study to quantity market expansion of vanaspati on account of supply of imported oils at lower prices. Quantity demanded of vanaspati (QDVAN) as function of price of vanaspati (PVAN), price of ghee (PGHEE) and price of mustard oil (PMEO) has been estimated. The functional form of the equation is presented below:
+QDVAN = 306080-34.578(PVAN)+18.957(PGHEE)+22.321(PMEO)
+where,
+QDVAN
+quantity demanded of vanaspati;
+PVAN
+price of vanaspati;
+PGHEE
+price of ghee; and
+PMEO
+price of mustard expeller oil.
+Although R squared equals to .81 only, the standard errors of the estimates (shown in the parentheses) are much smaller than the estimates. Data of 31 years have been treated for the function. The variable PVAN is sensitivised with the (shadow) price of vanaspati that would have been in the absence of supply of imported oils. The actual PVAN is denoted by PVAN1 and the shadow PVAN is by PVAN2. PVAN2 is computed by summating PVAN1 and the incentive per MT of production. Substituting PVAN1 and PVAN2 in the above equation would give QDVAN1 and QDVAN2, respectively. The difference between QDVAN1 and QDVAN2 forms the market expansion of vanaspati (denoted as MEVAN). In the 15 years of imported oils regime about 14 lakh MT of vanaspati could be marketed more than what they could have, if the vanaspati industry was to depend entirely on domestic market for raw material. This figure will blow up in reality with the demand from the vanaspati industry prices of groundnut/ mustard oils
+would have gone up further and consequently PVAN2 moves up. The average annual expansion worked out to be around 92 thousand MT, i.e., 12 per cent of the estimated demand. In certain years the proportion of MEVAN has gone up by more than 25 per cent of QDVAN. It may be interesting to investigate the historical implications.
+MEVAN is depicted graphically in Figure 12. The space between the best fit lines of QDVAN1 and QDVAN2 is the gross MEVAN. The vertical distance between two points on the graph is the annual MEVAN for the corresponding year. It is interesting to note that the trend space between both the curves is more or less equivalent to zero from 1988-89. This may be due to severe curtailment of the supply of imported oils as well as the hike in its price. The relations between MEVAN, and supply of imported oils (denoted as IMPORT) and price of imported oils (denoted as PIMPORT) are established independently with the help of following two linear equations, respectively:
+MEVAN = -225090+.24083(IMPORT)+.24791(PRNVA
+MEVAN = -167070-13.725(PIMPORT)+.49089(PRNVAN)
+where,
+PRNVAN = production of vanaspati; and
+( ) => standard errors of the estimates.
+The functions are modelled with R squared equals to relatively lower but significant .63 and .56, respectively. Goodness of fit is relatively lower for two reasons: i) data pertaining to only 15 years has been treated; and ii) PRNVAN has been used in place of QDVAN. The regression coefficients of IMPORT and PIMPORT show positive and negative effect, respectively, on MEVAN as expected. Since 1988-89, on the one hand supply of imports were drastically cut down and on the other hand issue price of imports has been increased. Hence, MEVAN in Figure 12 appears negligible for this period. The graphs for the above two equations are shown in Figures 13 and 14, respectively. The best fit trend curves of MEVAN show a continuous decline since a little before 1987-88 due to the reduction in IMPORT as well as increase in PIMPORT. In fact, after 1989-90 MEVAN becomes negative. The point to be noted here is that independently also these variables could have controlled the MEVAN. This
+finding supports the earlier observation that issue of imports per se is not a harmful option but issue at lower prices damage the overall interests of the commodity sector.
+To sum up, the vanaspati industry has benefited tremendously from the vacuous policies of the government. Huge amounts of edible oils were imported and were provided cheap to the industry leading to depressed oil prices. This in turn depressed oilseed prices for farmers. Supply of low priced imported oils to vanaspati industry did not adequately reflect in the prices of vanaspati. All through vanaspati prices remained ahead of the prices of groundnut/mustard oil. Consumption of vanaspati has shown significant skewness across economic classes, spatial groups and urban/rural areas. While failing in checking the prices and dispersing skewness the vanaspati industry has only increased its supply. This expansion also loses value because medical authorities across the world hold a negative opinion about hydrogenated vegetable fats. Hence, subsidising raw materials used in the manufacture of vanaspati was non-essential and unwarranted. But then, why for about 15 years, low priced
+imported oils have been supplied to the vanaspati industry? The reason lies in the historical perspective. During the `free' regime of industrial delicensing of 1968-70 many manufacturing units were established. As it became extremely difficult to stand the competitive edible oil market the vanaspati industry was to face under-utilisation of the plant capacity and consequently a strong lobby developed in the industry and constantly strived for low cost raw material. The GOI might have then thought of aiming at two goals, viz., capacity utilisation and bridging demand-supply gap. As vanaspati does not have any quality necessary for an essential commodity, the second goal seems entirely baseless. Then the eventuality was expansion of market for vanaspati. This certainly led to better utilisation of plant capacity and increase in profits. But at what cost? Oilseed growers were disincentived by about Rs. 231 crores per annum of gain accrued to the vanaspati industry on account
+of supply of low priced imported oils. Vanaspati market has been extended by about one lakh MT annually due to the use of imported oils. This is a clear case of government intervention safeguarding certain vested groups against innumerable subsistence level population. The use of edible oils by the vanaspati industry has not been more than 10 to 15 per cent of visible vegetable fats consumption of the country, however, it has consistently influenced policies of the government which affected the other 85 to 90 per cent of the trade. Such a power base of a single player in the commodity sector was certainly undesirable and has fortunately been corrected now. The decision comprising suspension of supply of imported oils at concessional rates and also reduction in quantity supplied is of course in the right direction.
+<section>The net effect of import policy</section>
+Apparently, the policy of imports was formulated on the basis of the Long Term Edible Oil Plan (LTEOP) prepared by the Department of Civil Supplies (DCS) in August 1978. LTEOP adopted the income elasticity of demand for edible oils estimated by National Commission on Agriculture at 0.91 as against the estimate of Planning Commission at 0.5 in making the projections for future demand.17 Similarly, the income elasticity of demand for vanaspati was estimated at 1.7.The world wide belief that increase in income level would lead to increase in per capita consumption of edible fats had strengthened these assumptions and consequently the planners estimated the per capita need for the future years at higher rates. Conveniently, import policy was perceived as a strong strategy to meet these needs. The reasons for not adopting the estimate of Planning Commission remain unsatisfactory, as around the same period Jhala estimated the income elasticity of demand for edible oils at 0.5218
+and for vanaspati at 0.59.19 A most recent study by Radhakrishna and Ravi estimated the income elasticity of demand for edible oils including vanaspati at 0.56 and 0.72 for urban and rural areas, respectively 20. While the most sophisticated works mentioned above keep the estimates at much lower level the purpose of adopting high estimates by LTEOP remains doubtful. In fact, the policy which defines edible oils and vanaspati as essential commodities and at the same time adopts relatively higher elasticity estimates of the order 1.7 demonstrates ambiguity and built-in self contradiction and smells of influences by vested interests. These conceptual deficiencies led the policy on imports to result in unprecedented and unwarranted increases in consumption levels of vegetable fats and now the DCS puts the requirement of the edible oils by the end of eighth five-year plan at 7.8 kg per capita21 which is neither good for the health of the country nor economically desirable. As a
+matter of fact, the Committee on `Agricultural Price Policy for Balanced Development of Agriculture' (1986) under the chairmanship of Hanumantha Rao has estimated the demand-supply gap of edible oils at a much smaller magnitude than presumed by DCS.
+Having realised the incidence of adulteration on account of the private trade's involvement during the initial stages of imports regime LTEOP suggested State Trading Corporation (STC) to take over the monopoly of imports. After a decade now, in 1987, it was felt that STC had played a dominant role as a market intervener in controlling edible oil economy through the supplies of imported oils.22 Contrary to this account, as has been discussed above, massive leakages of imported oils took place all throughout the imported regime, and imported oils were sold at relatively lower prices. Several other studies have also shown the incidence of leakage and consequent adulteration .23 The supply of imported oils at lower prices had depressed the farmers' incentive to produce more as clearly seen in stagnancy of production during the entire phase of dependence on imports. In fact, LTEOP itself realised the potential dampening effect of increased imports on the indigenous production and
+warned against the possibility of repeating the experiences of the imports of wheat in the distant past.
+However, the reduction in the level of price fluctuations during the period between 1981-82 and 1984-85 may be attributed to import policy. The loss of this benefit during the latter years has been due to the fact that relatively better levels of domestic supply coincided with unusually high levels of imports.
+<section>Chapter 5 - Major interventions in the sector: NDDB and TMO</section>
+<section>Oilseeds and vegetable oil project of the NDDB</section>
+The main objective of the project is restructure through cooperatives oilseeds production, processing and marketing of vegetable oils and by-products in the areas covered by the project.24 Towards achieving this end, the following sub-objectives were contemplated:
+Procure and market imported as well as indigenous vegetable oils in such a way as to stabilize supplies and prices at levels which will be fair to both the oilseed growers and the consumers;
+Generate the required funds from the sale of donated oils, and establish a modernised oilseed and vegetable oil industry, based on a network of oilseed growers' cooperatives; and
+Devise and implement a programme which will enable oilseed growers to increase their productivity and returns.
+Priority has been given to stabilisation of supply and price. To start with, control over 2 to 4 lakh metric tonnes of vegetable oils had been proposed with a final goal of 15 per cent share of the market to bring about stabilisation in the prices .
+<section>Project funding</section>
+Like in Operation Flood, the Vegetable Oil Project is also being funded through the monetization of gifted commodities - edible oils in this case. Initially, CLUSA (Co-operative Leagues of the United States of America) gifted about 1 lakh 60 thousand MT of refined Soya oil. Further funding for the project was made available by the CCA (Canadian Co-operative Association) through CIDA (Canadian International Development Agency) in the form of crude rapeseed oil. So far, more than two lakh metric tonnes of crude rapeseed oil has been received under the Canadian aid package. As on 31st March 1992 about 3.77 lakh metric tonnes of edible oils worth Rs. 480 crores have been received in the form of aid from CLUSA and CCA.
+<section>Project implementation</section>
+The Oilseed Growers' Cooperative Project (OGCP) was initiated in 1979 in the State of Gujarat with the registration of the Gujarat Oilseeds Growers Federation (GROFED). Initially, the project followed a two tier structure, with the Oilseed Growers Cooperative Societies (OGCS) being directly affiliated to the state level Federation. Since 1987, project implementation has been under the three tier structure, in order to ensure better management and better focus for implementation. Under the 3-tier structure, the OGCS are affiliated to a Regional Union covering one or more districts.
+The unions own processing facilities and procure oilseeds through the growers societies, who are shareholders in the union. The Unions in turn are federated at the state level with the State Federations, whose main responsibility is to market the products of the Union.
+The NDDB has been able to create a network of farmer cooperatives and farmer owned processing facilities across the country25 As of now a total of about 5 thousand village level cooperative societies covering about 28 thousand villages have been registered under this project. Membership has risen to about 800 thousand covering about 1 lakh and 8 thousand hectares of land. The following order of capacities have been generated.
+Oil Milling Capacity
+3255 MT/day
+Solvent Extraction Capacity
+2010 MT/day
+Refining Capacity
+738 MT/day
+Oilseeds Storage
+170000 MT
+Oil Storage
+81250 MT
+Initially, the project covered only groundnut in Gujarat and soybean in Madhya Pradesh. Gradually, its coverage widened in terms of geographical as well as oilseeds coverage as shown below.
+Year
+State
+Major Oilseeds
+Gujarat
+Groundnut, Mustard, Cottonseed
+Madhya Pradesh
+Soybean
+Andhra Pradesh
+Groundnut, Sunflower
+Tamil Nadu
+Groundnut, Sunflower
+Orissa
+Mustard, Nigerseed, Groundnut
+Maharashtra
+Groundnut, Sesame, Sunflower, Safflower
+Karnataka
+Groundnut, Sunflower, Safflower
+Rajasthan
+Mustard
+Uttar Pradesh
+Mustard
+Planned Coverage:
+Karnataka
+Oil Palm
+Kerala
+Oil Palm
+Together the cooperatives procured around six lakh metric tonnes of oilseeds during 1990-91. Of the total oilseeds procured soybean, groundnut, and mustard are of the order 52, 22 and 20 per cent, respectively. A small part of this was traded in bulk, while the rest was crushed in processing plants owned and operated by the cooperatives, as well as in custom hired units. The cooperatives also brought oil in bulk from the market to meet their operational requirements. Imported rapeseed oil and palmolein oil are also being routed to consumers through the cooperatives.
+Several production enhancement activities have been taken under the project. About 2 thousand demonstration farms have been maintained. The district farms cover about 400 hectares of land. Extension facilities have been extended through demonstration at agro-economic centres across about 400 hectares. About 17 thousand metric tonnes of improved seeds and about 87 thousand quintals of fertilisers have been supplied to the farmers. About one lakh kilograms of pesticide has been supplied.
+<section>Project financing</section>
+Financing of project related activities are done under nine heads:
+- Processing Infrastructure
+- Marketing Infrastructure and Development
+- Product and Process Development
+- Growers Organisation & Production Enhancement
+- Human Resources and Organizational Development
+- Commodity Handling
+- Project Management
+- Share Capital Support
+- Working Capital Support
+Specific areas and items have been identified for implementation under each of the above heads. Implementation is done either by the Federation/Union, the NDDB or concerned third parties. The NDDB also works in concert with other organisations towards achieving the objectives of the project.
+<section>Achievements</section>
+Various studies have shown that there has been tangible increases in the returns to the farmers covered by the project. For example, price realisation of the producers in Gujarat during early part of the project has been relatively higher than that of the all India average. Table 25 shows groundnut prices received by the Gujarat farmer and the farmer at all India level in terms of the ratio of farm harvest price to oil price during 1978-79 to 1981-82. The seed-oil price ratio has consistently been higher in Gujarat. Similar findings were reported by Shah and Modak 26 Impact of GROFED operations on the economics of the members' groundnut enterprise has been seen in terms of price effect and the resultant output effect which has been reinforced by GROFED's technical inputs programme. Price intervention by GROFED in 1981-82 has resulted in groundnut producers of Gujarat receiving a 20 per cent higher price for their produce than they would have in the absence of such
+intervention. The farmers in OGCS villages were found to be intensively using the protective and production augmenting inputs such as fertilisers, pesticides, treated seeds, etc. As a result, these farms have obtained significantly higher yields per acre in comparison with the farms of semi-controlled and controlled villages.
+Table 25: Ratio of Seed-Oil Prices
+Year
+Farm harvest
+Groundnut oil
+Seed-oil
+price of groundnut
+price at Bombay
+price ratio
+All India
+Gujarat
+All India
+Gujarat
+Source: NDDB Study (unpublished).
+<section>Technology mission on oilseeds</section>
+The Technology Mission on Oilseeds (TMO) which has now been redesignated called as Technology Mission on Oilseeds and Pulses was launched by the Government of India in May 1986. Its basic objective was to substantially reduce the import of edible oils by the end of the Seventh Plan, i.e., by March 1990 and to ultimately achieve self-reliance during the course of the Eighth Plan.27 The Mission was necessitated on account of the fact that, after petroleum products, edible oils accounted for the largest drain on India's foreign exchange resources, as mentioned earlier. In fact, during the period 1981-86, the country imported Rs. 3,884 crores worth of edible oils. Clearly, such a heavy outflow of foreign exchange could not be expected to continue without serious consequences for the economy, considering that the consumption of edible oils grew by approximately 4 per cent compound per annum.
+The TMO has four micro-missions:
+Micro-mission I for crop production technology.
+Micro-mission II for post-harvest technology.
+Micro-mission III for input and service support.
+Micro-mission IV for price support, storage, processing and marketing.
+The first micro-mission deals with the improvement of oilseed crop production technology. The Indian Council of Agricultural Research (ICAR) has been developing short-term, medium-term and long-term plans for improving the yields of various oilseeds in collaboration with international research institutions like ICRISAT. With the expertise from State Agricultural Universities and a host of specialised research institutions on crops like groundnut, mustard and soybean, ICAR has prepared detailed research programmes for evolving new high yielding indigenous varieties for different agro-climatic regions of the country.
+The second micro-mission deals with post-harvest and processing technology under the leadership of the Council of Scientific and Industrial Research (CSIR). It aims at:
+- developing modern integrated processing technology
+- stepping up oil extraction from oilcakes, and
+- improving traditional oil ghanis.
+In the field of storage and handling, the CSIR would provide modern technology to evolve standard designs for storage to extend shelf-life and to improve efficiency of extraction, packaging and marketing of oils.
+The third micro-mission under the leadership of the Department of Agriculture & Cooperation (DAC) deals with the transfer of technology and farmer support system. This Department has undertaken a Rs. 170-crore National Oilseeds Development Project, (NODP) in 180 districts located in 17 States, to step up various services to the farmer. These services include distribution of seeds, fertilisers and bio-fertilisers, pesticides, implements and credit. The project also finances demonstrations on large plots of the order 50 hectares so that the farmers could learn a location-specific technology for increasing the yields. A host of projects established under ICAR like Operation Research Project, National Demonstrations and Krishi Vigyan Kendras also join in the demonstration of improved technology.
+Since four oilseed crops, namely, groundnut, mustard, soybean and sunflower contribute about 85% of the total oilseeds production a scheme called Oilseed Production Thrust Project (OPTP) was initiated in 1987-88 to accelerate the production of these major crops. The project provides 100 per cent Government of India assistance to the States in order to strengthen the key components such as seed production, plant protection, demonstration, proper application of inputs and market support.A total of 246 districts in 17 States, including 151 NODP districts, have been included in this project. NODP and OPTP has since been merged into Oilseed Production Programme (OPP).The fourth micro-mission deals with the support to farmers in terms of incentive prices and support to industry in cooperative as well as private sector for processing, storage and marketing.
+<section>Achievements</section>
+As many as 40 new varieties of different oilseed crops have been developed, the yield potential of most of which being four times the national average under research farm conditions and at least twice the national average under normal farm conditions. The production of breeder seeds has taken a quantum jump by 193 per cent from 2762 quintals in 1985-86 during the first three years of the Mission. During the year 1988-89, the CSIR has developed batch type processes for rice bran stabilisation and sunflower decortication, and improved expellers.
+The most important achievement of TMO has been the initiation of Integrated Policy on Oilseeds (IPO) and the consequent Market Intervention Operation (MIO) which has formed in itself the most effective intervention in the sector.
+<section>Integrated policy on oilseeds</section>
+The Technology Mission on Oilseeds (TMO), realising that the main evil of the oil economy was lack of an integrated approach for development as different Ministries and Departments decided upon different parts of the sector, recommended in 1988 to the Government, an Integrated Policy on Oilseeds Production, Import, Distribution and Pricing for accelerating self-reliance. A market intervention was felt necessary. Acting upon the recommendation, Planning Commission decided to set up a working group to prepare a proposal for market intervention in edible oil/oilseeds. The Department of Agriculture after a significant amount of study prepared a proposal on `Integrated Policy on Oilseeds Production, Import, Distribution and Pricing for Accelerating Self-reliance' and submitted it to the Cabinet Committee on Economic Affairs (CCEA) in July 1988. The following were the main features of the proposal.
+An Empowered Committee will be set up whose terms of references will be to review the following matters and to give decisions for accelerating self-reliance in edible oils:
+i to review the policies governing the production of oilseeds and edible oils;
+ii to review factors governing demand for oilseeds and edible oils;
+iii to recommend to government an annual edible oil plan, including import of edible oils, for containing the prices of edible oils within the band of prices recommended by the chief economic advisor;
+iv to review the prices of edible oil supplied through the public distribution system;
+v to lay down guidelines for market intervention by the National Dairy Development Board; and
+vi to take such other decisions as may be necessary for management of the edible oil sector taking into account the interests of the producers, consumers and the economy.
+The chief economic adviser would propose a band of prices annually to the Empowered Committee in July i.e. 3 months in advance of the start of the oil year. The Empowered Committee would make appropriate recommendations to the government on the basis of which the management of oil economy including imports, would be finalised.
+The Department of Agriculture and Cooperation (DAC) would be responsible for overall management of the oilseeds and oil economy, for maintaining the consumer prices within the price band through a strategy approved by the Empowered Committee. The PDS system for reaching the edible oil to the consumers will continue to be under the Department of Civil Supplies. The import of edible oil will continue to be with the Ministry of Commerce and STC, except the quantities allotted to NDDB.
+The NDDB would be responsible, under the supervision of DAC, for building up a market intervention stock through imports and procurement of domestic oilseeds/oils; and for this purpose NDDB will either be allowed to import 20% of the total sanctioned imports of edible oil in any year or would be given a grant of Rs. 20-30 crores, as may be necessary. In the latter case, STC would make available the oil that NDDB may require. The modalities for such market intervention policy would be submitted to the Empowered Committee by a group appointed by the Ministry of Agriculture.
+As a result of these proposals, in January 1989, the Government announced an "Integrated Policy on Oilseed " (IPO)" with the following 5 important elements:
+i Support to farmers with technology, inputs, etc to increase productivity;
+ii Review of PDS prices and issue prices to vanaspati industry. Imported oils would be supplied at a price not below the cost of production of domestic oil. PDS oils would be released at reasonable prices without detriment to the legitimate interests of farmers;
+iii Fixation of a price band;
+iv Appointment of NDDB as the Market Intervention Agency (MIA); and
+v An Empowered Committee headed by the Cabinet Secretary to monitor the implementation of the Integrated Policy.
+<section>Market intervention operation</section>
+The prime focus of the Integrated Policy on Oilseeds as its full name suggests, was to accelerate self-reliance in edible oils. This was sought to be achieved by moving away from managing the edible oil deficits by imports and it's distribution at low prices, to taking steps that would boost domestic production. The MIO was required to establish, as the fundamental precondition for increased production, an incentive market price for the farmer, which was notably absent during all these years. Moreover the prices were to be established at levels at which the trade does not make huge profits at the cost of the producers or consumers, as a planned growth in oilseeds production can only be effected under stable market conditions. The GOI, therefore, agreed to implement what the NDDB proposed in 1977, that with a 15 per cent share, the edible oil market could be effectively stabilised.
+<section>Objectives</section>
+On 6th April 1989, GOI appointed NDDB to be the agency to carry out the Market Intervention Operation for an initial period of five years as per the objectives, guidelines, terms and conditions as well as the percentage for monitoring of such Market Intervention Operation as laid down by the government. The objectives of Market Intervention Operation have been defined as under:
+i to establish wholesale prices of edible oils within the specified lower and upper limits of the price band to be specified by the Empowered Committee from time to time;
+ii to channelise imported oil, other than that to be released by Department of Civil Supplies through the PDS, into the market (including vanaspati industry) in such a manner as to achieve objective (i);
+iii to buy, stock and sell oilseeds and oils in order to achieve objective (i);
+iv to build up stocks during years of surplus production so as to tide over the need for heavy imports during years of lean production; and
+v to put the edible oil and oilseeds market on a healthy and stable basis minimising speculation and hoarding.
+<section>Criteria for fixing price band</section>
+The price band was to be determined keeping in view the following considerations.
+- the interest of both producer and the consumer to be protected
+- the relative prices of edible oils (and the associate oilseed prices) vis-a-vis the prices of other competing crops like cereals (wheat and rice)
+- a risk premium for the farmers in view of the high production instability of these crops
+- large gap between the central issue price of PDS and the open market prices
+- issue price for the vanaspati industry
+Based on the above considerations the price band for groundnut and mustard oils were prescribed by the government of India to ensure incentive prices for farmers and reasonable prices for consumers for oil year (Nov.-Oct.) 1988-89 as follows.
+groundnut oil
+Rs.
+mustard oil
+Rs.
+The lower limit of the price band corresponds to the minimum incentive prices to be assured to the farmer.
+<section>Implications of MIO type intervention</section>
+The NDDB as the Market Intervention Agency (MIA) engages Oilseed Growers' Federations/ Unions or the Marketing Federations in different states as Associate Agencies (AA) to procure/buy and store the oilseeds/oils, and sell the oil in the open market as per its instructions.
+The theoretical implications of such an open market sale on the prices are well analysed by various researchers. For a given level of imports, domestic production, and income, it is always possible to raise or lower the market price of the commodity by changing the proportions of public stock allocated to the open market and to PDS. It is observed that the harvest prices can be raised and peak season prices lowered by procurement and open market sales without affecting the annual average price.28
+For a given drop in the prices of commodities like food grains and edible oils, consumption levels of the poor increase faster than those of the rich, suggesting that in some cases open market sale of these commodities from public stocks would be desirable for the rural poor. Such sales might best be restricted to the lean months of the crop season, and could probably be conducted with a feasible stock level. However, the percentage change in the market price resulting from such policy decisions is dependent on the production level. The effect is larger in the bad crop year (low level of availability) than in the good crop year, mainly because of the deference in the income effects from rationing. In general, the primary policy challenge in a bad crop year is to prevent the market price from rising and the consumption level from falling, while in good crop year the main problem is to prevent prices from falling. Maintaining adequate imports to support consumption in a bad
+crop year is extremely difficult. Likewise, cutting imports drastically during good crop year is difficult to achieve because of rationing obligations. This makes clear the damage that rationing stand alone could potentially cause to the question of price regulation. Pressure to increase ration distribution through a larger and expanded coverage has been intense in bad crop years, when the gap between market and ration prices widens. Effective open market sales would reduce this pressure by depressing market prices. However, if the open market sale of the kind the Dairy Board undertakes is used as a continuing policy tool, and if oil imports are able to meet all shortfalls in production on a static per capita basis, gross internal procurement could be quite heavy even in a bad crop year. If a large portion of the imported oils is channelled through the open market, imports will lower the market prices more sharply than would an equivalent increase in domestic production.
+Counteracting such a fall in the market prices would require substantial internal procurement, even in a bad crop year. If such buffer-stocking operations, inclusive of both imported oil and domestically procured oil, attain a certain proportion (say 15-20 per cent) of the total market for oils, the wholesale prices may well be made stable effectively. In fact, the conceptual base of MIO suggests that with lesser quantities of imported oils the required level of stabilisation in the prices may be achieved through an MIO sort of operation than the PDS kind of mechanism. As the intermediaries' role in the wholesale price fixation is marginalised by such market intervention, there is a strong likelihood of equal proportional change in farm harvest price of oilseeds and retail price of oils with a change in the wholesale price.
+However, a couple of adjustments in the whole mechanism may be necessary to safeguard the interests of the consumers as well as the farmers. As the chain between wholesale market and retail market is not free from imperfections, the consumer price may not reflect the moderated wholesale price until and unless the consumer or retail market is also intervened. Introduction of direct consumer sales in the form of consumer packs in the open market is a very potent force in regulating the consumer prices. In brief, intervention in the wholesale market is a necessary condition but not sufficient condition. In order to ensure the required levels of consumption through the price regulations, it is necessary to encourage open market sale in both the wholesale and retail market. Similarly, a certain amount of flexibility on the question of blending of oils is necessary. Since short-run supply response of oilseeds is almost zero and also since the conditions necessary for the
+cultivation of oilseeds are not within control, farm enterprise is prone to cultivate certain types of oilseeds during certain periods, which may not be consistent with the demand. Further, the yield rate of certain oilseeds, for example mustard/rapeseed, is quite high than groundnut while the production incentives could be more or less same. In such cases acreage shifts will take place in mere enterprising spirit although the demand side factors are quite powerful to ruin this spirit. In order to safeguard the enterprising spirit in the farmers and also to achieve the national goal of self-sufficiency, a market intervention has to ensure that the farmers get remunerative prices, even for the oilseeds which are produced more than the demand. This is possible through blending. Blending of oils ensures that the economy is not exploited by the growers of scarce oilseeds and at the same time the economy does not exploit the growers of surplus oilseeds. As observed earlier, the
+use of vanaspati, which is a product of blended oils, and also the passive use of major oils adulterated with cheap imported oils, it is better to permit blending of edible oils as is practised all over the World.
+Thus, there is ample scope for increasing the farmers' income and reducing the consumers' burden by regulating the prices through the promotion of vertical integration of production, processing and marketing of oilseeds and edible oils,29 which is an additional quality of the market intervention by the NDDB. The intervention, of vertically integrated cooperative structure of the NDDB type, in both the wholesale and retail markets of oilseeds and edible oils could be effective in improving the production incentives and consumer surplus by reducing intermediaries' margins.30
+<section>Progress of MIO</section>
+Prior to the issue of the formal order on April 6, 1989, the NDDB began a limited intervention in November 1988 when due to the bumper harvest in groundnut, market yards in Saurashtra started advertising in the press advising the farmers not to bring their produce to market yards. The NDDB encouraged Gujarat Cooperative Oilseeds Growers Federation (GROFED) to pick up as much groundnut as possible and also intervened to buy oils from the trade as a result of which the downward trend of oil prices was effectively arrested. Immediately, the NDDB began purchasing groundnut oil in Bombay quickly holding prices at the lower band of Rs. 20,000 per MT by mid April' 89 in Bombay. The higher oil prices were soon reflected in the prices at production centers as well, resulting in greater support to farmers. The groundnut prices in Rajkot quickly rose to over Rs. 650 per quintal from around Rs. 500 per quintal. Moreover the groundnut prices remained firm at levels over Rs. 600 per
+quintal throughout the rabi harvest season (rabi/summer groundnut crop was estimated to be 24 lakh tonnes out of 96 lakh tonnes of overall production) in the southern groundnut producing centres thus helping the southern farmers. It started procuring mustard oil from March 1989 when prices of mustard oil had crashed in Southern Rajasthan and North Gujarat. There was speculation amongst the trade that mustard seed prices would touch support price level of Rs. 460 per quintal, owing to an all time high mustard production. The mustard expeller oil prices were ruling around Rs. 14,000/ per MT. The NDDB immediately intervened in the market by buying mustard oil and encouraged cooperatives to procure a sizable quantity of mustard seeds. The impact of intervention was quickly reflected in high mustard seed prices which firmed up around Rs. 560 per quintal during the third week of April, the peak arrival period. However it was only in August 89, that the minimum of the price band
+for mustard oil Rs. 17,000/- per MT was reached. The major limitation was the lack of storage facilities in the northern mustard producing states. The intervention operation obviated the need for greater procurement effort by NAFED which procured only 70 MT at support prices of mustard seeds as farmers realised nearly 20-25% more than the support prices. In fact one can argue that it was because of market intervention operation the farmers' interest was protected even during a year of bumper harvest leading to the mustard revolution in the country.
+Price band fixed for 1989-90 was Rs. 22,000 - 28,000/- for groundnut oil and for mustard oil the band fixed for the previous year continued. However, since groundnut production in Gujarat had fallen considerably due to unfavorable weather, the prices rose sharply especially during the off-season period. As for 1989-90 the official estimates put edible oil deficit at around 1 MMT against which imports were only 0.37 MMT and since the NDDB did not get the promised 0.15 MMT of imported oil, the price stabilisation operations were bound to be affected. During 1990-91 official sources estimated oil deficit around 1.3 MMT of oil as the Saurashtra groundnut crop had again failed due to scanty and ill-distributed rains. Imports of oil increased to about 0.6 MMT but was still short of the deficit. The NDDB did not once again get its allocation of 0.15 MMT. Also the MIO which was to be undertaken at borrowings @ 14 per cent rate of interest had actually started at 15 per cent and at
+the beginning of 1990-91 crop year, it was raised to 16 per cent) and by the end of the crop year it went up to over 20. This meant another Rs. 30 crores extra burden on the MIO.
+Thus, because of the non-fulfillment of certain conditions of the MIO and limited imports due to foreign exchange crunch, the objective of keeping prices within a price-band met with partial success but looking at some of the beneficial effects of the MIO it could be said to be a great success especially for the poor and disadvantaged oilseeds growers.
+<section>Achievements</section>
+In 1988 the NDDB entered the consumer market for edible oils with the launching of DHARA. Dhara is a virtual revolution in the marketing of packed oils. For the first time, edible oil was made available to the consumers in tamper proof tetrapacks and Jerry cans, at equitable prices. Starting off with imported vegetable oil (Canola), Dhara has today metamorphosised into an umbrella brand covering mustard, groundnut and sunflower. LOKDHARA, a blend of groundnut oil and palmolein oil has been recently launched. 500 ml Dhara pack in tetrahedron has also been introduced since 1991.
+Dhara has today become part of marketing history, but more than anything else, Dhara is a direct link between the producer and the consumer. Dhara is part of the attempt to make available to the farmers of little known and farflung villages scattered across the countryside a ready market for their produce. Above all, Dhara ensures that the consumer gets a fair deal, and that the lion's share of the consumers rupee flows into the producers pocket.
+The sales of Dhara have increased at an accelerated rate from about one thousand tonnes in 1988-89 to more than one lakh tonnes in 1991-92 as shown below.
+Year
+Sales of Dhara (MT)
+It has made a significant impact on the edible oil marketing. Some of the well established brands of refined groundnut oil have to face effective competition now for the first time from the cooperatives. It pioneered refining of mustard oil on a big scale. Smaller packs of 200 ml. and 500 ml. have been launched. The sale of oil on volume basis (liter in place of kg.) was itself a major break through and the government has permitted marketing by volume universally in February 1992 as is the practice all over the World.
+The problem of regional and seasonal balances of edible oil availability lies at the root of price stabilisation objective. In this direction, the NDDB's experience of National Milk Grid has become useful. In order to achieve these objectives Rs. 54/- crores have been invested in the National Oil Grid scheme. Storage tank farms of 1.9 lakh tonnes have been completed and more capacity (0.38 lack tonnes) is under execution. Packaging facilities for 1.7 lakh tonnes per annum have been completed and further capacity (0.36 lakh tonnes) is under execution.
+The market intervention programme undertaken by the NDDB is somewhat different from such programmes elsewhere. Generally, such an agency will operate only when prices cross the lower or upper limits of the band. But NDDB's operations imply a continuous presence because it wants to provide the consumer with good quality of oil in packs which cannot be tampered, at a price which is remunerative to the farmers. The NDDB had already intervened in the oilseeds sector through the Oilseeds Growers Cooperative Project (OGCP) since 1979. These growers cooperatives differ from usual marketing cooperatives who simply help the producer to dispose off his produce but cannot influence the price prevailing in the market. However, the OGCP is an integrated cooperative system where processing and marketing of oilseeds and their products is also under the command of the farmers themselves, and it can influence the market as well. The experience of the Gujarat farmer in early 1980s and
+thereafter is a case in point. The price support by the cooperatives themselves and the market intervention efforts by the NDDB both raised the prices of oilseeds. The impact of both these factors creates an externality by which others are also forced to raise the price and this is well illustrated in the market prices of groundnut and rapeseed-mustard in last few years, as shown below:
+Year
+Prices of groundnut
+Price of mustard
+(Rs./MT)
+(Rs./MT)
+Thus, the price received by the groundnut producers has gone up by 36 and 39 per cent in 1989-90 and 1990-91, respectively, and mustard prices have gone up by 17 and 29 per cent, respectively. It is estimated that groundnut and mustard producers together have received an additional income of Rs. 1230 crores in 1988-89, Rs. 1100 crores in 1989-90 and Rs. 2300 crores in 1990-91.31
+<section>The net effect of interventions by NDDB and TMO</section>
+The Integrated Policy on Oilseeds (IPO) with its main programme of MIO has been able to provide the basic economic motivation to the growers through substantially improved remunerative prices. Farmers do respond to prices provided that a comprehensive plan is made available to them. The TMO has been taking several measures in this direction since 1986. The additional incomes that have been created by MIO have clearly been reflected in the farmers' efforts to raise more and more production of oilseeds. Production of mustard and rabi groundnut has taken a quantum jump. Thus, the concerted efforts under IPO along with those of the TMO has made a break-through in oilseeds production possible. Edible oilseeds production was stagnant around 12 MMT per annum for long, which has gone up to 17 MMT per annum on an average in the last four years i.e. 1988-89 to 1991-92. It has been increased by more than 40 per cent within a short span of time. The most noteworthy point of this
+progress is that except for 1988-89 the average production of 17 MMT edible oilseeds per annum has been achieved under adverse weather conditions, which implies that unlike in the past the growth in productivity has also played an important role. The decline in the availability of imported oil was, thus, met by increased domestic production. Considering the recommendations of ICMR the goal of self-sufficiency in edible oil has already been reached as mentioned earlier. Market intervention through buffor-stocking operations with an additional quality of cooperative network has prevented to a large extent, the unscrupulousness of the private trade and consequently resulted in higher production. While the entire credit for growth in production and yields may not be attributable to MIO alone, there is no doubt that in checking the uncertainty arising out of information, market and policy imperfections mentioned earlier, in the interests of both the farmers and the consumers, MIO
+has been a great success. An important point to be noted here is that the absence of growth in the production of oilseeds during the early phases of Oilseeds and Vegetable Oils Project of NDDB had been due to the large scale import of oils into the economy with its devastating effects. It is not merely a coincidence that during the period of MIO, imports have been drastically cut down.
+However, due to the general rise in producer prices of edible oils during the period of MIO, unrest arose in the private trade against NDDB's intervention. The press vehemently condemned NDDB's involvement in the sector and, consequently, several state governments and so called people's movements reacted wildly. During 1989-90 the Government of Gujarat complained to GOI making four major charges against the MIO. It claimed that:
+MIO did not benefit the farmers particularly small and marginal ones; NDDB failed to generate confidence among farmers who in fact think that it is in league with the traders; oilseeds and oils were purchased from the market rather than from the farmers and the purchase operations were centered in Bombay market rather than in Gujarat; and NDDB operates like a `State within a State' and refuses to disclose information about MIO.
+These charges were examined by the Standing Advisory Committee (SAC) of GOI under the chairmanship of Shri Sharad Joshi in April 1990. The SAC made the following observations.
+Farmers express themselves very strongly about the advantages in terms of oilseed prices on account of the MIO;
+MIO is conceptually different from the support price operations (SPO) whose purpose was to ensure an incentive price to the farmer. The prices are sought to be "pushed up" through the purchase of groundnut from producers or from the market and further prices are "pulled up" by operations in edible oil markets designed to influence the oilseed market in the desired direction. Marketing operations carried out in Bombay would be perfectly justified in the light of India's experiences;
+Secrecy about MIO would appear to be essential for working and is entirely consistent with the mandate of the NDDB;
+Delay in authorising the NDDB to start its operations in the first year gave the MIO a difficult start. The upward movement from April to August is an annual phenomenon and complaints regarding rising oil prices due to MIO are hardly justified;
+Governments should not continue to pander to the unreasonable wishes of the urban consumers if it is to the detriment of the vast majority of agricultural producers;
+Oilseeds and oils are subject to number of levies and taxes such as purchase tax (4%), sales tax (4.8%), market cess (0.4%), surcharge on sales tax etc. The total of taxes on 1 kg. of groundnut oil comes to Rs. 2.80. These taxes, as a general rule,are dodged by the private traders. The Cooperatives, controlling barely 5 per cent of the trade, account for 50 per cent of tax collected by the governments. This situation puts the cooperatives in a serious handicap when they have to operate in the open market;
+There were shortfalls in the quantities of imported oils to be supplied to MIO and finalization of price band was also delayed;
+MIO is governed by a number of government organisations resulting in serious delays in taking vital policy decisions. It is highly desirable that all these functions be concentrated in a single authority at the centre;
+Imposing formal or informal restrictions on movements of oils/oilseeds go against the efforts made under the MIO;
+The philosophy of the MIO goes against protection of limited interests of all types whether regional or sectoral; and
