4 - The Planning Method




The Decision Sequence

Problem Identification and Formulation of the Objective

Identifying Stakeholders and their Goals, Needs and Stakes

• Identifying Stakeholders
• Defining Goals, Needs and Stakes

Establishment of Multidisciplinary Task Forces

• Basic Principles
• Task Force at the Community Level:
  LOCAL RESOURCE MANAGEMENT GROUPS
• Task Force at Sub-national Level:
  LAND-USE PLANNING GROUPS
• Task Force at National Level:
  NATIONAL LAND-USE COMMITTEE

Collecting Data and Information

• Basic Principles
• Nature and Scale of Data and Information
• Data on Land Resources
• Land-use Related Data and Information
• Socio-economic Data and Information
• How to Collect the Data and Information
• Data and Information Storage, Retrieval and Accessibility

Preliminary Identification and Screening of Options

Evaluating Resources for the Identified Options

• Basic Principles
• Land Evaluation Procedure
• Presenting Evaluation Results

Appraisal of Identified Options

• Financial and Economic Viability
• Social Impact"
• Environmental Impacts

Negotiating and Deciding upon Options - Set up the Plan

• The Negotiation Process
• Supporting Tools in Assisting the Selection of Options
• Conflicts among Stakeholders and Conflict Resolution
• Setting up the Plan

Legislation and Enforcement for the Plan

• Incentives
• Legislation

Monitoring and Evaluation

References

Further Recommended Literature

Figure 8 illustrates an iterative and cyclical process with nine essential steps in IPSMLR. This method is independent of scale and level of detail, except that at the individual garden or farm level usually only one stakeholder is involved whereas at higher levels there are more stakeholders and they are more diverse.

The nature and detail of analysis and the methods used depend on the aims of the land-use plan and the resources available. In many circumstances a comprehensive plan is not produced in a single exercise but components, defined either by location or sector, are tackled individually according to their comparative urgency and the availability of resources. For example, if village grazing lands are severely degraded, some remedial actions could be put in place without a comprehensive land-use plan of the entire village land; subsequently, when resources become available another area of village land may be developed with small-scale irrigation. While such sectoral planning is not the ideal, it may present a way forward in circumstances where resources are limited or coordination is difficult. Developments in one sector should take account of past, ongoing and future developments in other sectors, and of possible interactions (crops-livestock, livestock-wildlife, etc.).

The sequence is iterative and needs constant adjustment as the different elements, especially financial or economic conditions, tend to be variable or even unstable. If the final plan or policy is not accepted by all stakeholders, or the first results of the plan are not satisfactory, the planning procedure must be reviewed to correct mistakes or insert missing elements. An accompanying monitoring and evaluation system will facilitate the success of this process.

There is a wide range of land-use planning methods which may be appropriate at different scales and levels of detail, and the comparative emphases may vary in different physical, socio-economic and political environments. Although IPSMLR stresses active stakeholder participation and the role of LRMGs in coordinating planning activities, technical assistance is normally needed to complete the plan. This does not imply foreign consultants. IPSMLR emphasizes self-reliance and the development of appropriate technical skills by national professional land-use planners and extension staff. At the national and sub-national level, such technical assistance would be provided by professional land-use planners, but at the village level it is anticipated that necessary technical assistance could be provided by specially trained extension staff, working for government, the private sector, or NGOs.

This chapter presents a range of tools for each step in the planning method outlined in Figure 8. The presentation is mainly targeted at professionals and technical practitioners in land-use planning as well as decision- and policy-makers. Examples of applications are described in boxes for clarity and ease of understanding.

FIGURE 8

THE PLANNING METHOD

Problem Identification and Formulation of the Objective

For successful implementation, the plan requires that the objectives to be achieved should be clearly formulated. An objective may be proposed as a response to an identified problem which has to be solved, or to a felt need for change or further development in a society. The more clearly the objective is formulated, the better and more detailed the subsequent plan elements can be in terms of sub-objectives, outputs or activities.

The nature of the objective is level dependent. In a national land-use policy or a master plan, the long-term development objective is formulated for allocation of the natural resources of the whole country. This objective has a production and an environmental component. Typically it should not only reflect the country level needs but be based on the objectives of the actual land users.

At the sub-national level, a district land-use plan will have an objective, which aims at development in the district or other relevant area (e.g. a watershed). Its objective should conform to and serve the objectives in the overall land-use policy of the country. The planning timeframe should address long-term and short-term objectives. The plan will play a critical role as it creates the link between national objectives and community level objectives. For this link to be effective, participatory planning tools must be employed.

In a community land-use plan, people will formulate objectives relevant to their community. The objective should consider short-term and long-term aspects and be focused on sustainable development of the community and its land resources. Such plans will fit into and feed the district or watershed plans thereby creating mutual support. The plan formulation process, including formulation of the objective, has to emerge from the people with assistance as needed from government agencies, NGOs or private firms. One useful and successfully applied consultative method is participatory rural appraisal.

Identifying Stakeholders and their Goals, Needs and Stakes

Identifying Stakeholders

In simple land-use plans, the stakeholders may be limited to a farmer and his or her family, or to a small group of villagers with similar interests. More commonly, a much wider range of stakeholders is involved. Some of these stakeholders may not be readily apparent and it is important that they are identified so that their interests and objectives can be considered in the plan. Box 9 describes three types of stakeholder.

Direct stakeholders may include farmers, pastoralists, harvesters of forest products, private enterprises or government agencies. None of these is necessarily a homogeneous group in terms of resources and objectives. It is often convenient to distinguish different groups of farmers according to wealth, size of landholding, or numbers of livestock (De Wit, 1993). Such groups have different resources, different degrees of commercial orientation, and would normally favour different land-use options in the plan. Women commonly constitute another stakeholder group which, again, is not homogeneous.

The responsibility for identifying the stakeholders lies with the institution coordinating the planning process. This would normally be a government agency at the national or sub-national level or the LRMG at the village level. Both are also to be considered as stakeholders. Having identified all stakeholder groups, it is the responsibility of the coordinating institution to ensure that each is adequately represented, and that a suitable forum is provided for discussion and negotiation.

Defining Goals, Needs and Stakes

The main purpose of land-use planning is to arrive at an improvement in present land use using a rational sequence of optimization and trade-offs among the different stakeholders. The objectives of the various groups or individuals are likely to vary and may be in conflict. It is therefore essential that all the various stakeholders are clearly identified and that their objectives are clearly defined.

Table 1 gives a hypothetical example of the objectives of various stakeholders for a tract of land in a semi-arid part of Africa. Although this is a far from comprehensive list, it illustrates the complexity of interests in land which must be unravelled and analysed during land-use planning.

TABLE 1: An Example of Stakeholders and their Objectives

Clear specification of differing objectives provides the basis for defining and evaluating improved types of land use aimed at satisfying all of them as far as possible. Although the format of objectives and the level of detail to which they are specified may vary, the following two principles should be followed when drawing them up:

The coordinating institution is responsible for compiling the inventory of the goals and objectives of the stakeholder groups. In some cases, planners or other agencies may need to act as facilitators in elucidating the objectives of some stakeholder groups, perhaps by using PRA techniques ( Box 10) such as focused group discussions, open meetings and transect walks.

After the objectives of all the various stakeholders have been identified, any areas of obvious conflict and synergy should be flagged, as these will have to be addressed sooner or later in the planning process. For example, in Table 1, the objectives of the landless peasant may conflict with those of the District Council, which may restrict their access to wildlife and veldt products in order to develop commercial ranching. Conversely, the local trader may welcome an increase in production or profits by the richer farmer, as he or she may benefit from increased business opportunities.

Establishment of Multidisciplinary Task Forces

Basic Principles

To make a land-use policy or plan workable, there must be an institution which is concerned not only with the establishment of the plan but also with its implementation. An institution with this mandate is called a multidisciplinary task force. It is a group whose members are representatives of identified stakeholders and stakeholder groups. The task force must have an interest in the solution of the identified problem, and in reaching a certain development objective. The philosophy of the stakeholder representatives working as the taskforce is explained in chapter 3. The main tasks of this body are:

The installation of a task force encompasses both the technical expertise to deal with the various problems concerning land use and the power to take decisions and legal actions. The technical expertise may be provided by an associated advisory committee (national level) or the extension service (at local level).