+It is desirable to make edible oils available to poorer classes at reasonable prices through the PDS but self-sufficiency in edible oils is incompatible with the type of PDS for edible oils to which the nation has become accustomed since long. The burden of the subsidy element in the PDS has to be borne by the nation as a whole and not by the oilseeds growers alone.
+The Committee came to the conclusion that "since the beginning of the MIO nothing has intervened that could justify any radical revision in the MIO scheme". The committee thus gave a clean chit to the MIO and put the MIO under proper perspective. It emphasized how MIO is different as compared to the MIO in general practiced everywhere - where the authorities enter the market only when prices cross the lower or upper limit of the band and then they cease to function. Here continuous presence and furtherance of the farmers interests occupy an important place.
+Inspite of the committee's observations, opposition to MIO continued, as the NDDB is perceived as an inconvenient player in the game by large sections of the trade, and some politicians who are under the influnce of Telia Rajas. Currently the prices paid to the producers seem to be attractive enough and the consumers seem to be happy at the reasonableness of the prices of Dhara packaged oils. The entire oilseed sector seems to move on the way to self-sufficiency. Oilseed economy of India is certainly not an issue that it was before the start of TMO and MIO.
+<section>Chapter 6 - Need for self-reliance</section>
+As mentioned earlier, the Technology Mission on Oilseeds was established in 1986 with the explicit intention of developing the edible oil sector in the country in such a manner as to make the country self-reliant in edible oils. The Technology Mission has undertaken a concerted programme of providing a comprehensive package of inputs and services to the farmers which will result in substantially improved production in the country. The Market Intervention Operations, launched under the integrated policy on oilseeds and edible oils provides the basic economic motivation to the producers through substantially improved remunerative prices. As a result, the country has witnessed sustained development in the oilseeds sector, raising the stagnant level of production to well beyond 17 MMT despite unfavourable weather in many producing areas. As a result of the price incentives received by the producers of oilseeds in many pockets large scale increases in areas under oilseeds have
+occurred. A case in point is that of mustard in the western parts of the country, where the mustard crop has gained close to 3 million hactares of land largely from wheat and other rabi crops. Obviously the implications of area shifts on the overall agricultural output and resource allocation within the growing regions can be quite far reaching.
+Recently, Gulati of the Institute of Economic Growth with his colleagues brought out a paper on the structure of incentives in Indian agriculture.32 This study was subsequently followed up by several other accompanying works about the level and route of farm subsidies (whether in fertilizer, irrigation, etc.) to various regions and various crops.33 Gulati and others came to the conclusion that, when viewed in the context of the international trade opportunity, it is not prudent for the country to continuously increase the area under oilseeds cultivation. This conclusion was justified by arguing that when viewed in terms of protection coefficients of various crops, significant improvement in resource allocation can result by shifting at the margin, the areas under oilseeds crops towards wheat, paddy and cotton as the oilseeds crops enjoy a much higher level of protection while wheat, paddy and cotton are not protected in the country. Perhaps consequent upon these observations
+the World Bank in its 1991 Country Economic Memorandum advised India not to increase the production of oilseeds.
+It is therefore of interest to examine whether self-reliance in edible oils is desirable from the long term economic interests of the country. In essence the wisdom of self-reliance in edible oils has been questioned by the arguments of Gulati and others. While these arguments were made sometime ago, no significant debate has taken place on the subject. In case any policy measures are to be formulated to reap full advantages of what the authors of the papers believe to be more efficient cropping patterns or if the existing policy measures sustaining the current growth in oilseeds sector are to be withdrawn, then the matter becomes of urgent importance. It certainly will assume great importance to the producers of oilseeds and to the industry. It is with this view that an attempt has been made to look at the need for self-reliance in the light of the arguments put forth by the scholars.
+The analysis here has been divided into two parts. The first part focuses upon the methodological assumptions employed by the scholars to justify their conclusions and their validity. The second part looks at the likely consequences which the recommendations of these scholars will have on the Indian economy.
+The analysis underlying the recommendation regarding effecting changes at the margin which will ensure greater production of cotton, wheat and rice and reduction in oilseeds and sugarcane use fairly old data pertaining to 1981-86 World and Indian situation. It is possible to argue that the years before that were not considered primarily because they would not lead to the inferences drawn here. For example, the prices of oilseeds are considered beyond 1981. It is to be noted that the world price of peanuts which was about $1800 per MT in 1980 (see p28, World Oilseed Situation and Outlook, March 1991) which somehow fell to $900 in 1981 further declined to $700 per MT in 1986. Also, the papers in question make no reference to the changed situation regarding cost of cultivation and productivity of oilseeds in India after the Technology Mission started functioning effectively from 1986.
+While recommending that the cropping pattern in the country may be shifted to permit the country to derive full advantage of the existing world prices, it is ignored that the world prices themselves are artificial in nature. For example, a single nuclear incident in Cherobnyl, caused a four fold increase in international price of milk powder as it wiped out the surpluses. A drought in Brazil saw the soyameal prices skyrocketing a few years back. In other words, the underlying assumption that comparative advantage of producing one commodity vis-a-vis another can be computed only on the basis of world prices is faulty, as these prices themselves are artificially reached due to subsidies provided by the exporting countries to minimise their surpluses.
+The papers also assume that so far as imports of commodities are concerned, the world prices can be assumed as given and India's decision to import or otherwise will have no effect on the prices. This is patently wrong. This variant of the small country arguement continues to be made while talking about import of oil, etc. The facts are that, of the total of 20 MMT of world trade in edible oil, at its peak India imported nearly 2 MMT in 1988 and as a result the prices in the world market rose very sharply. The papers ignore the fact that while a particular supplier of the commodity may enjoy comparative advantage, for whatever reasons, its capacity to produce and supply to India is severely restricted. For example, the most efficient dairy producers, viz., Newzealand and Australia together produce only one fourth of the quantity of milk which India produces and it is just 3 per cent of the total world production. Similarly, Malaysia produces 6 MMT oil of the total 60 MMT
+world vegetable oil production. Therefore, to carry on analysis on comparative advantages using cost of production elsewhere can be tricky.
+The papers while recommending changes in cropping pattern almost completely ignored the obvious fact of huge farm subsidies in EEC and USA. For example, the rapeseed producers in EEC get a subsidy of 60 per cent of the production cost. The question obviously is `what will happen to the comparative advantage of India if EEC and USA withdrew their farm subsidies?'. Worse still, the moment India is seen to be critically dependent on such imports, it will be forced to subsidise their production through high prices rather than their own governments doing so from their budgets.
+The papers ignore the fact that energy, particularly fossil fuel is priced at myopically low value in the west. Agriculture in the west is extremely energy intensive and sustainable currently only because of the low price of energy of about $ 19-20 per barrel. It is because of the low price of this order that the fertilisers produced elsewhere are cheap. It is also because of this low price of energy that the other countries in EEC and American Continent have comparative advantage in production of many agricultural commodities. In India energy has been priced at a relatively high level. This is perhaps prudent as we certainly will be able to sustain our agriculture for a longer time, having priced energy closer to its long term value. The question then is which way would the comparative advantage shift if energy were to be priced closer to its long term opportunity cost.
+Because the data in the papers has been dated, and averaged over the years. Business opportunities are based on current process and source of the conclusions drawn in these studies do not hold good at current prices.
+In recommending that India should export cotton, the same variant of small country argument is used now assuming that India's larger cotton export would continue to attract good prices elsewhere. Several problems are likely to come up in expanding export of cotton. The textile industry has been arguing that India ought to export value added products such as garments using cotton. Significant employment has been generated particularly in the handloom sector using domestically produced cotton. Some perceived advantage in export of raw cotton should not allow the country to alter the existing policy of encouraging employment intensive handloom sector. Besides, cotton is competitive for India mainly because there are not only no net subsidies on cotton anywhere in the world but there are actual negative subsidies inherent in the cotton production abroad. The alleged comparative advantage will be lost the moment other cotton producers start withdrawing the disincentives to
+producers in their countries.
+The papers also assume that the lands under various crops are freely substitutable. Obviously, it is common knowledge that groundnut growing areas can seldom take to paddy cultivation. The substitutes for groundnut crop in most of the kharif groundnut areas are millets and pulses (not even cotton, as farmers in these regions do have large cattle-herds which need the fodder of groundnut residue). Unfortunately neither of these two crops are in fashion whether with the scientists or the economists connected with agriculture. Similarly, substitution of groundnut by wheat in kharif groundnut area is out of the question as wheat is essentially a rabi crop. Thus in arguing for changes in cropping pattern the report is relying on inadequate appreciation of the realities which shape cropping pattern in the country.
+The papers assume that the wheat produced in India will be exportable to other wheat consuming countries forgetting what is demanded in the international market has been bread wheat while what India produces has been oriented towards the local consumption of chapatis. Similarly, import of European rapeseed may not be acceptable at all as what India consumes is a pungent mustard oil. The commodities necessary within the country may not be produced elsewhere (for example, pulses) and the commodities produced in the country may not be easily exportable.
+In commodities like wheat and paddy, India cannot expect to be a perennial exporter as the country itself targets the need of foodgrains to be in the neighbourhood of 240 MMT by the turn of the century as against production level of 175 MMT. Often, the transport and shipping cost involved in the export and import operations of bulk commodities, particularly, when the transport is not on major shipping routes, far exceed the cost of storage and interest rates in stocking a commodity between years of surplus and deficit.
+A look at the inherent but unstated motivations in the recommendations accorded would give a right picture of policy implications for the country. It so happens that livestock is one of the most vibrant growth area in agriculture. Perhaps it was not desired in the paper to even grudgingly admit the fact that India has demonstrated its comparative advantage in dairying. The Planning Commission puts the demand for milk in India at 107 MMT by the year 2010. Today the country produces about 57 MMT. To increase the milk production to the desired level India certainly would need substantial increase in the level of production of concentrates, of which oil cakes are important ingredient. If the country has to adopt the recommendations of the papers mentioned above and does not further oilseeds production within the country, its dairy programme will soon experience a famine of oil cakes. Similarly, crop residues too became scarce in the groundnut growing areas which are also
+important dairy producing areas, particularly, as cotton gives no fodder from crop residues. In other words, the sophistry contained in the papers basically would like us to unintentionally and unknowingly get in a situation of perpetual dependence on the western world. Even more importantly, what has been recommended on oilseeds is essentially a move to discourage the country from depriving the EEC and the western world their comparative advantage and the current favourable position in agricultural trade. These effects will also tend to decrease the burden of subsidy in EEC and USA. Just as an example: with the Indian export of soybean exceeding 1.5 MMT, certainly India has become an emerging threat to soya producers elsewhere. Soyameal from India is currently priced low mainly because the soybean oil attracts a good price within the country. To thwart the development of the oilseeds sector within the country, and cause India to become dependent on imported oils would
+remove the advantage of soybean producers of good oil price and render the country's soybean exports uneconomic. Similarly, at 25 per cent share of World rapeseed production, India has caused an increase in rapeseed surpluses in EEC. If this was to be stopped, EEC's surplus will vanish and they would not have to subsidise their rapeseed production. Who would be the eventual importer of our surplus wheat, rice and cotton? It is inconceivable that these importers would be in the western hemisphere. Is India then encouraged to expand its agricultural trade with the Eastern Block countries whose ability to pay in hard currency is notoriously limited? The lesson of India achieving comparative advantage in milk should encourage the country to move in the same direction in other commodities.
+However, it is undoubtedly true that the fiscal burden of farm subsidies particularly in fertilizer, electricity and irrigation has been growing. One cannot really dispute with the suggestion that these subsidies need to be phased out. This probably will need to be accompanied by compensatory increases in support prices of the relevant crops. The authors are on the right track in recommending reorientation and retargetting the Public Distribution System to cater only to the real poor. While this will be politically difficult, the existing urban bias of the PDS does need to be corrected particularly considering the fiscal implications of running a large PDS in the country. Similarly, the country will have to be more careful in deciding the commodities to be supplied through the PDS and avoid populism at all costs. In the long run however India must recognise that there has been no substitute to nurturing and supporting producers' cooperatives in production, processing and
+marketing of every conceivable agricultural commodity if agriculture has to take off.
+In conclusion, it may be emphasised again that the suggestion of the scholars for re-aligning our cropping patterns in keeping with the felt economic advantage of the day is unviable, undesirable and a recipe for chaos.
+The 1991 Indian Country Economic Memorandum of the World Bank expressed concerns about `high government involvement in marketing of oilseeds' and recommended greater private sector involvement. While MIO has been perceived as high government involvement the `privately and publicly held corporations' have been perceived as `free market' forces. The actuality has been entirely different. MIO seeks to maintain producer prices for oilseeds at levels which provide the incentives to produce more and at the same time maintaining consumer interests through competitive consumer prices and quality. The backward linkages of MIO with NDDB's Oilseeds and Vegetable Oils Project which has now 13 years, history has put NDDB at a unique position to check the unscrupulousness of private trade and to ensure a fair deal to the consumer and the maximum share of the consumer rupee to the producer through vertically integrated operations of production, procurement, processing, storing and
+marketing. Way back in 1981 John W Wall had felt the need of such an approach in oilseeds and vegetable oils sector.34 He had also felt that the reduction in imports below a certain level would lead to rise in vegetable oil prices higher than the overall rate of inflation but nevertheless such rise in the price is desirable to stimulate production and dampen the demand. Private sector on the other hand, as discussed in earlier chapters, would only strive to appropriate undue share in the consumer rupee through policy options like imports.
+FAO also held opinions similar to the World Bank about Indian vegetable oil sector.35 It has hoped that the implementation of its recommendations would lead to `virtual unification of the Indian vegetable oil economy driven by market forces operating in a more open and competitive domestic environment with pricing structure gradually approaching those in international markets'. The report does not bring out the fact that the producers of oilseeds in India already get prices lower than their counterparts in most developed countries. The present international prices reflect edible oils surpluses in the west. Producer subsidies in these countries, if eliminated, would lead to lower production and consequent higher international prices. India has seen it happen in the dairy field. Twenty years ago India was advised not to produce milk as skim milk powder was available in the World markets at a fraction of the indigenous prices. Not having listened to that advise has been good to
+the country. India is now a competitive producer of milk and milk products and Indian farmers get some 20 to 30 per cent lesser prices than the prices received by producers in the west. Further, the FAO report encourages India to produce more soya and at the same time cautions about the growing competition from other crops. Surely, that refers to mustard encroaching upon wheat. It seems, while production of soybean affects US interests production of mustard affects the rapeseed interests of EEC.
+If the international trade balance is a criterion for comparative advantage, India has already seen a sustained positive balance on account of oilseeds. Table 26 presents the value of imports and exports of oilseed products over the years. It may be seen from the last column of Table 26 that the value of exports was hardly 23 per cent of the valueof imports during 1981-82 to 1987-88 on an average but in 1988-89 it rose to 55 per cent and since 1989-90 export value has exceeded import value. In 1984-85 imports were nine times over exports in monetary terms but in 1991-92 value of exports has become nine times more than value of imports. Obviously, the net export earnings would have led to improved economic efficiency of the processing sector, of the farmers and of the economy as a whole during recent years. Some of the reports and papers which have made an attempt to undermine the bold interventions by the TMO and MIO in oilseeds and vegetable oil sector may well have to
+review their stand to regain credibility.
+Table 26: Imports of Edible Oils and Exports of Oilcakes
+(Qty: Lakh MT; Value: Rs. Crores)
+Import of edible oil
+Exports of oilcakes
+As % age of edible oil imports
+Financial year
+Quantity
+Value
+Quantity
+Value
+Source: Government of India: Economic Survey, RBI Report on Currency and Finance CMIE, Economic outlook, June 1992 Oils and Fats Review, April 1992.
+<section>Chapter 7 - Conclusions</section>
+Several interesting findings emerged from the study. Despite one and a half decade of a host of interventions, the oilseeds sector has shown a departure from stagnancy only during the last three years. Growth in the production of oilseeds has been through seasonal and regional shifts as well as the shifts in the cropping pattern.
+The oilseeds and vegetable oils sector in India has been characterised by severe imperfections in information, market and policy.
+Information imperfections arise from unreliable supply estimates price behavior and the role played by the vested interests in manipulating information given to the press.
+Despite the use of several methods of estimation by various organisations, reliable estimates of supply cannot be made. However, the Institute of Rural Management at Anand has been striving to establish a methodology for estimating supplies through an integrated approach of sampling method, remote sensing applications and mathematical models. These methodologies now seem to be far better than earlier projections made by the trade and industry.
+The prevalence of fluctuations in intra-seasonal and intra-year prices of oilseeds and oils render attempts of modeling price behavior unsuccessful. The long chain of intermediaries between the producer of the oilseeds and the consumer of the oils behave in such a way so as to nullify the parities between oilseed prices and oil prices for an honest operator. It has been found that the press which is the major source of information on prices has been a major factor influencing sentiments of those commodity markets which are characterised by severe imperfections. There were occasions when the press has made attempts to sensationalise the price behavior of edible oils for no rhyme or reason.
+Groundnut oil prices are deliberately depressed at the time of harvest by the trade so as to buy the produce from the farmers at low prices, the phenomenon which cannot be captured by averaging of the prices on a monthly or yearly basis. It has been found that the differences between the fluctuations computed on daily and monthly prices have been as much as 80 per cent in certain years.
+While the source of price hike and price fluctuations lies largely in the supply uncertainties, the influence of institutional and technological rigidities also persists. The markets are so organised in order to appropriate a maximum share in the consumer rupee which has been clearly reflected in the absence of parity between edible oil prices and the oilseed prices. Along with the regulated markets and the farm level transactions cooperatives have emerged as a major player in the trade. However, the management of parities between seed prices and oil prices by the private trade through adulteration, tax evasion and illegal speculation would make the cooperatives less competitive in the business.
+Brokers and commission agents play a very significant and at times dubious role in the trade. In the absence of reliable information on supply, demand and prices the market intelligence of the broker appears to be a major determinant in arriving at equilibrium. It was found that a few brokers also engage themselves in the trade which certainly influences their role as moderators.
+The oilseeds and oil exchanges/associations formed by the brokers and dealers have been quite influential in the price movement across the country. While only a fraction of the traders operating at these exchanges would influence the overall price sentiments, only 10 to 15 per cent produce that has been transacted in Agricultural Produce Marketing Committees which were established by law would reflect the prices quoted by government agencies.
+Differential tax structure across states/union territories also contributes to massive evasion of tax on edible oil trade through inter-state trespassing.
+Ban on blending, while ineffective in checking adulteration, has prevented inter-temporal and inter-spatial imbalances in the supply of edible oilseeds.
+Instead of creating healthy requirements for an effective functioning of future market, banning futures trading has only resulted in the operation of illegal satta.
+Driven by the relationship between increase in the incomes and increase in the per capita consumption of edible fats in the developed countries, India has attempted to achieve higher levels of consumption of edible oils along with the overall growth of the economy. Researchers on nutritive value of edible fats have warned against the excessive consumption of visible fats in the form of edible oils by Indians as the typical Indian diet contains a significant proportion of the required fats in the form of invisible fats. It has also been recognized that vanaspati, a hydrogenated fat, transforms cis fatty acids to trans fatty acids which act as saturated fatty acids in the human body and contributing to cardiovascular complications. Taking the recommendations provided by ICMR into account it may be said with fair amount of conviction that the country has already reached self-sufficiency in the production of edible oilseeds. However, significant skewness exists in the
+consumption of edible oils across spatial groups, economic groups as well as urban/rural sectors.
+Three major interventions have taken place in order to resolve the peculiarities mentioned above.
+The first major intervention being imports, the consequences of the intervention policy have been disastrous. Import policy had been adopted as a softer option to resolve the demand-supply gap as the unprecedented price hike during early seventies was perceived as a result of edible oil shortages. Only PDS and vanaspati industry could have access to the imported oils. Since 1979, STC has been given the monopoly right to import the vegetables oils for supply to PDS and vanaspati industry. Relatively high income elasticities of demand for edible oils and vanaspati have been adopted by the policy makers to decide upon the requirements of imported oils. In the absence of reliable information on domestic production, the quantity of imported oils over the years appears to have been decided arbitrarily. Imported oils have been supplied to the relevant agencies at relatively lower prices which has resulted in unnecessary increase in per capita consumption, adulteration of domestic
+oils with imported oils, undue benefit to vanaspati industry, and worst, dampened producer incentives. The disincentive to the producers of oilseeds caused by the supply of imported oils at lower prices has been clearly reflected in the stagnant production during the regime of large scale imports from 1975-76 to 1987-88. The supply of imported oil to vanaspati industry at lower prices was not reflected in lower prices of vanaspati. It can be concluded that this decision has only helped in market expansion of vanaspati which on health grounds is certainly not an essential commodity. The PDS for edible oils has been found to be income neutral as the poor of the society could not get any better access to these oils over the rich.
+Oilseeds and Vegetable Oil Project of the NDDB has been the second major intervention in the sector. Based on a network of oilseed growers' cooperatives, with the help of donated oil from the Cooperative Leagues of the USA and Canadian Cooperative Association the project which was started in 1979 now covers Gujarat, MP, AP, Tamil Nadu, Orissa, Maharashtra, Karnataka, Rajasthan and UP. The oilseed coverage has also been extended from groundnut, mustard, cottonseed, soybean to sunflower, nigerseed, sesame and safflower. Besides procurement, processing and marketing, the project has undertaken major production enhancement activities. Along with the increases in membership and the area under coverage, large scale oil milling, solvent extraction, refining and storage capacities have been created. As a result, the producer prices have gone up in the areas of coverage over the all India levels. However, the production of overall oilseeds remained stagnant till 1987-88 due to the
+use of imported oils at lower prices against producer interests,
+Technology Mission on Oilseeds which was started in 1986 with a goal of self-reliance by the end of the eighth five year plan has made concerted efforts in reducing the level of imports by increasing domestic production. In collaboration with organisations like ICAR, CSIR, DAC, NODP, OPTP etc., TMO has made rapid strides in achieving breeder varieties of seeds, batch type processes for rice bran stabilisation and sunflower decortication, and improved expellers, etc. However, the most important achievement of TMO has been the initiation of Integrated Policy on Oilseeds and the consequent implementation of the Market Intervention Operation which has formed in itself the most effective intervention in the sector.
+NDDB was appointed by GOI as Market Intervention Agency in April 1989 for an initial period of five years with an objective to regularise prices through buffer stocking operations. The backward linkages of MIO with the Oilseeds and Vegetable Oils Project of NDDB, has given a unique position to the buffer stocking operations in the form of vertical integration of production, procurement, processing, storing and marketing. The significant achievement of MIO has been the intervention in consumer market by the introduction of Dhara consumer packs. In addition, Lokdhara a blend of groundnut oil and palmolein oil, has also been launched recently. On the lines of National Milk Grid a National Oil Grid has been established in order to resolve the regional and seasonal imbalances. The net effect of the concerted efforts by TMO and NDDB has been clearly seen in the unprecedented and steady growth in the production of oilseeds during the operational period of MIO. An important factor
+that led to the MIO was the drastic reduction in imports. However, MIO faces challenges from private trade as the latter always uses the options of adulteration and tax evasion in arriving at parities. Due to this, as well as the non-availability of the required imported oils, keeping the prices within a band could not be achieved for a shortwhile. Since then Dhara sales have registered stable levels becoming the price/quality leader in the market place.
+Some researchers, the World Bank and the FAO have held the opinion that India should withdraw from the policies that encourage oilseeds production and concentrate on crops like wheat, paddy and cotton. However, the interlinkage of oil and dairy sectors, the achievements of the dairy sector in the country, and the current trend in oilseeds production refute these arguments. As a matter of fact, the international trade balances on oilseed products have shown an increasing and positive trend since 1989-90 indicating comparative advantages for India which will substantially improve if EEC/US was to withdraw its subsidies on imports of edible oils.
+Based on the above findings it is concluded now that India should continue to strive for self-reliance in vegetable oils. Since edible oils are no more considered essential from a nutritional point of view the supply of imported oils to PDS and vanaspati industry has been a wrong policy option and responsible for major distortions in the sector. Given the imperfections in the sector, the MIO type of intervention which is based on vertically integrated operations would ensure a maximum share to the producer of the oilseeds and a fair deal to the consumer of the edible oils especially when a technological breakthrough emerges due to the concerted efforts of organisations like TMO.
+<section>Policy implications</section>
+1 India should continue its efforts to move towards self-reliance in the production of oilseeds. Buffer stocking operations undertaken by the NDDB should continue. At times the NDDB may need certain levels of imported oils for which provisions should be made. The NDDB would be an ideal choice for buffer stocking operations because of the backward linkages of MIO with its network of oilseeds grower cooperatives. However, MIO needs to be safeguarded from the Telia Raja/Politician combines. Continuation and expansion of consumer market intervention by the NDDB would ensure reliable supply of quality product to the consumers. MIO should however, continue to look at the competitiveness of oilseeds vs other crops and comparative advantages that India has in the field of labour intensive agriculture. The National Oil Grid needs to be strengthened. Use of railways and inland shipping needs to be explored further in order to reduce the transportation costs.
+2 Cooperatives can be made more competitive by removing taxes on oilseed and oil trade. Uniform tax structure across the countrys would also help. This would prevent the inter-state trespassing as well as non-accountability by the state tax departments. The state governments should routinely publish the tax revenue from various commodities so that the tax evasion on a particular commodity may become public knowledge.
+3 Blending of edible oils should be permitted in the consumer packs as is practised all over the world. The only obligation to blend oils should be to declare in bold letters, the nature of the blend and its composition.
+4 Blending and packaging at low cost in hygienic conditions would help unification of the markets. Efforts should be made to popularise the advantages of these new blends. Necessary expertise on the proportion of mix of oils may be made available to the interested groups.
+5 The decisions on the levels of imports should be taken in conjunction with the domestic supply levels and buffer stocking requirements. Imports need to be used only to regulate the prices. Attempts should be made to import low priced oils and export high priced oilseed products. The responsibility of imports should really be with the MIO which alone can ensure under the leadership of NDDB that imports are not used against the farmers.
+6 If supply of edible oils at lower rates to the weaker sections of the society is considered necessary then the existing mechanism of PDS should be restructured with proper targeting and sourcing of oils. It would be best to subsidise the poor, directly in the form of food stamps, etc.
+7 The decision to stop supplies of imported oils to vanaspati industry is in the right direction and this should form a measure to encourage the use of indigenous minor oils in the manufacture of vanaspati.
+8 Neither edible oils nor vanaspati are considered nutritionally essential commodities. Hence, the excessive use of these commodities by affluent sections of the population should be discouraged through advertisements in the press and television. Investigation of the factors influencing consumption patterns of edible oils, is necessary to understand the shifts to other oils, for example, from groundnut oil to mustard oil, or from one preferred oil to blended oil, to help manage the supplies more effectively.
+9 Export of oil cakes and oilseeds such as HPS groundnut, sesame and nigerseed should be encouraged by all means. Efficient management and development of port facilities will be needed in this connection. Groundnuts are used as table nuts in the west and they are considered in the same class as almonds and cashew nuts. The country has a great potential for exporting groundnuts provided its crushing is discouraged through fiscal measures. Exports of groundnut and groundnut cake may be increased by detoxication of the product which is possible with an integrated programme at production, storage, processing and transportation levels. Handling of HPS groundnuts needs proper care from production to export. This needs great attention as such efforts can significantly improve quality and exportability of the produce.
+10 Efforts to develop better varieties of seeds and operating efficiency of processing should continue. Particularly, double zero variety of mustard seed and two-step expelling process have great potential. Integration of expelling and extraction processes would improve the performance of extraction plants.
+11 Production improvement demonstrations undertaken by oilseeds and vegetable oils project of NDDB need to be adopted as model extension packages.
+12 Measures to make quick forecasts of crop production should be developed for all the agricultural crops at a national level. The data on crop cutting experiments needs to be made public for crop estimation purposes. Remote sensing applications and meteorological techniques need to be further explored for greater reliability. Cooperatives should be encouraged to collect information on the cropping pattern from member villages . To start with, a few key districts may be selected to record the area under sowing on a full enumeration basis. However, this practice would be effective only when the entire agricultural land is covered. The information thus obtained would be of great importance in taking business decisions.
+13 Management of data on supply, demand and prices, across the country on a continuing basis is necessary. Quick compilation of this information to arrive at national aggregates should be undertaken by the Government.
+14 The activities of oil exchanges/associations need to be made more transparent. The publication of prices based on the transactions taking place within a very small fraction of the sector should be prevented. A national commodity exchange covering all the agricultural commodities will ultimately be needed in order to have an orderly market. Market efficiency will be increased by improving market transparency. Efforts need to reduce these imperfections.
+15 Forward trade in oilseeds like rapeseed/mustard has become necessary to safeguard the interests of producers. However, before reviewing the ban on forward trade it is necessary to resolve the imperfections in spot market.
+<section>APPENDIX 1 - The role of the press in influencing market sentiments: Case of edible oils</section>
+RP Aneja and KVSM Krishna
+Institute of Rural Management Anand
+The press has been a major factor influencing edible oil and other commodity markets which are characterised by severe imperfections. The arbitrary coverage of price movements provide wrong information to the interest groups. A 3 % variation in the prices of groundnut oil would get a 50 % treatment while a 15 % variation in the prices of relatively more important commodities like cereals and pulses would receive less than 3 % treatment. This phenomenon adversely affects the functioning of vertically integrated business as well as intervention operations. The press needs to review its coverage of commodity markets.
+Attempts to establish relationships between supply/demand and price remain unsuccessful in edible oilseeds and oils sector. While at the core, demand and supply factors influence the price of the commodity, severe fluctuations in intra-seasonal and intra-year prices of oils indicate the futility of a mere economic analysis in understanding the price behavior. Failure to capture the market sentiments through economic models necessitated an investigation to understand the relevant influential factors. On the whole it seems intermediaries between producers of oilseeds and the consumers of oils play a very significant role in price movements and both the end players are mere residual receivers. Although to a major extent the inadequate market intelligence of the intermediaries is responsible for price uncertainty, the unfair practices of the trade help in appropriation of both consumer and producer margins. Among others, the press has been a strong source of influence.
+A less than 1% variation in groundnut oil prices has many a times been covered in some daily newspapers and business papers by giving it a three column treatment. For the consumers as well as the producers the source of information on prices is by and large the press. It follows then that the press can potentially influence the price behavior. Cropping patterns, selling patterns, storing, etc., are largely dependent on ruling prices. Also, there is ample scope with the press for politicising the issue of price movements in order to effect certain institutional factors which may be conducive to the trade. For example, sensationalising movement in commodity prices would certainly determine the behavior of interventions such as imports, buffer stocking etc. When a commodity like edible oils, excessive consumption of which is severely condemned by medical authorities and the share of consumer expenditure on which is only around 5 per cent,
+is given comparatively high priority and a large coverage, then the role of the press needs to be analysed.
+Coverage given by a typical business daily on the prices of groundnut oil, wheat and toordal at Bombay market for the oil year (Nov.-Oct.) 1990-91 was selected to test the proposed hypothesis. Commodities have been chosen to represent one each from cereals, oils and pulses. Fluctuations in the prices have been computed with the help of coefficient of variation and that of the treatment given by press in terms of title size in proportion to the total space provided for the title on the prices of all commodities, comment size in proportion to the total space provided for comments on the prices of all commodities, and title size in proportion of comment size. While the first two measures of treatment given by the press show the focus on the commodity concerned, the latter draws the element of sensationalisation. In conjunction with the variation in the prices, these measures would explain the extent to which undue coverage
+has been accorded. All the daily issues of the business daily falling within the period of study mentioned above have been surveyed and then aggregated to arrive at monthly and yearly averages. Monthly averages have been analysed to check whether the yearly trends are consistent throughout. Table 1 summarises the findings.
+The variation in the price of groundnut oil (GN oil) has been only 5 % for the entire year whereas prices of wheat and toordal fluctuated by 14% and 13% over mean price, respectively. For this order of fluctuations the press has allocated 52% of title space to groundnut oil and only 3% to wheat and less than 1% to toordal. While there existed a ifference between spaces allocated for comments, the imbalance has not been as severe as with the title space. This becomes more clear as one looks into the measure of title as per cent of comment. A 9% space provided for comment on groundnut oil occupied an additional space equivalent to over 50% of it only for title purposes. These figures for wheat and toordal have been 2 and 11, and 1 and 4, respectively.
+Variations in intra-month prices were further lower in case of groundnut oil. Only during the months' December, January and April the variations were around 3% while in the other months they were quite lower. Despite, the treatment given by the press did not deviate substantially in terms of all the three measures.
+<section>Note</section>
+1. Meilke, Thomas (1989): "Great Success of New Oilseed Policy", 27th All India Convention of Oilseeds and OilsTrade and Industry, Bombay, November 18, pp.1-2.
+2. "National Accounts Statistics, 1991", CSO, GOI. Several new trends emerged in 1990-91 scenario of edible oil and oilseed sector.
+3. See Gulati, VP (1991):"Oilseeds Production Estimation: Current Approaches and Techniques", IRMA unpublished; and Jhala, ML (1980): "The Estimation of Yield-Rainfall Relationship with Reference to Groundnut Regions of India', Agricultural Situation in India, July, pp.235-238.
+4. Dipankar , P and A Subramanian (1985): 'Price and Income Stabilisation Issues in the Indian Groundnut Market', Economic and Political Weekly, 21(8).
+5. Narappanavar , SR (1989): "The oils and Oilseeds Economy of India", Himalaya Publishing House, Bombay.
+6. India Today (1990):`Saurashtra : The Oil Sheiks', January 31; Sunday (1990):`Kill to Profit', November 7; NDDB (1991): Alive, Delhi; Murali Dhar(1991):"Golden Flow: NDDB's Edible Oil Project" Groundnut Realities, Times of India, 23 rd October; Murali Dhar (1991):`Nightmares of Telia Raja', Times of India, October 9; and Murali Dhar (1991): `Tale of Telia Tin", Times of India, September 25.
+7. For example, Shah, T and S Modak, (1986): "Cooperative Organisations in Indian Oil Systems: A Study of the Role of Grofed in Groundnut System of Gujarat", Research Report-2, Institute of Rural Management, Anand.
+8. References may be found in various issues of the journal of the Forward Market Bulletin; Zasdanwalla, ZU (1966): "Marketing Efficiency in Indian Agriculture", Allied, Bombay; and Vyas, VS, DC Srivastava and VS Dharap (1969): "Pace and Pattern of Marketing of Groundnut in Saurashtra", AE Centre, Sardar Patel University, Vallabh Vidyanagar (mimeo).
+9. Korah , GK and V Pahuja (1992): "Role of APMCs and Oil Exchanges in the Marketing of Oilseeds and Vegetable Oils", MTS Report, Institute of Rural Management, Anand (unpublished).
+10. NDDB (1986):"Blending of Edible Oils: Need and Possibilities", NDDB, Anand (unpublished).
+11. Gupta , PK (1991): "Edible Oil Scenario", Times of India, April 26.
+12. Gopalan, C (1988): "Dietary Guidelines for Affluent Indians" Bulletin of the Nutrition Foundation of India, 9(3).
+13. Achaya, KT (1987): `Fat Status of Indians: A Review', Journal of Scientific and Industrial Research, 46, March.
+14. Mensink, RP and MB Katan (1990):"Effect of Dietary Trans Fatty Acids on High Density and Low Density Lipoprotein Cholesterol Levels in Healthy Subjects", The New England Journal of Medicine, 323(7).
+15. WMMB (1991): Editorial, Wisconsin Milk Marketing Board Research Review,4(1).
+16. Minhas, BS (1990): "Brief Notes on Access to Subsidised Food and Social Services in India", The World Bank, November 1.
+17. The GOI (1978): "Report of the Study Group on the Long Term Edible Oil Plan", Department of Civil Supplies and Cooperation, Ministry of Commerce, GOI, New Delhi.
+18. Jhala, ML (1977): "Supply and Demand Aspects of Edible Oils and Oilseeds in India", Ph.D. Thesis, (unpublished), Gujarat University.
+19. Jhala, ML (1980): "Static Demand Models of Individual Edible Oils", Anvesak, 10(1), June.
+20. Radhakrishna, R and C Ravi (1989): "India's Food Demand Projections Study", paper for World Bank Country Studies.
+21. Kundu , MK (1991): "Edible Oils", Rabi Oilseeds Seminar, Central Organisation for Oil Industries and Trade (COOIT).
+22. The GOI (1987): "Vegetable Oil Economy", Vegetable Oil Information Centre, GOI, New Delhi.
+23. For example, Ahluwalia, D (1991): "Public Distribution of Food in India: Issues and Evidence", paper for World Bank Country Studies.
+24. NDDB (1977): "Restructuring Edible Oil and Oilseed Production", NDDB, (unpublished).
+25. NDDB: Various Progress Reports of the Oilseeds and Vegetable Oil Project, NDDB, (unpublished).
+26. Shah,T and S Modak (1984): op...cit.
+27. TMO (1988): "Towards Self-reliance", Department of Agricultural Research, GOI, New Delhi.
+28. Raisuddin, A (1979): "Foodgrain Supply, Distribution,and Consumption Policies within a Dual Pricing Mechanism: A Case Study of Bangladesh", Research Report No. 8, International Food Policy Research Institute, Washington, DC.
+29. Ranade, CG, KH Rao and DC Sah (1982): "Groundnut Marketing: A Study of Co-operative and Private Trade Channels", (monograph), Centre for Management in Agriculture, Indian Institute of Management, Ahmedabad. Modak, Shrikant (1985): "Groundnut Economy of Gujarat", Economic and Political Weekly, 21(13).
+30. Narappanavar, SR and VP Bharadwaj (1983): "Farmer's and Intermediaries' Shares: A Study of Groundnut During 1962-63 to 1980-81", Indian Journal of Agricultural Economics, 38(2). of the dry and semi dry regions.
+31. NDDB (1991):"Some Facts on Edible Oil Situation and MIO", (unpublished); Ganguly H (1991):"Market Intervention and EdibleOil Prices",Economic and Political Weekly, November 9.
+32. Gulati, A (1989a): `Input Subsidies in Indian agriculture: A Statewise Analysis', Economic and Political Weekly, June 24.
+33. ------------ (1989b): `Structure of Effective Incentives in Indian Agriculture: Some Policy Implications', Economic and Political Weekly, September 30; ------------ (1990): `Fertiliser Subsidy: Is the Cultivator Net Subsidised ?', Indian Journal of Agricultural Economics, 45(1); and Gulati, A, J Hanson and G Pursell (1990): `Effective Incentives in India's Agriculture: Cotton, Groundnuts, Wheat and Rice', WPS 332, World Bank.
+34. Wall, JW (1981): "India: Demand and Supply Prospects for Agriculture", World Bank Staff Paper 500, World Bank NP.
+35. FAO (1992): "The Indian Vegetable Oils and Oilseeds Sector", Food and Agriculture Organisation, (unpublished).

ccm-ldn-terms/data/indexing/training/nri_nr07ce.key

@@ -0,0 +1,9 @@
+NONWOOD FOREST PRODUCTS
+RESOURCE CONSERVATION
+LATEX
+NUTS
+OILS
+FIBRES
+MARKETING
+SUSTAINABILITY
+AMAZONIA

ccm-ldn-terms/data/indexing/training/nri_nr07ce.txt

@@ -0,0 +1,476 @@
+<title>Commercialization of non-timber forest products in Amazonia</title>
+NRI Socio-economic Series 2
+E M Richards
+<section>Foreword</section>
+This series is based upon work carried out under the socio-economics research programme at NRI. Its purpose is to provide an easily accessible medium for current research findings. Whilst it is hoped that the series will be of interest to those concerned with development issues worldwide, it may be of particular relevance to people working in developing countries.
+The topics covered by the series are quite diverse, but principally relate to applied and adaptive research activity and findings. Some papers are largely descriptive, others concentrate on analytical issues, or relate to research methodologies
+The aim is to present material in as straight-forward a fashion as possible so that it can reach a wide audience.
+We are interested in the views and opinions of readers and welcome any feedback to this series.
+Alan Marter Socio-economics Research Programme
+<section>Acknowledgements</section>
+This research was funded by the Natural Resources and Environment Department of the Overseas Development Administration. However, the views and analysis do not necessarily represent those of either NRI or ODA. The author would like to thank Angus Hone and Clinton Green of NRI, and Nigel Sizer of Cambridge University, for their comments on an earlier version of this paper, and their general encouragement and advice, as well as David Cleary, also of Cambridge University, for his interest and information.
+NATURAL RESOURCES INSTITUTE Overseas Developmcnt Administration
+C) Crown copyright 1993
+The Natural Resources Institute (NRI) is an internationally recognized centre of expertise on the natural resources of developing countries. It forms an integral part of the British Government's overseas aid programme. Its principal aim is to alleviate poverty and hardship in developing countries by increasing the productivity of their renewable natural resources. NRI's main fields of expertise are resource assessment and farming systems, integrated pest management, food science and crop utilization.
+NRI carries out research and surveys; develops pilot-scale plant, machinery and processes; identifies, prepares, manages and executes projects; provides advice and training; and publishes scientific and development material.
+Short extracts of material from this publication may be reproduced in any non-advertising, non-profit-making context provided that the source is acknowledged as follows:
+Richards, E. M. (1993) Commercialization of Non-timber Forest Products in Amazonia, NRI Socio-economics Series 2. Chatham, UK: Natural Resources Institute.
+Permission for commercial reproduction should be sought from:
+The Head, Publishing and Publicity Services, Natural Resources Institute, Central Avenue, Chatham Maritime, Kent, ME4 4TB, United Kingdom.
+This publication is printed on chlorine-free paper.
+Price £5.00
+No charge is made for single copies of this publication sent to governmental and educational establishments, research institutions and non-profit-making organizations working in countries eligible for British Government Aid. Free copies cannot normally be addressed to individuals by name but only under their official titles. Please quote order no. SES2 when ordering.
+Natural Resources Institute
+ISBN: 0 85954 3382
+ISSN: 0967-0548
+<section>Abbreviations</section>
+CNS
+National Council of Rubber Tappers
+CPATU
+Eastern Amazonia Centre of Agroforestry Research
+CPR
+Common Property Resource
+EAP
+Economically Active Population
+EMBRAPA
+Brazilian Organization of Agricultural and Livestock Research
+FUNAI
+National Foundation for Indigenous Affairs
+IBAMA
+Brazilian Environmental Institute
+IBGE
+Brazilian Institute of Geography and Statistics
+INCRA
+National Institute of Colonization and Agrarian Reform
+INPA
+National Amazonian Research Institute
+NRI
+Natural Resources Institute
+NTFP
+Non-Timber Forest Product
+ODA
+Overseas Development Administration
+UIN
+Union of Indigenous Nations
+<section>Glossary</section>
+Aviamento
+Credit and marketing system where goods are supplied on credit and paid for in extractive products, mainly rubber and Brazil nuts
+Caboclos
+Indigenous river people
+Campesinos
+Small farmers
+Castanhais
+Brazil nut groves
+Castanhales
+Estates
+Castanheiros
+Brazil nut gatherers
+Colonos
+Colonizers
+Ejidos
+Land reform co-operatives (Mexico)
+Fob
+Free on board
+Fundo
+Farm
+Garimpeiros
+Gold prospectors
+Hylea
+Amazon Basin
+Nordestinos
+Northerners
+Patrao
+Merchant
+Patrones
+Merchants
+Ribereños
+River-dwellers (Bolivia)
+Ribeirinhos
+Indigenous river people
+Seringal
+Rubber estate
+Seringueros
+Rubber tappers
+Swidden
+Traditional forest farming practice including 'slash and burn'.
+Terra firme forest
+Forest not subject to flooding
+Varzea
+Seasonally flooded forest
+<section>Summary</section>
+This study examines the impacts of the development of the principal extractive products of the Amazon and identifies the main factors affecting sustainable welfare benefits for extractive groups. These include tenure instability, policies favouring alternative land uses, aviamento, commercialization systems, commercial pressures resulting in resource depletion where the extraction method is destructive, and the boom-bust nature of export markets that inevitably lead to substitution by a synthetic or planted product. The future of extractivism depends on better remuneration for extractors, whether through the market or not, tenure and institutional reforms (i.e. extractive reserves), and successful diversification through integrated natural forest management. The cultivation of formerly wild plants in agroforestry systems should also be given high priority. Extractivism on its own, and under present market conditions, has major limitations as a response to deforestation
+pressures, but there are important strategic and humanitarian reasons for its support while longer term solutions are being developed.
+<section>Introduction</section>
+Background
+Human and ecological background
+Historical overview
+Background
+Both Amazonian Governments and aid donors have regarded the market development of extractive non-timber forest products (NTFPs) as a means of forest conservation. By increasing the value of the standing forest as a productive asset superior to alternative uses, it has been hoped to encourage forest-based communities to manage the forest resource in a sustainable fashion.
+Many of these products lend themselves to nondestructive management practices. Some, like Peters et al. (1989) contend that the sustainable exploitation of non-timber forest resources represents the most immediate and profitable method for integrating the use and conservation of the Amazon forests, while Gradwohl and Greenberg (1988) maintain that extractive reserves offer a mode of forest use that is both immediately economically competitive and sustainable in the long run. There has therefore been considerable research and development emphasis on identifying and developing market possibilities, but with insufficient understanding of the consequences of this for welfare of the extractive groups and resource sustainability.
+This study analyses the impact of market integration of a number of case study NTFPs, on welfare, resource sustainability, and biodiversity conservation. This provides the basis for a discussion of the problems and potential of extractivism for sustainable forest management in Amazonia. The study focuses on tree products, and therefore excludes fauna, firewood and other NTFPs.
+Human and ecological background
+There are many terms for the various groups of extractors in the Amazon, such as seringueros (rubber tappers), castanheiros (Brazil nut gatherers), and ribeirinhos, or caboclos, (riverside dwellers) as well as the Indian groups. The caboclos, sometimes referred to as rural indigenous people, are mixed-blood descendants of Indians and Europeans or Africans. They are distinct from more recent colonos (colonizers) who have moved into the area since the 1960s. These are not mutually exclusive categories. For example, most rubber tappers also collect Brazil nuts and other extractive products, and engage in a wide range of livelihood activities.
+In general the Amazon is sparsely populated. The overall average population density in the Amazonian lowlands of nine countries was 2.1/km2 (Eden, 1990). Over half of the estimated 15 million in Brazil's Amazonia Legal are now urban, many of them former rubber tappers and failed colonos. Other groups include about three million colonos, two and a half million caboclos, half a million garimpeiros (gold prospectors), and 200 000 Amerindians (Sizer, 1991).
+The rubber tappers (mainly caboclos) are largely descendants of the half a million nordestinos who moved into the Amazon from the drought-prone northeast during the rubber boom (1870-1910). Estimates of their current number vary. Schwartzmann et al. (1987) calculated that half a million people depended on rubber and other latex products as their main source of income, in comparison with 340 000 rubber tappers according to the 1985 Census. Browder (1990) estimates that up to one and a half million derived a significant proportion of their income from extractive activities.
+According to data presented in Torres and Martine (1991), the numbers in extractivism are in decline: in the northern region of Brazil the proportion of the economically active population (EAP) in extractivism declined from 9.6 to 4.6% between 1970 and 1980, and also fell in absolute numbers, while total EAP increased by 76% and urban employment more than doubled. The 1980s saw a further absolute and relative fall in extractivism to less than 3% of EAP (Brazilian Institute of Geography and Statistics (IBGE) ).
+Some 90% of the hylea, or Amazon Basin, is covered by forest not subject to flooding (terra firme forest) (Eden, 1990). The seasonally flooded or varzea forest areas are the most fertile due to the constant process of soil fertility renewal through sedimentation. They were the first to be settled due to the obvious transport, soil fertility and fishing benefits. They are also the most often cited when economic calculations are presented to show the sustainable viability of extractivism (e.g. Peters et al. 1989). However, the varzea forests, where a few marketable
+species predominate (oligarchic forests), constitute only about 2% of the Amazon Basin (Browder, 1992).
+Historical overview
+The history of extractivism is overshadowed by one product - rubber. Padoch and de Jong (1990) comment that the rubber boom caused the complete transformation of society, and resulted in the break-up of many of the Peruvian Amerindian groups who were literally enslaved.
+Case study: The Santa Rosa community, peru (Padoch and de Jong, 1990)
+The population of Santa Rosa are ribereños, or river dwellers descended from various indigenous and mestizo (mixed blood) groups. They are thus the equivalent of the Brazilian caboclos. This was a prime rubber tapping area, and in 1907 several estates in the locality were flourishing, at a time when rubber composed 20% of Peru's exports, but by 1912 many of the rubber tappers had left the area for Iquitos or beyond.
+During the 1930s and 1940s most of the land on the large Monte Carmelo fundo (farm) was planted with barbasco (Lonchocarpus sp.), the roots of which were exported by the American owned Astoria company in Iquitos, since they contained rotenene, a natural insecticide. The surrounding forest was cleared to supply the market which peaked in about 1946. However the price began to fall with the development of DDT and other synthetic insecticides. This, together with family quarrels, caused the collapse of the fundo.
+The owners left the fundo and took 60 male labourers (members of the Ashaninka tribe) to the Putumayo River to promising extraction sites for leche caspi (Couma macrocarpa), a milky-white resin used in the manufacture of chewing gum, paints and varnish, and regarded as capable of saving the region from the marasmus resulting from the fall of rubber. The women and children were left behind for three years to carry on with subsistence farm production. This disruption of family and community life was evidently similar to the rubber boom.
+By the mid- 1950s the market for leche caspi had waned again, and so the owners of Monte Carmelo moved to Santa Rita near the Colombian border to start a rice production and processing centre, this time with the labourers' families. This was shortlived due to a dispute with a more powerful neighbour, but several of the men married into a Yagua Indian group employed on a nearby fundo, and stayed on to raise cattle. In 1955 some of the families moved to the Napo River (northwest of Iquitos) in order to exploit rosewood oil, which experienced a meteoric price rise in the 1950s. Accessible forests were quickly stripped of rosewood trees.
+After this, most of the group returned to Santa Rita, but some stayed on in the Napo area to be absorbed in the local Quichua culture. Eventually the remaining group returned to Monte Carmelo and founded Santa Rosa, which soon swelled with migrants from other areas.
+This brief history illustrates the processes of migration, deculturation and fragmentation of family and society over a fairly short period. It was the speed of cultural change which has been most dramatic, according to Padoch and de Jong (1990). For example the Ashaninkas apparently abandoned their language and customs in the process of the migrations described above.
+In the case of the Witoto of the Putumayo River, the atrocities and killings aroused international attention and protest.
+However, both before and after the rubber boom, many other products have followed the boom-bust cycle of extractivism. During the 18th and 19th centuries the Portuguese and Jesuits organized Amerindians in extractive expeditions to gather forest products, especially cocoa, andiroba seed, copaiba balsam, sarsaparilla, and oil from giant river turtles. As early as 1851, investigators found Amazonian collectors receiving only 0.5% of the eventual New York consumer price of Sarsaparilla (Padoch, 1988).
+During the present century there have been several important mini-booms. From 1910 to 1925, the seeds of tagua or vegetable ivory (Phytelephus macrocarpa) were harvested for buttons and game pieces until artificial materials took over. From 1925 to 1935 balata (Manilkara bidentata) and leche caspi (Couma macrocarpa) became important until substituted. Then barbasco (Lonchocarpus spp.) became important until it was overshadowed by DDT and other synthetic insecticides in the 1960s (Padoch, 1988). In the 1950s alligator skins were in demand, and were followed in the 1960s by jaguar and ocelot skins.
+The case study of the Santa Rosa community (see page 2), illustrates the social and cultural impacts of the constant migration of communities in response to these market forces. Padoch (1988), Colchester (1989), Gray (1990) and others have documented the social and cultural impacts on indigenous communities, including the consequences of dependency in its various forms, resulting from market integration.
+Up to the 1950s extractive activities were dominant in the rural economies of the Amazon, but in most parts, especially Brazil, livestock, agriculture and mining took over. The extractive economy stagnated and declined due to worsening terms of trade, while national emphasis shifted to the coffee boom in the southern highlands, and to industrialization. Since the advent of over two million people after the opening of the Belém-Brasilia highway (1965) and the Transmazon highway in the early 1970s, the area has been the scene of major social and economic upheavals.
+Table 1 presents the production figures for extractive and other NTFPs from Brazil and Table 2 presents recent export data from Brazil. Such statistics are often incomplete or found to be in conflict with one another.
+There is no good set of figures on Brazilian domestic consumption of these products. Further data are provided by Lescure and de Castro. An explanation of the products is presented in Appendix 1.
+<section>Rubber and extractive reserves</section>
+Aviamento
+Autonomous systems
+Changes in tenure and resource use in Acre
+Development of extractive reserves
+The future of natural rubber extraction
+Following the discovery of vulcanization in 1839, rubber became an important commodity and its extraction and export from Amazonia expanded rapidly, especially after 1870. This caused a high demand for labour and so poor labourers from the drought-prone northeast of Brazil were recruited to fill the gap. Most of these settled along the tributaries of the Amazon and collected latex in the adjacent varzea forests (although Hevea brasilierisis also grows in terra firme forest), causing the displacement of Amerindian groups to the terra firme (Schmink and Wood, 1986).
+The impact of the rubber boom on indigenous societies has already been mentioned. Murphy and Steward (1956) documented the effect of the rubber trade on the Mundurucu Indians of the Brazilian Upper Amazon. One of the main factors which weakened their society was that tapping was best done individually, and not collectively as had been the case with the cultivation and processing of cassava, which previously formed the basis of their economy. Colchester (1989) refers to this as the 'atomizing effects of individualist training'.
+The rubber boom was broken by the establishment of Hevea plantations in South East Asia by the British, where domestication was not hampered, as it was in Brazil, by leaf rust fungus (Microcyclus ulei). The development of synthetic substitutes further hastened this decline. Extraction in Brazil has only continued as a result of the Government policy of subsidizing national production to the extent that rubber prices in Brazil have been up to three times the international price (Fearnside, 1989). Allegretti (1990) attributes this to the lobbying power of vested interests in the marketing and industrialization of rubber, as well as to the acute shortage of foreign exchange.
+A viamento
+From the beginning these migrants were inserted into a highly regressive credit and marketing system called aviamento in which market goods were supplied on credit at inflated prices, to be paid for in extractive products, mainly rubber and Brazil nuts. As a result of the low extractive product prices offered by the petty rubber merchants or patraos (owners of the rubber trails), and the inflated food, clothing and medicine prices, rubber tappers were always in debt.
+The system was thus one of debt bondage in which rubber tappers were obliged to sell all their produce through the patrao, as well as often paying rent to him in exchange for rights to use his land (usufruct rights). The presence of independent small-scale merchants who offer an alternative when prices become too extreme, provided some limit to the system's inequity.
+Several studies document the inequity and welfare impacts of aviamento on rubber tappers. For example a survey of 170 rubber-tapper households in Caruari, Amazonas State, by Whitesell (reported in Browder, 1992) between 1986 and 1991 revealed that 76% had a patrao to whom they felt obliged to sell all they produced, 28% also paid rent to him and 79% were in debt.
+Sizer (1991) presents data from 51 families in the Jau National Park, Amazonas State, that show that patraos were supplying basic foodstuffs at over twice their market value in Manaus (the nearest urban centre), paying 30% below Manaus prices for extracted products, and charging real monthly interest rates of 40% on parts of the outstanding debts. According to Sizer's data, average monthly expenditure was greater than mean income recorded from extraction.
+A survey of 24 households by Romanoff (in press) in Riberalta, Bolivia, in 1981 found that all but one were in debt to patrones (merchants) to an average equivalent of a quarter of their annual household income. Food staple prices were 50% above those paid by urban residents. Periodic food shortages were reported by 71% of the households, 22% of the children were malnourished, and a further 32% were in danger of becoming so. As with the data of Oliveira and Whitesell (both in Browder, 1992) this survey reports high residential instability amongst extractors.
+The low return to producers is partly explained by the high cost and risk of transport, often in treacherous weather conditions, and the high risks of marketing extractive products in a hyper-inflationary economy (Padoch, 1989). The merchants and patraos themselves are usually also in debt to downstream merchants, as this indebtedness is transferred back up the marketing chain to the wholesalers and exporters who provide the seed money for aviamento.
+The aviamento system is still widespread and exists in many forms throughout the Amazon Basin. Although it maintains extractors in conditions of severe deprivation, there are two factors which may make it difficult to replace. Its primary function is its capacity to call forth
+supply from remote areas - a means of bridging the gap between the non-market subsistence economy and the market economy (Torres and Martine, 1991). For this reason aviamento tends to decline in importance as the road network expands, as happened in Acre from the 1960s.
+Secondly, the system is designed so that rubber tappers maximize time devoted to extractive activities: by manipulating the terms of trade, the merchants or patraos oblige the tappers to engage in extractivism (in order to pay off their debts) and provide the products which form the basis of the merchant's trading business. This leaves little time for subsistence agriculture. Thus aviamento may be environmentally more benign than the alternative autonomous system.
+Aviamento helps to explain Government policy towards rubber extraction, as it forms part of a commercial system in which many powerful interests are involved. Post-war policy has therefore always sought to protect the regional commercial system and avoid putting Amazonian rubber in a competitive position with Asian plantation rubber (Schwartzmann and Allegreti, 1987).
+Autonomous systems
+There has been a shift from aviamento to an autonomous system in more accessible areas. It is termed autonomous because it does not involve dependence on a trader or resource owner. In the autonomous areas there is a greater diversification of activities and products, and a more reasonable quality of life is achieved, according to Schwartzmann (1989) who undertook a survey in one such area in Acre where the National Institute of Colonization and Agrarian Reform (INCRA) had granted land rights to rubber-tapper families.
+The survey found that the average holding was 372 ha and an average family exploited 1100 rubber trees. From an annual family production of 750 kg of rubber and 4500 kg of Brazil nuts, annual incomes of almost $1000 were earned, with some earning over $1500 plus subsistence benefits. This gave them an income that put them above half the EAP of the region (Schwartzmann, 1989). However, there was a big variation in the economic condition of the households: even without aviamento 55% of the households were in debt to middlemen, while the remainder had an average cash surplus of $680.
+Schwartzmann (1989) reported that rubber tappers were keen to remain in the seringal (rubber estate), valued the forest, and had a more balanced diet than urban dwellers. However more recent evidence from Oliveira (in Browder, 1992), also in Acre, reports a 'progressive deterioration' in their diets.
+Changes in tenure and resource use in acre
+Between 1960 and 1980, major changes in land use and distribution occurred in western Brazil, especially in Acre where extraction declined both in area (by 65%) and number of holdings, and ranching and agriculture increased enormously. This was a result of the Government policy of frontier development through expansion of the road network, resource privatization, and subsidies.
+In the first half of the 1970s, up to 80% of State lands were sold and land prices rose by 1000-2000%, depending on access to roads (Schwartzmann, 1991). This was encouraged by subsidized credit available at negative real interest rates throughout the 1970s. This together with very low prices made land an extremely attractive investment for businessmen from southern Brazil. Operations of 'cleaning the land' or removing the rubber tappers and small farmers became common from 1973 as ranchers intimidated and bought out rubber tappers for low prices. The consequent outmigration more than doubled the urban population of Acre from 21% in 1960 to 44% in 1980 (Schwartzmann, in press). There are reports of whole towns of ex-rubber tappers, like Eirunepe in Amazonas, which grew from 8 000 to 30 000 in five years (Parfit, 1989). In addition between 10 000 and 50 000 moved over the border to Bolivia.
+Rapid deforestation soon followed these changes. By 1987 the area deforested in Acre had increased to 633 000 ha from 77 000 ha in 1975, according to official statistics. It is not coincidental that the level of assassinations also reached a peak of almost 200 a year in Brazilian Amazonia in the mid-1980s (Schwartzmann, in press). Fearnside (1989) comments that rubber-tapper leaders were continually threatened by gunslingers hired by ranchers. The assassination of Chico Mendes in 1988 brought this situation to world attention.
+Development of extractive reserves
+Out of these problems, the National Council of Rubber Tappers (CNS) was established in 1985 in a meeting that also called for the formation of extractive reserves. Extractive reserves provide a framework for the sustained use and protection of extractive products through the definition of property rights in favour of local communities, according to May (1990b). This may sound conventional, but the extractive reserves approach has a number of significant differences to top-down schemes.
+Its adherents claim that it represents a genuinely bottom-up approach in which grassroots organizations have developed with little or no Government support (Allegretti, 1990). The legal recognition of property rights proposed for extractive reserves follows traditional patterns of land use. Each landholding allows for a mix of activities, as in the autonomous rubber tapper system, with generally three rubber trails of 120 trees per trail in some 100-150 ha. Some of these trails may lie within another holding, but the rights to the rubber trees are recognized.
+The land is retained by the State and is leased to the rubber tappers for an initial minimum period of 30 years: this avoids the normal process of land concentration and deforestation which has followed privatization in the Amazon region. The extractive reserves are under the joint control of CNS and the Brazilian Environmental Institute (IBAMA), but at the local level are administered by locally elected groups.
+Due to continued conflicts over land rights progress has been slow. Schwartzmann (in press) reports that at the time of writing 14 reserves have been decreed and four are operational.
+The Government has showed support for the extractive reserves concept through increased social infrastructure, and support to co-operative processing initiatives (Sizer, 1991). Several important processing and marketing co-operatives have been started, most notably the Brazil nut plant at Xapuri in Acre State.
+The future of natural rubber extraction
+Natural rubber extraction faces a bleak future as a result of successful domestication in non-Amazonian Brazil. Large areas have been planted in Sao Paulo and Matto Grosso States, and Browder (1992) estimates that cultivated rubber now supplies 60% of Brazil's market. These plantations, which have the major economic advantage of being nearer the centres of demand, will soon be able to supply all Brazil's domestic rubber needs at a reduced cost, thereby removing the rationale for subsidizing wild rubber extraction. Liberalization policies in the Brazilian economy are also likely to increase pressures for reduction or removal of this subsidy.
+<section>Other extractive products</section>
+Brazil nuts
+The current crisis and future prospects
+Babaçu
+Changes in tenure and land use
+Impact of commercialization and processing changes
+Products from the varzea
+Açai juice
+Palm hearts
+Impact of market expansion for açai products
+Aguaje
+Camu camu
+Essential oils and flavouring products
+Rosewood oil
+Copaiba balsam
+Cumaru nuts
+Fatty oils
+Ucuuba
+Andiroba
+Exudates
+Brazil nuts
+Bertholletia excelsa is found in terra firme forests throughout the Amazon Basin, in 50 to 100 tree groves. Balee (1989) and others believe that indigenous groups are responsible for this distribution. Its importance in extractive economies in Brazil, Peru and Bolivia is partly due to the seasonal complementarily with rubber - it is harvested in the rainy season while rubber is extracted in the dry season. Women have an important role in the extraction activity, as they crack the fruits collected by the men, separate out the nuts, and prepare them for home consumption.
+Brazil nut extraction became important after the rubber price crash from 1910, when rubber tappers looked for alternative income sources. It developed at a slower pace than rubber, partly because it is a high-volume low-value product with a more elastic demand. O'Donnell Sills (1990) notes that the Brazil nut market share has
+declined to less than five per cent of the edible nut market, due mainly to the growth in consumption of almonds and hazel nuts.
+The quality and quantity of Brazil nut production varies widely between trees, regions and years, the latter partly the result of the unusual flowering to fruiting cycle (12-15 months) and fluctuations in world prices. There has been a shift from the states of Pará and Amazonas to Acre, causing significant increases in production and transport costs, due to lower tree densities and the greater distance to Belém (Torres and Martine, 1991). These changes have benefited Colombian and Peruvian producers.
+Case study: Brazil nut extraction in maraba (o'donnell sills, 1990)
+In the Maraba area of Para State, traditionally the main extraction area of Brazil, extraction quickly came under the control of the local political elite. These Brazil nut barons used land tenure legislation to ensure control of the castanhais (Brazil nut groves) to add to their control of the commercial process. Extractors who worked the castanhais were tied to the aviamento system; their only alternative was the publicly owned castanhais of the people, but these were privatized during the late 1970s.
+Roads, particularly the Belém-Brasilia highway and the Transamazonica, which reached Maraba in 1971, brought major changes to the area. The population of Maraba grew by 258% in the decade to 1980, by which time there were 800 sawmills (compared with I 00 in the mid- 1960s), and there was a large increase in forest clearance for agriculture and ranching. Between 1978 and 1984, cattle numbers increased by 350% while Brazil nut production fell by 68%.
+This was the result of both the reduced tree population and labour shortages, as most people sought alternative forms of employment to escape debt bondage. There were also pollination problems due to smoke from land clearance. Deforestation of castanhais also resulted from the land tenure laws, in which land rights were, until recently, secured by conversion to pasture or agriculture, and due to demand for charcoal from the massive Carajas iron ore project, as well as for the timber itself.
+During the 1980s the Brazil nut barons saw their economic and political power wane but made various attempts to prevent land reform. After a series of violent conflicts, in 1988 some 64 castanhales (estates) covering 240 000 ha were expropriated by the Government on payment of exaggerated compensation levels negotiated by the barons.
+There followed a period of increased invasion, violence and deforestation as a result of lack of definition of the tenure situation. The setting up of communally managed forest areas was discussed, but found little support from residents more interested in rice, cassava and maize. This was due partly to the low producer returns from the aviamento system, and the fear that sales would be boycotted. O'Donnell Sills ( 1990) makes the important observation that the local Unions and their members have a history of fighting for the right to cultivate the land in the castanhais, as opposed to preserving it, and have always sought individual tenure.
+These conditions appear to rule out the extractive reserves and/or processing co-operative options, unless direct links with importers could provide a guaranteed price basis. However, the grassroots institutions in Maraba do not appear to be strong or interested enough at present.
+Holt (1991) reports that 80% of the commercially traded nuts are now bought in Acre, including Bolivian and Peruvian nuts smuggled in to take advantage of exchange rate differences. The nuts are then transported 4000 km down river to Belém. Over 70% of Brazil's exports are handled by three major companies in Belém owned by the Mutran family, who thereby control the commercialization process both in Brazil and internationally.
+The current crisis and future prospects
+The current situation is one of great concern, according to J. Holt (pers. comm.), one of the main UK importers. In 1991 the Mutrans attempted to supply the market with sub-quality produce from the poor harvest, 45% down on 1990. As a result demand and prices fell, so much so that the Belém shippers decided not to supply seed money to finance the aviamento system in March 1992. Holt fears that this could set off a downward spiral which could further erode the position of Brazil nuts in a competitive market.
+The future of Brazil nut extraction may also be under threat due to a dwindling resource base. Nepstad et al. (in press) report a lack of regeneration and juvenile trees in Acre. Possible causes include the over-harvesting of fruits which are large and easy to find (leaving too few for seed); the reduced population of agoutis (the main dispersal agents), due to hunting; and low germination rates due to small felled-tree gaps in Acre's forest; seed vulnerability to fungus; and burning beneath adult trees to facilitate fruit collection. The trees are also increasingly felled (illegally) for their high-quality timber in western Amazonia (O'Donnell Sills, 1990).
+Domestication is a further threat to extraction. Torres and Martine (1991) report that several thousand hectares have been planted in Para and Amazonas States. The Humid Tropics Agricultural Research Centre (CPATU) is confident that rapid genetic improvements will make it possible to replace the extractive activity with a much
+smaller plantation area. However, there is still time for technical or disease problems to make commercial production impractical, as happened with earlier attempts to domesticate rubber and cocoa in Amazonia.
+Co-operative processing and marketing will be important if Brazil nut gatherers are to be sufficiently remunerated to continue. Following the successful establishment of the Xapuri plant (at the time of writing), Cultural Survival has been approached by five more groups in Brazil, and two each from Peru and Bolivia to set up similar or more decentralized shelling plants.
+Babaçu
+Babaçu (Orbignya phalerata), a palm used for its oil, charcoal food and shelter, grows in successional palm forests over large areas of Brazil and Bolivia, but especially in the transition zone between the semi-arid northeast and the humid tropics of northern Brazil. It has a particularly high potential because it is a pioneer species in cleared forest, growing in almost pure stands on degraded sites.
+Anderson et al. (1991) report a density of over 6000 seedlings and juvenile palms per hectare in central Maranhao: this reflects a capacity to escape predation, high shade tolerance and a growing point being just below ground, making it resistant to burning. It has a high leaf production rate, while its undersurface germination promotes soil mixing, soil structure and recycling of deep nutrients.
+Babaçu is traditionally favoured in swidden agricultural systems by both indigenous groups and settlers, because it represents a subsidy from nature (Anderson et al. 1991): this is due firstly to the release of nutrients accumulated during the fallow period through litter fall and biomass burning, and secondly, due to the wide range of subsistence and cash products it provides.
+Babaçu products are particularly important for the subsistence economy as they are obtained in the period between peak labour demands in annual crop production, and are produced primarily by women and children. One survey found 83% of the participants in babaçu activities were women (Anderson and Anderson, 1983). All parts of the tree are used: the leaves for shelter, the husks for charcoal, and the oil kernel, palm heart and starchy outer husks for human and animal food. The main cash products are oil (used for cooking, soap and chemical applications), feedcake and charcoal. May (1990a) estimates that some 450 000 Brazilian households depend on the palm for a significant proportion of their incomes.
+The babaçu oil industry was at one time the largest oilseed industry in the world based solely on the harvest of a wild plant: in 1984 it contributed an estimated $150 million value-added to the Brazilian economy (Balick, 1987). However, there was a dramatic decline in its export value from $4.26 million in 1985 to $109 000 in 1989, due to substitution by synthetic detergents and less fatty edible oils, but domestic usage in Brazil remains substantial.
+Changes in tenure and land use
+Initially land at the Amazon frontier in Maranhao was open access, but gradually usufruct rights over palms and other extractive resources were established informally by peasant groups. Households often retained exclusive property rights over dense stands in the vicinity of their homes - this being a strong settlement criterion (May, 1990a).
+Another form of tenure existed on the private estates in the babaçu zone, where peasants were granted usufruct rights on condition that sale of the kernels took place through the landowner. The regressiveness of land distribution in Maranhao is shown by the fact that in 1980, 85% of the population had less than one hectare, mainly in shifting cultivation, while 43% of the land was in estates of over 1000 ha. Access to additional land was gained by squatters or share-croppers.
+In the 1970s, expansion of the road network, subsidized credit and land concessions stimulated major land-use changes throughout the region. The big expansions of mechanized rice cultivation, pasture (by 72% between 1970 and 1980) and agro-industrial crops resulted in babaçu clearance, widespread eviction, and a reduced area for subsistence agriculture, further increasing peasant dependence on the depleted babaçu stands (May, 1990b). Ranchers were advised by extensionists, clear cut babau stands in order to increase pasture productivity so that by 1986 some 15% of babaçu stands had suffered this fate. Ironically, the combination of babaçu and pasture has been shown to be a silvopastoral system of proven mutual benefit to ranchers and extractors (May et al., 1985). It has now been made illegal to fell babaçu, but this law has proved ineffective.
+Impact of commercialization and processing changes
+The commercialization process has passed through three main stages: the first between 1920 and 1935 when unprocessed kernels were mainly exported; the second from 1940 to 1960 when the kernels were transported for processing in southern Brazil; and since the 1970s with the development of the regional oil industry. In the 1970s and early 1980s extraction was too low to satisfy demand, fuelled by fast economic growth and population expansion, causing increases in (deflated) prices by an average of 20% a year from 1973 to 1984 (May, 1990a).
+A survey in Maranhao revealed very little production response. This was firstly because merchants and landowners did not pass on the price increases, resulting in a fall in the extractors' real terms of trade by 39% from 1973 to 1983, and secondly because babaçu proved to have an inelastic supply (May, 1990a). May found that the rice harvest took priority and extraction only increased in February when labour was freed from weeding rice. The time devoted to extractivism was found to be inversely correlated to rainfall - in higher rainfall years more time was spent on agricultural activities.
+Because of these factors, the babaçu processing plants found it increasingly difficult and expensive to obtain the kernels. They therefore looked for ways to reduce costs. Innovations led to the production of charcoal, ethanol and tar as well as the traditional oil and feedcake. This led to a shift from manual kernel extraction to whole fruit marketing and centralized processing.
+Whole-fruit processing is less labour intensive than manual extraction. Babaçu fruits need to be gathered in large volumes and transported to a central processing unit rather than broken up at home and sold when convenient. This led to men replacing women as the main income recipients. The sale of charcoal for industrial fuel also had the effect of almost eliminating the most important source of domestic fuel in the region (May, 1990b). Therefore subsistence and income benefits to resident extractors were considerably reduced on the estates of 'progressive' landlords who went over to whole-fruit marketing.
+The fallow period has also decreased. Between 1970 and 1980 the average fallow period in the forest zone declined from 4.2 to 3.2 years, leaving insufficient time for restoration of babaçu leaf biomass. May (1990b) concludes that the combination of land use and processing changes caused drastic alterations in rural employment and income distribution, and resulted in large-scale outmigration.
+The main need, according to Anderson et al. (1991), is to alter the prevailing institutional mechanisms through which development benefits are distributed by establishing babaçu industries as community enterprises in extractive reserves. So far one extractive reserve of just over 8000 ha has been designated for about 300 families in northeast Maranhao. In conjunction with this, Anderson et al. (1991) report on successful trials with appropriate village level technology. May (1990b) also calls for the (politically complicated) formalization and protection of usufruct rights of extractors on private land.
+Products from the varzea
+Açai juice
+The main source of açai juice and palm hearts is Euterpe oleracea, which occurs in extensive natural stands on the varzeas of the Lower Amazon in Brazil, as well as in the Guyanas and Venezuela. Although açai juice making is an old tradition, the commercial importance of the palm is more recent as Table 1 (see page 3) shows. In 1966 açai output was not even recorded in official statistics, but by 1987 it had become easily the most important, extractive product, by value, in the Brazilian economy.
+Strudwick and Sobel (1988) note that every part of the palm is used in some way for a range of subsistence benefits. For example, the seeds are used as livestock food or manure, the leaves are often used for basketry, and the trunks for flooring or fencing. It is also processed for sale as ice-cream.
+The main marketing constraint is the high perishability of açai fruits, which must reach the market place within 24 hours. This limits it, as a cash crop, to areas near market centres. However the short distances, ease of processing and absence of complex wholesale and export market structures result in a high proportion of the sale value accruing to the producers. Most of the produce is brought by the producers themselves to the processing plants.
+Açai palms have the advantage that they can be easily managed for both the juice and palm hearts on a sustainable basis, due to their multi-stemmed self-regenerative habit. They are being increasingly planted, and respond well to low intensive management. Anderson and Jardim (1989) show an almost 50% increase in returns from selective thinning and pruning over unmanaged stands.
+Açai juice is regarded in Pará as a staple food forming a major and basic part of the diet with a daily consumption of up to two litres per person (Strudwick and Sobel, 1988). (1992) reports that some 50 000 litres of unprocessed fruit were normally sold daily in Belém alone, until the cholera epidemic. It is therefore not an ephemeral boom-bust extractive product.
+Clay also observes that the juice is equally popular at all socio-economic levels which means that it does not suffer the normal demand problem associated with staples - a negative income elasticity of demand. Another advantage is that due to regionally different seasons of maturity, an all-year-round supply can be maintained.
+Palm hearts
+Having depleted natural stands of Euterpe edulis in southern Brazil during the 1960s, the palm heart canning industry has now moved to Para and Amapa States. Production has declined since the mid-1980s, when açai stands were exploited at a rate of over 90 000 tonnes a year (Arkcoll and Clement, 1989) due to the destructive harvesting methods used, with gangs of contracted labourers cutting the tops off entire Euterpe olearaca stands, and lower export prices.
+The palm hearts are processed and canned in factories on the banks of the Amazon before being taken to Belém, from where they are distributed to the large domestic market, or exported if the fibre level is sufficiently low principally to France and the US (Strudwick and Sobel, 1988). Arkcoll and Clement (1989) report that poor quality control by numerous small firms in the canning business has led to the rejection of much of the export material, and that the product is variable due to the subjective decision of which outer fibrous leaves to eliminate.
+Palm hearts could be harvested on a sustainable basis by leaving some of the stems and cutting from the base, but labourers are paid on a piece rate basis and have no incentive to practice slower sustainable methods. Schwartzmann (1990) argues that this is a clear case where land reform would result in sustainable management practices: the combination of extractive reserves and cooperative marketing in Amapa was under investigation in 1990.