When the task force is being formed, the following key questions should be considered:

Task Force at the Community Level: LOCAL RESOURCE MANAGEMENT GROUPS

Local people are usually those best informed of local conditions, resources and problems. However, individuals can rarely negotiate on equal terms with the organized structures of government and the private sector with which they interact. The formation of local resource management groups (LRMGs) empowers stakeholders and brings them together to coordinate and address mutually important land resource issues. When there is local "ownership", their creativity, initiative and enthusiasm will contribute greatly to the overall outcome. Ownership translates to responsibility on the part of stakeholders and in some cases voluntary contribution of resources.

A local management group:

It is important that the LRMG serves as a forum where the views of all interest groups in the community can be represented. It is also a government responsibility to ensure that the disenfranchised communities or sub-groups, such as indigenous communities or female-headed households, are adequately represented, and that the rights of the community as a whole are not violated. Effective LRMGs are seen as a means of empowering stakeholders at the grass-roots level, and of providing some traditionally disadvantaged groups in the community with a voice in managing the land resources of the village. Participation of women is seen as particularly important because their practical experience in managing the resources is often greater than that of the men. In addition, in areas characterized by a high out-migration rate of men, the workload is left to the women.

In the right environment such a group may already exist, or may form spontaneously in response to local needs. In other cases the initiative may come from government. Such groups should be established slowly and with care over a period of time, developing the model and the methods which best suit local conditions. In many cases it should be possible to build on or adapt existing local institutions. The level of power, resources and necessary expertise needed should be commensurate with the size and importance of the area and population. The necessary resources and expertise may be provided partly by the community, and partly by the government on an ad hoc basis. In some areas, local or national, or even international, NGOs may play an important role in mobilizing groups and supporting their activities. Special attention should be given to issues of gender, class and ethnicity.

For LRMGs to be fully effective, they should also be legal entities with a recognized mandate. Typical responsibilities would include formulation of a land-use plan covering the lands under the jurisdiction of the village and monitoring of any changes in land use or management resulting from the plan. The LRMG would also have the power to enact and enforce local by-laws in support of sustainable use and conservation of natural resources as shown in the example in Box 27 in this chapter.

Experience has shown that the introduction of a revolving fund can serve as a direct incentive for the people to join the group. The collected money can be used for individual loans, or for purchase, maintenance and repair of facilities established and used in common by user groups.

Task Force at Sub-national Level: LAND-USE PLANNING GROUPS

In most circumstances, there is a need for a body concerned with land resources management and land-use planning issues at a level intermediate between the village or community level and the national level. This land-use planning group would operate at the district or province level, and be multidisciplinary. The group could comprise professionals seconded from various government departments at the relevant administrative level, elected representatives from national and local level, NGOs and government organizations (GOs). This group provides a crucial link between strategic planning at national level and the more practical land-use planning carried out in the village (Figure 5, chapter 3).

More specifically, the task force would also possess the necessary technical expertise to carry out the following functions:

Such groups may function more effectively if they are accountable to the local electorate. Ideally, elected representatives are not re-elected if they do not respond to the needs and priorities of the local stakeholders. Box 11 gives an example of a meso-level group established to deal with land use and pollution problems in a river catchment in the Netherlands. In this case, as in many developed countries, NGOs representing a range of interests play a key role in the group.

Task Force at National Level: NATIONAL LAND-USE COMMITTEE

Government at national level can be regarded as analogous to a number of stakeholder groups, each of which is trying to solve one or more land related problems. These stakeholder groups are the ministries, departments, institutes, universities and other institutional bodies. Each has different mandates, goals, terms of reference, human and financial resources, and programmes.

What is required is an intersectoral negotiating forum for land related issues. This may be an official committee with a mandate to make overriding decisions on land resource issues. Sometimes, two groups may be appropriate, one of which comprises high-level decision-makers and the other technical specialists. In any case, the national body or bodies must be multidisciplinary and must represent all the relevant government ministries and departments concerned with land and natural resource issues. The group should also include representatives from district level and important NGOs within the country.