+In the absence of rationalized harvesting techniques, future demand could be met from plantations of Bactris gasipaes, which can produce palm hearts at six times the rate of E. oleraca in experimental plantations, according to Arkcoll and Clement (1989).
+Impact of market expansion for açai products
+Nugent (1991) looked at the impact of rapid market expansion on extractive groups on Combu Island in the Amazon estuary near Belém. Many extractors were sharecropping tenants to the major, absentee, landlord of the island, whose main interest was the profitability of açai extraction. Thus access to land became more dependent on willingness to specialize in this increasingly profitable activity.
+This was resisted by many share-croppers who preferred a broader livelihood basis. The result was increased social conflict, and those denied access to land were marginalized (Nugent, 1991). The recent collapse of the açai juice market due to cholera (D. Cleary, pers. comm.) will have vindicated the actions of the more conservative extractors.
+Aguaje
+Aguaje (Mauritia flexuosa) is another common varzea palm with a large regional market in the area of Iquitos, Peru. Padoch (1988) estimated the daily urban consumption to be about 15 tonnes during most of the year. It has a wide variety of market and household uses: Padoch remarks that 'no other fruit is sold in so many forms'. However the main demand for the raw fruit or maduro, soaked in water, or as a drink, will have suffered from the cholera epidemic.
+Like açai it has suffered from destructive harvesting practices. Most harvesting is done on a commercial contract basis. Following an official permit to harvest an area, wholesalers use contractors who hire individuals to cut the palms. This has led to a sharp fall in the aguaje population in the swamps near Iquitos, and a consequent increase in prices (Padoch, 1988). Vasquez and Gentry (1989) also report that Aguaje, as well as Mauritellia peruviana and Jessenia bataua, have been rapidly depleted in Peru due to market pressures. Padoch (1988) flags the development of more sustainable harvesting methods as a priority if the commercial importance of aguaje is to be maintained.
+Camu camu
+Camu camu (Myrciara dubia) is a lake-margin plant found throughout Amazonia in nutrient - poor black water forests, and is of particular commercial importance in Peru (Prance, 1989). The fruit matures as river levels rise, making it easy to harvest by canoe. The fruit, which has the highest known vitamin C content of any fruit, some 30 times that of citrus, is sold in Iquitos markets for processing into fruit drinks and ice cream. Prance (1989) quotes a study in Peru which calculated a sustainable annual gross income of $6000 per hectare, presumably within easy reach of the Iquitos market. However, Clay (1992) comments that the local market is limited.
+Essential oils and flavouring products (excluding babaçu)
+Rosewood oil
+The essential oil of rosewood (pau rosa) is the highest unit value NTFP of the Amazon region, priced at US$ 27/kg (fob) in 1992. Production is export orientated for the perfumery industry. Global consumption declined from approximately 500 tonnes in the late 1940s to 150 tonnes in 1990 as a result of dwindling supplies, upward price movements, and substitution by synthetic linalool in the cheaper range of fragrance products.
+Production is based on the destructive felling of Aniba rosaeodora and A. ducke which were formally extensively distributed throughout the central and northern Amazon region. Although legally categorized as extractivism, production in Brazil has been a highly organized industry since the 1920s (Guenther, 1950; France, 1989; Schwartzmann, 1990). Producer firms tow distilleries, mounted on rafts up-river to the closest natural stand. Teams of labourers are then despatched to fell and manually carry the trunk wood to the distillery for processing. The industry has been centred on Manaus (Amazonas State) and Belém (Pare State), from which the oil was exported to the international market.
+Apart from some areas specially designated in recent years by IBAMA, exploitation of the wild resource has been unrestricted. Any natural regeneration has been dependent upon the slow growth of self-sown seedlings. Over-exploitation has led to a progressive reduction of the industry from over 100 distilleries in the 1960s to 20 in the mid-1980s. The decline in the last decade was swift and saw the demise of production in the State of Para.
+Field surveys conducted under a Brazil-UK technical co-operation project in 1991-92 revealed the virtual extinction of the two species in areas where they had been abundant just a few years previously (Green, 1992; pers. comm.). Trees of one metre girth, the basis of the former industry, no longer exist in economically accessible areas and there are few exceeding 30 cm girth within 20 km of river banks. The six remaining processing firms, based in Manaus and operating in northwest Amazonas, now harvest all trees greater than 15 cm girth for a distance of up to 30 km from the river, including Aniba species which were previously left untouched since the yield and quality of the oil is poor. The quality of exported Brazilian rosewood oil has deteriorated also by the practice of adulteration with synthetic linalool.
+Although substantial natural stands of Aniba rosaeodora and A. ducke remain, they are in inaccessible parts of the Amazon. The life-time of the industry as presently based is expected to be short. Revitalization in the longer term will be dependent upon the success of formal cultivation in an agroforestry context and this is the subject of the current Brazilian-UK project investigations. The work includes an assessment of the potential for production of oil through non-destructive leaf harvesting.
+Copaiba balsam
+Copaiba balsam from Copaifera spp. is used after further processing to an essential oil as a medicine throughout Brazil, in perfumes and in varnish. Oil production is in oscillation rather than decline. Prices have increased steadily on the export market, and demand appeared to be increasing in 1989 (Schwartzmann, 1990). Sizer (1991) reports increased collection of copaiba balsam in Amazonas in response to higher prices.
+Cumaru nuts
+Cumaru nuts (Dipteryx odorata) are the source of coumarin, which is used in cigarettes and perfumes. Cumaru nuts declined in export volume and price in the 1940s as a result of the development of synthetic coumarin, and again after 1985, but this may also be partly due to increased manufacture in Brazil for export of coumarin itself. In 1985 the export price was $8.36/kg, but in 1989 fell back to $3.84/kg (data in Schwartzmann, 1990).
+Fatty oils
+Ucuuba
+Seeds of ucuuba (Virola spp.) are exploited for their fat content and supplies have dwindled. Its demise stems from a combination of timber harvesting, low prices, rural to urban migration and alternative income-generating possibilities in the rural areas, which have reduced labour availability and thus supply consistency. From 142 tonnes of seed used in soap and candle manufacture in 1983, it fell to 10 tonnes in 1985 (Schwartzmann, 1990). It also has an important regional medicinal market.
+Andiroba
+Andiroba is a fatty oil extracted from the nuts of Carapa guianensis, and is used for soap production and as an illuminator. In the 1920s up to 350 tonnes of andiroba oil were exported. In 1985, 363 tonnes were still produced, but Schwartzmann (1990) reports that the nuts have virtually disappeared from the commercial market, due to low prices and logging, although there is still a significant regional market for medicinal purposes.
+Exudates
+Sorva latex from Couma utilis and Couma rigida is used mainly in chewing gum production, and although it has suffered from competition from synthetics, remains an important extractive product, both as an export (see Appendix 2) and because of its complementary role in extractive economies. Sizer (1991) notes that it was the main extractive activity in the Jau Valley of Amazonas State when conditions were bad for rubber collection.
+Arkcoll and Clement (1989) reported that Couma spp. were in the process of being eliminated from accessible areas due to destructive tapping methods, but Sizer (1991) reports a recent change towards sustainable extraction methods as a result of the availability of climbing irons. However, domestication may be imminent: Arckoll and Clement (1989) report good growth rates on experimental plantations. It is also an ideal agroforestry tree according to Prance (1989).
+Balata (Mimusops bidentada), known in the trade as gutta percha, is used in golf-ball cores and electrical insulators, but its demand has declined due to synthetic substitution. Macaranduba (Manilkara huberi) is also in decline because the tree is increasingly logged for its timber.
+<section>Impact of commercialization</section>
+Impact on welfare
+Socio-political factors
+The commercialization system
+The stage of the product's boom-bust cycle
+Impact on extractive resources
+Impact on biodiversity conservation
+Impact on welfare
+Socio-political factors
+The main case studies show the impacts of road development and ill-defined tenure situations on the welfare of extractors/forest dwellers. For example, the problems in Acre were mainly brought about by the federal policy of frontier expansion, fuelled by a combination of new roads and subsidized credit for ranching and agriculture. Privatization resulted in rapid land speculation and concentration, followed by outmigration and deforestation.
+Clay (1992) observes that the babaçu situation is typical of areas where supplies of products were established prior to any resolution of land rights problems. The harmful impact of babaçu development on people's welfare was due to a combination of the lack of formalization of usufruct rights of the resident extractors on large landholdings, and the land privatization and processing changes. Peasants only obtained access to babaçu if they supplied labour on a regular basis and sold the produce back to the landlords. This precarious access was lost when roads, subsidies and credit encouraged other land uses, and is further evidence that commercialization increases economic and social differentiation when land distribution is skewed.
+In these examples it is clear that Government policy had a crucial role to play in determining the negative effects on welfare disbenefits and resource depletion. Foreign aid initiatives must also take a major share of the blame. Many of these errors have now been recognized and acted upon: ranching subsidies have been eliminated; road building stopped (due to a change in donor policy); and extractive reserves endorsed. However, violence over land rights continues almost unabated according to recent reports (Schwartzmann, in press).
+The commercialization system
+The basis of the production and marketing system in most of Amazonia has been aviamento. Rural union leaders hold that it is the continual shifting of the terms of trade against extractors, ameliorated by short-lived price booms, that is the main cause of rural to urban migration. The case study of the decline of Brazil nut extraction in Para State shows how extractors lost interest in the resource and are now more interested in clearing the forest for agriculture (O'Donnell Sills, 1991).
+Escape from this system depends on distance and access to market (hence the importance of the road system), alternative employment opportunities and the definition of tenure and property rights, any of which reduce the control of the merchants or patraos.
+Low producer returns also result from oligopolistic wholesale and export market structures, as exemplified by the Mutran family domination of the Brazil nut trade. However, as Padoch (1989) points out, it is too simplistic to blame the middleman. The costs and risks of transportation and marketing are often high, especially in high inflation economies like Brazil, Peru and, until recently, Bolivia.
+Welfare is undoubtedly better for those few groups fortunate to be on the receiving end of alternative marketing arrangements as those set up by such as Cultural Survival and the Body Shop. In the latter case, the price to extractors has tripled. However, there are serious doubts about the dependency effects and sustainability of these artificial marketing arrangements.
+The stage of the product's boom-bust cycle
+Torres and Martine (1991) point out that when an extractive product gains acceptability in the market, there is an irresistible commercial pressure to substitute it with synthetic substitutes or by its domestication in the form of plantations, since extractivism is unable to satisfy the rapid increase in demand. In fact the success of a product tends to hasten its own demise: a product which experiences a slower growth in demand is more likely to survive this process.
+Homma (1989) presents a series of recent examples to show that extractive products are not compatible with the market's need for standardization and continual expansion. Inconsistency and inelasticity of supply of most extractive products is often the catalyst for substitution, as in the case of babaçu. Another factor which stimulates the substitution process is that as demand expands, extraction tends to more remote areas, thereby increasing per unit costs (Schmink and Wood, 1986). The clearest example of this is Brazil nuts.
+The bust phase is made worse when extractor groups narrow their livelihood base in favour of particular products. The boom part of the cycle may tempt extractors away from broad-based production systems to inherently unstable markets, although some extractor groups have been careful to maintain livelihood diversity (Nugent, 1991). In particular the maintenance by caboclo groups of sustainable swidden management systems has been a key factor in their survival (Parker, 1989).
+The impact of boom-bust extractivism has been particularly severe on indigenous communities. Padoch and de Jong (1990) conclude that the wholesale movement of people from one location to another in search of profits from forest products (including timber and fauna) has played a major role in the loss of traditional culture of native peoples in the Peruvian Amazon (see case study, page 2).
+Impact on extractive resources
+Browder (1992) contends that resource depletion occurs in both the boom stage of the market cycle 'as rational extractors seek quick profits' in a situation they know to be ephemeral, and also in the bust stage as extractors are forced to 'harvest the resource above sustainable thresholds to maintain their living standards'.
+The causes of resource depletion vary with the nature of the products. In cases where destructive harvesting can be practiced and a rapid demand increase has occurred, then Browder's analysis seems correct, as in the cases of rosewood oil, palm hearts and aguaje. In the case of the latter two, sustainable management is possible, but is conditional on tenure security. Copaiba and sorva have also suffered from over-exploitation, but recent appropriate technology innovations have led to the introduction of more sustainable harvesting methods which are preferred by extractors (Sizer, 1991).
+It is fortunate that many of the extractive products of the Amazon depend on non-destructive harvesting methods and can survive these pressures, although even these may not be immune: the increasing subdivision of holdings in Acre has led to super-exploitation of rubber trails according to Oliveira (in Browder, 1992), while over-harvesting of Brazil nuts may be contributing to lack of regeneration in Acre (Nepstad et al., in press).
+In most cases resource depletion has been caused by the socio-political and economic factors which have led to changes in land use. This is clear in the Brazil nut and babaçu case studies. It should also be pointed out that some of the depletion has been caused by commercial logging pressures, notably in the cases of Brazil nuts, andiroba, ucuuba and maracanduba.
+In the case of babaçu, the introduction of more efficient processing technology shows that increasing the value of the resource without accompanying tenure and institutional changes is insufficient to ensure resource conservation and lends more weight to the proponents of extractive reserves.
+Impact on biodiversity conservation
+Schwartzmann (1989) proposed that the production system in the pre-extractive reserve area he studied was 'indefinitely sustainable' at prevailing subsidized rubber prices. He pointed out that many of the families had been on the same holding for 40 to 50 years and had retained 98% of the holding in natural forest.
+Browder (1992) affirms that extractors also clear forest for pasture and agriculture, pan for gold, hunt game and cut timber. As Thiele (1990) has pointed out with respect to small farmers or campesinos in the Amazon Basin, their management practices are likely to be guided by short-term resource depleting profit maximization goals, when given the opportunity.
+Sizer and MacMillan (in press) points out that it has been their very shortage of capital and lack of direct access to markets that has limited the impact of extractors on forest resources. Therefore escape from aviamento and the greater freedom of extractors, even in the context of extractive reserves, may be a threat to big-diversity conservation. Browder (1992) and Sizer and MacMillan (in press) point out that the objective of extractive reserves is to maximize human welfare, not necessarily to conserve biodiversity.
+Anderson (1992) reports that 'more than 15% of the (San Luis de Remanso extractive) reserve had been degraded by the resident population for shifting cultivation and pasture conversion'. Recent evidence from Nepstad (in press) and Oliveira (in Browder, 1992) in Acre State shows an increase in clearance for subsistence agriculture and pasture: livestock and pasture development are regarded as the logical and most beneficial use of surplus funds in a high inflation economy. At the same time Brown (in press) points out that while extractive reserves cover only one percent of Brazil's rainforest, their location has impeded clearance in the highest pressure areas, as in eastern Acre.
+<section>The future of extractivism</section>
+Limitations
+The case for extractivism
+Subsidies
+Integrated forest management
+Avoiding the middleman
+The potential of green consumerism
+Limitations
+The recent literature reveals a consensus that extractivism per se is limited as a response to the conservation issue, and that expectations are unrealistic (Cleary, 1992; Browder, 1992; Anderson, 1992; Homma, 1989; Torres and Martine, 1991; Sizer, in press, and others). The apparent main reasons are as follows:
+(a) The nature of the markets, with the inherent tendency to substitute extractive products with synthetic substitutes and cultivated trees (domestication).
+(b) The inelastic supply of most extractive products, and the factors in the extractive economies that cause inconsistency of supply problems.
+(c) Limited income-earning potential of extractive products in comparison with alternative unsustainable land uses, including gold mining, cocaine production, agriculture and small-scale ranching. The products themselves are often not sufficiently high value (per unit weight) to justify post-harvest technology research.
+(d) The export markets for many extractive forest products are small and volatile, while some of the larger and more secure domestic markets, as for açai juice, palm hearts and aguaje, are for perishable varzea products which can only be grown in 2% of the Amazon.
+(e) Even when market development leads to an increase in value of the resource (as in the case of babaçu) the impacts are likely to be negative unless underlying political and land rights issues are tackled.
+(f) The extractors themselves do not see extractivism as a raison d'être but as a means of survival. Sizer (1991), Romanoff (in press) and O'Donnell Sills (1991) all report extractive groups expressing preferences for agriculture and other land uses, unsurprising when one recalls that extractivism is often a poorly remunerated, lonely and isolated existence.
+(g) Extractivism cannot be viewed as a solution to the problem of new colonization: it is not accessible to new settlers, both on the grounds of the amount of technical knowledge and land required at the forest margin. Fearnside (1989) estimates that a typical rubber-tapping household needs between 300 and 500 hectares of forest. Also, as Green and Hone (1991) point out, colonist farmers tend to have a myopic vision which focuses on annual cropping, due to the frequency of their migrationary movements and tenure insecurity.
+The case for extractivism
+In spite of the above arguments, there are several important reasons to support extractivism and in particular extractive reserves.
+(a) Up to one and a half million people in Brazilian Amazonia still derive a significant proportion of their income from extractive products, according to Browder (1990). Therefore there is a strong humanitarian and strategic case for supporting extractivism, giving time for underlying legal and institutional reforms, and for research to develop more viable and integrated forest management systems. The immediate alternatives either involve forest clearance by the extractors themselves, or urban migration, which usually results in clearance by other groups. Migration has unacceptably high social and economic costs and is viewed by extractors as the last resort (Parfit, 1989; Schwartzmann, 1991).
+(b) The harvesting methods of most extractive products are non-destructive. With adequate prices, extractivism could be indefinitely sustainable.
+(c) For caboclo, indigenous and other groups with a historical tradition of extractivism and swidden farming, their indigenous technical knowledge provides a firm basis for sustainable forest management, incorporating 'poly-extractivism' and traditional swidden management techniques. The single biggest danger to the Amazon is the loss of those with the knowledge of how to sustainably manage it.
+(d) The institutional and tenurial arrangements of extractive reserves provide a socio-economic framework in which more sustainable forms of resource management can occur. Even if they are not successful, the urban drift, and associated costs, are likely to be more gradual and manageable than with the privatization of forest resources.
+Subsidies
+Sustainable forest management as practiced by most extractor groups provides a series of economic and environmental benefits which are either undervalued, due to market imperfections, or not valued at all, because they are external (Pearce et al., 1991). This study has shown that there is an apparent welfare-conservation trade-off for forest management under prevailing market forces. If left to market forces extractivism will gradually decline, and alternative land uses will take over.
+Natural rubber extraction in Brazil is only possible due to the Brazilian domestic rubber subsidy. Schwartzmann (1989) points out that the rubber subsidy in Brazil is relatively small, averaging about $25 million/year, less than half of the import tax actually levied in 1985 on imported natural rubber, and a fraction of the subsidies given until recently to ranching (averaging about $300 million/year according to official statistics).
+The rubber subsidy seems a small price to pay to avoid the negative external effects of alternative land uses: a case can surely be made for subsidizing the ecologically sustainble management of other inadequately remunerated extractive products. The political and practical problems of who should pay for it and how it should be used will obviously be great, but the setting up of international transfer payment mechanisms seems to be an inevitable necessity if the North wishes to continue to receive the benefits of extractivism. Another vital area is the payment of royalties for the intellectual property rights of extractive species.
+The first priority for any such flows would be to bolster the activities of the CNS, which according to Brown (in press), is often unable to pay its small staff and bills in spite of being the principal proponent of extractive reserves.
+Integrated forest management
+Most analysts, especially Browder (1992) and Anderson (1992), see sustainable agriculture, agroforestry (especially based on indigenous swidden management techniques), and timber extraction as playing a major future role in both the context of extractive reserves and frontier production systems.
+There are strong arguments for combining extractivism with community participation in the sustained yield management of timber. An example of this is provided by the forest ejidos of Yucatan, Mexico, in which timber extraction in the dry season is successfully combined with chicle extraction from Manilkara zapota in the wet season (Richards, 1991).
+Timber faces few of the market problems of extractive products. Even if there was a boycott of tropical hardwoods by the North, there is still a huge internal market to satisfy: the Amazon presently supplies 54% of Brazil's roundwood according to Browder (1992), who also argues for a much greater emphasis on secondary forest management (i.e. on regenerating forest).
+Avoiding the middleman
+Fearnside (1989) points out that 'when the value of products accrues to intermediaries, extractivists remain poor, regardless of the amount of wealth they generate'. Most analysts agree on the need to develop co-operative producer, marketing and processing structures to increase producer margins at the expense of the middlemen. Certainly in many situations they are able to maintain their margins through control of capital and market information, especially in remote areas. At the same time their economic importance is traditionally underestimated (Padoch, 1989; Holt, 1991).
+The Xapuri Brazil nut plant, and the Kayapo Indian project which produces Brazil nut oil for Body Shop hair conditioner, rely on alternative marketing structures in which existing oligopolistic marketing structures are bypassed completely. May (1991) contends that such a mechanism is a widely replicable model of international cooperation. Others argue that they run the risk of temporarily raising returns and expectations with unsustainable structures and markets, especially when the products are consumed in limited speciality markets tied to current fashions (Browder, 1992). These alternative marketing arrangements are a way of buying time while Amazonian Governments and the international community develop more durable approaches to the problems.
+The potential of green consumerism
+A less risky approach is to cash in on increased international awareness of the role of extractivism in forest conservation. Holt (1991) points out that there has been no attempt to link Brazil nut consumption with rainforest conservation. He points out the need for consumer education and identification of sources in brand names, e.g. Kayapo Brazil nuts, as a means of increasing demand and prices.
+<section>Research and development priorities</section>
+In view of the discussion above it can be argued that much more attention should be given to agroforestry approaches based on swidden management systems, to secondary forest management, to sustained yield management for timber, and in particular to the integration of these and extractivism in the development of multiple product forest management systems.
+In order to do this in any location, it is essential to conduct socio-economic research on existing activities to see how new approaches can be integrated into existing livelihood systems. There is also an urgent need for data on the relative returns to labour and, on land requirements, and market viability of the new approaches.
+Cleary (1992) argues that this type of work can best be achieved by supporting regional research capacity, especially that found in local universities. The PESACRE project, in which a network of social and natural scientists from a mixture of state, university and non-government organizations (NGOs) are working to a common research and policy agenda, provides an interesting basis for this kind of research and could be replicable in other areas (Schmink, 1991). The network approach increases the complementarily of research efforts and avoids duplication.
+Other research and development priorities are listed below.
+1. Strengthening the institutional basis of extractive reserves. This will involve institution building and increased resources for both state and NGOs involved in the development of extractive reserves.
+2. Development of co-operative processing and marketing structures on extractive reserves. This should include micro-economic research on marketing chains and margins for the main extractive products, in order to plan appropriate levels of vertical integration and interventions in the marketing process.
+3. Research on the economic and social impacts of alternative marketing arrangements (Cultural Survival, Body Shop, etc.) on direct beneficiaries, other extractive groups, supply continuity and overall market dynamics.
+4. The development of market information systems to increase market transparency, increase competition, inform producer groups of market possibilities, and establish more direct links with northern entrepreneurs.
+5. Development of a consumer education campaign to increase the green demand for sustainably harvested
+extractive products, and encourage importers to use brand names to identify sources.
+6. Research to normalize the often chaotic land tenure situation of extractive populations. In particular May (1990b) calls for research to help define and protect usufruct or access rights based on tenurial arrangements.
+7. Research to develop sustainable harvesting techniques, especially for the palms, and diffusion of recently introduced technologies for sustainably harvesting sorva latex and copaiba oil.
+8. Research into processing potential for domestic markets. For example Clay (1992) believes there is a large untapped potential for essential oil processing in Para State.
+9. Research into the demand and supply problems of Brazil nut extraction in order to consider whether and how current problems can best be confronted.
+10. Finally any research and development of NTFPs should be based on the following criteria to maximize conservation and welfare impacts:
+(a) terra firme trees or plants with both subsistence and cash uses, that benefit a large number of people;
+(b) products with an established domestic market;
+(c) products least likely to be substituted;
+(d) trees or shrubs which can be incorporated in agroforestry and swidden management systems;
+(e) research into alternative sources of high value low volume extractive products where traditional sources are experiencing depletion, e.g. rosewood oil.
+Babaçu would appear to have a high priority according to most of these criteria, although its main product can easily be substituted.
+<section>Conclusions</section>
+In general, market development has not resulted in improved welfare for extractors because of both the sociopolitical factors and the aviamento-based production and marketing systems. Nor has an increase in the value of the standing forest, even when based on less risky domestic markets, necessarily resulted in safeguarding the resource, as the babaçu case study shows.
+Essentially this is because market development has taken place in a socio-economic and policy context (of frontier expansion, and resource privatization) inimical to the welfare of extractors and resource conservation, a situation not helped by hyper-inflation which erodes earnings from forest products, encourages extractors to invest in livestock, and results in falling real interest rates for competing land uses. On the positive side should be noted the recent Brazilian policy changes on roadbuilding and cattle ranching incentives.
+Most analysts (Anderson, Browder, Homma, Torres and Martine, and Cleary) seem to agree that extractive products are likely to remain marginal in the search for sustainable natural resource management systems in the Amazon region. Rubber and Brazil nuts in particular are undergoing a gradual, probably terminal, decline in their role as the basis of extractive economies in many areas. Other important products like babaçu oil (undergoing substitution), açai juice (affected in the market by cholera), and rosewood oil (suffering depletion) have also recently diminished in importance in extractive economies.
+Homma (1989) sees substitution as inevitable due to the inability of extractivism to respond to the need of the market for a constant, uniform product with an elastic supply. Rubber and Brazil nuts therefore fit into the historical boom and bust cycle that has characterized internationally traded extractive products over the centuries. Products for local and national market are far less prone to these consequences.
+There are therefore major fears for the economic viability of extractive reserves if based solely or even mainly on extractivism. Unless extractor groups can successfully diversify into other sustainable uses of the forest, the outcome is likely to be increased clearance for subsistence agriculture and cash cropping, followed by migration when the soils lose their fertility. The loss of extractivists means loss of the knowledge base for sustainable forest use.
+There are strong arguments to focus future efforts on the development of multiple product forest management in extractive reserves, which provide the tenure and institutional basis in which such resource use changes can equitably take place. Anderson (1992) argues for a research and policy agenda aimed at transforming extractive reserves into viable enterprises. There seems to be a high potential both for sustainable yield timber management and NTFP production in the context of agroforestry systems based on indigenous swidden farming practices.
+The danger of market-induced extractivism is that it can lead forest peoples into narrowing their livelihood base. This is likely to cause adverse welfare and resource impacts in the longer term. Thus the market development of extractive products should take place within an integrated approach in which the diversity and interdependence of livelihood activities is centrally important (Cleary, 1992).
+Finally, if the North wants relatively environmentally benign extractivism to continue, and therefore satisfy its priority of biodiversity conservation (a priority only partially shared by extractor populations and Amazonian governments) it may have to find a way of adequately remunerating the users.
+Although there is a consensus that expectations have been overstated, support for extractivism is still the necessary short-term palliative while the longer term approach of diversification of forest management is developed, since there are no immediately accessible sustainable forest management alternatives for extractive populations.
+<section>References</section>
+ALLEGRETTI, M.H. (1990). Extractive reserves: an alternative for reconciling development and environmental conservation in Amazonia. In: Anderson, A.B. (ed.) Alternatives to Deforestation: Steps Towards Sustainable Use of the Amazon Rain Forest. New York: Colombia University Press.
+ANDERSON, A.B. (1992). Land-use strategies for successful extractive economies. In: The Rainforest Harvest: Sustainable Strategies for Saving the Tropical Forests?London: Friends of the Earth.
+ANDERSON, A.B. and ANDERSON, E. (1983). People and the Palm Forest: Biology and Utilization of Babaçu Palms in Maranahao, Brazil. USMAB Project Report. Gainesville: Department of Botany, University of Florida.
+ANDERSON, A.B. and JARDIM, M. (1989). Costs and benefits of floodplain forest management by rural inhabitants in the Amazon estuary: a case study of Açai palm production. In: Browder, J. O., Fragile Lands in Latin America: The Search for Sustainable Uses. Boulder, Colorado: Westview Press.
+ANDERSON, A.B., MAY, P. and BALOCK, M. (1991). The Subsidy from Nature. New York: Columbia University Press.
+ARKCOLL, D.B. and CLEMENT, C. 1989. Potential New Crops from the Amazon. In: Wickens, G.E., Haq, N. & Day, P. (eds.) New Crops for Food and Industry. London: Chapman and Hall.
+BALEE, W. 1989. The culture of Amazonian forests. Advances in Economic Botany 7: 1-21
+BALICK, M.J.1987. The economic utilization of the Babaçu palm: a conservation strategy for sustaining tropical forest resources. Journal of the Washington Academy of Sciences 77 (4): 215-223
+BROWDER, J.O. (1990). Social and Economic Constraints on the Development of Market-orientated Extractive Systems in Amazon Rain Forests. Mimeo. Virginia Polytechnic and State University.
+BROWDER, J.O. (1992). The Limits of Extractivism: Tropical Forest Strategies beyond Extractive Reserves. BioScience 42 (3): 174-182
+BROWN, I.F., NAPSTED, D., PIRES, I., LUZ. I., and ALECHANDRA, A. (in Press). Carbon storage and land use in extractive reserves, Acre, Brazil. Environmental Conservation.
+CLAY, J. (1992). Report on Funding and Investment Opportunities for Income Generating Activities that could Complement Strategies to halt Environmental Degradation in the Greater Amazon Basin. Report for Biodiversity Support Program. USA: Cambridge.
+CLEARY, D. (1992). Overcoming socio-economic and political constraints to "wise forest management": lessons from the Amazon. In: Wise Management of Tropical Forests. Proceedings of the Oxford Conference on Tropical Forests 1992. Oxford: Oxford Forestry Institute.
+COLCHESTER, M. (1989). Indian development in Amazonia: risks and strategies. The Ecologist 19 (6): 249-256
+EDEN, M.J. (1990). Ecology and Land Management in Amazonia. London: Belhaven Press.
+FEARNSIDE, P.M. (1989). Extractive Reserves in Brazilian Amazonia: an opportunity to maintain tropical forest under sustainable use. Bioscience 39:387-393
+GRADWOHL, J. and GREENBERG R. (1988). Saving the Tropical Forests. London: Earthscan.
+GREEN, C.L. & HONE, G.A. (1991). Essential Oil Production in Developing Countries. Paper presented at the Third International Meeting on Aromatic and Medicinal Plants in December in Nyons, France. Chatham, UK: Natural Resources Institute.
+GUENTHER, E. (1950). The Essential Oils, 4. New York: D van Nostraad Inc.
+GRAY, A. (1990). Indigenous Peoples and the Marketing of the Rainforest. The Ecologist 20 (6): 223-227
+HECHT, S., ANDERSON, A. and MAY, P. (1988). The Subsidy from Nature: Shifting Cultivation, Successional Palm Forests and Rural Development. Human Organization 47(1): 25-35
+MOLT, J. (1991). Brazil Nuts. Amazonia Trading Company Ltd., Liverpool.
+MOMMA, A.K.O. (1989). Reservas extravistas: uma opçao de desenvolvimiento viável pare a Amazonia? Para Desenvolvimiento 25: 38-48
+LESCURE, J.P. and CASTRO, A. (1990). L'extractivsm en Amazonie Centrale Apercu des Aspects Economiques et Botaniques. UNESCO/IUFRO Workshop, Cayenne, May 1990.
+MAY, P.H. (1990a). Local product markets for babaçu and agro-industrial change in Maranhao, Brazil. Advances in Economic Botany 8: 92-102
+MAY, P.H. (1990b). A tragedy of the non-commons: recent developments in the Babaçu palm based industries in Maranhao, Brazil. Forests, Trees and Peoples Newsletter 11: 23-27
+MAY, P.H. (1991). Building Institutions and Markets for Non-Wood Forest Products from the Brazilian Amazon. Unasylva 165: 9-16
+MAY, P.H., ANDERSON, A., FRAZAO, M., and BALICK, M. (1985). Babaçu palm in the agroforestry systems in Brazil's mid-North Region. Agro-Forestry Systems 3: 275-295
+MORAN, E. (1981). Developing the Amazon. Bloomington, USA: Indiana University Press.
+MURPHY, R. and STEWARD, J. (1956). Tappers and trappers: parallel processes in acculturation. Economic Development and Culture Change 4: 335-353
+NEPSTAD, D.C. et al. (In Press). Biotic impoverishment of Amazonian forests by NTFP extractors, loggers and cattle ranchers. Advances in Economic Botany.
+NUGENT, S. (1991). The limitations of environmental "management'': forest utilization in the lower Amazon. In: GOODMAN, D. and REDCLIFT, M. (eds) Environment and Development in Latin America: The Politics of Sustainability. Manchester, UK: Manchester University Press.
+O'DONNELL SILLS, E. (1990). Extractive Reserves in the Brazilian Amazon. BA Thesis. United States: Woodrow Wilson School of Public and International Affairs, Princetown University.
+PADOCH, C. (1988). Aguaje (Mauritia flexuesa) in the economy of Iquitos, Peru. In: Balick M. (ed) The Palm - Tree of Life: Biology, Utilization and Conservation. Advances in Economic Botany 6: 214-224
+PADOCH, C. (1989). Marketing of Non-timber Forest Products in Western Amazonia. General Observations and Research Priorities. Symposium on Extractive Economics in Tropical Forests: a Course for Action. National Wildlife Federation, Nov. 30 - Dec. 1. Washington DC.
+PADOCH, C. and DE JONG, W. (1990). Santa Rosa: The Impact of the Forest Products Trade on an Amazonian Place and Population. Advances in Economic Botany 8: 151-158
+PARFIT, M. (1989). Facing up to reality in the Amazon: whose hands will shape the future of the Amazon's green mansions? Smithsonian 20 (8): 58-77
+PARKER, E.P. (1989). A Neglected Human Resource in Amazonia. The Amazon Caboclo. Advances in Economic Botany 7: 249-259
+PAUL, V. (1991). Importance of Non-Wood Forest Products for Regional Trade in the Brazilian Amazon. Proceedings of World Forestry Congress 15.4: 119-124. Paris.
+PEARCE, D., BARBIER, E., MARKANDYA, A., BARRETT, S., TURNER, R.K., SWANSON, T. (1991). Blueprint 2: Greening the World Economy. Earthscan. London.
+PETERS, C.M., GENTRY, A. and MENDELSOHN, R. 1989. Valuation of an Amazonian Rain Forest. Nature 339: 655-6
+PRANCE, G.T. (1989). Economic Prospects for Tropical Rainforest Ethnobotany. In: Browder J. Fragile Lands in Latin America: the Search for Sustainable Uses. Westview Press, Boulder, Colorado.
+RICHARDS, E.M. (1991). The Forest Ejidos of South-East Mexico: A case study of community based sustained yield management. Commonwealth Forestry Review 70(4): 290-311.
+ROMANOFF, S. (in press). Food and debt among rubber tappers in the Bolivian Amazon. Human Organization.
+SCHMINK, M. 1991. Building institutions for sustainable development in Acre. Mimeo. University of Florida, Gainesville. Centre of Tropical Conservation and Development.
+SCHMINK, M. and WOOD, C.H. (1986). The Political Ecology of Amazonia. Mimeo. University of Florida, Gainseville: Centre for Latin American Studies.
+SCHWARTZMANN, S. (1989). Extractive Reserves: the Rubber Tappers strategy for sustainable land use of the Amazon rain forest. In: Browder, J. (1989) Fragile lands in Latin America: the Search for Sustainable Uses. Boulder, Colorado: Westview Press.
+SCHWARTZMANN, S. (1990). Marketing of Extractive Products in the Brazilian Amazon. Mimeo. New York: Environmental Defence Fund.
+SCHWARTZMANN, S. (1991). Deforestation and Popular Resistance in Acre: from Local Social Movement to Global Network. The Centennial Review 35(2) 397-422
+SCHWARTZMANN, S. (In Press). Land Distribution and the Social Costs of Frontier Development in Brazil: Social and Historical Context of Extractive Reserves. Advances in Economic Botany.
+SCHWARTZMANN, S. and ALLEGRETTI, M. (1987). Extractive Production in the Amazon and the Rubber Tappers' Movement. New York: Environmental Defence Fund.
+SIZER, N.C. (1991). Cattle Ranching and Rubber Tapping: Ecological, Social and Policy Impacts of Land Use in the Brazilian Amazon. Dissertation submitted in application for Research Fellowship, King's College, Cambridge.
+SIZER, N. C. and MACMILLAN, G . (In Press). Revolution in the Rain Forest: Good News for Conservation? The Ecologist.
+STRUDWICK, J. and SOBEL, G.L. (1988). Uses of Euterpe oleracea in the Amazon Estuary, Brazil. Advances in Economic Botany 6: 225-253
+THIELE, G. (1990). Are Peasant Farming Systems in the Amazon Sustainable? Discussion Paper 282. University of Sussex, UK: Institute of Development Studies.
+TORRES, H. and MARTINE, G. (1991). Amazonian Extractivism: Prospects and Pitfalls. Documento de Trabalho No.5. Brasilia, Brazil: Instituto Sociedade, Populalaçao o Natureza.
+VASQUEZ, R. and GENTRY, A.H. (1989). Use and misuse of forest-harvested fruits in the Iquitos area. Conservation Biology 3: 350-362
+<section>Appendix 1</section>
+Description of the most important commercial NTFPs in Amazonia
+Lescure and De Castro (1992)
+ACAl PALM
+Euterpe Olerala Mart. The fruit makes a highly prized drink and the hearts, under the name Palmito, are the basis of a canning industry producing Palm Hearts.
+ANDIROBA
+Carapa spp. Meliaceae. The seeds are collected for medicinal oil and made into soap suitable for skin care.
+BABACU
+Orbinia martiana Barb Rodr. Arecaceae.
+The seeds are collected for processing into an edible oil.
+BALATA
+Manilkara Bidentata A. DC. Chev
+Sapotaceae. The solid latex become an inelastic gum similar to gutta percha.
+BORRACHA
+Solid latex of various species of Hevea
+(Euphorbiaceae)
+CASTANHA
+The seed of Bertholletia excelsa H.B.K.
+Lecthidaceae internationally known as the Para nut or Brazil nut.
+CAUCHO
+Castilloa ulei Warb. Moraceae. The latex solidifies to form an elastic gum similar to that obtained from Hevea.
+COPAlBA
+Copaifera spp. Caesalpiniacea. The oleo resin has anti-bacteria properties and is used in skin care soaps.
+CUMARU
+Dipteryx odorata (Aubl) Willd,
+Papilionaceae. The seeds are harvested to prepare the essential oil, coumarin.
+LICURI
+Syagrus coronata (Mart.) Beccari
+Arecaceae. This produces a vegetable wax.
+MACARANDUBA Manilkara buberi (Ducke) Chev.
+Sapotaceae. This forms a solid latex which is an inelastic gum similar to balata.
+PIACAVA
+A fibre derived from Leopoldica piassaba(Wallace), in Amazonia or from Attalea funifera in northeast Brazil.
+SORVA
+Couma spp. (Apocynaceae). An edible gum.
+TIMBO
+Plants toxic to fish of the genera
+Tephrosia, Derris and Lonchocarpus
+(Caesalpiniaceae), which are harvested for their roots to extract rotenoid derivatives.
+TUCUMU
+A fibre derived from various Astrocaryum
+(Arecaceae).
+UCUUBA
+(Virola spp. Myristicaceae). The oil containing seeds are harvested for oil used in soap manufacture.
+PAU ROSA
+Rosewood oil is derived from the species
+Aniba Rosueodora and Aniba ducke. Koster(Lauraceae).
+<section>Appendix 2</section>
+Production and export of NTFPs in Brazilian Amazonia
+The tables below are taken from Lescure and de Castro's classic study Extractivism in Central Amazonia: Overview of Economic and Botanical Aspects (a paper given at the UNESCO/UFRO/FAU conference workshop on the Management and Conservation of Humid Tropical Forest Ecosystem, Cayenne 10-19 March 1992).
+The figures presented may differ from those given in the text tables. This is due to the different sources but the authors feel it worthwhile to reproduce both sets of data.

ccm-ldn-terms/data/indexing/training/nri_nr12me.key

@@ -0,0 +1,11 @@
+MARINE FISHERIES
+BYCATCH
+POSTHARVEST LOSSES
+LOSSES
+FISH MEAL
+SALTED FISH
+FISH
+PRODUCTION POSSIBILITIES
+FISH PROCESSING
+INDIA
+GUJARAT

ccm-ldn-terms/data/indexing/training/nri_nr12me.txt

@@ -0,0 +1,334 @@
+<title>Marine fisheries of Gujarat: post-harvest losses and possibilities for development</title>
+TDRI Tropical Development and Research Institute
+T. W. Bostock
+August 1987 Tropical Development and Research Institute
+127 Clerkenwell Road London EC1R 5DB
+Overseas Development Administration
+<section>Acknowledgements</section>
+The author would like to thank the staff of CIFT for their help and support during his first visit to India. Special thanks go to Dr. Gopakumar, Dr. P. G. V. Nair, Mr. Damle and Mr. Solanki for their kind hospitality. Thanks also to the staff of CMFRI in Veraval for their advice and information and to the many members of the private sector interviewed during this visit.
+© Crown copyright 1987
+This report was produced by the Tropical Development and Research Institute (formed by the amalgamation of the Tropical Products Institute and the Centre for Overseas Pest Research) a British Government organisation, funded by the Overseas Development Administration, which provides technical assistance to developing countries. The Institute specialises in post-harvest problems and pest and vector management.
+Short extracts of material from this report may be reproduced in any non-advertising, non-profit context provided that the source is acknowledged as follows:
+Bostock, T. W. (1987) Marine fisheries of Gujarat: post-harvest losses and possibilities for development. Report of the Tropical Development and Research Institute, L75, v + 32pp.
+Permission for commercial reproduction should, however, be sought from the Head, Publications, Publicity and Public Relations Section Tropical Development and Research Institute, College House, Wrights Lane, London W8 5SJ, England.
+No charge is made for single copies of this publication sent to governmental and educational establishments, research institutions and non-profit making organisations working in countries eligible for British Aid. Free copies cannot normally be addressed to individuals by name but only under their official titles.
+Tropical Development and Research Institute
+ISBN: 0 85954 - 221-1
+ISSN: 0264-7648
+<section>Summaries</section>
+Summary
+Résumé
+Resumen
+Summary
+A visit to Gujarat, India was carried out as part of a programme of collaboration between TDRI and the Central Institute of Fisheries Technology (CIFT), India. The objective of the visit was to study the extent of post-harvest losses in fish and their impact on the fishing industry. The emphasis of the programme was directed towards three major areas: trawler by-catch 'trash', fresh fish and cured fish.
+Nature of losses
+The overall utilisation of the total catch in Gujarat appears to be high. There is little evidence of gross physical losses caused, for example, by the dumping of low value by-catch at sea, a practice which is carried out in other areas of India. A strong, well-established market demand for a diverse range of fish products stimulates this high level of utilisation in spite of the fact that the catches of the various fleets comprise an enormous range of species whose value may vary by up to two orders of magnitude.
+However, as a result of a combination of handling and socio-economic factors, fish tends to be downgraded into lower value categories resulting in economic losses (i.e. a net reduction of potential revenue) which occur throughout the industry and at all levels of operation. These losses are likely to be extremely important. They range from the use for reduction into fish meal of small fish which would more efficiently be used for direct human consumption, to the use for domestic consumption of potentially high value fish which could be exported.
+In Gujarat itself, net physical losses (i.e. losses of nutrients through spoilage) caused by poor handling and processing, or through insect infestation, do not appear to be of great importance in fish which is destined for human consumption. They do, however, become important when fish is stored for long periods in the marketing centres such as Bombay.
+Nutritional losses (i.e. reduction in nutritional value due to spoilage or toxicity) are also unlikely to be significant in fish for human consumption except in the case of cured pelagic fish, such as tuna, where the excessive rancidity observed, and the likelihood of histamine development, could pose a risk.
+Conversely, however, in fish used for fishmeal production, both net physical losses and nutritional losses can be expected to be high. Data on these aspects have been obtained experimentally and are reported.
+Impact of losses
+At this stage it would be premature to quantify the differing impact of economic losses on the various fisheries owing to the lack of sound, long-term data on fish utilisation. However, it is clear from initial work carried out on its composition, that as much as 50% of the trash fish (i.e. the material to be used for fish meal) from the trawler fleet could be upgraded for direct human consumption as traditional cured products, through the application of simple preservation techniques on the boats. It is calculated that this would increase the annual revenue to the industry by about Rupees 4 million after deducting sufficient amounts to cover the extra labour and material costs involved.
+Although physical losses occurring during fish meal production are important, any economic loss tends to be offset by the weight gain due to soil and sand contamination during drying. Incentives to change are few.
+Losses and downgrading of fresh fish due to spoilage cannot be accurately assessed until more long-term data are available from destination markets. Initial indications, however, show that some 10-15% of fresh fish arrives in Delhi and Bombay from Gujarat in poor condition. Significantly, this fish does not go to waste but is sold at a reduced price representing an economic loss estimated to be in the region of Rupees 70 million per year (10% of the total value of the fresh fish industry).
+There is strong evidence to suggest that more of the fresh fish from the gill-net fishery which is used for domestic consumption could be upgraded and frozen for lucrative export (e.g. red snappers). This represents another unquantifiable source of economic loss to the sector.
+Losses and downgrading of cured fish (into fishmeal) appear to be of limited significance. This is helped by the strong tradition for fish curing, the liberal use of salt owing to its low cost, and the excellent prevailing atmospheric drying conditions which greatly reduce spoilage and the risk of insect damage.
+Reduction of losses
+Although estimates for losses have been made in both economic and physical terms, the data upon which these were based can only be regarded as preliminary bearing in mind the complexity and dynamic nature of the fishery and processing industry. Future work should therefore concentrate on strengthening the programme of data gathering to facilitate future assessments.
+As well as these long-term inputs, scope appears to exist for short-term projects aimed principally at reducing economic losses. It is likely that much could be achieved through extension and training activities directed towards promoting improved handling, preservation and sanitation. Recommendations to this effect are made throughout the report.
+Résumé
+Une visite à Gujarat en Inde a été conduite dans le cadre d'un programme de collaboration entre le TDRI et le CIFT (Institut central des technologies de la pêche d'Inde). L'objectif de cette visite était d'étudier l'étendue des pertes en poissons après récolte et l'incidence de ces pertes sur l'industrie de la pêche. Ce programme se proposait de mettre l'accent sur trots secteurs principaux: poissons de rebut sur les prises secondaires des chalutiers, poissons frais et poissons saurés.
+Nature des pertes
+L'utilisation d'ensemble de la prise totale enregistrée à Gujarat semble être bonnet Peu de preuves attestent de pertes physiques importantes dues, par exemple, au rejet en mer de prises secondaires de faible valeur. Une demande commerciale forte et bien implantée portent sur une gamme variée de produits de la pêche contribue à ce taux d'utilisation élevé en dépit du fait que les prises réalisées par les diverges flottes comprennent un large éventail d'espèces dont la valeur peut varier du simple au double.
+Toutefois, par suite d'un concours de facteurs relatifs à la manutention et de facteurs socio-économiques, le poisson tend à être rabaissé dans des catégories de moindre valeur commerciale et il en résulte des pertes économiques (c-à-d. une diminution nette des recettes potentielles) qui se répercutent à tous les niveaux de l'opération. II est probable que ces pertes soient extrêmement importantes, allant depuis la transformation en farine de petite poissons qui se prêteraient mieux et de manière plus rentable à une consummation directe par l'homme, à la consommation domestique de produits qu'une valeur marchande potentiellement élevée rendrait propres à l'exportation.
+A Gujarat même, les pertes physiques nettes (c-à-d. les pertes en substance nutritive dues à une mise au rebut) occasionnées par de médiocres opérations de manutention et de transformation, ou causées par une infestation par insectes, ne semblent pas d'une importance considérable pour le poisson destiné à la consommation humaine. Elles s'avèrent toutefois importantes lorsque le poisson est emmagasiné pendant de longues périodes de temps dans des centres commerciaux tels celui de Bombay.
+Les pertes nutritionnelles (c-à-d. diminution de la valeur nutritive due à une mise au rebut ou pour raison de toxicité) ne risquent pas non plus d'être significatives pour le poisson destiné à la consommation humaine, excepté toutefois lorsqu'il s'agit de poissons pélagiques saurés comme le thon, pour lesquels le rancissement excessif constaté et la probabilité d'un développement d'histamine pourraient présenter un risque.
+En revanche, lorsqu'il s'agit du poisson utilisé pour la production de farine de poisson, l'on peut s'attendre à de fortes pertes tant physiques que nutritionnelles. Les données se rapportant à ces aspects ont été obtenues à partir d'expériences et vent ici fournies.
+Incidences des pertes
+En raison du manque de fondement et de ['absence de données à long terme sur l'utilisation du poisson, il serait prématuré de vouloir dès aujourd'hui quantifier les diverges incidences que ces pertes économiques ont sur les différentes pêcheries. II ressort toutefois clairement des premières études réalisées sur ça composition que 50% du poisson de rebut (c-à-d. celui utilisé pour la farine de poisson) ramené par les chalutiers pourrait être revalorisé en vue d'être consommé directement par l'homme en tant que produit traditionnel sauré et ce, par l'emploi de techniques de conservation simples sur les bateaux. Les calculs indiquent que cette mesure engendrerait une augmentation du revenu annuel de l'industrie de l'ordre de 4 millions de roupies après déduction des sommes nécessaires pour la prise en compte de la main d'oeuvre supplémentaire et des coûts de matériel.
+Bien que les pertes subies lors de la production de farine de poisson soient importantes, toute perte économique tend à être contrebalancée par le gain de poids résultant de la mise en contact du produit avec la terre et le sable lors du séchage. Peu d'encouragements visent à modifier cette pratique.
+Les pertes et la dévalorisation du poisson frais pour cause de mise au rebut ne peuvent être estimées avec précision tant que les marchés destinataires ne fournissent pas de données à long terme. Les premiers renseignements obtenus indiquent toutefois que de 10 à 15% du poisson frais expédié de Gujarat arrive en condition médiocre à Delhi et à Bombay. Fait révélateur en soi, ce poisson n'est pas jeté mais vendu à un prix réduit, ce qui représente une perte économique estimée à environ 70 millions de roupies par an (soit 10% de la valeur totale de l'industrie du poisson frais).
+Les observations encouragent à penser que davantage de poissons frais ayant été pêchés à l'araignée et utilisés pour la consommation domestique pourraient être revalorisés et congelés à des fins d'exportation lucratives (par exemple, le vivaneau).
+Ceci représente une autre source non-chiffrable de pertes économiques subies par le secteur.
+Les pertes et la dévalorisation du poisson sauré (production de farine de poisson) semblent être de moindre importance du fait de la forte tradition de saurissage, de l'utilisation généreuse de sel (en raison de son prix faible), et des excellentes conditions atmosphériques de séchage qui diminuent grandement la mise au rebut et le risque d'attaque par insectes.
+Diminution des pertes
+Bien que ces pertes aient été estimées tant en termes économiques que physiques, les données sur lesquelles elles s'appuient ne peuvent revêtir qu'un caractère préliminaire compte tenu de la nature complexe et dynamique de l'industrie de la pêche et de transformation. II conviendrait donc qu'à l'avenir les travaux se concentrent sur le renforcement de ce programme de collection de données en vue de faciliter toute estimation future.
+Parallèlement à ces contributions à long terme, il semble y avoir place pour des projects à court terme dont le premier objectif serait de réduire les pertes économiques. II est probable que de bons résultats puissent être obtenus par le biais d'activités d'extension et de formation visant à améliorer la manutention ainsi que les procédés sanitaires et de conservation. Des recommandations à ces égards vent formulées en plusieurs endroits du rapport.
+Resumen
+Dentro de un programa de colaboración entre el TDRI y el Instituto Central de Tecnologia de Pesquerias (CIFT), India, se llevó a cabo una visita a Gujarat, India, pare estudiar la importancia de las pérdidas de pescado después de la capture y su impacto sobre la industria pesquera. El programa prestó particular atención a tres sectores de importancia: capture secundaria de los arrastreros, pescado fresco y pescado curado.
+Naturaleza de las pérdidas
+La utilización general de la capture total de Gujarat parece ser elevada, sin que apenas existan indicios de pérdidas fisicas de importancia, por ejemplo, mediante el vertido en el mar de la pesca secundaria de bajo valor, práctica común en otras zonas de la India. La existencia de una demanda fuerte y bien establecida pare una amplia gama de productos pesqueros sirve de estimulo pare este elevado nivel de utilización, a pesar de que las captures de las diversas flotas comprenden una gama enorme de especies, cuyo valor puede variar aun en dos órdenes de magnitud.
+Esto no obstante, y como resultado de una combinación de factores socioeconómicos y de gestión, el pescado tiende a ser depreciado en categorías más bajas de valor, resultando en pérdidas económicas (es decir, una reducción neta de los ingresos posibles), que se producen a lo largo y ancho de la industria y en los distintos niveles de operación. Es probable que dichas pérdidas resulten ser extremadamente importantes, desde la reducción a harina de pescado pequeño, que seria aprovechado más eficientemente pare consumo humano directo, hasta el empleo pare consumo doméstico de pescado de valor potencialmente elevado, que podria dedicarse a la exportación.
+En Gujarat, las pérdidas físicas netas (es decir, pérdidas de elementos nutritivos, como resultado del deterioro), causadas por deficiencia en manejo y elaboración o infestación por insectos, no parecen ser de gran importancia en pescado destinado al consumo humano. Sin embargo, son de importancia cuando el pescado se almacena por periodos prolongados en centros de comercialización, tales como Bombay.
+Las pérdidas nutritivas (es decir, reducción en el valor nutritivo del pescado, debido a su deterioro o toxicidad) tampoco es probable que sean significativas en el sector del pescado pare consumo humano, excepto cuando se trata de pescado pel agico curado, tal como el atún, en donde la excesiva ranciedad observada y la posibilidad del desarrollo de histamina podrian constituir un peligro.
+Por el contrario, puede esperarse que sean elevadas las pérdidas fisicas y nutritivas netas en el pescado utilizado pare la producción de harina, presentándose datos experimentalmente obtenidos sobre estos aspectos.
+Impacto de las pérdidas
+Resultaría prematuro, a este punto, querer cuantificar el impacto relativo de las pérdidas económicas sobre las diversas pesquerias, debido a la carencia de datos validos a largo plazo sobre utilización del pescado. Sin embargo, y basándonos en trabajos iniciales llevados a cabo sobre su composición, parece claro que aun hasta el 50% del pescado de desecho (es decir, material pare harina de pescado) de la flota de arrasteros podria ser promovido pare su consumo humano directo, a manera de productos tradicionales curados, mediante la aplicación en los barcos mismos de sencillas técnicas de preservación. Según calculos realizados, ello resultaria en un incremento de unos 4 millones de rupias en los ingresos anuales de la industria, tras haberse deducido cantidades suficientes pare cubrir los costes adicionales de materiales y mano de obra.
+Si bien las pérdidas físicas que se producen durante la elaboración de la harina de pescado son de importancia, cualquier pérdida económica tiende a verse compensada por la ganancia de peso debida a contaminación con sierra y arena durante el secado. Los incentivos de cambio son escasos.
+No resulta posible evaluar con precisión las pérdidas y la reducción en la calidad del pescado fresco, como resultando de su deterioro, hasta que se disponga de un mayor número de datos a largo plazo, procedentes de los mercados de destino. Sin embargo, los datos iniciales parecen indicar que alrededor del 10-15% del pescado fresco llega a Delhi y Bombay desde Gujarat en mal estado. Es importante constatar, que dicho pescado no se desperdicia, sino que se vende a precio reducido, representando una pérdida económica que se ha calculado en unos 70 millones de rupias anuales (10% del valor total de la industria del pescado fresco).
+Existen fuertes rezones pare creer que seria posible promover y congelar pare su lucrativa exportación una mayor cantidad del pescado fresco de la pesca por enmalle utilizado pare consumo doméstico (por ejemplo, el guachinango). Esto constituye otra fuente no cuantificable de pérdidas económicas pare el sector.
+Las pérdidas y depreciación del pescado curado (transformado en harina de pescado) parecen ser de importancia limitada, a lo que contribuye la fuerte tradición de curado de pescado, el empleo generoso de la sal - resultado de su bajo coste - , y las excelentes condiciones atmosféricas de secado, que reducen grandemente el deterioro del pescado y el peligro de daños debidos a los insectos.
+Reducción de pérdidas
+Si bien se han realizado cálculos de las pérdidas tanto físicas como económicas, los datos sobre los que se basan dichos cálculos deben ser considerados únicamente como preliminares, si se tienen en cuenta la complejidad y naturaleza dinámica de la industria pesquera y de elaboración del pescado. En consecuencia, todo estudio futuro deberia centrarse en el fortalecimiento del programa de recogida de datos, para facilitar cualquier futura evaluación.
+Además de estas perspectivas a largo plazo, parece existir oportunidad para proyectos a corto plazo, encaminados, principalmente, a reducir las pérdidas económicas. Es probable que pudieran obtenerse buenos resultados, mediante actividades de capacitación y extensión dirigidas hacia la producción de un mejor manejo, preservación y cuidados sanitarios. A lo largo del entero informe se presentan recomendaciones en esta dirección.
+<section>Introduction</section>
+As part of a programme of mutual technical collaboration between TDRI and the Central Institute of Fisheries Technology (CIFT), India, a visit was made to Gujarat, India in order to carry out a qualitative assessment of fish utilisation during the peak fishing season and to initiate a programme of quantitative measurement of losses. Specifically this aims to characterise the present industry; to quantify losses during handling, processing and distribution and to identify the principal stages where these occur; and to determine the overall extent and economic importance of losses throughout the season and the factors (such as fish supply, socio-economic or market related) which influence them.
+The methodology and results of this work could have repercussions not only in other areas of India, but also in other fisheries throughout the world where similar problems exist.
+<section>Methodology</section>
+After spending some time on familiarisation and data collection visits to the principal fish landing and processing centres around the Gujarat coast, proposals for a work programme were formulated. These proposals, summarised below, recognised the priority requirement for more detailed and long-term data on various aspects of the Gujarat fishery which would permit more accurate analyses of the present trends in fish utilisation whilst providing more precise information on the extent and impact on the community of the losses in fish which occur. The programme was divided into four main categories:
+Trawler by-catch 'trash' fish: long-term monitoring of catch composition. Fresh fish: long-term monitoring of handling and marketing.
+Cured fish: long-term monitoring of production and development of processing methods.
+Extension and training activities.
+Initial results for the first three of these categories were obtained during the visit, and are presented and discussed. The extent of losses are, where possible, estimated in economic terms.
+<section>Description of the fishing industry</section>
+Resources
+Fishing methods
+Infrastructure
+Handling, processing and marketing
+A description of the Gujarat fishing industry and detailed statistical information can be found in United Nations Development Programme/Food and Agriculture Organization of the United Nations (1979) and Marine Products Export Development Authority (1984a). The review which follows provides some updated information as well as some additional details which are thought to be relevant to the present study on losses.
+Resources
+Representing some 15% of India's total marine catch, the Gujarat fishery is considered to be one of the most important in India. The total fish landings of Gujarat during the 1983 - 84 season were reported to be 244 400 t, of which 91.4% was of marine origin (Government of Gujarat, 1985). This figure has varied little from the 1970s (Figure 1). A breakdown of the major groups of commercial fish is given in Table 1.
+Although the resource potential is generally good, over the last decade there have been signs of local heavy fishing pressure. The catch of the large Veraval trawler fleet, currently comprising some five hundred 10-15 metre boats (Central Marine Fisheries Research Institute, 1983), has changed considerably. The resources, particularly that of shrimp, are stressed by overfishing due to the increase in numbers of shrimp trawlers, and the fishery is becoming increasingly uneconomic. Deshpande et a/. (1970) reported 20% shrimp in the catch from 1966 to 1968, and in 1977 Panicker et a/. (1977) reported 23.5-42.7%. However, by 1979-82 the percentage of shrimp declined to 7.8% with overall catch rates being less than half of their previous levels. Although the data from the present visit are insufficient to draw any firm conclusions, it would appear that the proportion of shrimp in the catch has declined still further (observations showed that shrimp formed 3.5% of the catch of 19
+trawlers sampled during November 1986; data also from Central Marine Fisheries Research Institute, personal communication). This decline in productivity has led to many fishermen and boat operators moving to other more productive areas such as Okha, situated in the north of the state.
+An additional sign of heavy fishing pressure is the fact that although the number of boats increased from 6 258 in 1977 (of which 2 371 were mechanised) to 11 774 in 1984 (of which 4 245 were mechanised), the total catch did not increase (see Figure 1).
+Fishing methods
+The three principal fishing methods used produce catches for distinct and almost mutually exclusive markets (Table 2). Mechanised fishing craft produce about 75% of the state's total catch (Central Marine Fisheries Research Institute, 1983).
+Of these, mechanised trawlers (producing some 38-44% of the state's total catch and 59% of the state's total mechanised catch: Marine Products Export Development Authority, 1984a; Central Marine Fisheries Research Institute, 1983) contribute shrimp for export and a large quantity of by-catch which is used either for curing (i.e. salting and drying or drying only) or for artisanal fish meal production. The by-catch consists of a wide range of mainly small size and low value species and is described in greater detail later (see Table 7).
+Anchored bag nets or dol nets, used mainly to the south and east of Veraval and serviced by mechanised and non-mechanised boats, produce about 25% (although this figure could be as high as 35%) of the total state catch. This fishing method selects quite effectively for Bombay duck which usually constitutes 69-77% of the catch (Khan, 1986). The quantities of by-catch produced by this fishery are therefore much less than those produced by trawling. Bombay duck is used wholly for drying, the product having by far the highest unit value of any cured fish produced in the state.
+Gill netters, both mechanised and non-mechanised (producing about 19% of the state's catch), provide most of the high quality fish for fresh consumption and export as well as large quantities of small elasmobranchs for curing. As would be expected, very little by-catch is produced by this fishery.
+Many variations exist between these types of gear and the craft used. In addition there are traditional gears which may have significant local importance. These are well described elsewhere (e.g. United Nations Development Programme/Food and Agriculture Organization of the United Nations, 1979) and will not be mentioned further in this report.
+Infrastructure
+Of the 173 landing centres situated along the Gujarat coastline, only 18 have any permanent landing facilities such as harbours or jetties. Of the ports visited, Veraval, Mangrol and Porbandar appeared to be the most developed and between them handle about 72% (157 000 t-1984) of the state catch as well as possessing 68% (741 t/day) of the state's ice production capacity and 90% (1 820 t) of the frozen storage capacity. Of the state's total, 2 113 mechanised boats (61%) operate from these ports with just over a half of these being trawlers. About 96% of the existing ice making capacity is in private hands and ice is competitively priced at around Rupees (Rs) 0.20/kg. Ice appeared to be plentiful in Veraval and is transported from there and the other production centres to the more remote landing areas to suit requirements.
+Even where landing facilities exist, they do not appear to be used as effectively as they might. There are several likely reasons for this. In Veraval, although the new landing centre (World Bank financed) is convenient for the shrimp processors, it is located well away from the traditional and established area for fresh fish marketing. Many of the fresh fish merchants (and hence their suppliers) are reluctant to change, leading to a situation where the landing facilities are used almost exclusively by the trawler fleet for landing shrimp and by-catch, while fish destined for fresh distribution is landed both at the beach to the north of the town (Zaleshwar) and at the congested main jetty immediately adjacent to the town. Additionally, although both the landing facilities at Veraval and Mangrol include auction halls with stalls for storage and wholesale of fresh fish on ice, the auction system appears to be little developed here. Most fish is disposed of through prearranged
+contracts with merchants and boat owners, many of whom act as creditors to fishermen and are repaid with a portion of the catch. In these circumstances, much of this handling, marketing and iced storage capacity remains underutilised.
+In other important fishing centres such as Jafarabad and Rajpara where large quantities of Bombay duck are landed and processed (likely quantities are 35 00075 000 t/year), the landing facilities are sparse with most of the fish being landed directly onto the beach. This is, in general, symptomatic of the fact that the greatest investment in infrastructure has been made in the fishing centres which specialise in higher value produce such as shrimp and frozen fish, rather than, for example, cured fish.
+Handling, processing and marketing
+The public sector is heavily involved in major infrastructural development mainly through such programmes as the Integrated Fisheries Development Project, which the World Bank supports, the Centrally Sponsored Five Year Plan Schemes and many other areas of fisheries development (e.g. boat design, and loans for mechanisation, statistics, training). However, it is the private sector which has almost exclusive control of the processing and commercialisation of fish. Attempts by the state government to increase its role in these operations have been largely unsuccessful.
+On-board handling and preservation
+Table 3 presents a classification of the catch indicating values, types of processing and the respective destination markets. It will be noticed that the variation in value between shrimp/Class I fish and the Class V is around two orders of magnitude. This large differential is very important in determining the amount of time and money invested in handling any given part of the catch, a factor which also has an important bearing on the extent of the overall losses occurring. As would be expected therefore, high value products such as shrimp and pomfret will be well handled, whereas trawler by-catch trash fish, which is used for fish meal production, will receive the minimum of attention.
+Fishing boats which go to sea for periods of more than one day invariably carry ice (in block form) but this will be used only to preserve the higher value catch. Observation of gill netters in Mangrol revealed for example, that for 4-day journeys ten 100 kg blocks of ice would be taken on-board. The landings being made for this period were of the order of 1 200 kg, all of high value (Classes 1-111), well chilled and stored in insulated fish holds. Trawlers from Veraval expecting to be at sea for three days would normally take up to seven blocks (700 kg), but this would be used only for chilling shrimp and small amounts of by-catch fish in Classes I and 11. Trips lasting only one day would very rarely involve the use of ice and, in this case, the higher value catch would be sorted and kept as cool as possible on the deck, usually out of the sun. Fish which is to be salted and dried for human consumption or for use as fish meal is never iced although it may sometimes be
+salted on the boat before landing. Generally speaking, landing from the boats is rapid and processing is carried out within a short period afterwards.
+Fresh fish: handling and processing
+It has been estimated that 26-35% (about 50 000-70 000 t) of the total annual catch of Gujarat is used for internal marketing in the fresh form (United Nations Development Programme/Food and Agriculture Organization of the United Nations, 1979; Marine Products Export Development Authority, 1984a).
+Fish which is to be distributed fresh is generally well iced within a short period after landing. The fish is transported to the trader's storehouse where it is mixed with plenty of ice and either dispatched immediately or stored until sufficient has been accumulated to meet the specific market requirement.
+In the more remote landing centres (such as Vanakbara, Jafarabad and Okha) the higher value material will be bought by itinerant traders, iced and then dispatched immediately by truck either direct to inland markets or, more usually, to the major distribution centres such as Veraval and Porbandar where it will be frozen for export or further iced and stored for later distribution. Some merchants, for example, specialise in the higher value by-catch of the Bombay duck fishery, such as Penaeid shrimps and large predatory Sciaenids such as ghol, which are iced and sent to Veraval for processing.
+It was noted that in one of these fishing centres (Vanakbara, Diu Island) well-constructed 500 kg-capacity insulated ice boxes were much in evidence. These are usually financed by the local fish merchants and are used by the mechanised gill net fleet (from outboard motor-powered dug-outs to larger-sized vessels). Questioning the fishermen and merchants about these ice boxes revealed that through their use, longer trips were possible and the fish maintained its quality for longer periods. This is of importance when considering the distance from this landing centre to the main fish dealers in Veraval.
+Fish which is to be exported is usually taken directly from the landing to the processing plant where it is iced or processed immediately. These plants, which are used mainly for shrimp and high quality fish exports, are run exclusively by the private sector. The standards of cleanliness in all of those visited were very good and it is considered that the only major area requiring attention would involve certain aspects of raw material handling prior to its arrival at the packing plants. These for example would include the lack of ice in the one-day catch and the inadequacies in the way the catch is handled once landed; many of the landing areas visited (with the exception of the new landing centre in Mangrol) were very poor in terms of hygiene and sanitation. These handling problems could cause economic losses by reducing the export potential of the final product (see p.24).
+Fresh fish: marketing
+The fact that the majority of the inhabitants of the state are vegetarian has led to the development of complex systems for distributing fish to other parts of India. This involves packing the fish in ice inside second-hand tea chests and transporting either by truck or rail. The usual proportion of fish to ice is 75 kg: 50 kg; more ice is used in the hot season (June-August) which, fortunately, does not coincide with the peak fishing season (September-May). The tea chests are used for one trip only and are purchased by the traders from specialist procurement agents. The chests are sent mainly by road, but also by rail, to the major centres of consumption such as Bombay and Delhi. If delays occur en route some re-packing and re-icing may be carried out; this is more common in the case of fish sent by rail. (For additional information see Indian Council for Agricultural Research, 1980).
+The fish is usually received by commission agents in the large wholesale markets of these cities, one of whom (Ocean Fish Traders located in the Jama Masjid wholesale fish market in Delhi) provided comprehensive information related to this subject. The normal commission on sales is about 6%. Payment, usually made by bankers draft, and telegraphic advice on the price obtained for the consignments of fish sent, are despatched immediately to the respective fish merchant in Gujarat.
+Based on this information feedback, the merchant is then better able to decide on his immediate future requirements.
+Distribution from Gujarat is both complex and fraught with problems, which tends to favour the marketing of the higher value varieties only, as the margins for these are generally higher. This fact also has repercussions on the losses of fresh fish as will be discussed later (see p.23).
+Cured fish: handling and processing
+Fish curing in Gujarat is extremely diverse in nature and employs traditional methods. Owing to the need for fewer infrastructural facilities for the preparation of cured products (i.e. either salted and dried or dried only, for human consumption) in comparison with frozen or iced fish, this industry has tended to develop in a less centralised manner and is located at most of the fish landing centres along the coast. The range of products made is extremely diverse and there is much variation between the type of processing used, even for the same species. For example, one variety of small Sciaenid (dhoma-from the trawl by-catch) is salted and dried in five subtly different ways giving a product varying in price from Rs 4.5 to Rs 10.0/kg. This great variety of traditionally-cured produce reflects the diversity of demand in the Indian markets as well as in export markets such as Sri Lanka, Hong Kong and Singapore.
+The main types of cured produce are listed in Table 4 with indications, where available, of values and markets. Once again the market value dictates the amount of time and economic investment made in handling and processing. Low value products such as small ribbon fish are sometimes sorted from the trawl by-catch and receive a minimal salting or are simply dried unsalted. Medium-sized Sciaenids (dhoma), however, may be split and salted on the fishing boat and further processed after landing.
+The production of cured fish used for human consumption can be conveniently divided into three main groups: dried Bombay duck, salted and dried elasmobranchs (shark, skate and ray) and others.
+Bombay duck The greatest social and economic investment in the fish curing industry of Gujarat is undoubtedly centred on Bombay duck. The principal production centres visited in the south and east of the state (Jafarabad, Rajpara and Nawabandar) produce an estimated 9000 t of dried Bombay duck per season (September-January). This represents about 75 000 t of wet fish and is valued at approximately £7 million in retail terms. It is interesting to note that this figure (derived from observation and conversations with fishermen, processors and merchants) is almost double that of the available statistics (e.g. Central Marine Fisheries Research Institute, 1983). Most of the population dependent on this fishery is migratory and situated in large temporary encampments adjacent to the fish landings. In Jafarabad alone there are estimated to be 10 000-15 000 people dedicated to this operation which is largely centred on the family, the men providing the fish and the women and
+children carrying out the complex drying operation.
+Bombay duck is dried on scaffolds consisting of ropes stretched between vertical poles approximately 2-3 metres in height. Most scaffolds are about ten sections long, each section carrying 400-500 kg of fish. In Jafarabad over 250 scaffolds were counted and these were fully utilised giving a total drying capacity at any one time of over 1 000 t of wet fish. The drying time is 3-4 days with a percentage yield over wet weight of about 12%. This low yield is due to the high moisture content of the raw material (85-90%).
+The low value by-catch fish from this industry, consisting mainly of non-Penaeid shrimps, golden anchovy and small Sciaenids (see Table 5), is dried on the ground between the Bombay duck scaffolds. It is usually separated into species and used for human consumption. The remainder (e.g. juvenile Bombay duck, small mixed fish and crustacea) are generally used for fish meal after drying in the sun.
+Salt is not used in the Bombay duck producing areas for any of the cured produce despite its ready availability and low price. This is because Bombay duck, the bulk of the catch, is traditionally an unsalted product and apparently no custom of using salt has developed in the community.
+Elasmobranchs Very large quantities of these (over 10 000 t wet weight: Marine Products Export Development Authority, 1984a) are used almost entirely for curing. They are caught mainly by gill netters (small shark) but are also landed with the trawl catch (skate and ray). Once again, there is great diversity in the product and the market. Heavily-salted and dried split whole small shark for Southern India appears to be the most popular product followed by wet-salted semi-dried shark or ray which finds a ready market in Madras and Sri Lanka. The more expensive varieties of larger shark are also cured. In this case the high value fins are dried for export thus effectively offsetting the higher beach prices payable for them. Salting is carried out either by kench piling on hard stony ground or on a concrete platform, or by wet-salting in impermeable concrete tanks. The process can vary from processor to processor according to tradition and knowledge. Owing to its low price (Rs
+0.2/kg) and ready availability, it is common to use plenty of salt. The final salt content of the product is regulated by the salting time which may vary from one day for small kench piles, to several weeks for wet-salted fish in brine. Drying is normally carried out on hessian matting spread out on the ground and usually takes 1-3 days. Many of these products are manufactured in large quantities by migratory processors from Southern India. Shark liver oil is extracted on a small scale and is used as a waterproofing material on dugout canoes. An oil extraction plant used to operate in Veraval but this ceased to function several years ago.
+Other cured products These comprise a large group of products the most important of which utilise ribbon fish, small Sciaenids (dhoma), tuna, Clupeids (e.g. Pellona spp.), anchovy and Lactarius lactarius. Traditional processing methods are extremely varied and often complex. Ribbon fish for example may be dried salted or unsalted, or even salted as an intermediate moisture product. Dhoma may be split and salted on-board or immediately after landing and can be classified according to size, cuts, etc. The observed salt:fish ratio varied from 1:10 to 1:1 and this is reflected in the results of product analyses carried out by CIFT (unpublished data). Drying is carried out on the ground on small stones, beaten surfaces or concrete depending upon availability of space and, more importantly, the value of the product.
+Cured fish: distribution and marketing
+Merchants or their agents located in the processing centres, buy and stockpile the dried produce for short periods sending regular consignments to Bombay or further afield by road. Bombay duck and ribbon fish are stored and transported in bales whilst gunny bags are invariably used for other dried fish.
+Fish meal
+The artisanal fish meal producing sector in Gujarat is also extremely important from both the economic and socio-economic points of view. This is especially so in Veraval which has many hectares of land in and around the town used for drying. The market for meal is ever increasing with the development and expansion of chicken battery farming in, for example, Punjab, Andhra Pradesh, Kashmir, Karnataka and Tamil Nadu and especially at Poona where one of the largest battery farms in Asia is located. Competition between manufacturers is therefore very great, producing a disincentive to any form of capitalisation of the industry which has, as a result, tended to remain non-mechanised and labour intensive.
+The industry is centred on the use of 'trash' fish (Gujarati 'kutta' meaning waste) from the trawl by-catch, the material left over after the higher value species have been sorted out. As mentioned earlier, this now makes up a large proportion of the catch (62%) and is likely to have become increasingly important to the economy of the fishing operation. For this reason it would be expected that most of the by-catch trash is landed rather than discarded at sea. Significantly, observations made during a trip on a local commercial trawler, as well as through discussions with fishermen and traders, revealed that 100% of this material is now landed with no wastage occurring. This fact has important implications on the losses occurring and these will be examined later.
+During the fishing operation, the higher value shrimp and large fish are separated from the catch, a laborious process which often takes many hours per haul and may not be completed until some time after the boat has returned to port. The remaining trash is left on deck un-iced. On 2-3-day trips some salt may be shovelled on top to reduce the spoilage. Upon landing, the trash is carried off in motor rickshaws, bullock carts or other means of transport, to the nearby drying areas where it is spread out on loose ground (normally sand or soil) as thinly as possible and left to dry in the sun. The drying time ranges from 3 to 4 days, and is carried out until the moisture content has dropped to approximately 15-20%. The dried mass is packed into gunny bags and sold to merchants who pulverise it into a meal, repack and sell to itinerant buyers coming from the various inland markets. Most of the pulverising plants are situated in Veraval which has a total estimated annual
+production capacity of 15 000-20 000 t. These plants buy raw material from dryers as far away as Okha in the north. Table 6 provides some information on price structure, composition and production yields for this product.
+Only two mechanised factories exist in Gujarat, at Veraval and Mangrol. The Veraval plant, which is now non-operational, was almost identical to the Mangrol plant which by contrast is fully utilised. This conveniently allows comparisons to be drawn between the two. Both were built in the early 1970s to serve the by-catch of an increasing trawler fleet but whereas the Veraval plant did not invest in the fishing sector, the Mangrol plant did. Subsequently therefore, whilst the latter was assured of a constant supply of raw material for production, the former was not and began to find the competition from the labour-intensive artisanal producers too great to remain in operation (personal communication). Meanwhile the Mangrol plant had been able to dominate the market for almost all the trash fish caught by that fleet and so effectively excluded any competition. Additional factors such as the ready availability of groundnut husks for fuel, the fact that Mangrol has a smaller
+fleet and the promotion of the high quality aspects of this meal, have helped the latter to become a successful small enterprise. An interesting additional point is that localised air pollution caused by artisanal production of fish meal (such as that currently encountered in Veraval) is non-existent.
+Any future developments in the fish meal industry would have to take account of these factors as well as other socio-economic considerations such as the importance of this industry as a source of local employment.
+<section>Estimation of losses</section>
+Introduction
+Definition of losses
+General nature of losses in Gujarat
+Assessment of losses from trash fish and fish meal production
+Impact of losses
+Assessment of losses from fresh fish
+Impact of losses
+Assessment of losses from cured fish
+Impact of losses
+Introduction
+In the previous section an attempt was made to characterise the fishing industry of Gujarat and put into perspective what are regarded as some of the more important factors which influence losses in the region. In this section a detailed examination will be made of the data gathered during the visit on actual losses, and assessments will be made of the impact of these on the industry. The data were obtained both by observation and discussion with people related to the industry as well as by direct quantitative measurements. Much of the data presented, can, however, only be regarded as preliminary. Indeed the need for continuous monitoring in order to identify overall trends in utilisation, cannot be over emphasised.
+Definition of losses
+In the context of this study losses are expressed in economic, physical and nutritional terms. The first of these (economic losses) implies a net reduction in potential revenue from a given lot of fish; the second (physical losses) means a direct loss of nutrient material, and is taken in this case to imply a loss in water-free solids (Food and Agriculture Organization of the United Nations, 1981); the third (nutritional losses) implies a reduction in nutritional value or increase in toxicity of the product.
+The causes of losses are complex. They can be related both directly to inadequacies in handling, preservation and processing, and indirectly to marketing considerations such as demand and supply, and product value. Socio-economic factors such as the general ignorance of the importance of hygiene, sanitation and good processing technique can also be a major cause of loss.
+General nature of losses in Gujarat
+Over- or under-utilisation?
+The overall utilisation of the total catch in Gujarat is considered to be very high. There is little evidence of gross physical losses caused, for example, by the dumping of low value by-catch at sea, a practice which certainly takes place in other regions of India: off the east coast large quantities of by-catch are dumped into the sea by the 20-30-day shrimp trawlers (personal communication from trawler fleet owner); trawlers operating from Bombay also discard trash by-catch at sea owing to the lack of space for drying and unfavourable drying conditions (personal communication from boat owner-skipper; see also Indian Council for Agricultural Research, 1980).
+In spite of the fact that the catches of the various fleets comprise an enormous range of species whose value may vary by up to two orders of magnitude (see Table 3), this high level of utilisation is stimulated by two important factors: the strong demand for a diverse range of fish products (see p.13); and the presence of a well-established curing industry owing its existence principally to the excellent atmospheric drying conditions.
+Economic losses
+As a result of a combination of handling and socio-economic factors, fish tend to be downgraded into lower value categories. This results in economic losses throughout the industry and at all levels of operation which are likely to be extremely important. They range from the use for reduction into fish meal of small fish which would more efficiently be used for direct human consumption, to the use for domestic consumption of potentially high value fish which could be exported. Data have been gathered from fishermen, processors and traders and although firm conclusions can only be made through long-term observation, it would appear that a significant economic loss is borne by the fisheries sector as a whole.
+Physical and nutritional losses
+In Gujarat itself, net physical losses caused by poor handling, processing and spoilage are not considered to be of great significance in fish which is destined for human consumption. However, insect infestation is likely to be a problem during long-term storage of fish products in the main consumption and distribution centres such as Bombay. This will be the subject of a separate study. Nutritional losses are also unlikely to be significant in fish for human consumption except in the case of cured pelagic fish such as tuna, where the excessive rancidity observed, and the likelihood of histamine development, could pose a risk.
+Conversely, however, in fish used for fish meal production, both net physical losses and nutritional losses can be expected to be fairly high. Toxicity produced by the sometimes high proportion of puffer fish in the trash raw material (up to 22% recorded in one sample) could also pose a problem.
+Some of these aspects will now be discussed in relation to the major fish products: fish meal, fresh fish, and cured fish.
+Assessment of losses from trash fish and fish meal production
+Background to study
+In spite of the large catch of low value by-catch trash (estimated currently to average 62% of the Veraval trawler hauls) very few data are available on a number of important factors which have an influence on losses:
+Trash composition and landings: the actual amounts landed, the overall composition of this material and its variability throughout the season.
+Potential for human consumption: although the present poor handling practices on the fishing boats are seen as the most important obstacle to any attempt at upgrading this material for human consumption, there are indications that, since the early 1980s, increasing amounts of smaller fish have been used for salting and drying purposes in some of the important fishing areas of Gujarat. The products find ready markets especially in Southern India where small fish are much in demand. At present, no data are available on the significance or magnitude of this drift in utilisation.
+Mothods of handling and preservation: whilst it is clear that wastage is still occurring, with many potentially good fish being used for fish meal, little work has been done locally to determine a simple means of preserving more of these fish during the fishing operation.
+Losses occurring: owing to long delays and poor handling practice, the amount of trash lost through advanced spoilage prior to processing into fish meal is likely to be great. As yet, no quantitative measurements have been made on the economic, physical or nutritional losses incurred.
+Work carried out
+The work carried out attempted to address some of these outstanding factors and laid emphasis on the following points: the instigation of a boat sampling programme in Veraval and the Bombay duck landing centres in order to gather data on trash fish composition and quantities; the potential for upgrading certain species of trash fish and methods of simple on-board preservation; and quantitative measurements of loss during production under commercial conditions.
+Sampling programme: initial data for trawler by-catch trash fish composition and utilisation are presented in Table 7. Data for Bombay duck by-catch have been presented in Table 5.
+Several facts emerge from the sampling work carried out:
+- the extreme species diversity;
+- the large range in the proportions of the various species, which will certainly change throughout the season (see for example Rao and Kasim, 1986);
+- the reasonable level of sorting by the crew of higher value species from the by-catch thus limiting the potential for upgrading fish from the trash. During the period of the visit, most of the small fish (i.e. <15 cm overall length) had been sorted out from the by-catch and, in the case of longer trips, split and salted or simply mixed with salt on deck.
+- the absence of gross discard of trash at sea (corroborated by many local fishermen).
+- the high selectivity of the Bombay duck fishery and reduced problem of trash disposal compared with the trawl fishery.
+- much of the trash from the one-day trawlers and Bombay duck boats examined was of reasonable quality, whereas trash from the 2-3-day trawlers was generally poor.
+Potential for upgrading: for the purposes of this study, upgrading was considered to imply the improved utilisation for human consumption by simple curing of fish which would otherwise be used for fish meal. The potential for development of new products such as minces was not considered.
+In this context it is felt that some potential exists for three groups of fish which were consistently found in reasonable quantities in the trash: ribbon fish, Upeneus spp. and small Clupeids (Pellona spp.) amongst others. At other times of the year it is suspected that as the abundance of small Sciaenids, silverbelly and Lactarius spp. increases, these too could offer greater potential. As yet no quantitative data is available on these however.
+Trials were carried out on-board to assess the best way of preserving the small Pellona spp. By mixing fresh, whole and uncut fish (averaging 15 cm overall length) with salt (in the proportion of 2 parts fish: 1 part salt) in an impermeable plastic fish box, simple and effective preservation could be achieved. Table 8 illustrates the losses and weight yields which can be expected using this method. The economics and advantages of employing an extra crew member to sort and upgrade a proportion of the trash, in comparison with its sale as raw material for fish meal, will be discussed later (see p.22).
+Quantitative measurement of actual losses in fish meal production: in order to justify the need for either improving the technology used for local fish meal production or upgrading a proportion of the trash for human consumption by improved handling and preservation, tests were carried out to determine the actual extent of the losses occurring.
+A quantity of freshly-caught trash material was sorted during a fishing trip on a commercial trawler. The Pellona spp. and Sciaenids were separated from the other species and the three lots were allowed to spoil in jute sacks (at 20-25°C) for 24 hours and dried in a commercial drying yard for 3 days, when they appeared to be fully dried. Throughout the trial the individual lots were weighed and sampled. Analyses were subsequently carried out for moisture and 'sand' content allowing a reasonable assessment of the overall loss in solids during production. The results are summarised in Table 9.
+These tests highlighted the following points:
+- the overall solids loss for the integral trash material during processing was significant (-19.3%) whilst the 'perceived' loss was negligible (+1.1%). The high sand content which produces this result is due both to the loose nature of the drying surface and the large surface area of the trash to which the particles easily adhere.
+- the greatest true solids loss was incurred by the whole Pellona spp. (-27.9%) which, owing to its high oil content (19%) and low surface area: volume ratio, dried slowly and favoured the development of blowfly larvae. Upon examination, many of these fish were hollowed out. Larvae appeared within the first day of drying, presumably emerging from the loose soil beneath, or from nearby material at various stages of drying.
+- there is a tendency for the material (especially the integral trash) to stick together during processing. If care is not taken to spread the material as thinly as possible on the ground, drying will be slowed down favouring infestation and development of blowfly larvae.
+- the natural drying conditions in Gujarat are excellent with very low relative humidity, constant bright sunshine and prevailing breeze. As would be expected, this generally inhibited blowfly larval development in the smaller material with a high surface area: volume ratio (dhoma, sole) and for these species the losses during the drying stage are lower than in the integral trash and Pellona spp.
+- comparison of the losses in dried fish with those in salted and dried dish (see Tables 8 and 9) shows, as would be expected, that losses are greater in the former.
+In general therefore, solids losses in fish meal production are likely to be significant both prior to and during the processing operation, the extent of the losses being determined by the factors outlined above.
+Impact of losses
+Trawler by-catch trash
+When the dried trash is sold to the pulverising agent, it is sold by weight and no direct account is taken of the sand content, at least within the range experienced in the trials above. Certainly no premium is paid for raw material with low sand content and the price is paid according to the perceived weight. Any significant reduction in the loss of nutrient material would almost certainly imply an increase in capital investment over the present system, an unattractive proposition given present levels of competition. In addition, attempts to improve product quality by reducing the sand content (for example by promoting the use of concrete slabs for drying) would run the risk of reducing the producer's revenue.
+A more feasible solution to reduce losses in trash fish would therefore be an attempt to upgrade a proportion of the catch for human consumption. In order to demonstrate this, in the following analysis (Table 10) a comparison is made between identical lots of 'typical' trash, one of which is used entirely for fish meal and the other further sorted and a proportion upgraded into cured products. Certain assumptions are made:
+- that a market exists for the cured produce: a number of processors indicated that they could sell much more than their existing production and that the increased utilisation of some species from the trash would be one way of fulfilling this demand. that an extra crew member would be recruited to act as sorter
+and salter.
+- that there are no socio-economic constraints such as an inflexible contract between merchant/boat owner and fishermen to land trash fish only for fish meal; this could well be an important constraint to this development.
+- that the fish composition does not vary throughout the season: as has been mentioned however, this is unlikely to be the case. Until further long term data has been gathered, this cannot be quantified.
+- that the average landing of trash per day per trawler is 500 kg and only species occurring in quantities above 5% would be considered because of complications of sorting.
+From Table 10 it can be seen that the potential overall increase in revenue to the industry based in Veraval is about Rs 4 million with an estimated increase in production of about 8 000-10 000 t/year of cured fish products (i.e. 75% of the existing state production of dried fish).
+Whilst there appears to be a significant economic advantage there are many potential problems some of which are related to the assumptions made above. In addition, considering the inconvenience of any increased activity on the relatively small boats during fishing operations, the economic advantage is probably too small (at Rs 41.5/boat/day) to encourage many operators.
+Bombay duck by-catch
+With respect to this material, observations revealed that utilisation was high. In comparison with the trawl by-catch trash, there is a much smaller proportion, the species diversity is lower, and sorting and processing into products for human consumption is easier and more effective. Further sorting occurred even after drying to separate shrimps and small fish. It is considered, however, that certain aspects of handling, principally hygiene and sanitation, could be improved upon. In many cases dried fish was contaminated with sand and this is likely to depress market value and lead to economic losses.
+Assessment of losses from fresh fish
+Background to study
+The long distances involved in the transportation of fresh fish (e.g. Veraval to Bombay, over 24 hours by road) and the high ambient temperatures, in combination with the poor quality packing materials, would be expected to increase the risk of losses occurring. However, many Gujarati traders deny that there are any substantial losses.
+A major study aimed at investigating the various technological problems associated with the transportation of fish in India was carried out by CIFT in the 1970s (Indian Council for Agricultural Research, 1980). Despite a lack of comprehensive quantitative data, the report of this study does provide some information on the quality and losses of fish from Gujarat. Reference is made to the quality of fish arriving in tea chests in Bombay (80% in 'acceptable' condition) and Calcutta (90% in 'fair' condition). The final report states that the overall losses due to spoilage ranged from 10% to 25% and could be eliminated completely through the use of insulated boxes, as demonstrated by extensive trials carried out with expanded polystyrene-lined tea chests.
+Work carried out
+Although at this stage it was impossible to implement a long-term product monitoring programme in the manner envisaged, useful data were nevertheless obtained through ad hoc visits to the landing centres and discussions with those concerned within the industry. Useful data were also obtained from Delhi's Jama Masjid market as well as from the work carried out previously by CIFT (Indian Council for Agricultural Research, 1980). Ideally, the work would later be extended to cover the quality of fresh fish in Bombay's wholesale markets.
+General observations
+Although under the circumstances outlined above it is difficult to make any quantitative judgement on the extent of actual losses in fresh fish, a number of conclusions can be drawn from the visit as to the nature of the losses occurring:
+- primarily, those of an economic nature caused by downgrading or non-realisation of export market potential owing to a combination of poor preservation of fish and poor hygiene and sanitation at the landing centres.
+- secondarily, those of a physical nature caused by drip loss and spoilage during handling and distribution.
+In spite of these losses, it is highly unlikely that fresh fish, even though this may have become spoiled, will be totally lost to the system. Depending on the degree of spoilage and the stage at which this occurs, the fish will either be diverted at source for salting and drying, or be sold at lower prices at the destination market.
+The large demand for fish and fish products ensures that the overall utilisation of fish is extremely high.
+Economic losses: exports
+The use for domestic consumption of potentially exportable produce can be thought of as a source of economic loss. Although losses in potential exports are impossible to quantify accurately, discussions held with a number of overseas buyers in Gujarat during the visit confirmed that they are likely to be of importance. Buyers from both Australia (red snapper, other perch, small shark) and Hong Kong (hilsa and shrimp) expressed concern about the extremely poor sanitary conditions at the landing centres and the insufficient use of ice. Nevertheless, most exporters are conscious of these problems and there are indications that improvements are leading to increasing exports of fish products such as ribbon fish (markets in Gulf States, Hong Kong and Japan), small shark and Epinephelus spp. Significantly, one of the main Veraval exporters handling these products stated that he could only guarantee raw material quality by financing his own fishing operation. Most of his high
+quality fish was caught by hook and line by previous agreement with the fishermen. Occasionally some was bought from gill netters but never from the trawler fleet. A premium price was payable for this quality, Rs 2 or 3/kg above the usual price.
+Economic losses: domestic markets
+Information gathered from numerous agents in the Jama Masjid market in Delhi (see p.12) indicates that on average 10-15% of fish arriving from Gujarat (mainly from Veraval) is not of prime quality and is sold for about 50% of the full market price. The large population in the urban centres ensures that there is always a demand for low-priced fish. Examination of samples of this fish showed that it tended to comprise the lower value varieties (such as small Sciaenids, tuna and catfish) and especially those packed toward the outside of the tea chest. Spoilage is likely to be greater in these lower value varieties of fish for the reasons discussed above (i.e. Iittle use of ice and less care invested in their post-harvest handling prior to landing in comparison with higher value varieties). Further problems in their marketing are demonstrated in Table 11 which shows the greater inherent financial risk involved. This situation tends to favour the marketing of higher value
+species. Clearly, further information is required to confirm this and permit more detailed analyses. This should be provided through the survey of Bombay markets currently being undertaken by CIFT (Bombay).
+Physical losses
+In both Bombay and Delhi, a weight loss of 5% is automatically assumed: when fish arrives at the wholesale markets it is customarily weighed into 42 kg lots which are then auctioned off as 40 kg (Agarwal, 1977; personal communication). The All India
+Study (Indian Council for Agricultural Research, 1980) reports comprehensively on the various changes in fish composition.
+Impact of losses
+The economic implications of the sources of loss described are difficult to quantify. The lack of accurate and long-term data on amounts, quality and species of fish gathered from the major production and marketing centres is seen as being a major obstacle here. The following analysis (Table 12) should therefore be regarded as tentative. Once again certain assumptions have been made for convenience:
+- data on economic losses are based on the work described above and extrapolated to cover the total amount of fresh fish marketed from Gujarat. a drip loss of 5% has been assumed for all fish marketed fresh;
+- the market value is based on figures obtained in Jama Masjid wholesale market, Delhi and the downgraded value is assumed to be 50% of this;
+No attempt is made in this analysis to assess the increases in revenue through the upgrading of fresh fish for export. The many variable factors such as export value, surcharge for high quality raw material, increased production, storage and shipping costs are unknown quantities. Even so, it can be seen that the conservative figures for assumed losses reveal a large total economic loss to the sector of over Rs 70 million (i.e. around 10% of the total annual revenue from this industry). Although the bulk of this loss is borne directly by the marketing sector, principally the Gujarat merchants, they have much influence over the development of the fishery in terms of the provision of capital to fishermen and other more direct investments. However, it is not clear whether attempts to reduce these losses and increase the income of the fish traders would lead to improvements being made to the fishing sector generally.
+Insulated ice boxes would be one way of reducing losses, firstly by reducing the ice meltage (although ice represents only a very small proportion of the fish cost as shown in Table 11), and, secondly, by helping to eliminate the downgrading which occurs. The All India Study (Indian Council for Agricultural Research, 1980) reports comprehensively on the use of expanded polystyrene (EPS)-lined tea chests but the industry has failed to take up any of the ideas. Possible reasons for this are:
+- the containers cannot be recovered and used again so their cost has to be very low.
+- all fish is sold anyway with an acceptable degree of loss to the traders.
+- competition from other merchants and demand for low retail prices keep any capital investment at a minimum.
+Assessment of losses from cured fish
+Background to study
+Despite the fact that Gujarat produces some 75,000-100,000 t/year (net weight equivalent) of cured fish valued at around Rs 135 million, and employs over half of the quarter of a million people involved in the state fisheries, very little information is available on quantities, quality and type of products manufactured and marketed by this sector. As with the other product groups covered in this report, recommendations are made to improve upon this situation and enable better assessments to be made of the overall losses occurring.
+Work carried out This emphasised the following:
+- product monitoring programme: although this could not be established on a permanent basis as had been envisaged, much data was nevertheless obtained during ad hoc visits made to a number of processors and merchants at the landing centres (principally Veraval, Porbandar, Jafarabad, Mangrol and Okha).
+- product yields and losses: a trial was carried out using small Clupeids (Pellona spp.) and results were compared with those described for trash fish.
+General observations
+It is apparent that the losses occurring in cured fish can be regarded as follows:
+- primarily, economic in nature arising from the downgrading of poor quality material into lower value products used either for human consumption or for fish meal.
+- physical losses due to insect infestation or loss of solids during processing. These, however, are regarded as being of little importance.
+As with fresh fish, total discard does not occur, poor quality material being sold at proportionally lower prices rather than being thrown away.
+Economic losses
+The quality criteria which determine the value of many products are very well defined with rejection often occurring for only minor defects in appearance, or too high moisture content, etc. It is of interest to note that different markets appear to demand different quality: produce for Kerala and Southern India generally tends to be of superior quality to that destined, for example, for Assam. Passive quality control appears to be effectively carried out by the dominant section of the migrant processing population from Southern India who process fish with great care and ensure that the product reaches the market in prime condition. It is estimated that economic losses from these higher value products (such as salted dried shark) are very low due mainly to this processing expertise.
+On the occasions when products do not reach the quality standard of one particular market, they will be sold either to another perhaps less demanding market or utilised for fish meal. This downgrading due to poor quality, which was observed on several occasions, occurs mainly in the lower value varieties of product such as those deriving from the trawler by-catch (e.g. dhoma, ribbon fish), or the lower value cuts from large shark, skate and ray. The quality of these suffers because of either poor initial post-harvest handling or inadequate processing (see p.13), and is often the result of small-scale or opportunistic processing which is a common practice in the production centres.
+When poor quality products are sold for fish meal manufacture, the salt content is an important factor in regulating the amounts used. It will be noted from the analyses presented in Table 6 that the salt content of fish meal averages about 5%. This is considered to be high.
+With regard to Bombay duck drying, economic losses appear to occur according to minor differences in product quality. The highest quality product ('Disco') is dried on the boats and presents no problems with insect filth. At the other end of the scale, the lower quality product is one which is contaminated with sand and dirt and is incompletely dried. Insufficient time was available to measure the magnitude of these economic losses during the visit. However, the overall efficiency of Bombay duck drying (an enormous operation by artisanal standards) is regarded as being high.
+Physical losses
+In all cases sun drying of fish in Gujarat is helped by the excellent atmospheric conditions of low relative humidity, wind and continuous sunshine which both impede blow fly attack and increase the rate of drying. In addition, these conditions favour the production of solar salt, resulting in large quantities of low priced material. This combination of factors help explain why the gross physical losses, caused principally by insect infestation, which may occur elsewhere in India and other parts of the world, are kept to a minimum. This has led to the strong and successful tradition of fish curing in this region of India.
+Indeed, only on few occasions was insect infestation observed in fish being cured, or in cured products, for human consumption and this was usually in fish which had already been downgraded for fish meal. On no occasions were 'salt resistant' blow fly larvae seen (see Poulter and Walker, 1986) and blow fly larval infestation was strictly limited to trash fish being dried for meal. Many small warehouses and stores were examined, in which cured fish had been kept for periods ranging from a few days to 2 months. The following examples given are considered as typical:
+- where salted and dried shark was examined (often in temporary stores in the encampments at the northern landing centres, sometimes holding 10-20 t of product awaiting transport), on no occasion was insect infestation seen. Neither was it reported to be a problem.
+- in Dui (Kalpana Freezers) a store containing 75 t of salted dried tuna and leather jacket was visited. This had a slight problem with mould growth (after 6 weeks storage) but no insect infestation.
+- a small amount (estimated visually at less than 5%) of small Clupeids (Pallona spp. and razor edge) drying on scaffolds in Okha, presented some beetle contamination (Dermestes spp.). Their high oil content and soft flesh is likely to make these species more susceptible to infestation.
+- an 'open-air' store of 15-20 t of tuna under tarpaulin was visited in Veraval. This had some beetle infestation (high oil content) but was also extremely rancid (see overleaf Nutritional losses).
+- a pulverising agent in Veraval (Veraval Fertilizers) had about 3 t dried ribbon fish of which about 5% was physically damaged by beetles, probably due to the lack of salt and too high a moisture content (his explanation). However, this was stored outside, appeared to have been there for a long period and was adjacent to fish meal raw material and product which presented both Necrobia and Dermestes contamination.
+- neither of the two 'mechanised' fish meal plant owners reported problems with infestation although the Veraval owner expressed some interest in fumigation techniques for periods of long-term storage.
+- no insect infestation was observed or reported at the main cured fish producers in Veraval (e.g. Honest Dried Fish).
+Quantitative measurement of actual losses
+Although physical losses as assessed by observation appeared to be small, a trial was set up to attempt to quantify them.
+One lot of freshly caught Pellona spp. was salted on a commercial trawler using 2 parts fish: 1 part salt. The whole tin-cut fish and salt were layered into an impermeable plastic fishbox and left for 3 days after which they were washed in fresh water to remove adhering salt, drained and dried for 4 days in the sun in a commercial drying area. The material was weighed and samples were taken prior to, during and after processing and loss was assessed as described on p.19 by measuring the loss in total solids. Table 8 summarised the results of this test.
+As can be seen, in this case losses were negligible. Further work is required, however, to measure losses (physical and nutritional) in, for example, fish cured in brine or left in kench piles for long periods where protein and mineral depletion may be a problem.
+Nutritional losses
+Salting and drying of tuna such as Euthynnus affinis, skipjack and yellowfin, observed mainly in Mangol and Veraval, often results in a badly oxidised product. The high oil content also leaves the flesh fairly soft and more susceptible to insect attack, a problem which may become serious at the destination market or store. In addition, tuna is prone to histamine development and poor post-harvest handling will exacerbate the problem. Whilst rancidity does not appear to jeopardise the market (indeed it is a prerequisite for this product) there could be toxic effects caused by high levels of rancidity and the development of toxic amines.
+Impact of losses
+Owing to the complexity of this industry, it is not possible at this stage to quantify losses in economic terms. However, it can be stated that the physical losses occurring in Gujarat during processing and storage are likely to be low and significantly less than those incurred during long-term storage at the distribution centres such as Bombay.
+A reduction in the economic losses in fish curing operations could be achieved by improvements both in preservation prior to processing and in processing itself. Clearly socio-economic factors will play an important role in both of these.
+<section>Conclusions</section>
+The overall utilisation of fish in Gujarat appears to be high with very little evidence of the catch being wasted or lost from the system. However, as a result of a combination of poor handling and socio-economic factors, fish tends to be downgraded into lower value categories with the result that economic losses suffered by the industry as a whole can be regarded as significant. Such losses are incurred at all levels of production from the use of good quality fish for producing fish meal, to the non-fulfillment of export potential.
+It can be seen that the impact of the losses caused by product downgrading outweighs that caused by physical losses through such vectors as insect infestation. Although the net result of this is to reduce revenue to the fisheries sector in general, it does in fact have the important effect of increasing the general availability of low priced fish to the consumer, the demand for which is certainly very great. Whether nutritional factors such as toxicity from amines, rancid fish oils or pathogenic bacterial contamination represent a great problem in this downgraded material is uncertain but considered unlikely. Toxicity of fish meal caused by puffer fish toxin may be a more serious problem.
+Although a strong market demand for fish meal as well as an increase in the availability of trawler by-catch trash raw material are factors which have led to a proliferation in fish meal manufacture, it is felt that there is room for improvements in the utilisation of this trash raw material in terms of its potential use for human consumption. It has been estimated that by improving the sorting and preservation of trash, up to one half could economically be upgraded into products for human consumption which already have a market. However, although this would provide an additional source of low-priced food fish for the Indian population, it may also deprive the market of raw material for fish meal.
+Overall economic losses to the fisheries sector due to downgrading, failure to fulfil export potential, spoilage and insect infestation have been estimated as follows:
+- fresh fish domestic market (loss of export markets not included): Rs 70 million (@ 10% wholesale value);
+- trash fish/fish meal: Rs 4.15 million (@ 1% of actual value);
+- cured fish: too complex to estimate given the present state of knowledge, but expected to be small.
+Note: Although losses of fresh fish occurring in the destination markets are included in the above analysis, the losses incurred by cured fish and fish meal (e.g. by insect infestation) are not. These would certainly have a marked effect on the estimated figures for loss.
+Insect infestation of fish products for human consumption in Gujarat is not a problem. This is due principally to the excellent drying conditions prevailing during the fishing season and the liberal use of salt. Where salt is not used (e.g. Bombay duck, ribbon fish) the use of drying scaffolds helps to prevent infestation. Nevertheless, some minor improvements could be made in the processing of some of the lower value products (derived for example from trawl by-catch) to ensure that these are well salted and dried.
+Insect infestation during fish meal manufacture is more of a problem due to the lack of salt and the material's tendency to agglomerate. Improvements over the existing types of processing, however, would be hampered by the impracticability of further capital investment in this area.
+Insect (beetle) infestation in all cured products, especially those with low salt and improperly dried, is reported to be a problem during later storage and distribution in the major marketing centres away from Gujarat.
+Future work in this field should emphasise the importance of establishing continuous monitoring of the more important fishery products destined for internal markets, to further identify and quantify losses and, in order to reduce these losses, to apply improved methods of handling and processing which are appropriate to existing systems. A major effort should be made to promote these methods and to advise on the needs and advantages of improved hygiene and sanitation in key landing areas.
+<section>References and bibliography</section>
+BADONIA, R. (1981) Cooked and frozen lobster. Seafood Export Journal, 13 (7), 1 -2.
+BADONIA, R. (1986) Review on processing of Bombay Duck. Seafood Export Journal, October, 9-12.
+BADONIA, R. and DEVADASAN, K. (1980) Frozen storage characteristics of ribbon fish. Fishery Technology, 17, 125-126.
+BALACHANDRAN, K. K. and MURALEEDHARAN, V. (1975) Studies on Colombo curing of mackerel (Rastrelliger kanagurta). Fishery Technology, 12, 145-150.
+CENTRAL MARINE FISHERIES RESEARCH INSTITUTE (1983) Marine Fisheries Information Service-Bulletin No 52, Technical and Extension Series. Cochin, India: CMFRI.
+CUHAY, N. D. (1985) Studies on some aspects of profitable utilisation of trash fish for human health and nutrition. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+DAMLE, S. P., GARG, D. K., NARAYANAN NAMBIAR, V. and VASU, N. M. (1986) Quality of fish preparations served in catering establishments in Bombay. Fishery Technology, 23, 53-56.
+DESHPANDE, S. D., SIVAN, T. M. and RAMA RAO, S. V. S. (1970) Results of comparative fishing trials with rectangular flat and rectangular covered otter boards. Fishery Technology, 7, 38-41.
+DEVDASAN, K., MURALEEDHARAN, V. and JOSEPH, K. G. (1975a) Pickle curing of fish using tartaric acid and garlic as preservatives. Fishery Technology, 12, 156 - 160.
+DEVDASAN, K., MURALEEDHARAN, V. and JOSEPH, K. G. (1975b) Studies on smoke curing of tropical fishes. Fishery Technology, 12, 77.
+FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS (1981) The prevention of losses in cured fish. Fisheries Technical Paper No. 219, Rome: FAO.
+GAJERA, G. L. (1977) Preparation and storage behaviour of fish protein biscuits during transportation in isolated containers. Fishery Technology, 14, 57-60.
+GARG, D. K. and STEPHEN, J. (1985) Iced storage of Ghol (Pseudosciaena diacanthus) fillets. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fishery Technologists.
+GEORGE, M. J., SUBBARAJU, G. and DHARMARAJA, S. K. (1983) Trends in marine fish production in India-1982 - 83. Marine Fisheries Information Service, Training and Extension Service, No. 52, pp.1-20.
+GOPALAKRISHNA IYER, T. S., DAMLE, S. P., GARG, D. K., NARAYANAN NAMBIAR, V. and VASU, N. M. (1986) Quality of fish in retail markets in Bombay. Fishery Technology, 23, 78-83.
+GOVERNMENT OF GUJARAT (1985) Gujarat Fisheries, 1983 - 84. Gandhinagar, India: Commissioner of Fisheries, 27pp.
+GOVINDAN, T. K. (1985) Handling and transportation of fresh fish in India. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+GUPTA, R. and SAMUEL, C. T. (1985) Some fungal infestations of dried fishes in Cochin markets. Fishery Technology, 22, 132- 134.
+INDIAN COUNCIL FOR AGRICULTURAL RESEARCH (1980) Final report of research scheme-AII India coordinated research project on the transportation of fresh fish and utilisation of trash fish. Cochin, India: ICAR, 84pp.
+JOSEPH, K. G., MURALEEDHARAM, V. and NAIR, T. S. V. (1983) Quality of cured fishery products from Matabar and Kanava coasts. Fishery Technology, 20, 118-122.
+JOSEPH, K. G., MURALEEDHARAM, V., KALAIMANI, N. and NAIR, T. S. V. (1986) Quality of cured fish from Tamil Nadu coast. Fishery Technology, 23, 63-65.
+KHAN, M. Z. (1986) Dol net fishery off Nawabunder (Gujarat). Fishery Technology, 23, 92-99.
+KRISHNA RAO, K. and URINITHAN, G. R. (1985) Transportation of fresh fish: Mathematical models for the expenditure pattern. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+MARINE PRODUCTS EXPORT DEVELOPMENT AUTHORITY (1984a) Report on export potential survey of marine products Gujarat. Cochin, India: MPEDA, x+74pp.
+MARINE PRODUCTS EXPORT DEVELOPMENT AUTHORITY (1984b) Statistics of Marine Exports No. 16, 1984. Cochin, India: MPEDA, v+267pp.
+MURALEEDHARAN. V., KALAINANI, N., UNNIKRISHNAN NAIR, T. S. and GEORGE JOSEPH, K. (1986) Smoke curing of Catfish (Tachysuvai dussumievi). Fishery Technology, 23, 106-107.
+NAIR, P. R. and GOPAKUMAR, K. (1986) Development and storage characteristics of dehydrated salt mince from low priced fish. Fishery Technology, 23, 100-105.
+NARAYANASWAMY, D., NARSIRHA RAO, C. V. and GOVINDAN, T. K. (1980) Penetration of sodium chloride during prolonged salting of fish. Fishery Technology, 17, 63-65.
+PANDURANGA RAO, C. C. and UNNITHAN, G. R. (1986) Change in quality of different varieties of fish during long distance transportation. Fishery Technology, 23, 108-110.
+PANICKER, K. K. P. and SATHIADAS, R. (1985) Fisherman's share in consumers' one rupee-a case study. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+PANICKER, P. T., SIVAN, T. M., RAMA RAO, S. V. S. and GEORGE, T. P. (1977) Double-rig shrimp trawling, its rigging, comparative efficiency and economics. Fishery Technology, 14, 142- 152.
+RAO, C. C., GOVINDAN, T. K., and CHATTOPADHYAY, P. (1979) Investigations on long distance transportation of fish. V: Transportation of filleted and round seer fish (Scromberomorous sp.) from Kakinada to Calcutta by rail. Fishery Technology, 16, 11-14.
+RAO, C. C. P., SAHEB, P. I. K., GUPTA, S. S., UNNITHAN, G. R., CHARI, S. T., SRINIVASAN, R., SANTHANARAJ, T. and PILLAI, K. V. N. (1981) Comparative study of traditional and improved containers for transportation of fresh fish. Fishery Technology, 18, 29-34.
+RAUL, P. N. and BALASUBRAMAMIAM S. (1985) Personal and socio-economic correlates of improved fish canning practices. Preservation of cured fish. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+SOLANKI, K. K. (1985) Level of uric acid content as an index of hygienic condition and acceptability of insect infested fish products. Harvest and Post-Harvest Technology of Fish, pp. 672-677. Cochin, India: Society of Fisheries Technologists.
+SOLANKI, K. K., KANDORAN, M. K. and VENKATRAMA, R. (1970) Studies on smoking of eel fillets. Fishery Technology, 7, 169-170.
+SRIMVASAN, R. and JOSEPH, K. G. (1966) A survey of the quality of salt cured fish produced in the Kanyakumari District, Madras state. Fishery Technology, 3, 103-112.
+SRIPATHY, N. V. and BALASARASWATHI, M. (1985) Sun drying of salted fish in a polythene tent drier. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+UNITED NATIONS DEVELOPMENT PROGRAMME/FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS (1979) General description of marine small-scale fisheries, Gujarat, India. RAS/ 77/044 Working Paper No. 29.
+VALSAN, A. P. (1985a) Control of insect infestation in dried Bombay duck. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+VALSAN, A. P. (1985b) Further steps to improve and economise the use of propionates in the preservation of cured fish. Harvest and Post-Harvest Technology of Fish. Cochin, India: Society of Fisheries Technologists.
+VALSAN, A. P., NAMBIAR, V. N., DAMLE, S. P., GARG, D. K., GOPALAKRISHNA IYER, T. S. and VASU, N. M. (1985) Quality of dry non-penaeid prawn of Bombay markets. Harvest and Post-Harvest Technology of Fish, pp. 661-664. Cochin, India: Society of Fisheries Technologists.
+VARMA, P. R. G., VALSAN, A. P. and PRABHU, P. V. (1980) Transportation of fish-III Biochemical changes in fish during transportation in insulated containers. Fishery Technology, 17, 41-42.
+VASANTH SHENOY, A. and JAMES, A. M. (1974) Spoilage of spotted seer (Scromberomorous guttatus) during iced storage. Fishery Technology, 11, 67-72.
+VENKATARAMAN, R., VARMA, P. R. G., PRABHU, P. V. and VALSAN, A. P. (1976) Transportation of fish-l A preliminary study on insulated containers and their efficiency in long distance transportation. Fishery Technology, 13, 41-48.