The functions of the group would be:

The group should, therefore, be a legally independent body charged with enforcement of laws and policies designed to conserve or properly manage national resources. Such bodies, which are often called boards, commissions or councils, must be established by law, with defined terms of reference and powers, including the power to bring court cases. An examples of such a body in Botswana is given in Box 12.

Collecting Data and Information

Basic Principles

The systematic evaluation and planning of land resources requires basic data and information about the land, the people and the organization of administration and service. This statement is true at any level of detail. However, the range and the amount of information, as well as its accuracy and precision, vary greatly according to the scale and objectives of the land-use plan. Five basic principles apply to the collection of information for land-use planning:

Nature and Scale of Data and Information

As the approach to planning and management of land resources emphasizes the integration of various disciplines, the nature of data and information to be collected reflects it as well. In general, the types of data and information needed are listed in Box 13.

Land-use planning is a form of spatial planning and therefore a base map of an appropriate scale is a requirement for a land-use plan. Most types of information are scale-related and scale-dependent. This is so for spatial distribution of biophysical characteristics on a map, and for factors such as population, production or infrastructure specific to certain mapping units. Scale is very significant with regard to the information base and the level at which land-use planning takes place. There should be a proper balance between scale and density of information for optimal application and usefulness.

The relationship between the level of land-use planning and the scale of spatial information is given in Table 2. The planning level normally relates to administrative boundaries. Because administrative boundaries differ from country to country, there is a natural overlap of map scales from national into regional. Large countries may have more than two intermediate levels, e.g. region - province - district, or state - district - sub-district.

In recent years, geographic information systems (GIS) have emerged as powerful tools in the management and analysis of a large amount of basic data in a spatial format. GIS can be used to generate, in a flexible, versatile and integrated manner, maps, tables and textual reports needed to support land-use-planning. While greatly facilitating data analysis, access to GIS does not reduce the importance of accurate spatial information. Quality control on data input should be even more stringent than if manual methods are used.

TABLE 2: Planning Levels and Recommended Map Scales

Data on Land Resources

A land unit can be described in terms of basic data or land characteristics:

The FAO land evaluation method for rural land use is used to describe and assess physical factors within a planning or land unit (FAO, 1976).

Through experience, minimum data sets to be collected for the planning units and sub-units on climate and soils have been determined ( Box 14). Whenever possible, the data collected on climate and soils should be cross-referenced to national and international units of classification, such as the Köppen climatic classification, the agro-ecological zones methodology and the FAO/UNESCO/ISRIC soil classification (FAO, 1990a) or preferably the World Reference Base (FAO, 1998). Such systems should not replace local classification methods, as these emphasize factors important to a particular ecozone. Accuracy of assessment can often be improved if greater detail is available. Additional parameters may be important determinants of land use in different environments. For example, factors such as incidence of frost, toxic elements or subsoil permeability may strongly influence land use or crop choices in specific locations.

Surface water and shallow groundwater resources are important in land-use planning. The quality and quantity of water resources contribute to determining which potential land uses can be considered as options. Important aspects are temporal and spatial availability of groundwater and surface water (for irrigation potential and domestic use) and flood hazards.

Land-use Related Data and Information

For the purposes of resource evaluation and land-use planning, the major land uses relevant in the area must be described. The FAO framework for land evaluation has therefore introduced the terms "land utilization type" and "production system", which are defined as follows:

An example of a land utilization types definition is given in Box 15.

An example description of a production system is given in Box 16.

A LUT can cover a number of products produced in a particular socio-economic setting using inputs and operations which are often related, while a production system refers to the products from a single crop or animal as well as the inputs and operations required to produce it. Conceptually, a LUT can also refer to land uses such as national parks or forest reserves, which are not necessarily regarded as production systems.

A very large number of potential production systems may emerge from the many theoretical combinations of products, management and inputs. It is important to limit these to a manageable number and choose the modifications of existing production systems which are practicable and in line with stakeholder objectives.