ccm-ldn-terms/data/indexing/training/nri_nr18se.key

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+OILSEEDS
+PLANT OILS
+PRESSURE EXTRACTION
+SMALL ENTERPRISES
+FOOD TECHNOLOGY
+PROCESSING
+ANALYTICAL METHODS
+PLANT PRODUCTS
+FEEDS
+MARKETING

ccm-ldn-terms/data/indexing/training/nri_nr28le.key

@@ -0,0 +1,14 @@
+ACRIDIDAE
+ANIMAL MORPHOLOGY
+LIFE CYCLE
+SWARMING
+GEOGRAPHICAL DISTRIBUTION
+HABITATS
+MIGRATION
+CONTROL METHODS
+SCHISTOCERCA GREGARIA
+LOCUSTA MIGRATORIA
+SPECIES
+AFRICA
+SAHEL
+SOUTH EAST ASIA

ccm-ldn-terms/data/indexing/training/wb_wb46ie.key

@@ -0,0 +1,4 @@
+SALINITY
+IRRIGATION
+DRAINAGE
+SALINITY CONTROL

ccm-ldn-terms/data/indexing/training/winrock_wi10ce.key

@@ -0,0 +1,4 @@
+CALLIANDRA CALOTHYRSUS
+PLANT PRODUCTION
+USES
+PEST CONTROL

ccm-ldn-terms/data/indexing/training/winrock_wi10ce.txt

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+<title>Calliandra calothyrsus - Production and use: A Field Manual</title>
+Editor:
+Mark H. Powell
+Forest, Farm, and
+Community Tree Network
+© Winrock International Institute for Agricultural Development, 1997
+All rights reserved. No part of this publication may be reproduced without written permission from the copyright owner.
+Powell, M. H., editor.
+Calliandra calothyrsus production and use: A field manual
+Published by Winrock International and the Taiwan Forestry Research Institute with financial support from the Council of Agriculture, Taiwan, Republic of China. Published in cooperation with the Agency for Forestry Research and Development, Ministry of Forestry, Republic of Indonesia; the Forestry Research Program on behalf of the Overseas Development Administration, United Kingdom; and the United States Department of Agriculture, Forest Service, Tropical Forestry Program.
+Winrock International
+Forest, Farm, and Community Tree Network (FACT Net)
+38 Winrock Drive
+Morrilton, Arkansas 72110-9370, USA
+Telephone: 1-501-727-5435
+Facsimile: 1-501-727-5417
+E-mail: forestry@msmail.winrock.org
+Taiwan Forestry Research Institute
+53 Nan-Hai Road
+Taipei, Taiwan
+Telephone: 886-2-381-7107
+Facsimile: 886-2-314-2234
+Council of Agriculture, Executive Yuan
+37 Nan-Hai Road
+Taipei, Taiwan, Republic of China
+The Forest, Farm, and Community Tree Network is an international organization of 2,000 community groups, development workers, tree breeders, scientists and farmers. Through research, extension and communications activities, FACT Net provides the skills and resources necessary to introduce, improve, and manage multipurpose trees for economic and environmental benefits. FACT Net is a program of the Winrock International Institute for Agricultural Development, a non-profit organization in the United States of America.
+Photographs on front cover (clockwise from upper left): D. J. Maqueen, M. H. Powell, M. H. Shelton, and J. M. Roshetko
+Graphics by Mark H. Powell
+<section>Preface</section>
+The genus Calliandra contains 132 species. Most are endemic to the Americas, but a few species are endemic to the South Asian subcontinent or Africa, including Madagascar. Most species are shrubs or small trees, although a few are large trees or herbs. Native to Central America and Mexico, Calliandra calothyrsus is the most widely used species in the genus. In 1936, Indonesian foresters planted C. calothyrsus in screening trials to evaluate its potential as a shade tree for coffee plantations. Although the species proved unsuitable for this use in Indonesia, farmers on Java have planted C. calothyrsus widely for fuelwood production and land reclamation. It is also planted for green manure, animal fodder, bee forage, and pulpwood.
+The successful use of C. calothyrsus in Indonesia has stimulated global interest in the genus, and trials are in progress in countries throughout the tropics to evaluate Calliandra species and their potential uses in agroforestry systems. Through its international Calliandra network, the Oxford Forestry Institute (OFI) is taking a lead role in the investigation of genetic variation within the genus. OFI has sent Calliandra seed to researchers in 120 countries for the establishment of species and provenance trials and seed-production activities.
+In January 1996, Winrock International, the Indonesian Ministry of Forestry's Agency for Forestry Research and Development, and the Forestry Research Program on behalf of the Overseas Development Administration (UK) held an international workshop to discuss recent and current research and development activities focusing on the genus Calliandra. In addition to the workshop organizers, the United States Department of Agriculture, Forest Service, Tropical Forestry Program (USDA/FS/TFP), the Taiwan Forestry Research Institute and Council of Agriculture, and the Rockefeller Brothers Fund provided financial support for the workshop, in-kind support, or support for individual participants.
+The workshop took place from 23 to 27 January 1996 in Bogor, Indonesia. The objectives were to:
+o Report and exchange information on Calliandra production in a variety of sites and under a variety of management conditions
+o Explore the potential of Calliandra species for use in small farming systems
+Thirty-nine participants from 14 countries shared their research and observations. Winrock International has published selected papers presented at the workshop in a proceedings volume.
+During the workshop, working groups summarized current knowledge on Calliandra botany and ecology. They also prepared summaries on seed collection and production, establishment methods, uses, and fodder-production systems, focusing on C. calothyrsus. The summaries were used to prepare this field manual on C. calothyrsus production and use. Copies of the workshop publications, the field manual and the proceedings volume, are available from Winrock International.
+Winrock International's Forest, Farm, and Community Tree Network (FACT Net), which helped organize this workshop, was formerly known as the Nitrogen Fixing Tree Association (NFTA). Since 1982, NFTA/FACT Net has cosponsored 20 international workshops on important nitrogen fixing tree (NFT) species and on other agroforestry topics. These workshops have been instrumental in demonstrating the value and promoting the use of many NFT species. The Calliandra workshop was the last in a series of five funded in large part with a grant from the USDA/FS/TFP. Previous workshops in the series focused on the genus Dalbergia, NFTs for acid soils, Albizia and Paraserianthes species, and NFTs for fodder production. We believe that this series of workshops has expanded knowledge of NFT species and has provided foresters, development workers, and farmers with useful information.
+Mark H. Powell and James M. Roshetho, Winrock International
+<section>Acknowledgments</section>
+My sincere thanks go to the institutions and individuals who made the international Calliandra workshop a success. Members of the workshop steering committee were: Ngaloken Gintings, Mohamid Rosid, Dedeh, Syamsudin, Hayati Yusuf, and Agus Sukardi of the Agency for Forestry Research and Development, Ministry of Forestry of the Republic of Indonesia; Alan Pottinger of the Oxford Forestry Institute; and Dale Evans of the University of Hawaii. A special thanks go to Dr. Gintings and his staff for their hospitality and kindness, and to Dr. Hsu-Ho Chung of the Taiwan Forestry Research Institute for arranging the printing and distribution of this field manual.
+Winrock International and the Agency for Forestry Research and Development, Ministry of Forestry of the Republic of Indonesia gratefully acknowledge financial support for the workshop provided by:
+o United States Department of Agriculture, Forest Service, Tropical Forestry Program (USDA/FS/TFP)
+o Forestry Research Program on behalf of the Overseas Development Administration, United Kingdom
+o Taiwan Forestry Research Institute and Council of Agriculture
+o Rockefeller Brothers Fund
+In addition to providing financial support for the workshop, the USDA/FS/TFP provided support for the publication of this field manual. The Taiwan Forestry Research Institute arranged printing and distribution, with financial support from the Taiwan Council of Agriculture.
+A special thanks also go to the authors of the individual chapters in this field manual. They worked diligently both during and after the workshop to make this manual as complete and accurate as possible. In addition to the authors listed at the beginning of each chapter, Steve Krecik, Junus Kartasubrata, Brian Palmer, Duncan Macqueen, Joanne Chamberlain, and Bahiru Duguma provided valuable comments on Chapter 3.
+Sidney B. Westley edited the text, and Jim Roshetko provided technical assistance. Doris Cook keyed in text. Diane Michels proofread the final draft. Again, my sincere thanks to all these individuals and institutions.
+Mark H. Powell, Editor
+<section>1. Botany and Ecology</section>
+Duncan Macqueen
+The genus Calliandra belongs to the family Leguminosae, subfamily Mimosoideae and tribe Ingae. Calliandra is a large genus with about 132 species from North and South America, 9 species from Madagascar, 2 species from Africa and 2 species from the Indian subcontinent. The center of diversity of the genus is in the state of Bahia, Brazil. There is a secondary center of diversity in southern Mexico and Guatemala. Many of these species are mostly shrubs or small trees, although occasionally they are herbs or larger trees (for example the species C. stipulaceae grows to 25 m). Most of the species do not have spines, although there are rare exceptions such as C. umbrosa from India.
+Many species of Calliandra are found in humid lowland forest, often along river banks or in the forest understory. Some species, however, are found in montane vegetation (for example C. hirsuta), while others are found in arid scrub (for example C. californica).
+Despite the broad range of localities and habitats in which Calliandra species occur, there are a number of features which make the genus easy to identify. The leaves of all species have a main axis from which secondary axes branch in pairs opposite one another. Pairs of leaflets are arranged along the secondary axes. On the leaves of some species there are only two secondary axes with a single pair of leaflets on each. On the leaves of other species there are numerous pairs of secondary axes and numerous pairs of leaflets. Uniquely, in a single Calliandra species, C. hymenaeodes leaflets branch off one central axis.
+The flowers of all Calliandra species occur in clusters or semispherical heads. In some species these clusters are arranged in staggered groups towards the end of a flowering axis. The latter type of arrangement is called a raceme. The flowers themselves are almost always cup-shaped with five small petals arranged regularly. Many long white or red filaments extend beyond the floral cup. They are always joined into a tube at the base and are at least twice as long as the flower itself. Sometimes within the group of flowers in a head only the central few produce nectar and are functional. In these cases the outer flowers simple help to attract pollinators. In some species a small percentage of the flowers only have the male pollen producing parts, and these flowers are interspersed with bisexual flowers.
+Calliandra flowers open at night and are usually pollinated by bats or moths which drink the nectar produced in the base of the floral cup. In the single species C. schultzei the flower petals are arranged irregularly and the principle pollinator is a species of hummingbird.
+The fruit of all Calliandra species are straight (or slightly curved), flattened pods with raised margins. The pods split explosively from the tip to release seed. This particular mechanism of seed dispersal is found in only a few other genera, and in those genera it is always associated with very different floral structures. Appendix D gives morphological and seedling keys to the identification of some Calliandra species.
+Calliandra calothyrsus
+Distribution
+The species C. calothyrsus is unique within the genus in terms of its wide international use as an agroforestry multipurpose tree. It occurs naturally in Mexico and Central America from the state of Colima. Mexico. down to the north coast of central
+Panama. In 1936 seed was sent from south Guatemala to Java in Indonesia. This seed was most probably collected from the Guatemalan provenance 'Santa Maria de Jesus'. By 1974, village based trials had been set up to assess the species suitability for the reforestation of eroded land around villages. C. calothyrsus proved well suited to a range of agroforestry systems and was promoted by the Indonesian state forestry sector for widespread planting. From Java it was introduced to many other Indonesian islands. Its popularity soon generated interest elsewhere and seed was sent to many countries in Africa, Asia and even back to Central America.
+At the same time, in the early 1980s, the Costa Rican institute, CATIE, made a collection of seed from a limited number of provenances in Guatemala, Costa Rica and Honduras for trials in Central America.
+In 1990 the Oxford Forestry Institute began a range wide collection of seed which was completed in 1993. The collection included 50 provenances from the eight countries within the species range. The seed was then sent out to 32 countries for the purpose of species and provenance evaluation. Consequently, populations of the species now exist in South America, Africa, Asia and Oceania and it can truly be said to have a pan-tropical distribution.
+Botany
+Calliandra calothyrsus is a small branching tree growing to a maximum height of 12 m and to a maximum basal stem diameter of 20 cm. The stems have red or pale gray bark covered in small, pale, oval lenticels. Towards the tip the stems tend to be ridged, and in trees with red-brown bark the final stem portion may be tinged with red coloring. Beneath the stem, the root system consists of several deep tap roots and a maze of finer roots which extend outwards just beneath the soil surface. In the presence of the correct rhizobia and mycorrhiza, nodules and fungal associations form. In some populations the species has been shown to develop from root suckers so that an apparent clump of bushes may in fact be one single individual.
+The species has soft leaves divided into many straight leaflets. The leaves may reach 20 cm long and 15 cm wide and they fold against the stem at night. The leaf stalks are ridged with a groove on the upper surface, but they do not have glands between the pairs of secondary axes.
+In the native range flowering occurs throughout the year, but it tends to peak between July and March. The inflorescence develops in a terminal position. Several clusters of flowers develop around nodes up the axis. The flowers mature from the base to the tip over a period of many months. The flowers open for a single night with showy filaments which are usually white at the very base and red at the tip (although they may exceptionally be pink). By the next day, the filaments have wilted and unfertilized flowers drop.
+Pods take between two and four months to develop and when mature they may be 14 cm long and almost 2 cm wide. They are straight and mid-brown in color, and they contain 8-12 ovules which may develop into flattened oval seeds. The surface of mature seed is mottled brown and black, and it has a distinct marking in the shape of a horse shoe on both flattened surfaces. Mature seed reach 8 mm in length and are hard when pressed with a finger nail. In the native range, seed set peeks between the months of November and April. As the pods dry, tensions are created in the thickened pod margins which cause an explosive splitting from the tip. Seeds are ejected with a spinning motion and may fly up to 10 m.
+The seedling develops with the two fleshy cotyledons above the ground. The first leaf has only a single axis from which leaflets develop, but subsequent leaves are divided into secondary axes.
+The species has a number of common names in its local range, the most frequently used being 'cabello de angel' (meaning 'angel's hair') and 'barbe sol' (meaning 'the suns beard'). In Indonesia the species is referred to as 'Calliandra merah' (meaning 'red Calliandra').
+Taxonomy
+In Mexico and Central America, C. calothyrsus is one of seven naturally occurring species within a section of the genus called 'series Racemosae'. The name Racemosae indicates that these species have an elongated flowering axis (up to 40 cm long). The leaves of these seven species are also distinctive since many pairs of secondary axes branch off the primary leaf axis, and each secondary axis has many pairs of small leaflets (less than 2 cm long and 0.5 cm wide). In South America there are many similar looking species, but they either do not have such long flowering axes, or they have fewer divisions of the leaves.
+Calliandra calothyrsus can be distinguished from species of similar appearance by a unique combination of features. The species almost straight leaflets do not tend to overlap and they do not have a glossy upper surface. The leaves are soft and tend to fold when a leafy branch is cut. The small stipules (found in pairs at the base of the leaf stalk) are long and thin rather than oval, with a leafy texture when green. They almost always fall off on older stems. The stems, flowers and pods are almost always without hairs. The flower petals are delicate, smooth and green or pale yellow in color (rarely being tinged with red). The petals are never thick or woody and are never covered in hairs of any length or color.
+Ecology
+Calliandra calothyrsus occurs naturally along river banks, but will rapidly colonize any area of disturbed vegetation (for example roadsides). It is not particularly tolerant of shade and may soon be out-competed in secondary vegetation. It inhabits a range of sites within Mexico and Central America from sea level to an altitude of 1860 m. It primarily occurs in areas with a mean annual rainfall of between 1000 and 4000 mm, although exceptional populations occur in areas with only 800 mm annual rainfall. It principally occurs in areas with 2-4 months dry season (with less than 50 mm rainfall per month). On occasions, however, specimens have been found in areas with a dry season as long as 6 months. It occupies areas with a mean annual minimum temperature of 18-22° C. It is not frost tolerant. Within its natural distribution it occurs on a variety of soils and appears to be tolerant of slightly acid soils with pH values around 4.5. It does not tolerate soils with poor
+drainage which are regularly inundated.
+Morphological variation
+There is considerable morphological variation between different populations of C. calothyrsus. Certain geographical patterns present themselves, but the presence of numerous exceptions to these patterns has meant that no subspecies or varieties have yet been designated. Three particular trends of variation can be described.
+Along the Pacific coast to the north of the isthmus of Tehuantepec in Mexico and in Central Honduras and Nicaragua there is a tendency for the species to have whiter bark, flowers with more white at the base of the filaments and sparse short hairs on slightly smaller pods. The areas in which this trend is found tend to be the drier portions of the species range.
+In southern Mexico, Central Guatemala, Belize and northern Honduras there tend to be populations with red-brown bark, red flower filaments, and larger pods without any hairs. The trees in these populations tend to be taller in the native range, and occur in some of the wetter areas of the species natural distribution.
+Finally, in similarly wet areas of Costa Rica and Panama populations tend to have leaves with more pairs of secondary axes.
+<section>2. Seed Collection and Production</section>
+Joanne R. Chamberlain, Alan J. Poffinger, and Rajesh Rajaselvam
+Flowering and fruiting characteristics
+In many areas, Calliandra calothyrsus can flower throughout the year, but the species usually has a peak flowering period three months before the onset of the dry season. Buds are held on a racemose inflorescence and open sequentially from the base to the apex of the inflorescence. Each flower opens at approximately 1600 furs, remains receptive for one night only, and wilts the following day. An individual inflorescence can flower for 90 to 120 days. Calliandra calothyrsus is andromonecious, which means that the plant produces both hermaphrodite (bisexual) and staminate (functionally male) flowers. The staminate flowers lack the female parts (ovary, style, and stigma) and can never produce fruits. After the flowers are fertilized, mature fruits and seeds develop in approximately 90 days. The plant always produces more flowers than fruits: fruit-to-flower ratios of 1:20 are common.
+Pollination
+Calliandra calothyrsus is outcrossing and has a low tolerance of selfing The species is pollinated by bats (Chiroptera) and hawkmoths (Sphingidae). The most efficient pollinators are small, nectivorous bats in the subfamilies Glossophaginae (New World fruit bats) and Macroglossinae (Old World fruit bats), although larger, primarily fruit-eating bats are also efficient pollinators of the species. Bats pollinate C. calothyrsus by hovering over the flower for a second or two. They insert their long tongues into the base of the flower and drink the nectar. Sometimes, larger fruit-eating bats land on the inflorescence, which bends under the weight of the bat allowing access to the nectar. In Honduras, a small nectivorous bat, Glossophaga sp., has a very small foraging range (less than 600 m), but other, frugivorous bats can travel much greater distances (up to 50 km) for food.
+Seed production
+In its native range, C. calothyrsus generally forms small scattered populations within river systems and areas of disturbance. There is a great deal of variation in seed production, both between populations and within populations, from year to year. This variation may have a genetic basis (i.e. some populations are genetically better seed producers than others), or it may result from environmental factors such as climatic conditions or pollinator type. Calliandra calothyrsus produces less seed that several other multipurpose-tree species, such as Leucaena spp. or Gliricidia sepium, and is known as a shy seed-producer both in its native range and when planted as an exotic species.
+Seed collection, processing, and storage
+When collecting C. calothyrsus seed in the native range or from naturalized stands, pods should be sampled from trees spaced evenly and widely across a population. To prevent selecting seed from closely related individuals, sampling more than one tree in a patch of dense C. calothyrsus should be avoided. Pods should be collected from all positions in the crown. The pods of C. calothyrsus are dark brown and dry when ready for collection, and contain an average of five to eight seeds per pod. An individual tree may possess branches with pods at all stages of maturity, hence ripe pods can be collected from the same tree over a period of four to six weeks.
+The pods dehisce explosively and can scatter the mature seeds several meters from the tree. Seed can be collected by placing matting below and around trees that have mature pods and removing the dehisced seed from the matting on a daily basis. Alternatively, the mature pods can be hand-picked from the tree and left to dry in the sun under netting to extract the seed. Seed can also be extracted by hand but must be dry and hard to ensure good germination and viability. Once collected and extracted, the seed should be stored in sealed containers in a refrigerator at 4°C. Stored in this manner, C. calothyrsus seed can retain its viability for at least five years. If the seed is going to be planted soon after collection, it should be stored in sacks in a cool dry place and protected from pests such as rats or mice.
+Seed orchards
+To date, large quantities of Calliandra calothyrsus seed have only been collected from natural populations or naturalized stands. Seed orchards are currently being established in the native range and elsewhere in order to produce large quantities of seed with known and desirable traits, such as good wood production or forage quality. These seed orchards have not yet reached a productive stage, however.
+Seed orchards should be planted in an isolated site to reduce the risk of pollination from other, unselected sources and should be managed to produce frequent, abundant, and easily harvested seed crops. Although there has been little research on the best method of establishing C. calothyrsus seed orchards, it is possible to make some suggestions:
+1. The seed orchard should be located on a uniform site that is accessible and secure.
+2. It should be located away from other C. calothyrsus trees to make sure that the orchard trees are not contaminated by pollen from outside.
+3. One of two types of seed orchard can be established: (a) Seed is collected from individual trees and kept separate in "families." Seed or seedlings from these families are planted, and their identities are maintained. The performance of each family can be measured and ranked, and less-desirable families can be removed; (b) Seed is collected from individual trees and bulked, and seed or seedlings are planted from the bulk seedlot. The second type of seed orchard is simpler to establish and maintain than the first, and the seed crop will have a broader genetic base.
+4. The seed orchard can have a number of possible designs, but the pollinators require good access to the flowers to allow abundant seed production. Possible designs might include planting at a very wide spacing, such as 3 x 3 m, or planting in widely spaced rows, such as 2 x 4 m.
+5. Coppicing or pollarding can be used as a management technique to improve seed production and ease of collection.
+6. Early flowering in the seed orchard will not necessarily guarantee good seed yields in the first year, but seed production can be expected to improve with time.
+<section>3. Establishment</section>
+James M. Roshetko, Didier Lesueur, and JeanMichel Sarrailh
+Calliandra calothyrsus is adapted to a wide range of environments. When planting this species, however, it is important to use a provenance (seed source) that is known to perform well in an environment similar to that of the planting site. Additionally, the selected provenance should provide needed services or products such as control of soil erosion, overstory shade, and fuelwood, fodder, or seed production. Identifying the best provenance for a site will usually result in increased tree survival, growth, and productivity.
+Propagation
+Seed selection. Seed of C. calothyrsus is more delicate than seed of most other leguminous tree species. Some seedlots may germinate well during testing, yet produce weak seedlings that perform poorly in the nursery or field. To ensure high quality, only collect seed that is fully mature. Only purchase seed from reliable sources. At a minimum, sources should provide documentation on where the seed was collected, the number of trees the seed was collected from, and the date of collection. To maintain seed quality, always store seed under optimum conditions--in sealed containers in a refrigerator at 4°C.
+Seed treatment. Simple seed treatment can overcome the protective function of the seed coat and encourage good germination. Cutting or scraping a small hole through the seed coat, called "nicking," is recommended for small quantities of seed. A knife, nail-cutter, or file can be used for this procedure. To avoid damaging the seed embryo, cut the seed coat opposite the micropyle or hilum. After nicking, soak seed in cool water for 12 to 24 hours before sowing. The nicking treatment is not practical for large quantities of seed. Instead, soak seed in cool water for a minimum of 24 hours. With either treatment, seed should be sown immediately.
+Soaking seed in hot water for 2 to 5 minutes and then in cool water for 12 to 24 hours usually produces good results. However, soaking in very hot water may damage the seed. Test the hot-water treatment on small samples for different lengths of time before treating large quantities of seed. Mechanical scarification machines (similar to grist mills or threshers) have been used to scarify large quantities of seed quickly, but this method is inconsistent and sometimes damages the seed.
+Inoculation with Rhizobium. Like many other legumes, C. calothyrsus can form a symbiotic relationship with the soil bacterium, Rhizobium spp. The trees provide the rhizobia with carbohydrates for energy, and the rhizobia convert atmospheric nitrogen from the soil into a form that the trees can use. This process, called nitrogen fixation, occurs in nodules that develop on the roots of the trees.
+There are many strains of Rhizobium in different soils around the world, but only some strains form a symbiotic relationship with C. calothyrsus that leads to effective nitrogen fixation. It is easy to determine whether the rhizobial strains that occur naturally in your soil are fixing nitrogen. Simply check the roots of C. calothyrsus trees for nodulation. Nodules should be abundant, and when you cut them open they should be red or pink inside. If root nodules are green, brown, or black, they are not fixing nitrogen.
+In areas where C. calothyrsus is native or has been naturalized for some time, the soil may well contain rhizobia of the appropriate strains. If C. calothyrsus is not common to the area, however, or if the site is degraded, there may not be enough of the correct rhizobia in the soil to stimulate nitrogen fixation. In such situations, it is best to treat seed or seedlings with a selected strain of rhizobia to stimulate maximum nitrogen fixation. This process is called inoculation.
+For C. calothyrsus, the Nitrogen Fixation by Tropical Agricultural Legumes (NifTAL) Center in Hawaii recommends a mixture of rhizobial strains that are also compatible with Gliricidia septum and Leucaena leucocephala. If rhizobial strains are present in the soil, however, they may compete with introduced strains. Where indigenous rhizobia are present, trials should be conducted to compare tree growth in the presence of indigenous and introduced strains. The best-performing strains can then be chosen for inoculation.
+The material used to inoculate seed or seedlings is produced by isolating rhizobia from the root nodules of healthy trees, growing them in a laboratory, and mixing them with peat. The peat-based inoculant, which is manufactured and distributed by several government agencies and private commercial firms, contains 1,000 times the number of rhizobia normally found in the soil. Because rhizobial inoculants are inexpensive and the potential benefits are great, inoculation is recommended under most circumstances.
+Rhizobium inoculants are available from the suppliers listed in Appendix A. When ordering inoculants, you should specify the C. calothyrsus provenance you are planting and the environmental characteristics of the planting site, such as average annual rainfall, maximum and minimum temperature, elevation, soil type, and soil pH. This information will help the supplier select the best available strain.
+When using or storing a rhizobial inoculant, remember that the bacteria it contains are alive. They are sensitive to heat, drying out, freezing, and exposure to direct sunlight. If not used immediately, the inoculant should be tightly sealed and stored in a moist, cool, dark place. It should not be frozen. Follow the application and storage instructions provided by the supplier.
+The rhizobial inoculant should be applied directly to C. calothyrsus seeds immediately before planting. Just after soaking the seeds, cover them with a sticker solution to make sure that the inoculant adheres to them. The NifTAL Center (Keyser 1990) recommends placing seeds in a plastic bag or bucket and covering them with a solution of gum arabic, sugar, or vegetable oil. Either dissolve 40 g of gum arable in 100 ml of hot water and allow it to cool, or dissolve 1 part sugar in 9 parts water. Combine 2 ml of one of these mixtures, or 2 ml of vegetable oil, with 100 g of seeds, and shake or stir the mixture vigorously until the seeds are evenly coated. Then add 5 mg of inoculant and shake or stir again until the seeds are well coated. Allow the inoculated seeds to dry for 10 minutes to eliminate any stickiness, and sow immediately. Do not store inoculated seeds--the rhizobia will die.
+Seedlings can also be inoculated in the nursery. Mix inoculant in cool water, and irrigate the seedlings with the suspension. Keep the mixture well stirred or shaken, and irrigate until all the inoculant is washed into the root zone. One 50 g bag of inoculant is enough to inoculate 10,000 seedlings.
+Alternatively, seedlings can be inoculated with alginate beads. These are produced in a laboratory and contain pure cultures of select Rhizobium strains. Before application, the beads must be rehydrated for 10 hours in a 0.1 M phosphate buffer of pH 7.4. Five grams of beads require I liter of buffer. If phosphate solution is not available, rehydrate 5 g of beads for 24 hours in I liter of water. Apply the solution to seedlings at a rate of 16 g per nursery bag.
+Diem and others (1989) provide detailed information on the production of alginate beads. Somasegaran and Hoben (1985) provide information on the production of peat-based inoculants. General information on nitrogen fixation is available in Postgate (1987) and Roskoski (1989).
+Inoculation with mycorrhizae. Calliandra calothyrsus also forms an important symbiotic relationship with vesiculararbuscular mycorrhizae (VAM). These are immobile fungi that live in the organic layer of the soil. By growing in filaments out from a tree's roots, the mycorrhizae increase the tree's root area and thus improve access to soil moisture and nutrients. This relationship is especially important in arid environments and in soils low in nutrients such as acidic, phosphorous-deficient soils. The best way to insure that C. calothyrsus benefits from the VAM symbiosis is to inoculate trees with the appropriate mycorrhizae.
+The most common method of VAM inoculation is to take soil from the organic layer beneath a healthy C. calothyrsus tree and mix it with nursery soil at a rate of 5 to 10 percent by volume. This method is practical for most small-scale farm or community nurseries. The main disadvantage is that soil pathogens may be introduced into the nursery. Treating the soil with chemicals or hot water to kill pathogens is not recommended because the treatment will also kill the mycorrhizae.
+Establishing a VAM "production bed" in the tree nursery is another method of inoculation. The first step is to collect soil from under a healthy C. calothyrsus tree. Place the soil in a nursery bed and sow Calliandra seeds at a spacing of 5 x 5 cm. The seedling roots and associated mycorrhizae will grow throughout the production bed. Once this occurs, dig up the soil along with the roots, chop the mixture finely, and combine it with nursery soil at a rate of 5 to 10 percent by volume. This method is more expensive and labor intensive than the first, and it has the same disadvantage of possibly introducing soil pathogens into the nursery. Nevertheless, if a large number of seedlings are to be grown for several consecutive years, the construction and management of a VAM production bed may a worthwhile investment.
+To avoid the risk of introducing soil pathogens, you may prefer to order a VAM inoculant from one of the suppliers listed in Appendix A. As with rhizobial inoculants, you should specify the C. calothyrsus provenance you are planting and the environmental characteristics of the planting site. Although little information is available on the specificity between C. calothyrsus and particular strains of VAM fungi, commercial inoculants are now available that are claimed to be effective with most tropical legumes.
+When using or storing a VAM inoculant, remember that it contains live fungi, which are sensitive to heat, drying out, freezing, and exposure to direct sunlight. If not used immediately, the inoculant should be tightly sealed and stored in a moist, cool, dark place. It should not be frozen. Follow the application and storage instructions provided by the supplier. More information on VAM inoculation is available in Castellano and Molina (1989), Ferguson and Woodhead (1982), and Malajczuk and others (undated).
+Nursery Production. In the nursery, treated and inoculated seeds should be sown directly into plastic bags. These may vary in size from 5 x 15 cm to 15 x 25 cm when pressed flat. They should always contain drainage holes at their base. The choice of bag is determined by the desired seedling size: if large seedlings are desired, use large bags. Large seedlings compete well in the field and need less care after planting than small seedlings. Small seedlings, on the other hand, are easier and less expensive to grow and to transport.
+Fill nursery bags with a fertile nursery mixture several days before seeds are treated and inoculated. A good-quality nursery mixture is three parts soil, one part sand, and one part compost. These components should be thoroughly mixed. The compost should be completely decomposed--uncomposted manure may spread harmful pathogens. The soil mixture should have a pH of 5.5 to 7.5. Fill bags with the mixture, and pack gently to close all air pockets. To promote settling, irrigate the soil until water drains from the holes at the base of the bag. Inoculate the soil with a VAM inoculant.
+Sow seeds that have been treated to stimulate germination and inoculated with rhizobia to a depth equal to their width. The planting hole can be filled with the nursery mixture or clean sand. Water bags daily. Germination will occur in 4 to 10 days. When seeds are of good quality and you expect high germination, sow one seed per bag. When you anticipate low germination, sow two seeds per bag. If both seeds germinate, transplant one to an empty bag. Weak or malformed germinants should be discarded.
+Depending on local environmental conditions, you should water seedlings once or twice a day. Water should penetrate to the bottom of the bags and drain freely. The soil surface should be dry before watering again. Provide germinants and young seedlings with 50 percent shade during their first month or half the period of their stay in the nursery. After this, gradually reduce shade to harden-off seedlings before transplanting. In most areas, seedlings will be ready for transplanting after 6 to 12 weeks in the nursery. Seedling height may vary from 15 to 50 cm. Evans (1982), Jackson (1989), and Liegel and Venator ( 1987) provide more information on nursery-management techniques.
+Direct Sowing. Calliandra calothyrsus may be established by sowing seeds directly into the planting site. However, seedlings produced in this way are more susceptible to climatic extremes than are seedlings grown in a nursery. For this reason, seeds used for direct sowing must be of the highest quality. They should be treated and inoculated as in the nursery and planted to a depth equal to their width. The spacing between seeds will be determined by the management objective. In most areas, seeds are sown by hand. However, in Australia and New Caledonia where labor costs are high, C. calothyrsus seeds are commonly sown by a mechanical "band seeder." If using such equipment, do not soak seeds during pretreatment because swollen seeds will jam the machine.
+Young germinants and seedlings are slow growing and vulnerable to competition from other plants. For this reason, it is important to prepare the site thoroughly before sowing. You should kill or remove all competing vegetation, including roots, within 40 to 50 cm of sowing positions. This can be accomplished by manual, mechanical, or chemical means. Continue controlling competing vegetation until trees are well established. You can also improve tree establishment and growth by loosening the soil at the planting site. Soil cultivation is particularly beneficial on heavy soils with poor water infiltration.
+Stump sprouts. Calliandra calothyrsus can be successfully propagated by stump sprouts made from seedlings or wildlings. Make cuttings from seedlings that are 4 to 12 months old. Stumps made from older seedlings often show poor growth and vigor. Only healthy, straight seedlings should be selected. They may be as tall as I meter with root collar diameters of 1 to 2 cm. Remove seedlings from the nursery or forest soil. Cut their stems at 10 to 30 cm above the root collar, and remove all remaining foliage. Cut their taproots at 10 to 20 cm below the root collar. Survival is greatest when stumps are planted immediately, but they may be stored for up to one week in a place that is cool, dry, and shady. Stumps should be planted so their root collar is flush with the soil surface. Because stumps are vulnerable to desiccation, they should be planted at the beginning of the rainy season.
+Vegetative propagation. Calliandra calothyrsus can be propagated vegetatively from young, succulent seedlings or root sprouts. Prepare an air-tight propagation box, called a "polypropagator," by lining the bottom and sides with a polyethylene sheet, and adding a bottom layer of gravel, a second layer of fine gravel, and a third layer of sand, topped with a uniform mixture of sand and sawdust. Each layer should be 3 to 5 cm deep. An airtight poly-propagator loses very little moisture, but you will need to water the planting medium to maintain a relative humidity of 80 percent.
+Harvest stems from young seedlings or root sprouts early in the morning, and transfer them immediately to the propagation area. Succulent stems are very sensitive to desiccation--delays of more than I to 2 hours will result in high mortality. Cut stems into small pieces, 5 to 7 cm long, each containing two to three leaflets. Place cuttings in the poly-propagator at a spacing of 5 x 5 cm to 10 x 10 cm. Keep them in the poly-propagator for one month, and mistspray them every 2 to 3 days with water. Then transplant cuttings into plastic nursery bags, provide them with shade for one week, and gradually expose them to full sunlight. After transplanting cuttings into bags, you should maintained them for at least two months in the nursery before planting them in the field. Longman (1993) describes this propagation method in detail.
+Although simple and useful, this method adds a month to seedling production schedules, requires additional work, and is not widely known. In most areas, its use is not warranted. However, once superior provenances and land-races of C. calothyrsus are identified, this propagation method may be a suitable for treeimprovement projects. It may also be useful in areas where C. calothyrsus seed production is limited.
+Transplanting
+Transplant seedlings at the beginning of the rainy season into pits prepared two to four weeks ahead of time. Dig pits at least 25 cm wide and 25 cm deep, cultivate the soil finely, and return it to the pit. Just before planting, slit each plastic nursery bag down one side, and remove the seedling carefully without disturbing the ball of soil around its roots. If roots are encircling the soil ball, cut them on two sides of the ball with a sharp, clean knife. This will keep the roots from growing in a ball after transplanting.
+Place each seedling in the middle of a planting pit. The top of the soil ball should be level with the soil surface. Gently pack the loose soil around the seedling so it is perfectly straight. If soil moisture evaporation is a problem, cover the soil surface around the seedling with mulch. Be sure, however, that the mulch does not contain weed seeds.
+Tree management
+Regardless of how they are established, all young C. calothyrsus seedlings demonstrate slow initial growth. During this period, they are very vulnerable to competition from other plants for sunlight, moisture, and soil nutrients. Fast-growing pasture grasses, such as Bothriochloa petusa (silver grass), Bracharia mutica (pare grass), and Panicum maximum (guinea grass), have dense root systems in the upper soil layers and are particularly competitive with young seedlings. Such competition must be controlled if C. calothyrsus seedlings are to grow well. In general, all vegetation within 40 to 50 cm of the seedlings should be removed every one to three months. Weed control may be necessary for 6 to 12 months or until the seedlings dominate competing vegetation.
+In arid conditions, however, neighboring vegetation may actually protect C. calothyrsus seedlings from sun and wind. Lowgrowing ground cover may also protect the soil surface from desiccation. Under such conditions, removing neighboring vegetation may increase seedling mortality and decrease growth. This situation has been observed on shallow, infertile soils in Jamaica.
+Studies have shown that phosphorus fertilizers can improve C. calothyrsus growth and promote nitrogen fixation with symbiotic Rhizobium. Although precise fertilization regimes have not yet been determined, in New Caledonia the standard recommendation is to apply 100 kg of 32-16 phosphoruspotassium fertilizer per hectare.
+<section>4. Uses</section>
+Hoang Xuan Ty, Endang Hernawan, M. de S. Liyanage, Mapatoba Sila, Hikmat Ramdan, A. Ng. Gintings, Yayat Hidayat, Adji Setijoprodjo, Ralph Roothaert, Rodrigo Arias, and Duncan Macqueen
+Calliandra calothyrsus is a popular multipurpose tree because it is easy to establish, grows quickly, and resprouts after repeated harvests. In many parts of Indonesia, these trees are planted for fuelwood and livestock fodder, for soil conservation and improvement, and as a nurse tree for other species. Producing flowers throughout the year, C. calothyrsus is also an important species for honey production. The successful use of this species in Indonesia has stimulated wider interest, and trials are currently underway in other countries to evaluate the potential of C. calothyrsus, particularly for soil improvement and livestock fodder. The use of C. calothyrsus in animal production systems is discussed separately in Chapter 5.
+Fuel and pulpwood
+More than 30,000 hectares of C. calothyrsus fuelwood plantations have been established on private and public lands in Java, Indonesia. The dense wood (specific gravity of 0.5 to 0.8) dries rapidly and burns well, producing about 4,600 kcal of heat per kg of dry wood and 7,200 kcal of heat per kg of charcoal. For fuelwood production, C. calothyrsus is usually planted at a spacing of 1 x 1 m or 1 x 2 m. To encourage rapid resprouting, trees should be cut to a height of 30 to 50 cm at the end of the dry season. Annual fuelwood yields range from 5 to 20 m^3/ha from one-year-old plantations and 30 to 65 m^3/ha from 20-year-old plantations (NAS 1983).
+In the Pintulung Valley of South Sulawesi, Indonesia, C. calothyrsus plantations are a major source of fuelwood for homebased production of palm sugar (Arenga pennata). Farmers prefer Calliandra fuelwood because it burns hotter then other woods end thus less time is required to prepare the palm extract. Calliandra calothyrsus wood is also burned to smoke sheet rubber, dry copra, and heat brick and tile ovens.
+A paper company in West Java, Indonesia, mixes pulp of C. calothyrsus with pulp of Paraserianthes falcataria and Leucaena leucocephala. With a cellulose content of 44 to 51 percent, C. calothyrsus is a suitable component for paper pulp (NAS 1983), but its low density and folding endurance limit its usefulness. It can provide a filler, but should comprise no more than 10 percent of total pulp. When planting C. calothyrsus for pulpwood production, a 2 x 2 m spacing (2,500 trees/ha) is recommended.
+Bee forage
+Calliandra calothyrsus is becoming an important source of forage for honey bees in Indonesia. Honey production increased from 650 tons in 1989 to 1,300 tons in 1994, and Indonesian farmers currently manage about 50,000 hives. Under farm management, it is estimated that bees can produce 1 ton of honey a year from 1 ha of C. calothyrsus forage (Sila, 1996).
+An interesting secondary benefit from the introduction of C. calothyrsus for honey production has been improved pollination of coffee trees. In Indonesia's Pintulung Valley, growers traditionally harvested coffee only once a year. With the establishment of C. calothyrsus plantations and the resultant increase in bee populations, farmers now harvest coffee two to three times a year (Sila, 1996).
+Intercropping
+In Sri Lanka, C. calothyrsus has been planted in coconut plantations to reduce weed growth, conserve soil moisture, and improve soil structure and fertility. For maximum biomass production, the Calliandra is planted at a density of 2,500 trees/ha and pruned at four-month intervals to a height of I m above the ground. The trees grow well under mature coconut planted at a density of approximately 160 trees/ha. The Calliandra produces about 5 tons/ha dry matter, which provides the annual nitrogen requirement of the coconut trees--30 kg of green manure is spread around each coconut tree. In addition to providing nitrogen, the C. calothyrsus leaves decompose slowly and make a good mulch for conserving soil moisture and suppressing weed growth during the dry season (Liyanage and Abeysoma, 1996).
+Farmers plant C. calothyrsus as a nurse tree in coffee plantations in South Sulawesi, Indonesia, and also in some areas of Guatemala and Costa Rica. As plantations mature in Guatemala and Costa Rica, farmers replace C. calothyrsus with larger shade trees such as Inga, Gliricidia, and Erythrina species. In Sri Lanka, farmers have expressed an interest in using C. calothyrsus as a medium-sized shade tree in tea plantations.
+In West Java, Indonesia, farmers plant C. calothyrsus as a nurse tree in plantations of high-value timber trees such as Agathis loranthifolia an d Tectona, Swietenia, and Pinus species. The C. calothyrsus is planted along contour lines in dense rows between rows of the main timber species. The rows of nurse trees are usually spaced at 2.5 to 3 m from the timber trees, depending on the slope. The Calliandra trees are pruned regularly, and the pruning material is returned to the soil as green manure and mulch. The nurse trees suppress weed growth, prevent soil erosion, and add fertility to the soil.
+Calliandra calothyrsus also has good potential for intercropping with food plants such as maize, rice, or groundnuts. Preliminary results from hedgerow-intercropping trials indicate that the trees should be planted at a 2.5 m spacing within rows and pruned to a height of 0.5 m. The biomass should be incorporated into the soil before planting the food crop. Rows of C. calothyrsus may have to be pruned once or twice more during the growing season to reduce competition for light and soil moisture. Pruning frequency depends on the rate of tree growth, the availability of soil moisture, and the height of the food crop (Satjapradja and Sukandi, 1981).
+Farmers in Indonesia interplant C. calothyrsus and other shrubs with food crops on hillsides (slopes less than 45 percent) in contour rows 1.5 m to 2 m apart. The hedgerows are pruned for mulch during the dry season and green manure during the wet season.
+Planted fallows
+In southern Cameroon, C. calathyrsus has proven to be an excellent species for enhancing the fertility of acid soils. Trees planted at a spacing of I x I m (10,000 trees/ha) and managed as a rotational fallow can increase the yield of subsequent food crops 1.5- to 2-fold compared with yields following natural fallows of the same duration (Duguma, 1996). Trees are cut to ground level during the cropping phase and allowed to grow during the fallow phase.
+Preliminary trials in Vietnam indicate that fallow periods can be reduced from 10-15 years to 4-5 years without reducing soil fertility by replacing natural fallows with C. calothyrsus. In this improved-fallow system, farmers plant 5,000 to 10,000 Calliandra seedlings/ha during the last crop rotation (Ty, 1996).
+Erosion and landslide control
+Calliandra calothyrsus is planted on steep hillsides in South Sulawesi, Indonesia, to control soil erosion and prevent landslides. The species works well for this purpose because trees can be direct seeded, they grow quickly, and they continue to produce coppice regrowth after repeated harvests. Planted on hillsides along the contour, the trees capture the top soil and eventually form natural terraces.
+Rehabilitation of Imperata grasslands