A list of the specific requirements of each production system or LUT should bear in mind that requirements depend to a large extent on the analytical method used for land evaluation. Box 17 provides a checklist of requirements to be inventoried. For extensive land uses such as wildlife utilization, a much less detailed treatment is required, and requirements may be related to broad categories of vegetation type and water availability.

Socio-economic Data and Information

The collection of information on the socio-economics in the planning unit should be geared to gaining an understanding of local communities and their natural, human and capital resources. This includes data on the community structure, in order to estimate the living conditions, gender-related issues, class and ethnicity, labour availability, data on agricultural or other land-use practices and data on access to land, land tenure and holding size, livestock, infrastructure, etc (Box 18). One of the purposes of socio-economic data collection is to identify and characterize specific groups that can be targeted with the land-use plan. Guidelines for the collection of socio-economic data using the SEAGA-Approach (Socio-economic and Gender Analysis) (FAO/ILO, 1998) or the farming systems analysis (FAO, 1990b) are useful, and some appropriate participatory techniques which could be used are listed in chapter 4, Box 10.

Based on information drawn from the local level as well as from "official" sources, data should be assembled on the costs of production of the various components in the farming or land-use systems. Information on the farm-gate and market prices of produce, the amount of money available to farmers for investment, access to credit and opportunities for income generation will be important for planning purposes. This type of information is likely to vary between stakeholder groups in the community.

In addition to information at the community level, information on such factors as population (including growth rate, age and gender distribution), labour availability, infrastructure, markets and support services, such as agricultural extension and veterinary facilities, should be collected by the administrative unit. The actual administrative unit selected will depend on the planning level.

Information should also be assembled on legal rights and restrictions on land use and related issues, and on any particular government policies or development plans pertaining to the land-use planning area.

How to Collect the Data and Information

Data and information collection should be coordinated by the appointed task force responsible for the plan preparation. A technical advisory committee can support the group. Professionals or technical staff will normally be involved in collecting and compiling data and information. However at the local level community members will also be actively involved.

For both land evaluation and subsequent planning, existing data should be used as far as possible and augmented by additional data collected in the field where required.

Topographic base maps, climatic data and soils information can normally be obtained from the relevant government departments. Information on production systems may be available from farm or household surveys, while information on the requirements of crops and livestock can often be gleaned from the departments dealing with agricultural extension and research.

These "official" data sources should be tapped but particular attention should be given to maximizing use of the information resources of the local communities. Local people understand the operation of the land-use systems on which they depend better than outside experts do. Suitable mechanisms must be employed to share knowledge among the LRMGs, other local people, technical specialists and decision-makers at higher levels. Indigenous knowledge may not be obvious, or it may not be structured in a form that is readily accessible or understood by land-use planners. RRA and PRA provide ways of elucidating and analysing such information with local communities.

While formal surveys should be kept to a minimum, some conventional surveys may be needed to fill gaps in existing data, or to obtain types of data which are completely lacking. Techniques for carrying out surveys of soils or the socio-economic conditions of farm households are described in standard manuals (e.g. FAO, 1979; 1990b). For surveys of land resources, a physiographic approach ( Box 19) is recommended, which integrates landforms, soils and vegetation. The use of aerial photographs and of satellite imagery, either as prints or in digital format, can greatly enhance the efficiency of land resource survey, although they do not eliminate the need for ground truthing.

Data and Information Storage, Retrieval and Accessibility

Both for land evaluation and for subsequent land- use planning, data analysis can be greatly facilitated if the data collected from secondary sources, field surveys and RRA/PRA are systematically arranged and stored in an ordered format for ready sorting and retrieval. Although access to computers is not essential to carrying out land-use planning, the availability of relatively inexpensive computers and database software can assist these operations.

At village level where computers may not be available, the organization and availability of the information is still critical.

Databases can either be constructed from commercial software, or custom-made databases can be used. Some relevant databases and programs developed by FAO are described in Box 20.

Geographic information systems (GIS) are essentially databases which store information in a spatial format. The use of GIS leads to rapid generation of thematic maps and area estimates, and enables many of the analytical operations to be carried out in a spatial format, by combining different sets of information in various ways to produce overlays and interpreted maps. Digital satellite imagery can be incorporated directly into many GIS packages. GIS gives results of high presentational quality, but requires considerable investment in computer hardware and staff training if it is to be effective. Its use is most applicable at sub-national and national levels of planning. GIS packages used for land resource appraisal should include modules for data analysis. FAO has developed an integrated GIS/ data analysis package for agro-ecological zoning (AEZ), land suitability assessment and multicriteria analysis of land use scenarios for land-use planning, integrating biophysical and socio-economic data in Kenya (FAO, 1993a). The package has been used to analyse various options of land use in district land- use planning.

The ease with which data can now be stored in databases should promote availability of data to the public at large and particularly to those stakeholders with a vested interest in a particular area or region. In areas with adequate resources and communications technology, users could tap into databases through remote area networks or through the Internet. The breakdown of the strict control of data previously exercised by many governments is seen as a positive step toward the development of integrated planning for sustainable management of land resources.

Preliminary Identification and Screening of Options

Ideas for improved land-use options will emerge through the planning process as stakeholders suggest changes and information becomes progressively available. Review of these options by the task force and advising institution coordinating the plan should be a continuous process, which is consistent with the iterative nature of land-use planning. However, at certain points in the schedule, a more formal review is needed, involving the appointed task force, collaborating institutions, the stakeholders, the technical team and also potential donors. This process is depicted in Figure 9.

FIGURE 9

Preliminary Identification and Screening of Options

The review may take the form of a workshop, in which initial objectives are reviewed in the light of the proposed options and the new information that has been collected. Its first task is to formulate possible improved land-use options (e.g. modified or new production systems). Secondly these options are screened for consistency with all the stakeholder objectives, for acceptability within the framework of government policy and legislation, and for broad feasibility according to the resources needed for their implementation. If there are constraints identified, related to the existing general conditions (policies, regulations, etc.), potential solutions or alternatives have to be sought. Changes to some of the general conditions, if possible, might be considered. Those land-use options which pass this screening process are subjected to land evaluation. In addition, there are useful tools such as the FAO-AEZ model for screening land-use options and also providing information to formulate sustainable land-use alternatives.

Evaluating Resources for the Identified Options

Basic Principles

Land resources must satisfy certain requirements if the land is to be successfully used. Many of these requirements are specific to the type of land use, and they include both the ecological requirements of the crop or other biological product, and the requirements of the management system used to produce it. Evaluation of land resources therefore involves a comparison of the properties of the land with the requirements of possible types of land use. Defined planning or land units are rated according to how well these land-use requirements are satisfied.

The principles of this essentially ecological approach are presented in the Framework for Land Evaluation (FAO, 1976), and are illustrated in Figure 10. Evaluation is based on an inherent understanding of the interactions between land and land use. The terms used in land evaluation are defined below. Information requirements for the land management units (LMUs), LUTs and production systems have been described in a previous section.

FIGURE 10

LAND EVALUATION RATIONALE

Land evaluation consists of physical and socio-economic evaluations. Physical land evaluation involves the interpretation of data concerning the physical environment, and past and present land use in terms of its resource potential. It is thus concerned with seeking solutions to problems such as the possible long-term degradation of land quality as a result of current use, the viability of alternative land uses, the extent to which the management of existing land uses can be improved, and the impact of inputs on productivity and land quality.

Land Evaluation Procedure

The main activities in a land evaluation are as follows (FAO, 1976):

In addition to the FAO framework for land evaluation, FAO has published four guidelines for land evaluation for different land uses, based on this concept ( Box 21). The publications provide practical guidelines on the planning and execution of the various steps in land evaluation, from interpretation of basic data to the final recommendations. These form a basis for the decisions to be discussed with the stakeholders and relevant institutions and, if accepted, for implementation.

The procedure of comparing the land characteristics and qualities with the requirements of land use may be carried out either by simple matching, based either on previous experience or scientific knowledge, or by modelling of crop or animal growth and development in the particular environment. The results are normally expressed as classes of land suitability, or as quantitative estimates of yield or benefits which may be linked to estimates of financial or economic return.