+In North Sumatra and South Sulawesi, Indonesia, C. calothyrsus has been used successfully to rehabilitate unproductive acid soils infested with alang-alang (Imperata cylindrica). These areas have been transformed into productive grazing lands for sheep and goats.
+Intensive weeding is required to establish C. calothyrsus plantations under these difficult conditions. Trees are planted at a spacing of 5 x 5 m and the alang is weeded from a circular area of 60 cm diameter around each seedling until the crown cover of the trees begins to close, usually one to two years after planting. As the tree crowns grow together, the amount of sunlight reaching the understory is reduced, and the alang-alang disappears (Sila, 1996).
+<section>5. Fodder Production</section>
+Rob Paterson, Brian Palmer, Max Shelton, Roger Merkel, Tatang M. Ibrahim, Rodrigo Arias, Kahsay Berhe, and A. N. F. Perera
+Although the genus Calliandra includes a number of species that may have potential value for animal production, assessment of Calliandra as livestock fodder has been limited to a single species--C. calothyrsus. Under favorable conditions, C. calothyrsus grows rapidly and can play a useful role in a number of animal-production systems.
+Fodder characteristics
+Like many other tree and shrub fodders, C. calothyrsus is rich in protein, but relatively poor in metabolizable energy. The edible fraction normally contains 20 to 25 percent crude protein, which makes it appropriate for use as a protein supplement for animals that are kept on a basal diet of grass or other poor-quality roughage. Its use should be limited, however, to a maximum of about 30 percent of the total diet on a dry-matter basis because higher levels are not fully utilized.
+Estimates of digestibility vary widely, ranging from 30 to 60 percent or more. Oven-dried samples usually give poor digestibility levels, whereas fresh samples are normally at the higher end of the range. Sun-dried and freeze-dried samples tend to be intermediate between these extremes.
+Although information is limited, animal production appears to show some correlation with laboratory results on digestibility: fresh C. calothyrsus fodder has given good liveweight gains in growing animals and good milk production in lactating cows, but dried fodder has given poor production levels. For this reason, C. calothyrsus should be fed fresh: conservation of leaf meal is not recommended. The leaves are known to contain high levels of tannins (twice as high as Leucaena, for example), and this may account for the fodder's low digestibility.
+No matter how good a fodder looks in the laboratory, it is of no benefit to livestock if it is not eaten. Most experience shows that C. calothyrsus is well accepted by both large and small ruminants, particularly after a short period of adaptation. In some instances, however, cattle have been reluctant to eat it. Differences in fodder acceptability may be related to provenance, environment, or to an interaction between the two.
+Alternatively, as with many tree fodders, it may simply be that animals require an adaptation period to become accustomed to the fodder before it can be used successfully as one component in a normal feeding regime. Further research is needed in this area. Meanwhile, it is advisable to screen a range of provenances when introducing C. calothyrsus as livestock fodder, not only for agronomic characteristics but also for acceptability. Certainly, provenance evaluation should precede any large-scale extension program to promote establishment of the trees on farms.
+Although C. calothyrsus has proven quite resistant to pests and diseases in most areas where it has been tested, there is always a potential danger in placing too much reliance on a single species, or worse a single provenance of a species. For this reason, it is recommended that farmers plant C. calothyrsus along with other useful fodder species, such as Leucaena leucocephala and Sesbania sesban. Each tree has different strengths and weaknesses, and farmers will benefit from planting a variety of complementary species.
+Animal feeding regimes
+Two principal production systems can be used to raise livestock with C. calothyrsus as a feed supplement: a cut-and-carry system or direct grazing. Although the conservation of C. calothyrsus as leaf meal is not recommended, a deferred-feeding technique can be used with either system that involves accumulating leaves on the tree during the growing season and harvesting these in the dry season when the quality and quantity of the basal diet fall to low levels.
+Under a cut-and-carry system, trees are grown to a convenient height with judicious pruning. The regrowth is then cut periodically and fed to livestock kept elsewhere on the farm. When the fodder is lush and growing rapidly, animals will consume the soft green stems up to a diameter of about I cm. When plant growth is slower, however, the stems become lignified at a smaller diameter, and livestock may limit their consumption to stems of about 0.4 cm or less. After the animals have consumed the leaves and small stems (edible fraction), the remaining sticks can be dried for use as cooking fuel. Trees are cut no lower than 30 cm above ground, but otherwise cutting frequency is more important than cutting height to ensure maximum tree productivity. To optimize the fodder's nutritive value, trees should be cut when they carry about 100 cm of regrowth. At this stage, the edible fraction is about 50 to 60 percent of total biomass. Under most conditions, such a cutting regime allows
+four to six cuts per year.
+There is little information about the use of C. calothyrsus in direct-grazing systems. The wood is fairly brittle, and branches may be broken during browsing. Furthermore, if the animals chew the bark from the trunks, the trees may die. Nevertheless, positive results have been reported in North Queensland, Australia from continuous direct grazing over a two-year period (Palmer and Cooksley, personal communication). Calliandra calothyrsus was direct seeded into an established pasture of Brachiaria decumbens. The planted rows were 2 m apart with 50 cm between trees within rows. The stocking rate was 5 animals per hectare. The C. calothyrsus appeared to benefit from high stocking rates that prevented the trees from growing too tall. The trial site has a mean annual rainfall of 3399 mm, soil pH of 5.3 and aluminum saturation of 11%. While it would be a mistake to place too much reliance on a single experience, several trials have shown that C. calothyrsus can tolerate frequent
+and severe defoliation. It therefore seems likely that direct grazing may be possible, although further work is required to identify optimal utilization systems (Palmer and Ibrahim 1996).
+Calliandra calothyrsus may also play a useful role in the production of non-ruminant livestock. Although there is little information on productivity levels, there are reports from Vietnam that C. calothyrsus is used for feeding fish in small ponds. The fodder can also be fed to rabbits in limited quantities as part of a mixed diet, and the addition of small amounts of leaf meal to the diets of laying hens (up to 5 percent on an as-fed basis) will produce a strong color in the egg yolks without any negative effects on egg yields or feed-conversion ratios (Paterson et al. 1996).
+Fodder production systems
+Volunteer stands. In Indonesia, where C. calothyrsus has been naturalized, trees are now found as volunteers in woodlands, along roadways, and in other sites. Farmers collect the foliage and use it to feed their livestock. Under such conditions, tree productivity varies widely depending on plant populations, soil fertility, cutting frequency, and other factors.
+Linear plantings. Calliandra calothyrsus may be planted in single or multiple rows along farm boundaries or on contour bunds, terrace risers, or similar sites. In many instances, theses niches can be utilized for tree production without causing any adverse effects on adjacent crops. Within rows, trees are usually spaced 40 to 50 cm apart. Yields vary widely depending on climate, soil fertility, and other factors. At one site in sub-Saharan Africa, trees that were more than two years old produced annual yields of edible forage in the range 3 to 5 kg dry matter per meter of row (Paterson et al. 1996).
+Block plantings. When grown in blocks, C. calothyrsus is usually planted at a spacing of I x I m or 2 x 0.5 m, although these distances may be adjusted to permit the use of machinery. Annual dry-matter yields of edible forage are frequently in the range of 3 to 8 t/ha.
+<section>6. Pests and Diseases</section>
+Eric Boa
+Calliandra species do not appear to suffer serious damage from pests or diseases, either in their native range or in areas where they have been introduced. This suggests that farmers and local communities will be able to expand their use of these trees with little risk of pest or disease problems.
+This general observation calls for a word of caution, however. There has been very little systematic study of pests or diseases in Calliandra species. Field observations have been limited and sporadic, and proper scientific assessment has been rare. This reflects the marked absence of suitably trained tree disease specialists in many developing countries. Given our incomplete knowledge of present pest and disease problems, we have a weak basis on which to calculate future risk--particularly in view of increased plantings and the widespread use of improved varieties.
+Table 1 summarizes the information available on fungal diseases, Table 2 summarizes information on insect pests, and Table 3 gives information on other disease conditions, mostly resulting from unknown causes. These tables draw on two recent lists of pests and diseases affecting members of the genus. The first major attempt at a comprehensive listing appeared in Lenné (1990). In 1992 and 1993, Jill Lenné and 1 conducted field surveys of pests and diseases in natural populations of Calliandra spp., Leucaena spp., and Gliricidia septum, work supported by the Forestry Research Programme of the UK Overseas Development Administration. Within Calliandra we concentrated principally on C. calothyrsus.
+The final report of this project contains detailed observations of diseased specimens, selected colour photographs, and an assessment of the economic and quarantine significance of the diseases observed. For copies, contact me at the address given above. The results were later included in a general publication covering diseases of nitrogen fixing trees in developing countries (Boa and Lenné, 1994), which has also been consulted for this account of Calliandra pests and diseases. I have also searched the CAB International TREE CD, a compilation of all the abstracts published in Forestry Abstracts from 1939 to the end of 1995.
+Smith and Vanden Berg (1992) have prepared a useful booklet with excellent colour photographs of leaves showing symptoms of idiopathic conditions and nutrient deficiencies. These are not specifically referred to in this account.
+Suggestions for diagnosis
+One problem for farmers or community workers introducing or expanding the use of Calliandra species is that symptoms such as dieback, loss of leaves, and general failure to thrive are nonspecific. Such symptoms may occur as the result of adverse growth conditions related to climatic conditions, water availability or the tree site, and are not necessarily indicative of pest attack. Carefully observe the distribution of leaf drop and dieback within the crown since this will give an initial indication of the possibility of pest attack.
+Other symptoms of pest attack are less equivocal. Rapid wilting, for example, results in a distinctive "burnt" appearance of the foliage. Canker development and leaf spots are also reliable indicators of pest attack. The presence of large numbers of insects may provide clear evidence of what is causing observed damage. There is a tendency to assume that large and visible insects are pest organisms, but you need to be aware that insect pests are not always readily found in association with the damage they cause.
+Tree management practices can make diagnosis difficult because of the removal of diseased parts. Branches and foliage may be cut because they are diseased or showing poor growth, but removal more usually occurs to meet routine needs for tree material. In my experience, farmers have a poor awareness of tree diseases. Seasonality of growth and variation in the appearance of foliage and extent of leaf cover is another important factor in assessing the health of trees. Foliage and crowns generally usually appear much less healthy at the end of a dry season than during periods of active growth. Accurate assessment of tree health thus relies on a familiarity by observers of routine tree management practices and seasonality of growth. This emphasises the need to monitor trees at different times of the year and to discuss tree health issues with farmers.
+The range of pest organisms listed in Table 1 suggests that the most common symptom is leaf damage of some sort. A number of rust fungi have been observed on Calliandra, although none has been recorded causing significant damage. These fungi have a typically powdery appearance, occurring as small raised dots, usually on the underside of leaves. They may be inconspicuous and thus easily missed. There is no evidence that they cause damage to stems and other parts of the tree.
+In some areas intensive coppicing of C. calothyrsus is associated with increased damage by Corticium salmonicolor, or 'pink disease', a widespread pathogen attacking many woody hosts; the stumps are also attacked by Xylaria sp.
+Dieback has been observed in association with fungal attack, but there are only two examples of a root rot and the only one other example of pink disease. This causes a general blight and may also result in limited canker formation. There are no recorded wilts affecting Calliandra and no evidence of either viral or bacterial diseases. Minor leaf damage often results from inconsequential insect feeding: this is usually revealed as a series of specks on the upper leaf surface.
+Assistance with diagnosis
+It is always best to ask a local pathologist or entomologist to help diagnose a tree disease problem, but the International Mycological Institute operates a disease diagnosis and fungal identification service for situations where trained specialists are not available locally. Readers are encouraged to send their questions on disease problems, along with samples, to the author--Eric Boa, Tree Health Specialist, at the International Mycological Institute, Bakeham Lane, Egham, Surrey TW20 9TY, U.K (e.boa@cabi.org). Examination of diseased material is undertaken for a modest fee. Reduced charges apply to many developing countries and charges may be waved, depending on the country and institute requesting assistance. Further information is available from the author. Advice can also be given on identification of insect and nematode pests through services available from other CAB International scientific institutes.
+When sending plant material for diagnosis, leaf samples are best pressed lightly to ensure that the leaves dry quickly and to preserve any fungal structures. Note that Calliandra leaflets or pinnae start to curl almost immediately after branches are cut, at least for C. calothyrsus and C. houstoniana, so have suitable pressing facilities readily on hand. Branches that are dying or show evidence of localized necrosis should be sampled at the junction between healthy and diseased tissue. Never wrap samples in polythene or plastic bags because samples will rot. Small insects can be preserved in 75 percent alcohol in sealed tubes. Insect larvae are less useful than adults for identification purposes.
+Make sure that you provide detailed notes concerning the condition of the tree and where it is growing, and give each sample a unique code or number. In addition to specimens, photographs of symptoms are extremely useful.
+Table 1. Fungal diseases of Calliandra spp.
+Information is from Boa and Lenné (1994) unless otherwise stated.
+Disease
+Fungus species
+Host species
+Occurrence
+Symptoms and notes
+Black mildew
+Asteridiella sp.
+C. calothyrsus
+Belize, Mexico
+Minor pathogen; black pustules commonly seen on upper surface of leaves
+C. houstoniana
+(probably widespread in Central America)
+Dieback
+Nectria ochroleuca
+C. surinamensis
+Sierra Leone
+Dieback
+Nectria rigidiuscula
+C. surinamensis
+Sierra Leone
+Dieback
+Thyronectria pseudotrichia
+Calliandra sp.
+General blight
+Corticium
+C. calothyrsus
+Papua New
+("pink disease")
+salmonicolor
+C. surinamensis
+Guinea
+Leaf drop and dieback
+Camptomeris calliandrae
+C. calothyrsus
+Honduras, Costa Rica
+Associated with moderate to severe damage on C. calothyrsus in Honduras; forms powdery pustules on lower surface of leaves, superficially resembling rust, but spores easily distinguished; no information on disease in Cost Rica, but could be more widespread
+C. surinamensis
+Leaf mould
+Cladosporium sp.
+C. surinamensis
+Costa Rica
+Unlikely to be associated with any primary damage to foliage
+Leaf spot
+Cercospora sp.
+Calliandra sp.
+USA
+Leaf spot
+Helminthosporium sp.
+Calliandra sp.
+USA
+Pod scab
+Sphaceloma sp.
+C. houstoniana
+Mexico
+Produces rust coloured pock marks on pods that could easily be overlooked or confused with insect damage; only seen at one site in Palenque, but probably under-recorded; major disease on other legumes; occurrence on pods raises quarantines issues
+Leaf spot
+Helminthosporium sp.
+Calliandra sp.
+USA
+Pod scab
+Sphaceloma sp.
+C. houstoniana
+Mexico
+Produces rust colouredpock marks on pods that could easily be overlooked or confused with insect damage; only seen at one site in Palenque, but probably under-recorded; major disease on other legumes; occurrence on pods raises quarantines issues
+Root rot
+Ammillaria mellea subsp. africana
+C. calothyrsus
+Kenya
+Limited outbreak of root disease at cooler high altitude sites; also affected Jacaranda mimosolia and Grevillea robusta; trees were killed (Paterson & Mwangi, 1996)
+Root rot
+Ammillaria tabescens
+Calliandra sp.
+USA
+Rust
+Ravenelia affinis
+Calliandra sp.
+Brazil
+Rust
+Ravenelia armata
+Calliandra sp.
+Brazil
+Rust
+Ravenelia bizonata
+Calliandra sp.
+Guatemala
+Rust
+Ravenelia dieteliana
+Calliandra sp.
+Brazil, Taiwan
+Rust
+Ravenelia echinata
+Calliandra sp.
+Ecuador, Mexico
+Rust
+Ravenelia echinata
+C. calothyrsus
+Costa Rica, Guatemala, Mexico, South America
+Pustules inconspicuous; var. ectypa not associated with any notable damage to foliage in Guatemala; no information from other countries
+Rust
+Ravenelia lagerheimiana
+Calliandra sp.
+Mexico
+Rust
+Ravenelia mexicana
+C. houstoniana
+Guatemala,
+C. jazepzukii
+Mexico
+Inconspicuous pustules; not associated with any significant damage
+Rust
+Ravenelia pazschkeana
+Calliandra sp.
+Brazil
+Rust
+Ravenelia reticulate
+C. humilis
+Mexico
+Rust
+Ravenelia spp.
+Calliandra sp.
+Honduras,
+C. houstoniana
+Guatemala
+Sample from C. houstoniana in Guatemala associated with significant leaf loss and general blight; difficult to identify Ravenelia species when teliospores absent
+Rust
+Ravenelia texensis
+Calliandra sp.,
+USA
+C. humilis var. reticulata
+Rust
+Ravenelia texensis var. texensis
+C. humilis
+Mexico, USA
+Rust
+Uredo longipedis
+Calliandra sp.
+Brazil
+Rust
+Uredo quichensis
+C. conzatti
+Guatemala
+Sooty mould
+Periopsis fusispora
+C. tweediei
+Trinidad
+Unlikely to be associated with any primary damage to foliage
+Stem blight
+Phomopsis sp.
+C. tweediei
+Cuba
+Stump rot
+Xylaria sp.
+C. calothyrsus
+Table 2. Insect pests of Calliandra spp.
+Insect species
+Host species
+Occurrence
+Symptoms and notes
+References
+Leucopholis irrorata
+C. calothyrsus
+Philippines
+Scarabid beetle recorded from a growth plot in uriago del Sur
+Braza (1991)
+MyIIocerus viridanus
+Calliandra sp.
+India
+Common teak defoliator also noted on other herbs and trees; capable of causing significant defoliation
+Mukhtar-Ahmed & Ahmed (1989)
+Pachnoda ephippiata
+C. calothyrsus
+Kenya
+Rose flower beetle; infestation aggravated by prolonged dry spells
+Kaudia (1990)
+Sabyadrassus malabaricus
+C. calothyrsus
+India
+Teak sapling borer also attacks other young trees
+Nair (1982)
+Spittlebug ("salivazo")
+C. calothyrsus
+Central America
+Unidentified cercopid (plan/hopper); no specific information
+Hilje et al. (1991)
+Stator sordidus
+C. calothyrsus
+Nicaragua
+Bruchid beetle; attacks seeds
+Johnson & Lewis (1993)
+Stator limbatus
+C. calothyrsus
+Nicaragua
+Bruchid beetle; attacks seeds
+Johnson & Lewis (1993)
+Stemborer
+C. calothyrsus
+Philippines
+Noted as resembling Hypsipyla robusta (mahogany shoot borer)
+Luego (1989)
+Tetraleurodes acaciae
+Calliandra sp.
+USA
+Acacia whitefly; no information on damage; probably found only on ornamental Calliandra
+Johnson & Lyon (1994)
+Tussock moth
+C. calothyrsus
+Philippines
+Unidentified Iymantrid also recorded from growth plot in Suriago del Sur
+Braza (1991)
+Umbonia crassicomis
+C. calothyrsus Calliandra sp
+Guatemala, Central America, USA
+Distinctive thorn bug with red tip to prominent spine; no specific information given on damage to tree; Boa noted in Guatemala; probably widespread though rarely causing significant damage
+Hilje et al. (1991),. Johnson& Lyon (1994)
+Table 3. Other disease conditions of Calliandra spp.
+Condition
+Host species
+Occurrence
+Symptoms and notes
+References
+Parasitic plant(Struthanthus quercicola)
+C. calothyrsus
+Central America
+No information
+Hilje et al. (1991)
+Leaf and stem galls
+C. calothyrsus
+Honduras, Guatemala
+Frequently seen but more of biological curiosity then disease significance; presumed to have an insect cause but no association positively identified
+Boa and Lenné(1993)
+Flower blight
+C. calothyrsus C. jazepzukii
+Dieback of floral stalk; flowers appear to die prematurely and become covered in secondary black mould; gummosis seen occasionally
+Boa and Lenné(1993)
+Seed rot
+Seeds die in pod; similar to bacterial pod rot in Leucaena (caused by Pseudomonas fluorescens) but no bacterial association proven
+Boa and Lenné(1993)
+<section>Seed and inoculant suppliers</section>
+This list of seed and inoculant suppliers is intended to provide a first reference. Prices may vary depending on the particular import/export requirements of each country. They also change frequently. We suggest that you contact a supplier and provide a description of your site, a list of the species you require, and how you intend to use the seeds. The supplier can then send you detailed information about seed and inoculant availability and prices. Sources are listed alphabetically by country.
+Seed
+M. L. Farrar Pty., Ltd.
+P.O. Box 1046
+Bomaderry, N.S.W. 2541, Australia
+Tel: (61) 44-217-966
+Fax: (61) 44-210-051
+Banco Latinoamericano de Semillas Forestales
+CATIE 7170-137
+Turrialba, Costa Rica
+Tel: (506) 556-1933
+Fax: (506) 556-1533
+Centro de Mejoramiento Genético y Banco de Semillas Forestales
+Km 79 Carretera Managua-Leon
+Aptdo. 630
+Leon, Nicaragua
+Tel: (505) 0311-6579/5803
+Fax: (505) 0311-3711/6578
+International Institute of Rural
+Reconstruction
+Plant Genetic Resources Conservation
+Program
+Appropriate Technology Unit
+Silang, Cavite 4118, Philippines
+Tel: (63) 2-58-2659
+Fax: (63) 2-522-2494
+National Tree Seed Programme
+P.O. Box 373
+Morogoro, Tanzania
+Tel: (255) 56-3912 or 56-3093
+Fax: (255) 56-3275 or 51-46312
+Henry Doubleday Research Association
+Ryton Organic Gardens
+Ryton- on-Dunsmore
+Coventry CV8 3LG, U.K.
+Tel: (44) 1-203-303-517
+Fax: (44) 1-203-639-229
+E-mail: pharris @ hdra.demon.co.uk
+Oxford Forestry Institute
+South Parks Road
+Oxford OX1I U.K.
+Tel: (44) 1-865-275131
+Fax: (44) 1-865-275074
+Agroforester TM Tropical Seeds
+P.O. Box 428
+Holualoa, Hawaii 96725, U.S.A.
+Tel: (1) 808-324-4427
+Fax: (1) 808-324-4129
+E-mail: agroforester@igc.org
+ECHO
+17430 Durrance Road
+North Fort Myers, Florida 33917-2239, U.S.A.
+Tel: (1) 941-543-3246
+Fax: (1) 941-543-5317
+E-mail: 74172.370@compuserve.com
+Rhizobium inoculants
+CIRAD-Forêt
+Laboratoire BSFT/Programme Agroforesterie
+Campus de Baillarguet
+B.P. 5035
+F-34032 Montpellier Cedex, France
+Tel: (33) 67-61-5800 (posse 4252)
+Fax: (33) 67-59-3755 (3733)
+CSIRO
+Cunningham Laboratory
+Carmody Road
+St Lucia, Queensland 4067, Australia
+Tel: (61) 7-3377-0209
+Fax: (61) 7-3371-3946
+Dr. Peter Dart
+Department of Agriculture
+University of Queensland
+Brisbane, Queensland 4072, Australia
+Tel: (61) 7-3365-2867
+Fax: (61) 7-3365-1177
+AgroForester TM Tropical Seeds
+P.O. Box 428
+Holualoa, Hawaii 96725, U.S.A.
+Tel: (1) 808-324-4427
+Fax: (1) 808-324-4129
+E-mail: agroforester@igc.org
+Lipha Tech (Nitrogen Inoculants)
+3101 West Custer Avenue
+Milwaukee, Wisconsin 53217, U.S.A.
+Tel: (1) 414-462-7600
+Fax: (1) 414-462-7186
+Mycorrhizae inoculants
+Bioscientific, Inc.
+4405 South Litchfield Road
+Avondale, Arizona 85323, U.S.A.
+Tel: (1) 800-872-2461
+Fax: (1) 602-925-0506
+Plant Health Care, Inc.
+440 William Pitt Way
+Pittsburgh, Pennsylvania, 15238, U.S.A.
+Tel: (1) 412-826-5488
+Fax: (1) 412-826-5445
+Premier Enterprises, Ltd.
+326 Main Street
+Red Hill, Pennsylvania 18076, U.S.A.
+Tel: (1) 800-424-2554
+Fax: (1) 215-679-6430
+Tree of Life Nursery
+P.O. Box 736
+San Juan Capistrano, California 92693,
+U.S.A.
+Tel: (1) 714-728-0685
+Fax: (1) 714-728-0509
+<section>Authors</section>
+Mr. Rodrigo Arias
+Director Técnico, Unidad Productión Animal
+Instituto de Ciencia y Tecnologia Agricolas
+Km 21.5 Carretera hacia Amatitlán
+Bárcenas, Villa Nueva, Guatemala
+Tel: (502) 9-312007/312009
+Fax: (502) 9-312002
+Dr. Eric Boa
+Tree Health Specialist
+International Mycological Institute
+Bakeham Lane
+Egham, Surrey TW20 9TY, U.K.
+Tel: (44) 1-784-470111
+Fax: (44) 1-784-470909
+E-mail: e.boa@cabi.org
+Dr. Joanne Chamberlain
+Oxford Forestry Institute
+South Parks Road
+Oxford OX1 3RB, U.K.
+Tel: (44) 1-865-275131
+Fax: (44) 1865-275074
+E-mail: jo.chamberlain@plant- sciences.oxford.ac.uk
+Dr. A. Ng. Gintings
+National Coordinator
+Forestry and Nature Conservation Research and Development Centre
+P.O. Box 165 Bogor 16001, Indonesia
+Tel: (62) 251-325111
+Fax: (62) 251-325111/315222
+Mr. Endang Hernawan
+Forest Faculty
+Winaya Mukti University
+Jl. Winaya Mukti No. 1
+Bandung, Indonesia
+Tel: (62) 22-798260
+Fax: (62) 22-798260
+Mr. Yayat Hidayat, Ir.
+Forest Faculty
+Winaya Mukti University
+Jl. Winaya Mukti No. I
+Bandung, Indonesia
+Tel: (62) 22-798260
+Fax: (62) 22-798260
+Dr. Hoang Xuan Ty
+Director, Research Center for Forest
+Ecology and Environment
+Forest Science Institute of Vietnam
+Chem, Tu Liem
+Hanoi, Vietnam
+Tel: (84) 43-347434
+Fax: (84) 43-45722
+Dr. Tatang M. Ibrahim
+Small Ruminant CRSP
+P.O. Box 1
+Galang 20585, North Sumatra, Indonesia
+Tel: (62) 61-958013
+Fax: (62) 61-958270
+E-mail: rcmerkel@idola.net.id
+Mr. Kahsay Berhe
+International Livestock Research Institute
+P.O. Box 5689
+Addis Ababa, Ethiopia
+Tel: (251) 1-61-32-15
+Fax: (251) 1 -61 - 18-92
+Email: ilri.ethiopia@cgnet.com
+Dr. Didier Lesueur
+Research Scientist
+CIRAD-Forêt, Maison de la Technologie
+B.P. 5035, F-34032
+Montpellier Cedex 1, France
+Tel: (33) 67-615766
+Fax: (33) 67-616560
+Dr. M. De S. Liyanage
+Director, Coconut Research Institute
+Lunuwila N.W.P., Sri Lanka
+Tel: (94) 30-3795/5300
+Fax: (94) 31 -7195
+Mr. Duncan Macqueen
+39 Norreys Avenue
+Oxford OX1 4ST, U.K.
+Tel: (44) 1-865-721502
+Fax: (44) 1-865275074
+E-mail: duncan.macqueen@plantsciences.ox.ac.uk
+Mr. Roger Merkel
+Resident Project Scientist
+Small Ruminant CRSP
+P.O. Box 1
+Galang 20585, North Sumatra, Indonesia
+Tel: (62) 61 -958013
+Fax: (62) 61-958270
+E-mail: rcmerkel@idola.net.id
+Dr. Brian Palmer
+Principal Research Scientist
+CSIRO, Davies Laboratories
+P.M.B., P.O. Aitkenvale
+Queensland 04814, Australia
+Tel: (61) 77-538528
+Fax: (61) 77-538600
+E-mail: brian.palmer@tvl.tcp.csiro.au
+Dr. Rob Paterson
+13 Damar Gardens
+Henley on Thames
+OXON RG9 1HX, U.K.
+Tel: (44) 1-491-571712
+Fax: (44) 1-634-883888
+Dr. A. N. F. Perera
+Deptartment of Animal Science
+Faculty of Agriculture
+University of Peradeniya
+Peradeniya, Sri Lanka
+Tel: (94) 8-88239188354188375188657
+Fax: (94) 8-88041/88151/32572
+E-mail: postmast@pgia.pdn.ac.lk
+Mr. Alan Pottinger
+Oxford Forestry Institute
+South Parks Road
+Oxford OX1 3RB, U.K.
+Tel: (44) 1-865-275131
+Fax: (44) 1865-275074
+E-mail: Alan.Pottinger@plantsciences.oxford.ac.uk
+Mr. Mark H. Powell
+Program Officer
+Winrock International
+38 Winrock Drive
+Morrilton, Arkansas 72110, U.S.A.
+Tel: (1) 501-727-5435
+Fax: (1) 501-727-5417
+E-mail: mhp@msmail.winrock.org
+E-mail: mhp@msmail.winrock.org
+Mr. Rajesh Rajaselvam
+UP-OFI Link, Faculty of Agriculture
+University of Peradeniya
+Peradeniya, Sri Lanka
+Tel: (94) 8-88375/88354
+E-mail: rajesh@agri.pdn.ac.lk
+Mr. Hikmat Ramden, Ir.
+Forest Faculty, Winaya Mukti University
+Jl. Winaya Mukti No. 1
+Bandung, Indonesia
+Tel: (62) 22-798260
+Fax: (62) 22-798260
+Mr. Ralph Roothaert
+Researcher, ICRAF/KARI
+Kari-RRC
+P.O. Box 27
+Embu, Kenya
+Tel: (254) 161-20116/20100/20873
+Fax: (254) 161-30064
+E-mail: icraf-embu@cgnet.com
+Mr. James M. Roshetko
+Program Officer
+Winrock International
+38 Winrock Drive
+Morrilton, Arkansas 72110, U.S.A.
+Tel: (1) 501-727-5435
+Fax: (1) 501 -727-5417
+E-mail: jmr@msmail.winrock.org
+Mr. Jean-Michel Sarrailh
+Officer in Charge, CIRAD-Forêt/NC
+Departement Forêt
+Centre de Cooperation Internationale en
+Recherche Agronome pour le
+Développement
+P.O. Box 10001
+Noumea 98805, New Caledonia
+Tel: (687) 284105
+Mr. Adji Setijoprodjo
+Secretary, Board of Trustees
+Yayasan Sumberdaya and Lingkungan Untuk
+Pelestarian Pembangunan
+YSLPP - Desa Kekait, Kecamatan Gunung Sri
+Mataram NTB
+Indonesia
+Tel: (62) 364-31273
+Dr. H. Max Shelton
+Deptartment of Agriculture
+University of Queensland
+Queensland 4072, Australia
+Tel: (61) 7-3365-2541
+Fax: (61)7-3365-1188/1177
+E-mail: m.shelton@mailbox.uq.oz.au
+Dr. Mapatoba Sila
+Honey Bee Researcher
+Universitas Hasanuddin
+Lembaga Penelitian Kampus Unhas Tamalaurea
+Jl Perintis Kemerdekaan Km. 10
+U. Pandang, Indonesia
+Tel: (62) 751 -510200
+Fax: (62) 751 -510088
+<section>Selected References</section>
+Botany and ecology
+Chang B., and H. Martinez. 1984. Germplasm resources of Calliandra calothyrsus Meissn. in Central America and Panama. Forest Genetic Resources Information 13:54-58.
+Macqueen, D. J. 1993a. Calliandra series Racemosae: Taxonomic information, OFI seed collections, trial design. Oxford Forestry Institute. Oxford, UK.
+Maqueen, D. J. 1996. Calliandra taxonomy and distribution, with particular reference to the Racemosoe. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue), Winrock International. Morrilton, Arkansas, USA. p. 1-17.
+Soedarsono, R., A. G. Gintings, and I. Samsoedin. 1996. Historical introduction of Calliandra in Indonesia. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 18-25.
+Seed collection and production
+Bawa, K. S., and C. J. Webb. 1984. Flower, fruit, and seed abortion in tropical forest trees: Implications for the evolution of paternal and maternal reproductive patterns. American Journal of Botany 71 :736-751.
+Boland, D. S., and B. Owor. 1996. Some aspects of floral biology and seed production in exotic Calliandra calothyrsus at Maseno, Kenya. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 49-61.
+Chamberlain, J. R., and A. J. Pottinger. 1995. Genetic improvement of Calliandra calothyrsus. In D. O. Evans and L. T. Szott, eds. Nitrogen fixing trees for acid soils. Nitrogen Fixing Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 250-257.
+Chamberlain, J. R., and R. J. Rajaselvam. 1996a. Calliandra seed production--a problem or not? In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 29-33.
+Chamberlain, J. R., and R. J. Rajaselvam. 1996b. Calliandra calothyrsus pollinator behavior and seed production. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 34-40.
+Macqueen, D. J. 1992. Calliandra calothyrsus: implications of plant taxonomy, ecology, and biology for seed collection. Commonwealth Forestry Review 71 :20-34.
+Macqueen, D. J. 1993a. Calliandra series Racemosoe: Taxonomic information, OFI seed collections, trial design. Oxford Forestry Institute. Oxford, UK.
+Macqueen, D. J. 1993b. Exploration and collection of Calliandra calothyrsus. Final Report, ODA Research Scheme R.4585. Oxford Forestry Institute. Oxford, UK.
+NAS (National Academy of Sciences). 1983. Calliandra: A versatile small tree for the humid tropics. National Academy Press. Washington, D.C..
+Rajaselvam, R. J., H. P. M. Gunasena, and J. R. Chamberlain. 1996. Reproductive biology of Calliandra calothyrsus in relation to its seed production in Sri Lanka. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 41-48.
+Establishment
+Briscoe, C.B. 1989. Field trials manual for multipurpose tree species. Multipurpose tree species network research series; manual no. 3. Winrock International. Bangkok, Thailand.
+Castellano, M. A., and R. Molina. 1989. Mycorrhizae. In T. D. Landis, R. W. Tinus, S. E. McDonald, and J. P. Barnett, eds. The container tree nursery manual. Volume 5. USDA Forest Service. Washington, D.C.. p. 101-167.
+Diem, H. G., K. Ben Khalifa, M. Neyra, and Y. R. Dommergues. 1989. Recent advances in the inoculant technology with special emphasis on plant symbiotic microorganisms. In U. Leone, G. Rinaldi, and R. Vanore, eds. Proceedings of the Workshop on Advanced Technologies for Increased Agricultural Production: Actual situation, future prospects, and concrete possibilities of application in developing countries. CNR-USG. Rome. p. 196 209.
+Evans, J. 1982. Plantation forestry in the tropics. Oxford University Press. New York, USA.
+Ferguson, J. J., and S. H. Woodhead. 1982. Production of endomycorrhizal inoculum. A: Increase and maintenance of vesicular-arbuscular mycorrhizal fungi. In N. C. Schenck, ed. Methods and principles of mycorrhizal research. American Phytopathological Society. St. Paul, Minnesota, USA. p. 47-54.
+Jackson, J. K. 1989. Manual of afforestation in Nepal. Kathmandu: Nepal-UK Forestry Research Project, Forest Research Division, Department of Forestry and Plant Research.
+Keyser, H. 1990. Inoculating tree legume seed and seedlings with rhizobia Nitrogen Fixation by Tropical Agricultural Legumes (NifTAL) Center. Paia, Hawaii, USA.
+Liegel, L. H., and C. R. Venator. 1987. A technical guide for forest nursery management in the Caribbean and Latin America General Technical Report S0-67. USDA Forest Service, Southern Forest Experiment Station. New Orleans, Louisiana, USA.
+Longman, K. A. 1993. Rooting cuttings of tropical trees. Commonwealth Science Council. London, UK.
+Malajczuk, N., N. Jones, and C. Neely. Undated. The importance of Mycorrhiza to forest trees. Land Resources Series No. 2. World Bank, Asia Technical Department. Washington, D.C..
+Postgate, J. R. 1987. Nitrogen fixation. Institute of Biology, Studies in Biology. Second edition. Edward Arnold. London, UK.
+Roshetko, J. M., D. O. Lantagne, M. A. Gold, B. Morikawa, and S. Krecik. 1996. Recommendations for establishing and managing Calliandra calothyrsus as a fodder resource in Jamaica. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports. (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 168-179.
+Roskoski, J. P. 1989. Biological nitrogen fixation: Commonly asked questions and answers. Nitrogen Fixation by Tropical Agricultural Legumes (NifTAL) Center. Paia, Hawaii, USA.
+Shrestha, K.B., L.B.S. Tuladhar, and P.K. Tyystjarvi. 1980. Manual on nursery and plantation practices for community forestry development. HMG/UNDP/FAO Community Forestry Development Project. Nepal. 80 p.
+Somasegaran, P., and H. J. Hoben. 1985. Methods in legume-Rhizobium technology. Nitrogen Fixation in Tropical Agricultural Legumes (NifTAL) Center. Paia, Hawaii, USA.
+Uses
+Arias, R. A., and D. J. Maqueen. 1996. Traditional uses and potential of the genus Calliandra in Mexico and Central America. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 108-114.
+Baggio, A. X., and J. Heuveldop. 1984. Initial performance of Calliandra calothyrsus Meissner in live fences for the production of biomass. Agroforestry Systems 2: 19-29.
+Duguma, B., and J. Tonye. 1994. Screening of multipurpose trees and shrub species for agroforestry in the humid lowlands of Cameroon. Forest Ecology and Management 64:135-143.
+Duguma, B., and M. Mollet. 1996. Provenance evaluation of Calliandra calothyrsusin the humid lowlands of Cameroon. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 147- 163.
+Gichuru, M. P., and B. T. Kang. 1989. Calliandra calothyrsus Meissner in an alley cropping system with sequentially cropped maize and cowpea in southeastern Nigeria. Agroforestry Systems 9:191-203.
+Kartasubrata, J. 1996. Culture and uses of Calliandra calothyrsus in Indonesia. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 101-07.
+Liyanage, M. de S., and H. A. Abeysoma. 1996. Management and utilization of Calliandra calothyrsus in coconut plantations. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 137-143.
+NAS (National Academy of Sciences). 1983. Calliandra: A versatile small tree for the humid tropics. National Academy Press. Washington, D.C..
+Rosecrance, R. C., S. Rogers, and M. Tofinga. 1992. Effects of alley cropped Calliandra calothyrsus and Gliricidia septum hedges on weed growth, soil properties, and taro yields in Western Samoa. Agroforestry Systems 19:57-66.
+Sarrailh, J. M., C. Corniaux, L. Desvals, and S. Lebel. 1996. Calliandra, a panacea for New Caledonia? In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 115-119.
+Satjapradja, O., and T. Sukandi. 1981. Agroforestry with red calliandra. Indonesian Agricultural Research and Development Journal (3)3: 85-88.
+Setijoprodjo, A. 1996. Calliandra calothyrsus hedgerows in a land conservation project in Indonesia. In D. O. Evans, ed. International Workshop on the Genus Calliandra Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p.144-146.
+Sila, A. M. 1996. Calliandra for community development in Sulawesi. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p.13436.
+Wiersum, K. F., and I. K. Rica. 1992. Calliandra calothyrsus Meissn. In L. It Mannetje and R. M. Jones, eds. Plant resources of South-East Asia. Volume 4: Forages. PROSEA. Bogor, Indonesia. p. 68-70.
+Ty, H. X. 1996. Adaptability trials with Calliandra calothyrsusin Vietnam. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 120126.
+Fodder production
+Ahn, J. H., B. M. Robinson, R. Elliot, R. C. Gutteridge, and C. W. Ford. 1989. Quality assessment of tropical browse legumes: Tannin content and protein degradation. Animal Feed Science and Technology 27:147-156.
+Akyeampong, E., and K. Muzinga. 1994. Cutting management of Calliandra calothyrsus in the wet season to maximize dry season fodder production in the central highlands of Burundi. Agroforestry Systems 27(2): 101 -105.
+Barry, T. N., and C. S. W. Reid. 1984. Nutritional effects attributable to condensed tannins, cyanogenic glycosides, and oestrogenic compounds in New Zealand. In R. F. Barnes, R. W. Brougham, and D. J. Minson, eds. Forage legumes for energy effect: Animal production. United States Department of Agriculture. Beltsville, Maryland.
+D'Mello, J. P. F. 1995. Leguminous leaf meals in non-ruminant nutrition. In J. P. F. D'Mello and C. Devendra, eds. Tropical legumes in animal nutrition. CAB International. Wallingford, UK.
+Kaitho, R. J., S. Tamminga, and J. Bruchem. 1993. Rumen degradation and in-vivo digestibility of dried Calliandra calothyrsus leaves. Animal Feed Science and Technology 43:19-30.
+Kashay, B., and Mohamed Saleem. 1996. The potential of Calliandra calothyrsus as a fodder tree on acidic Nitosols of the southern, western, and southwestern highlands of Ethiopia. In D. O. Evans, ed. International Workshop on the Genus Calliandra Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 234-244.
+Lowry, J. B., and B. Macklin. 1989. Calliandra calothyrsus--An Indonesian favorite goes pantropic. NFT Highlight 88-02. Nitrogen Fixing Tree Association. Waimanalo, Hawaii, USA. 2p.
+Mangan, J. L. 1988. Nutritional effects of tannins in animal feeds. Nutrition Research Reviews 1 :209-231.
+McLeod, M. N. 1974. Plant-tannins: Their role in forage quality. Nutrition Abstracts and Reviews 11 :803-815.
+Merkel, R. C., K. R. Pond, J. C. Burns, and D. S. Fisher. 1996. Condensed tanins in Calliandra calothyrsus and their effects on feeding value. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports. (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 222-233.
+Morikawa, R. T., D. O. Lantagne, M. A. Gold, S. G. Krecik, and J. M. Roshetko. 1995. Management of Calliandra calothyrsus for fodder production in Jamaica. Tropical Grasslands 29: 236-240.
+Narvaez, N., and C. Lascano. 1989. Digestibilidad in vitro de especies forrajeras tropicales. 2: Factores asociados con su determinación. Pasturas Tropicales I 1:13-18.
+Niang, A., E. Styger, and A. Gahamanyi. 1992. Fodder potential of grass and shrub combination on contour bunds in Rwerere. In D. Hoekstra and J. Beniest, eds. Summary proceedings: East and Central African AFRENA Workshop. AFRENA Report No. 58. International Center for Research in Agroforestry. Nairobi, Kenya, Africa.
+Norton, B. W. 1994. The nutritive value of tree legumes. In R. C. Gutteridge and H. M. Shelton, eds. Forage tree legumes in tropical agriculture. CAB International. Wallingford, UK. p. 177-191
+Palmer, B., R. A. Bray, T. M. Ibrahim, and M. G. Fulloon. 1989. Shrub legumes for acid soils. In E. T. Craswell and E. Pushparajah, eds. Management of acid soils in the humid tropics of Asia. ACIAR Monograph No. 13. Australian Centre for International Agricultural Research. Canberra. p. 36-43.
+Palmer, B., and T. A. Ibrahim. 1996. Calliandra calothyrsus forage for the tropics: A current assessment. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 183-194.
+Palmer, B., D. J. Macqueen, and R. C. Gutteridge. 1994. Calliandra calothyrsus: A multipurpose tree legume for humid locations. In R. C. Gutteridge and H. M. Shelton, eds. Forage tree legumes in tropical agriculture. CAB International. Wallingford, UK. p. 65-74.
+Palmer, B., and A. C. Schlink. 1992. The effect of drying on the intake and rate of digestion of the shrub legume Calliandra calothyrsus. Tropical Grasslands 26:89-93.
+Paterson, R. T., G. A. Proverbs, and J. M. Keoghan. 1987. The management and use of fodder banks. Caribbean Agricultural Research and Development Institute. Barbados.
+Paterson, R. T., R. L. Roothaert, O. Z. Nyaata, E. Akyeampong, and L. Hove. 1996. Experience with Calliandra calothyrsus as a feed for livestock in Africa. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 195-209.
+Perera, A. N. F., and E. R. K. Perera. 1996. Use of Calliandra calothyrsus leaf meal as a substitute for coconut oil meal for ruminants. In D. O. Evans, ed. International Workshop on the Genus Calliandra Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 245-250.
+Perera, A. N. F., E. R. K. Perera, and H. P. M. Gunasena. 1996. Nutritive value and degradation characteristics of Calliandra calothyrsus provenances In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports. (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 251-259.
+Shelton, H. M., B. W. Norton, B. F. Mullen, R. C. Gutteridge, and P. J. Dart. 1996. Utilization and nutritive value of Calliandra calothyrsus for forage: A review of research at the University of Queensland. In D. O. Evans, ed. International Workshop on the Genus Calliandra. Forest, Farm, and Community Tree Research Reports (Special issue). Winrock International. Morrilton, Arkansas, USA. p. 210-221.
+Sumata, I.-K., M. Ali, and E. Wina. 1994. The effect of supplementation of calliandra (Calliandra calothyrsus) leaves on reproductive performance of Javanese fat-tailed sheep. Ilmu den Peternakan 7(2): 13-16.
+Veen, W. van den 1993. Economic analysis of fodder trees for dairy cows on farms in Western Kenya M.Sc. thesis, Wageningen Agricultural University, Wageningen, Netherlands.
+Veen, W. van der, and R. Swinkels. 1993. Fodder trees: A profitable option for a higher milk production. West Kenya Agroforestry Newsletter 4(July 1993).
+Wina, E., B. Tangendjaja, and E. Tamtomo. 1993. The effect of drying on the digestibility of Calliandra calothyrsus. Ilmu den Peternakan 6(1): 32-36.
+Pests and diseases
+Boa, E. R. 1995. A guide to the identification of diseases and pests of neem (Azadirachta indica). RAP Publication 1995/41. Food and Agriculture Organization of the United Nations. Bangkok.
+Boa, E. R., and J. M. Lenné. 1993. Pilot assessment of diseases of important woody legumes in Central America and Mexico. Project R4852, Final Report. Natural Resources Institute. Chatham, UK.
+Boa, E. R., and J. Lenné. 1994. Diseases of nitrogen fixing trees in developing countries: An annotated list. Natural Resources Institute. Chatham, UK.
+Boa, E. R., and J. M. Lenné. 1996. Diseases and insect pests. In J. L. Stewart, G. E. Allison, and A. J. Simons, eds. Gliricidia septum: Genetic resources for farmers. Oxford Forestry Institute. Oxford, UK. p. 73-76.
+Braza, R. D. 1991. Insects damaging Calliandra calothyrsus in the Philippines. Nitrogen Fixing Tree Research Reports 9:38-39.
+Browne, F. G. 1968. Pest and diseases of forest plantation trees. Clarendon Press. Oxford, UK.
+Hilje, L., C. Araya, and F. Scorza. 1991. Plagas y enfermedades forestales en America Central: Guía de campo. Centro Agronómico Tropical de Investigación y Enseñanza. Turrialba, Costa Rica.
+Johnson, C. D., and G. P. Lewis. 1993. New host records for Stator sordidus and Stator limbatus (Coleoptera: Bruchidae) with comments on bruchid feeding guilds. Coleopterists Bulletin 47:246248.
+Johnson, W. T., and H. H. Lyon. 1994. Insects that feed on trees and shrubs. Cornell University Press. Ithaca, New York.
+Kaudia, A. 1990. Report of an insect pest on Calliandra calothyrsus (Meissn.) in Kenya. Nitrogen Fixing Tree Research Reports 8:126.
+Lenné, J. M. 1990. A world list of fungal diseases of tropical pasture species. Phytopathological Paper No. 31. International Mycological Institute. Egham, UK.
+Lenné, J. M. 1992. Diseases of multipurpose woody legumes in the tropics: A review. Nitrogen Fixing Tree Research Reports 10:13-29.
+Luego, J. N. 1989. Contributed papers involving one NFT genus: Calliandra. Nitrogen Fixing Tree Research Reports 7:76.
+Mukhtar Ahmed. 1989. Feeding diversity of Myllocerus viridanus Fab. (Coleoptera: Curculionidae) from south India. Indian Forester 115:832-838.
+Nair, K. S. S. 1982. Seasonal incidence, host range, and control of the teak sapling borer, Sahyndrassus malabaricus. KFRI Research Report No. 16. Kerala Forest Research Institute. India. 36 p.
+Paterson, R. T., and L. M. Mwangi. 1996. Honey fungus in agroforestry. Agroforestry Today 8:19-20.
+Smith, F. W., and P. J. Vanden Berg. 1992. Foliar symptoms of the nutrient disorders in the tropical shrub legume Calliandra calothyrsus. Division of Tropical Crops and Pastures Technical Paper No. 31. Commonwealth Scientific and Industrial Research Organization. Canberra, Australia.
+<section>Morphological and seedling keys to the identification of species in the Racemosae.</section>
+Morphological Key
+1. Pinnae greater than 6-jugate. Calyx less than 5 mm long and cup shaped Pinnae 2-6 jugate. Calyx inflated, bilabiate, and membranaceous, greater than 10 mm long. Pods rigidly membranaceous, short pubescent, undulate. Often multiple stemmed shrub (1.5 4 m tall).
+7. C. physocalyx. Oaxaca-Guerrero, Mexico.
+2. Leaves dark lustrous green above, pale beneath, rigid. Leaflets falcately truncate, somewhat inequilateral, sharply acute, overlapping. Stipules oblanceolate Leaves pale-mid green above and slightly paler green beneath, without a lustrous sheen, soft and tending to fold upon collection. Leaflets acute, but not falcate or overlapping. Stipules lanceolate
+3. Stem and flowers white-cream incanous-velutinous. Flowers large, corolla greater than (13) 14 mm long. Pods always ligneous, canescent pilose. Stem and flowers ferruginous pubescent, rarely glabrescent. Corolla less than 14 mm long. Pods rigidly coriaceous, red pilose, velutinous or detachably hispid, very rarely white pubescent. Large shrub to small tree (1.5 6 m)
+3. C. houstoniana. Nicaragua-Chihuahua, Mexico.
+4. Leaves large (leaf rachis 12-25 cm long). Shrub, less than 1.5 m tall. Flowers on 1-5 well spaced nodes with long peduncle but short pedicel (0-4 mm)
+6.C. palmeri. Jalisco-Nayarit, Mexico.
+Leaves mid-sized (leaf rachis 8-12 cm long). Large shrub, greater than 1.5 m tall.
+Long peduncles and pedicels (2-8 mm)
+4. C. juzepczukii Chiapas-Oaxaca, Mexico.
+5. Corolla (6) 8-14 mm long. Pods either sub-ligneous or coriaceous and densely white, dark, or brown sericeous or short, red, pilose, and corrugated. Pinnae 10-26 jugate. Leaflets 0.5-1.4 mm wide. Stems and flowers white, dark, or ferruginous pubescent, rarely sparsely pubescent. Shrubs, few-branched, 1-6 m tall Corolla 6-8 mm long. Pods rigidly membranaceous 10-18 mm wide and glabrescent. Pinnae 4-19 jugate. Leaflets 0.8-2.5 mm wide. Stems and flowers glabrescent, rarely short white pilose. Small trees, 2-12 m tall
+2. C. calothyrsus. Panama-Colima, Mexico.
+6. Flowers borne on long peduncles (12-18mm) and long pedicels (5-8 mm). Flowers glabrescent or short pubescent. Pods 9-12 mm wide, short red pubescent, clearly corrugated in the intermarginal area. Large shrubs (2-6 m tall)
+5. C longepedicellata. Jalisco, Mexico.
+Flowers borne on medium length peduncles (5-12 mm) and short pedicels (1-2.5 mm). Flowers densely white, dark or ferruginous pilose. Pods 11-18 mm wide, white or dark sericeous. Small shrubs (1-2 (4) m tall)
+1. C. grandiflora. Honduras-Sonora, Mexico.
+Seedling key
+1. First leaf pinnate
+First leaf bipinnate
+2. Cotyledons phaneroepigeal
+Cotyledons cryptohypogeal or phanerogeal
+3. Stipules lanceolate
+Stipules ovate-oblanceolate. Cotyledons developing 0-1 cm above the ground. First leaves almost opposite, densely haired
+C. houstoniana. Nicaragua-Chihuahua, Mexico.
+4. Seedlings with cotyledons 1-3 cm above the ground. First leaves clearly alternate
+.C. calothyrsus. Panama-Colima, Mexico
+Seedlings with cotyledons 0-1 cm above the ground. First leaves opposite or scarcely alternate
+C. physocalyx. Oaxaca-Guerrero, Mexico
+5. Stipules ovate-oblanceolate. Cotyledons opening at ground level; epicotyl scarcely elongated
+C. juzepczukii. Chiapas-Oaxaca, Mexico.
+Stipules lanceolate. Cotyledons remain, at least partially beneath the ground; epicotyl 0.5-1.5 cm
+6. Cotyledons remain below ground. First leaf with 8-10 pairs of leaflets
+C. grandiflora. Honduras-Sonora, Mexico.
+Cotyledons open at ground level. First leaf with 10-15 pairs of leaflets
+C. longepedicellata. Jalisco, Mexico.
+7. Cotyledons opening at ground level, first leaves clearly alternate
+C. palmeri. Jalisco-Nayarit, Mexico.
+Cotyledons opening from close to ground level to 1 cm, first leaves opposite or nearly so...
+C. houstoniana. Nicaragua-Chihuahua, Mexico.
+Source: D.J. Macqueen (1996), p. 12-13.
+Glossary of technical botanical terms.
+Source: D.J. Macqueen (1993), p. 57
+Acropetally
+Developing towards the apex.
+Actinomorphic
+Parts radiating equally from the center.
+Anthesis
+Time of anther opening and pollen release.
+Acuminate
+Having a gradually diminishing point.
+Adaxial
+The side facing the main plant axis.
+Angulate
+Showing a determinate number of angles.
+Campanulate
+Bell-shaped.
+Canescent
+Growing grey.
+Capitate
+Pin-headed or growing in heads.
+Ciliate
+Fringed with hairs.
+Ciliolate
+Slightly fringed with hairs.
+Coriaceous
+Leathery.
+Eglandular
+Without glands.
+Foliaceous
+Leafy.
+Glabrous
+Without hairs.
+Hirsute
+Covered with long weak hairs.
+Hispid
+Covered with coarse rigid hairs or bristles.
+Jugate
+Joined (Paired).
+Lanceolate
+Sharply pointed or lance-like.
+Ligneous
+Woody.
+Membranous
+Thin and semi-transparent.
+Obovate
+Upside down egg-shaped.
+Ovate
+Egg-shaped.
+Paniculate
+With a branched conical inflorescence.
+Pedicel
+The stalk of a single flower.
+Peduncle
+The stalk of a flower cluster.
+Pentamerous
+With parts in fives.
+Petiole
+Leaf stalk.
+Pilose
+Hairy.
+Pleurogram
+The horse-shoe marking on the seed coat.
+Puberulent
+Slightly hairy.
+Rachilla
+A secondary axis.
+Rachis
+The main axis of a compound leaf.
+Rostrate
+Narrowed into a point or beak.
+Sericeous
+Covered with very fine hairs, silky to the touch.
+Sessile
+Without a stalk.
+Setose
+Bristly.
+Striate
+Striped.
+Sub-
+Less than
+Terete
+Round in cross-section.
+Trigonus
+Three angled.
+Umbelliform
+Shaped like the ribs on an umbrella.
+Verticillate
+Whorled.