The technique and level of complexity of the matching process are determined by the purpose and level of detail of the land-use plan and by the amount and quality of information that has been collected to characterize the LMU, the LUT and the production system.

At the simplest level, matching is carried out based on the transfer of experience from observations of similar LUTs or production types or soils. For example, farmers recultivating an area of fallow will draw analogies from their experience of similar soils elsewhere and from previous experience on the same plot in deciding which crops to grow and which management practices and inputs to apply. This approach does not require specification of individual land-use requirements and land characteristics but is simply based on experience and intuitive reasoning.

The Automated Land Evaluation System (ALES) (Rossiter and van Wambeke, 1993) for modelling provides a package for building an expert system based on the FAO framework for land evaluation. ALES has been used for model building on FAO projects in Mozambique and Malawi (e.g. Eschweiler et al., 1991).

Other models for land evaluation of crop based production systems developed by FAO and used in field projects include the following:

• Agro-ecological zoning (FAO, 1978; 1996)
• Crop Yield Simulation and Land Assessment Model for Botswana (CYSLAMB) (Tersteeg, 1994).

AEZ has been used in a variety of environmental conditions, at global, regional, national and sub-national scales. It comprises a set of basic applications on which more advanced applications are based. The AEZ applications are presented in Figure 11. CYSLAMB has been applied at national, district, village and farm level in Botswana, and may be suitable for similar semi-arid environments. But regardless of the approach used, models must be validated against actual performance under field conditions.

FIGURE 11

APPLICATIONS OF AGRO-ECOLOGICAL ZONING (AEZ)

Presenting Evaluation Results

Irrespective of the procedures used to evaluate land resources the results should be presented in a systematic way to enable possible land-use alternatives to be identified and physically unsuitable land uses to be rejected. The standard format for presenting the results of physical land evaluation is a matrix in tabular form, listing the suitability of different production systems or land utilization types on different LMUs. Table 3 gives an example (extracted from a legend of a land suitability map) of such outputs for land evaluations based on qualitative matching. It is usually most convenient to present the results of land evaluation on a map, or a series of maps, so that the location of land suitable for various uses can be readily observed. Maps may be produced either by conventional manual means or by using a GIS.

Appraisal of Identified Options

As a result of physical land evaluation, a series of physically suitable land-use options is derived for each LMU. These options must now be appraised according to financial and economic viability, social acceptability and potential impacts on the environment. The sustainability of each option and constraints for implementation should also be vetted before the group proceeds to a recommendation. The various steps in the screening process are shown in Figure 12.

FIGURE 12

APPRAISAL OF SUSTAINABILITY FACTORS OF LAND-USE OPTIONS

Financial and Economic Viability

The effective assessment of land-use options requires an understanding of the nature, characteristics and behaviour of the types of local agricultural production units. In developing countries, agricultural production units are typically smallholdings supporting complex farming systems of mixed crop and livestock production, managed by farm-households. In general these smallfarmers make effective use of all production factors within the framework of their knowledge, resources and objectives and the constraints and risks of the location. Domestic tasks, social commitments and non-farm earning activities contribute to or compete with agricultural activities.

Possible land-use options are subjected to financial or economic analysis, depending on the aims of the land- use plan³. Financial viability can be assessed with reference to the following parameters:

To appreciate the heterogeneity, complexity and interdependence of the farm-households and the rural communities within the biophysical, socio-cultural and economic environments, it is necessary to complement orthodox aggregate methods of analysis with farm-household and community-level perspectives. Different types of analyses, including quantitative measures such as gross margin analyses and the qualitative information from participatory rural appraisal, will need to be combined to produce adequate, reliable data, indicators and parameters for assessment of benefits and impacts. Above all, land-use options must be evaluated so that satisfactory trade-offs can be identified between the different, multiple objectives of farmers and the local community and those of the nation.

In summing up the total impact of a land-use option, the benefits and costs of achieving different objectives and satisfactory trade-offs between them have to be estimated. Multiple objectives relevant for selecting options such as equity, efficiency and sustainability in resource use have to be reconciled with each other in terms of parameters reflecting relative weights, which are the values assigned to the achievement of an objective. These parameters have to be taken into account on top of the social rate of discount when estimating future benefits. This would ensure that a viable land-use option would take account of social time preferences, uncertainties, issues of inter-generational equity and externalities.