ccm-ldn-terms/doc/web.xml-terms.in

@@ -1,20 +0,0 @@
-
-  <!-- module ccm-ldn-terms  -  servlet declarations BEGIN  -->
-  <servlet>
-    <servlet-name>terms-files</servlet-name>
-    <servlet-class>com.arsdigita.web.ApplicationFileServlet</servlet-class>
-    <init-param>
-      <param-name>template-path</param-name>
-      <param-value>/templates/ccm-ldn-terms</param-value>
-    </init-param>
-  </servlet>
-  <!-- module ccm-ldn-terms  -  servlet declarations END  -->
-
-  <!-- module ccm-ldn-terms  -  servlet mappings BEGIN  -->
-  <servlet-mapping>
-    <servlet-name>terms-files</servlet-name>
-    <url-pattern>/ccm-ldn-terms/files/*</url-pattern>
-  </servlet-mapping>
-  <!-- module ccm-ldn-terms  -  servlet mappings END  -->
-
-

ccm-ldn-terms/pdl/com/arsdigita/london/terms/Domain.pdl

@@ -33,7 +33,7 @@ object type Domain {
     component Term[0..n] terms = join trm_domains.key
                                    to trm_terms.domain;
 
-    component Category[1..1] \model = join trm_domains.model_category_id
+    composite Category[1..1] \model = join trm_domains.model_category_id
                               to cat_categories.category_id;
 
     object key (key);
@@ -90,3 +90,39 @@ query LeafTerms {
 		leaf.defaultDomainClass = b.default_domain_class;
 	}
 }	
+
+// retrieve orphan terms (has no ancestor and has no preferred term)
+query OrphanTerms {
+	Term leaf;
+	options {
+        WRAP_QUERIES = false;
+    }
+	
+	do {
+		select a.unique_id,
+			   a.is_atoz,
+			   a.shortcut,
+			   b.object_id,
+			   b.object_type,
+			   b.display_name,
+			   b.default_domain_class
+		from   trm_terms a,
+			   acs_objects b,
+			   cat_categories c
+		where  a.term_id = b.object_id
+		and    a.domain = :domain
+		and    a.model_category_id = c.category_id
+		and    c.default_ancestors = c.category_id || '/'
+		and    not exists (select 1 from cat_category_category_map
+		                   where  category_id = a.model_category_id
+		                   and    relation_type = 'preferred')
+	} map {
+		leaf.uniqueID = a.unique_id;
+		leaf.inAtoZ = a.is_atoz;
+		leaf.shortcut = a.shortcut;
+		leaf.id = b.object_id;
+		leaf.objectType = b.object_type;
+		leaf.displayName = b.display_name;
+		leaf.defaultDomainClass = b.default_domain_class;
+	}
+}

ccm-ldn-terms/pdl/com/arsdigita/london/terms/Term.pdl

@@ -21,7 +21,7 @@ import com.arsdigita.kernel.ACSObject;
 import com.arsdigita.categorization.Category;
 
 object type Term extends ACSObject {
-    Integer[1..1] uniqueID = trm_terms.unique_id INTEGER;
+    String[1..1] uniqueID = trm_terms.unique_id VARCHAR(128);
     Boolean[1..1] inAtoZ = trm_terms.is_atoz BIT;
 
     String[0..1] shortcut = trm_terms.shortcut VARCHAR(50);

ccm-ldn-terms/pdl/com/arsdigita/london/terms/indexing/Indexer.pdl

@@ -0,0 +1,34 @@
+// Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+// 
+// This library is free software; you can redistribute it and/or modify it under
+// the terms of the GNU Lesser General Public License as published by the Free
+// Software Foundation; either version 2.1 of the License, or (at your option)
+// any later version.
+// 
+// This library is distributed in the hope that it will be useful, but WITHOUT
+// ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+// FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+// details.
+// 
+// You should have received a copy of the GNU Lesser General Public License
+// along with this library; if not, write to the Free Software Foundation, Inc.,
+// 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ 
+model com.arsdigita.london.terms.indexing;
+
+import com.arsdigita.kernel.ACSObject;
+import com.arsdigita.kernel.Party;
+import com.arsdigita.london.terms.Domain;
+
+object type Indexer extends ACSObject {
+    Blob[1..1]   filter = trm_domains_indexer.filter BLOB;
+    Date[1..1]   lastModifiedDate = trm_domains_indexer.last_modified_date TIMESTAMP;
+    Party[1..1]   lastModifiedUser = join trm_domains_indexer.last_modified_user to parties.party_id;
+    reference key (trm_domains_indexer.indexer_id);
+}
+
+association {
+    component Indexer[0..1] indexer = join trm_domains.key to trm_domains_indexer.key;
+    Domain[1..1] domain = join trm_domains_indexer.key to trm_domains.key;
+}
+

ccm-ldn-terms/pdl/com/arsdigita/london/terms/indexing/query-getNonPreferredTerms.pdl

@@ -0,0 +1,46 @@
+// Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+// 
+// This library is free software; you can redistribute it and/or modify it under
+// the terms of the GNU Lesser General Public License as published by the Free
+// Software Foundation; either version 2.1 of the License, or (at your option)
+// any later version.
+// 
+// This library is distributed in the hope that it will be useful, but WITHOUT
+// ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+// FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+// details.
+// 
+// You should have received a copy of the GNU Lesser General Public License
+// along with this library; if not, write to the Free Software Foundation, Inc.,
+// 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ 
+model com.arsdigita.london.terms.indexing;
+
+query getNonPreferredTerms {
+  String[1..1] uniqueID;
+  String[1..1] preferredUniqueID;
+  String[1..1] name;
+
+  do {
+	SELECT 
+		t1.unique_id as uniqueID, 
+		c.name as name, 
+		t2.unique_id as preferredUniqueID
+	FROM 
+		trm_terms t1, 
+		cat_categories c, 
+		cat_category_category_map ccm, 
+		trm_terms t2
+	WHERE 
+	    t1.model_category_id = c.category_id 
+	    AND t1.domain = :domain
+	    AND ccm.category_id = c.category_id 
+	    AND ccm.relation_type = 'preferred'
+	    AND t2.model_category_id = ccm.related_category_id
+	    AND t2.domain = :domain
+  } map {
+    uniqueID = uniqueID;
+    preferredUniqueID = preferredUniqueID;
+    name = name;
+  }
+}

ccm-ldn-terms/pdl/com/arsdigita/london/terms/indexing/query-getPreferredTerms.pdl

@@ -0,0 +1,33 @@
+// Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+// 
+// This library is free software; you can redistribute it and/or modify it under
+// the terms of the GNU Lesser General Public License as published by the Free
+// Software Foundation; either version 2.1 of the License, or (at your option)
+// any later version.
+// 
+// This library is distributed in the hope that it will be useful, but WITHOUT
+// ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+// FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+// details.
+// 
+// You should have received a copy of the GNU Lesser General Public License
+// along with this library; if not, write to the Free Software Foundation, Inc.,
+// 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ 
+model com.arsdigita.london.terms.indexing;
+
+query getPreferredTerms {
+  String[1..1] uniqueID;
+  String[1..1] name;
+
+  do {
+	SELECT t.unique_id, c.name
+	FROM trm_terms t, cat_categories c
+	WHERE t.model_category_id = c.category_id AND t.domain = :domain
+    AND NOT EXISTS 
+       (SELECT relation_type FROM cat_category_category_map ccm WHERE ccm.category_id = c.category_id AND ccm.relation_type = 'preferred')
+  } map {
+    uniqueID = t.unique_id;
+    name = c.name;
+  }
+}

ccm-ldn-terms/pdl/com/arsdigita/london/terms/indexing/query-getRelatedTerms.pdl

@@ -0,0 +1,48 @@
+// Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+// 
+// This library is free software; you can redistribute it and/or modify it under
+// the terms of the GNU Lesser General Public License as published by the Free
+// Software Foundation; either version 2.1 of the License, or (at your option)
+// any later version.
+// 
+// This library is distributed in the hope that it will be useful, but WITHOUT
+// ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+// FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+// details.
+// 
+// You should have received a copy of the GNU Lesser General Public License
+// along with this library; if not, write to the Free Software Foundation, Inc.,
+// 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ 
+model com.arsdigita.london.terms.indexing;
+
+query getRelatedTerms {
+  String[1..1] uniqueID;
+  String[1..1] relatedUniqueID;
+  String[1..1] relationType;
+
+  do {
+	SELECT 
+	    t1.unique_id as uniqueID,
+	    t2.unique_id as relatedUniqueID,
+	    ccm.relation_type as relationType
+	FROM 
+	    trm_terms t1,
+	    cat_categories c1,
+	    trm_terms t2,
+	    cat_categories c2,
+	    cat_category_category_map ccm
+    WHERE 
+        t1.model_category_id         = c1.category_id
+	    AND t1.domain                = :domain
+	    AND ccm.category_id          = c1.category_id
+	    AND ccm.related_category_id  = c2.category_id
+	    AND c2.category_id           = t2.model_category_id
+	    AND t2.domain                = t1.domain
+	    AND ccm.relation_type       <> 'preferred'
+  } map {
+    uniqueID = uniqueID;
+    relatedUniqueID = relatedUniqueID;
+    relationType = relationType;
+  }
+}

ccm-ldn-terms/pdl/com/arsdigita/london/terms/indexing/query-getTrainingItems.pdl

@@ -0,0 +1,40 @@
+// Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+// 
+// This library is free software; you can redistribute it and/or modify it under
+// the terms of the GNU Lesser General Public License as published by the Free
+// Software Foundation; either version 2.1 of the License, or (at your option)
+// any later version.
+// 
+// This library is distributed in the hope that it will be useful, but WITHOUT
+// ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+// FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+// details.
+// 
+// You should have received a copy of the GNU Lesser General Public License
+// along with this library; if not, write to the Free Software Foundation, Inc.,
+// 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ 
+model com.arsdigita.london.terms.indexing;
+
+query getTrainingItems {
+  BigDecimal[1..1] id;
+
+  do {
+      SELECT DISTINCT
+        i.item_id as id, a.last_modified
+      FROM 
+        cms_bundles b, cat_object_category_map ocm, trm_terms t, cms_items i, acs_auditing a
+      WHERE 
+        b.bundle_id = ocm.object_id
+        AND ocm.category_id = t.model_category_id
+        AND i.parent_id = b.bundle_id
+        AND i.language = :language
+        AND t.domain = :domain
+      AND i.version = 'draft'
+      AND a.object_id = b.bundle_id
+    ORDER BY 
+      a.last_modified desc
+  } map {
+    id = id;
+  }
+}

ccm-ldn-terms/pdl/com/arsdigita/london/terms/query-getTermItemCountSummary.pdl

@@ -18,7 +18,7 @@ model com.arsdigita.london.terms;
 
 
 query getTermItemCountSummary {
-  Integer[1..1] uniqueID;
+  String[1..1] uniqueID;
   String[1..1] name;
   Integer[1..1] count;
 

ccm-ldn-terms/sql/ccm-ldn-terms/oracle-se/upgrade/6.5.0-6.5.1/table-trm_domains_indexer-deferred.sql

@@ -0,0 +1,6 @@
+alter table trm_domains_indexer add 
+    constraint trm_dom_ind_las_mod_us_f_1k1i3 foreign key (last_modified_user)
+      references parties(party_id);
+alter table trm_domains_indexer add 
+    constraint trm_domain_indexer_key_f_lghsq foreign key (key)
+      references trm_domains(key);

ccm-ldn-terms/sql/ccm-ldn-terms/oracle-se/upgrade/6.5.1-6.5.2/change-unique_id-to-varchar.sql

@@ -0,0 +1,7 @@
+alter table trm_terms add (unique_id_string varchar(128) default 'UNKNOWN' not null );
+alter table trm_terms rename column unique_id to unique_id_old;
+alter table trm_terms rename column unique_id_string to unique_id;
+update trm_terms set unique_id = unique_id_old;
+alter table trm_terms drop constraint trm_ter_domai_uniqu_id_u_6sito;
+alter table trm_terms add constraint trm_ter_domai_uniqu_id_u_6sito unique(domain, unique_id);
+alter table trm_terms drop column unique_id_old;

ccm-ldn-terms/sql/ccm-ldn-terms/postgres/upgrade/6.5.0-6.5.1/table-trm_domains_indexer-deferred.sql

@@ -0,0 +1,6 @@
+alter table trm_domains_indexer add 
+    constraint trm_dom_ind_las_mod_us_f_1k1i3 foreign key (last_modified_user)
+      references parties(party_id);
+alter table trm_domains_indexer add 
+    constraint trm_domain_indexer_key_f_lghsq foreign key (key)
+      references trm_domains(key);

ccm-ldn-terms/sql/ccm-ldn-terms/postgres/upgrade/6.5.1-6.5.2/change-unique_id-to-varchar.sql

@@ -0,0 +1,7 @@
+alter table trm_terms add (unique_id_string varchar(128) default 'UNKNOWN' not null );
+alter table trm_terms rename column unique_id to unique_id_old;
+alter table trm_terms rename column unique_id_string to unique_id;
+update trm_terms set unique_id = unique_id_old;
+alter table trm_terms drop constraint trm_ter_domai_uniqu_id_u_6sito;
+alter table trm_terms add constraint trm_ter_domai_uniqu_id_u_6sito unique(domain, unique_id);
+alter table trm_terms drop column unique_id_old;

ccm-ldn-terms/sql/ccm-ldn-terms/upgrade/oracle-se-6.5.0-6.5.1.sql

@@ -0,0 +1,2 @@
+@@ ../ddl/oracle-se/table-trm_domains_indexer-auto.sql
+@@ ../oracle-se/upgrade/6.5.0-6.5.1/table-trm_domains_indexer-deferred.sql

ccm-ldn-terms/sql/ccm-ldn-terms/upgrade/oracle-se-6.5.1-6.5.2.sql

@@ -0,0 +1 @@
+@@ ../oracle-se/upgrade/6.5.1-6.5.2/change-unique_id-to-varchar.sql

ccm-ldn-terms/sql/ccm-ldn-terms/upgrade/postgres-6.5.0-6.5.1.sql

@@ -0,0 +1,4 @@
+begin;
+\i ../ddl/postgres/table-trm_domains_indexer-auto.sql
+\i ../postgres/upgrade/6.5.0-6.5.1/table-trm_domains_indexer-deferred.sql
+commit;

ccm-ldn-terms/sql/ccm-ldn-terms/upgrade/postgres-6.5.1-6.5.2.sql

@@ -0,0 +1,3 @@
+begin;
+\i ../postgres/upgrade/6.5.1-6.5.2/change-unique_id-to-varchar.sql
+commit;

ccm-ldn-terms/src/WEB-INF/resources/terms-adapters.xml

@@ -33,6 +33,20 @@
 
   <xrd:context name="com.arsdigita.london.terms.ui.admin.DomainDetails">
     <xrd:adapter objectType="com.arsdigita.london.terms.Domain">
+      <xrd:attributes rule="include">
+        <xrd:property name="/object/key"/>
+        <xrd:property name="/object/url"/>
+        <xrd:property name="/object/title"/>
+        <xrd:property name="/object/description"/>
+        <xrd:property name="/object/version"/>
+        <xrd:property name="/object/released"/>
+        <xrd:property name="/object/indexer/lastModifiedDate"/>
+        <xrd:property name="/object/indexer/lastModifiedUser/primaryEmail"/>
+      </xrd:attributes>
+      <xrd:associations rule="include">
+        <xrd:property name="/object/indexer"/>
+        <xrd:property name="/object/indexer/lastModifiedUser"/>
+      </xrd:associations>
     </xrd:adapter>
   </xrd:context>
 
@@ -101,6 +115,19 @@
     </xrd:adapter>
   </xrd:context>
 
+  <xrd:context name="com.arsdigita.london.terms.ui.admin.BroaderTermListing">
+    <xrd:adapter objectType="com.arsdigita.london.terms.Term">
+      <xrd:attributes rule="include">
+        <xrd:property name="/object/uniqueID"/>
+        <xrd:property name="/object/model/name"/>
+        <xrd:property name="/object/model/description"/>
+      </xrd:attributes>
+      <xrd:associations rule="include">
+        <xrd:property name="/object/model"/>
+      </xrd:associations>
+    </xrd:adapter>
+  </xrd:context>
+
   <xrd:context name="com.arsdigita.london.terms.ui.admin.TermPicker$2">
     <xrd:adapter objectType="com.arsdigita.london.terms.Term">
       <xrd:attributes rule="include">
@@ -129,6 +156,36 @@
     </xrd:adapter>
   </xrd:context>
 
+  <xrd:context name="com.arsdigita.london.terms.ui.admin.PreferredTermListing">
+    <xrd:adapter objectType="com.arsdigita.london.terms.Term">
+      <xrd:attributes rule="include">
+        <xrd:property name="/object/uniqueID"/>
+        <xrd:property name="/object/model/name"/>
+        <xrd:property name="/object/model/description"/>
+        <xrd:property name="/object/domain/key"/>
+      </xrd:attributes>
+      <xrd:associations rule="include">
+        <xrd:property name="/object/model"/>
+        <xrd:property name="/object/domain"/>
+      </xrd:associations>
+    </xrd:adapter>
+  </xrd:context>
+
+  <xrd:context name="com.arsdigita.london.terms.ui.admin.NonPreferredTermListing">
+    <xrd:adapter objectType="com.arsdigita.london.terms.Term">
+      <xrd:attributes rule="include">
+        <xrd:property name="/object/uniqueID"/>
+        <xrd:property name="/object/inAtoZ"/>
+        <xrd:property name="/object/shortcut"/>
+        <xrd:property name="/object/model/name"/>
+        <xrd:property name="/object/model/description"/>
+      </xrd:attributes>
+      <xrd:associations rule="include">
+        <xrd:property name="/object/model"/>
+      </xrd:associations>
+    </xrd:adapter>
+  </xrd:context>
+  
   <xrd:context name="com.arsdigita.london.terms.ui.admin.TermDetails">
     <xrd:adapter objectType="com.arsdigita.london.terms.Term">
       <xrd:attributes rule="include">

ccm-ldn-terms/src/ccm-ldn-terms.config

@@ -2,4 +2,6 @@
 <registry>
    <config class="com.arsdigita.london.terms.TermsConfig"
            storage="ccm-ldn-terms/terms.properties"/>
+   <config class="com.arsdigita.london.terms.indexing.IndexingConfig"
+           storage="ccm-ldn-terms/indexing.properties"/>
 </registry>

ccm-ldn-terms/src/ccm-ldn-terms.upgrade

@@ -9,4 +9,10 @@
   <version from="1.0.2" to="1.0.3">
     <script sql="ccm-ldn-terms/upgrade/::database::-1.0.2-1.0.3.sql"/>
   </version>
+  <version from="6.5.0" to="6.5.1">
+    <script sql="ccm-ldn-terms/upgrade/::database::-6.5.0-6.5.1.sql"/>
+  </version>
+  <version from="6.5.1" to="6.5.2">
+    <script sql="ccm-ldn-terms/upgrade/::database::-6.5.1-6.5.2.sql"/>
+  </version>
 </upgrade>

ccm-ldn-terms/src/com/arsdigita/london/terms/DefaultAncestorsFixer.java

@@ -19,22 +19,16 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.categorization.Category;
-import com.arsdigita.categorization.CategoryCollection;
-import com.arsdigita.london.util.Program;
-import com.arsdigita.london.util.Transaction;
-
-import java.util.ArrayList;
-import java.util.HashMap;
-import java.util.List;
-
 import org.apache.commons.cli.CommandLine;
 import org.apache.commons.cli.OptionBuilder;
 import org.apache.commons.cli.Options;
-
-import org.apache.log4j.Level;
 import org.apache.log4j.Logger;
 
+import com.arsdigita.categorization.Category;
+import com.arsdigita.categorization.CategoryCollection;
+import com.arsdigita.london.util.Transaction;
+import com.arsdigita.packaging.Program;
+
 public class DefaultAncestorsFixer extends Program {
     
     private static final Logger s_log = Logger.getLogger(DefaultAncestorsFixer.class);

ccm-ldn-terms/src/com/arsdigita/london/terms/Domain.java

@@ -18,28 +18,28 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.kernel.ACSObject;
+import java.net.MalformedURLException;
-import com.arsdigita.domain.DomainObjectFactory;
+import java.net.URL;
+import java.util.Date;
+
+import org.apache.log4j.Logger;
+
+import com.arsdigita.categorization.Category;
+import com.arsdigita.domain.DataObjectNotFoundException;
 import com.arsdigita.domain.DeleteCheckObserver;
 import com.arsdigita.domain.DomainCollection;
-import com.arsdigita.domain.DataObjectNotFoundException;
+import com.arsdigita.domain.DomainObjectFactory;
 import com.arsdigita.domain.ObservableDomainObject;
-import com.arsdigita.categorization.Category;
+import com.arsdigita.kernel.ACSObject;
-import com.arsdigita.persistence.DataObject;
 import com.arsdigita.persistence.DataCollection;
+import com.arsdigita.persistence.DataObject;
 import com.arsdigita.persistence.DataQuery;
 import com.arsdigita.persistence.DataQueryDataCollectionAdapter;
+import com.arsdigita.persistence.PersistenceException;
 import com.arsdigita.persistence.SessionManager;
 import com.arsdigita.util.Assert;
 import com.arsdigita.util.UncheckedWrapperException;
 
-import java.util.Date;
-
-import java.net.URL;
-import java.net.MalformedURLException;
-
-import org.apache.log4j.Logger;
-
 
 /**
  * A domain is an abstract space containing a set
@@ -47,6 +47,12 @@ import org.apache.log4j.Logger;
  */
 public class Domain extends ObservableDomainObject {
     
+    public void delete() throws PersistenceException {
+        Category model = getModel();
+        super.delete();
+        model.delete();
+    }
+
     private static final Logger s_log = Logger.getLogger(Domain.class);
 
     public static final String BASE_DATA_OBJECT_TYPE = 
@@ -173,6 +179,13 @@ public class Domain extends ObservableDomainObject {
         return new DomainCollection(terms);
     }
 
+    /**
+     * @see #getTerm(String)
+     */
+    public Term getTerm(Integer uniqueID) {
+        return getTerm(String.valueOf(uniqueID));
+    }
+
     /**
      * Retrieves the term within this domain with
      * the corresponding unique identifier.
@@ -180,7 +193,7 @@ public class Domain extends ObservableDomainObject {
      * @param uniqueID the id of the term to retrieve
      * @return the term matching the unique id.
      */
-    public Term getTerm(Integer uniqueID) {
+    public Term getTerm(String uniqueID) {
         DomainCollection terms = getTerms();
         terms.addEqualsFilter(Term.UNIQUE_ID, uniqueID);
         if (terms.next()) {
@@ -338,7 +351,7 @@ public class Domain extends ObservableDomainObject {
      * @param term the root term
      */
     public void addRootTerm(Term term) {
-        Assert.truth(term.getDomain().equals(this),
+        Assert.isTrue(term.getDomain().equals(this),
                      "root term is in this domain");
 
         if (s_log.isDebugEnabled()) {
@@ -351,7 +364,7 @@ public class Domain extends ObservableDomainObject {
     }
     
     public void removeRootTerm(Term term) {
-        Assert.truth(term.getDomain().equals(this),
+        Assert.isTrue(term.getDomain().equals(this),
                      "root term is in this domain");
 
         if (s_log.isDebugEnabled()) {
@@ -384,15 +397,14 @@ public class Domain extends ObservableDomainObject {
     }
  
     /**
-     * Retrieves any terms not in the hiearchy
+     * Retrieves any terms that are orphans
      */
     public DomainCollection getOrphanedTerms() {
-        DomainCollection terms = getTerms();
+        DataQuery query = SessionManager.getSession().retrieveQuery("com.arsdigita.london.terms.OrphanTerms");
-        terms.addFilter("model.defaultAncestors = model.id || '/'");
+        query.setParameter("domain", getKey());
-        return terms;        
+        return new DomainCollection(new DataQueryDataCollectionAdapter(query, "leaf"));
     }
     
-    
     /**
      * Sets this domain as the root for an object
      * @param obj the object to set the root of
@@ -447,4 +459,17 @@ public class Domain extends ObservableDomainObject {
         category.deleteCategoryAndOrphan();
         super.beforeDelete();
     }
+
+    public static Domain findByModel(Category rootCategory) {
+        DataCollection domains = SessionManager.getSession().retrieve(BASE_DATA_OBJECT_TYPE);
+
+        domains.addEqualsFilter(MODEL, rootCategory.getID());
+
+        if (domains.next()) {
+            Domain domain = (Domain) DomainObjectFactory.newInstance(domains.getDataObject());
+            domains.close();
+            return domain;
+        }
+        throw new DataObjectNotFoundException("Domain with model " + rootCategory + " not found");
+    }
 }

ccm-ldn-terms/src/com/arsdigita/london/terms/DomainUseContext.java

@@ -18,8 +18,8 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.persistence.DataObject;
 import com.arsdigita.domain.DomainObject;
+import com.arsdigita.persistence.DataObject;
 
 // XXX nasty hack this should be part of categoriation
 class DomainUseContext extends DomainObject {

ccm-ldn-terms/src/com/arsdigita/london/terms/Importer.java

@@ -18,11 +18,11 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.london.util.Program;
-import com.arsdigita.london.util.Transaction;
 import org.apache.commons.cli.CommandLine;
 
 import com.arsdigita.london.terms.importer.Parser;
+import com.arsdigita.london.util.Transaction;
+import com.arsdigita.packaging.Program;
 
 public class Importer extends Program {
     

ccm-ldn-terms/src/com/arsdigita/london/terms/Initializer.java

@@ -18,36 +18,27 @@
 
 package com.arsdigita.london.terms;
 
+import com.arsdigita.categorization.Category;
+import com.arsdigita.db.DbHelper;
 import com.arsdigita.domain.DomainObject;
 import com.arsdigita.domain.DomainObjectFactory;
 import com.arsdigita.domain.DomainObjectInstantiator;
 import com.arsdigita.domain.xml.TraversalHandler;
-
+import com.arsdigita.kernel.ACSObjectInstantiator;
+import com.arsdigita.kernel.NoValidURLException;
+import com.arsdigita.kernel.URLFinder;
+import com.arsdigita.kernel.URLService;
+import com.arsdigita.london.terms.indexing.Indexer;
+import com.arsdigita.persistence.DataObject;
+import com.arsdigita.persistence.OID;
+import com.arsdigita.persistence.pdl.ManifestSource;
+import com.arsdigita.persistence.pdl.NameFilter;
 import com.arsdigita.runtime.CompoundInitializer;
 import com.arsdigita.runtime.DomainInitEvent;
 import com.arsdigita.runtime.PDLInitializer;
 import com.arsdigita.runtime.RuntimeConfig;
-
-import com.arsdigita.db.DbHelper;
-
-import com.arsdigita.persistence.pdl.ManifestSource;
-import com.arsdigita.persistence.pdl.NameFilter;
-import com.arsdigita.persistence.DataObject;
-import com.arsdigita.persistence.OID;
-
-import com.arsdigita.categorization.Category;
-
-import com.arsdigita.kernel.ACSObjectInstantiator;
-import com.arsdigita.kernel.URLService;
-import com.arsdigita.kernel.URLFinder;
-import com.arsdigita.kernel.NoValidURLException;
-
 import com.arsdigita.xml.XML;
 
-/**
- *
- *
- */
 public class Initializer extends CompoundInitializer {
 
     public Initializer() {
@@ -61,9 +52,7 @@ public class Initializer extends CompoundInitializer {
     }
 
     public void init(DomainInitEvent e) {
-        DomainObjectFactory f = e.getFactory();
+        DomainObjectFactory.registerInstantiator
-
-        f.registerInstantiator
             (Domain.BASE_DATA_OBJECT_TYPE,
              new DomainObjectInstantiator() {
                  public DomainObject doNewInstance(DataObject dataObject) {
@@ -71,7 +60,7 @@ public class Initializer extends CompoundInitializer {
                  }
              });
 
-        f.registerInstantiator
+        DomainObjectFactory.registerInstantiator
             (Term.BASE_DATA_OBJECT_TYPE,
              new ACSObjectInstantiator() {
                  public DomainObject doNewInstance(DataObject dataObject) {
@@ -79,7 +68,7 @@ public class Initializer extends CompoundInitializer {
                  }
              });
 
-        f.registerInstantiator
+        DomainObjectFactory.registerInstantiator
             (Terms.BASE_DATA_OBJECT_TYPE,
              new ACSObjectInstantiator() {
                  public DomainObject doNewInstance(DataObject dataObject) {
@@ -87,7 +76,7 @@ public class Initializer extends CompoundInitializer {
                  }
              });
 
-        f.registerInstantiator
+        DomainObjectFactory.registerInstantiator
             ("com.arsdigita.categorization.UseContext",
              new DomainObjectInstantiator() {
                  public DomainObject doNewInstance(DataObject dataObject) {
@@ -95,6 +84,12 @@ public class Initializer extends CompoundInitializer {
                  }
              });
 
+        DomainObjectFactory.registerInstantiator(Indexer.BASE_DATA_OBJECT_TYPE, new DomainObjectInstantiator() {
+            public DomainObject doNewInstance(DataObject dataObject) {
+                return new DomainUseContext(dataObject);
+            }
+        });
+
         URLService.registerFinder(
             Term.BASE_DATA_OBJECT_TYPE,
             new URLFinder() {

ccm-ldn-terms/src/com/arsdigita/london/terms/Loader.java

@@ -17,9 +17,6 @@
  */
 package com.arsdigita.london.terms;
 
-// unused import
-// import com.arsdigita.london.terms.Terms;
-
 import com.arsdigita.kernel.Kernel;
 import com.arsdigita.kernel.KernelExcursion;
 import com.arsdigita.loader.PackageLoader;
@@ -36,10 +33,6 @@ import org.apache.log4j.Logger;
  * @version $Id: Loader.java 287 2005-02-22 00:29:02Z sskracic $
  */
 public class Loader extends PackageLoader {
-    public final static String versionId =
-        "$Id: Loader.java 287 2005-02-22 00:29:02Z sskracic $" +
-        "$Author: sskracic $" +
-        "$DateTime: 2004/03/17 08:31:10 $";
 
     private static final Logger s_log = Logger.getLogger(Loader.class);
 
@@ -61,7 +54,6 @@ public class Loader extends PackageLoader {
 
         Application admin = Application.retrieveApplicationForPath("/admin/");
 
-        Application app =
         Application.createApplication(type,
                                       "terms",
                                       "CCM Terms Admin",

ccm-ldn-terms/src/com/arsdigita/london/terms/SetRoot.java

@@ -18,12 +18,12 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.london.util.Program;
-import com.arsdigita.london.util.Transaction;
-import com.arsdigita.web.Application;
-
 import org.apache.commons.cli.CommandLine;
 
+import com.arsdigita.london.util.Transaction;
+import com.arsdigita.packaging.Program;
+import com.arsdigita.web.Application;
+
 
 public class SetRoot extends Program {
     

ccm-ldn-terms/src/com/arsdigita/london/terms/Term.java

@@ -18,19 +18,19 @@
 
 package com.arsdigita.london.terms;
 
-import com.arsdigita.kernel.ACSObject;
-import com.arsdigita.persistence.DataObject;
-import com.arsdigita.persistence.DataCollection;
-import com.arsdigita.persistence.SessionManager;
-import com.arsdigita.domain.DomainObjectFactory;
-import com.arsdigita.domain.DomainCollection;
-import com.arsdigita.domain.DataObjectNotFoundException;
-import com.arsdigita.categorization.Category;
-import com.arsdigita.util.Assert;
-
 import org.apache.log4j.Logger;
 import org.apache.oro.text.perl.Perl5Util;
 
+import com.arsdigita.categorization.Category;
+import com.arsdigita.domain.DataObjectNotFoundException;
+import com.arsdigita.domain.DomainCollection;
+import com.arsdigita.domain.DomainObjectFactory;
+import com.arsdigita.kernel.ACSObject;
+import com.arsdigita.persistence.DataCollection;
+import com.arsdigita.persistence.DataObject;
+import com.arsdigita.persistence.SessionManager;
+import com.arsdigita.util.Assert;
+
 /**
  * Instances of this class represent entries in a domain
  * of terms.
@@ -69,6 +69,17 @@ public class Term extends ACSObject {
         super(dobj);
     }
 
+    /**
+     * @see #create(String, String, boolean, String, Domain)
+     */
+    public static Term create(Integer uniqueID,
+            String name,
+            boolean inAtoZ,
+            String shortcut,
+            Domain domain) {
+        return create(String.valueOf(uniqueID), name, inAtoZ, shortcut, domain);
+    }
+    
     /**
      * Creates a new term within a domain. All
      * parameters are required except for shortcut
@@ -79,7 +90,7 @@ public class Term extends ACSObject {
      * @param domain the domain containing this term
      * @return the newly created term
      */
-    public static Term create(Integer uniqueID,
+    public static Term create(String uniqueID,
                               String name,
                               boolean inAtoZ,
                               String shortcut,
@@ -108,7 +119,7 @@ public class Term extends ACSObject {
      *  Creates a new term using an existing model category.
      */
     static Term create(Category cat,
-                       Integer uniqueID,
+                       String uniqueID,
                        boolean inAtoZ,
                        String shortcut,
                        Domain domain) {
@@ -129,16 +140,16 @@ public class Term extends ACSObject {
     }
 
 
-    private void setUniqueID(Integer uniqueID) {
+    private void setUniqueID(String uniqueID) {
-        Assert.exists(uniqueID, Integer.class);
+        Assert.exists(uniqueID, String.class);
         set(UNIQUE_ID, uniqueID);
     }
 
     /**
      * Retrieves the unique identifier for this term.
      */
-    public Integer getUniqueID() {
+    public String getUniqueID() {
-        return (Integer)get(UNIQUE_ID);
+        return (String)get(UNIQUE_ID);
     }
 
     /**
@@ -182,7 +193,7 @@ public class Term extends ACSObject {
      * @param inAtoZ the new value for the flag
      */
     public void setInAtoZ(boolean inAtoZ) {
-        set(IN_ATOZ, new Boolean(inAtoZ));
+        set(IN_ATOZ, Boolean.valueOf(inAtoZ));
     }
 
     /**
@@ -228,6 +239,28 @@ public class Term extends ACSObject {
             .newInstance((DataObject)get(MODEL));
     }
 
+    /**
+     * Is this term a non-preferred term (synonym)?
+     * @return <code>true</code> if this term has at least one preferred term, otherwise <code>false</code>.
+     */
+    public boolean isNonPreferredTerm() {
+        return !isPreferredTerm();
+    }
+
+    /**
+     * Is this term a preferred term ?
+     * @return <code>true</code> if this term has no preferred term, otherwise <code>false</code>.
+     */
+    public boolean isPreferredTerm() {
+        DomainCollection dc = getPreferredTerms();
+        try
+        {
+            return dc.isEmpty();
+        }
+        finally {
+            dc.close();
+        }
+    }
 
     /**
      * Adds a narrower term to this term
@@ -416,6 +449,18 @@ public class Term extends ACSObject {
         return terms;
     }
 
+    /**
+     * Retrieves the non-preferred terms.
+     * Empty when the current term has no synonyms. 
+     * @return a collection of non-preferred terms
+     */
+    public DomainCollection getNonPreferredTerms() {
+        DomainCollection terms = getDomain().getTerms();
+        terms.addEqualsFilter("model.related.id", getModel().getID());
+        terms.addEqualsFilter("model.related.link.relationType", Category.PREFERRED);
+        return terms;
+    }
+
     /**
      * Classifies an object against this term
      * @param obj the object to classify

ccm-ldn-terms/src/com/arsdigita/london/terms/TermCategoryListener.java

@@ -18,6 +18,8 @@
  */
 package com.arsdigita.london.terms;
 
+import org.apache.log4j.Logger;
+
 import com.arsdigita.categorization.Category;
 import com.arsdigita.categorization.CategoryCollection;
 import com.arsdigita.categorization.CategoryListener;
@@ -26,8 +28,6 @@ import com.arsdigita.kernel.ACSObject;
 import com.arsdigita.persistence.DataCollection;
 import com.arsdigita.persistence.SessionManager;
 
-import org.apache.log4j.Logger;
-
 /**
  *  Attempts to create new term in the proper terms domain
  * whenever a new category is created through CMS interface.
@@ -91,14 +91,14 @@ public class TermCategoryListener implements CategoryListener {
         }
         DomainCollection terms = termDomain.getTerms();
         terms.addOrder(Term.UNIQUE_ID + " DESC");
-        Integer maxID = new Integer(0);
+        Integer maxID = Integer.valueOf(0);
         if (terms.next()) {
-            maxID = (Integer) terms.get(Term.UNIQUE_ID);
+            maxID = Integer.valueOf((String) terms.get(Term.UNIQUE_ID));
             terms.close();
         }
 
         Term.create(cat,
-                    new Integer(maxID.intValue()+1),
+                    String.valueOf(maxID.intValue()+1),
                     false,
                     "",
                     termDomain

ccm-ldn-terms/src/com/arsdigita/london/terms/TermComparators.java

@@ -0,0 +1,44 @@
+/*
+ * Copyright (C) 2009 Permeance Technologies Pty Ltd. All Rights Reserved.
+ * 
+ * This library is free software; you can redistribute it and/or modify it under
+ * the terms of the GNU Lesser General Public License as published by the Free
+ * Software Foundation; either version 2.1 of the License, or (at your option)
+ * any later version.
+ * 
+ * This library is distributed in the hope that it will be useful, but WITHOUT
+ * ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS
+ * FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more
+ * details.
+ * 
+ * You should have received a copy of the GNU Lesser General Public License
+ * along with this library; if not, write to the Free Software Foundation, Inc.,
+ * 59 Temple Place, Suite 330, Boston, MA 02111-1307 USA
+ * 
+ */
+
+package com.arsdigita.london.terms;
+
+import java.io.Serializable;
+import java.util.Comparator;
+
+/**
+ * Comparators for sorting {@link Term} objects.
+ * 
+ * @author <a href="https://sourceforge.net/users/terry_permeance/">terry_permeance</a>
+ */
+public class TermComparators {
+
+    /**
+     * Compare two {@link Term} object by name, case insensitive.
+     */
+    public static class OrderByName implements Comparator<Term>, Serializable {
+        public int compare(Term o1, Term o2) {
+            int compare = o1.getName().toLowerCase().compareTo(o2.getName().toLowerCase());
+            if (compare == 0) {
+                compare = o1.getUniqueID().compareTo(o2.getUniqueID());
+            }
+            return compare;
+        }
+    }
+}