The essence of an externality in economic terms is that it involves an interde pendence between two or more economic agents and their transactions, an interdependence of which the effects are not priced. In other words externalities are effects of economic or project activities not influenced by the market. They may include impacts on health and education, ad vantages accruing to males or females only, negative or positive effects on conservation of resources, i.e. the degree of pollution or degradation of land, water and air, and other external effects. They do not enter into calculations of commercial economic viability since these are based on market prices; however they are relevant for social choice and should be taken into account when determining the merits of an option.

For example, conservation is concerned with allocating land resources in an efficient way over time. Consequently, it implies a minimization of the net present value of both capital and operating cost, and may entail a programme of accelerating and increasing capital inputs in the short run in order to reduce longer term operating costs later on. Conserva tion is part of a continuum of resource use, from that which excludes the welfare of future generations to that which negates the welfare of current participants; it consequently depends on distributional equity judgements as well as economic efficiency.

Social Impact

The active participation of all stakeholders and their representatives in the formulation of land-use objectives, and a continued dialogue through the procedures of land resource evaluation, should ensure that the proposed land uses are socially acceptable to these groups. At this critical stage in the planning process, intensive consultations should be held with these groups to discuss the implications of possible land-use changes in detail in so far as they may change such factors as rights of access or impose responsibilities for management and conservation. Particular care should be taken to include groups who are not land users in the target area but who may be affected by proposed land-use changes. For example, communities living further downstream in a catchment may be affected by developments involving increased water use or changes in land cover. If they have not been involved previously, such groups should be involved in the discussions at this stage.

More formal screening of social impacts may be required, particularly in national and sub-national land-use plans where grass-roots stakeholder involvement in planning may have been less active. The impact of any changes in land use should be assessed in relation to the following social factors:

It may be necessary to conduct a focused RRA at community level with stakeholder groups or key informants to elucidate what exactly might happen when land-use changes take place. Reference should be made to case studies of comparable developments in similar environments, and to the records of local clinics to observe current health trends.

Environmental impacts

Sustainable land management is, by definition, dependent on maintaining the productive potential of natural resources. In addition to protecting the resources on which a specified production system depends, operation of the production system may have effects on other attributes of the environment, either at the site of production or elsewhere.

The technique of scoping can be used to select a number of key factors to evaluate from a more comprehensive list. The term is borrowed from environmental impact analysis, which has much in common with the assessment of sustainability. Scoping is intended to reduce the amount of analysis to a manageable level, and should be carried out in consultation with all relevant groups which may be affected by land-use changes (Bisset, 1987). Once identified, changes in key factors, resulting from a specified production system, can be predicted by methods based on FAO, 1993b:

The method chosen depends on the availability of data, the knowledge of cause-effect relationships of the factors concerned, the availability of models and the requirement for quantitative results. Often a combination of the above methods is appropriate. In addition to direct effects on land resources resulting from changes in inputs or husbandry practices, likely effects on valuable or rare plants or animals should be considered. Changes in land use may have off-site impacts, such as reduced downstream flows, concentration of livestock on limited grazing areas, or interruption of wildlife migration corridors.

Negotiating and Deciding upon Options - Set up the Plan

The output of the previous step is a range of land-use options, comprising land utilization types or production systems, for each land mapping unit.

All these options are physically suitable, financially and economically viable, socially acceptable, free from significant adverse environmental impact and have manageable constraints for implementation. The selection of the best option, or the best range of options, is now determined by weighing the alternatives against the goals of the various groups of stakeholders. In most cases it is hoped that land use will be decided by negotiation leading to trade-offs and consensus.

The task force is responsible for arranging the forum in which negotiations can take place and providing mediation for reaching consensus and resolving conflicts. This is the opportunity for all opinions to be voiced. Every effort must be made to resolve any disputes arising from conflicting objectives within this forum. A mechanism should be available for recourse to the land arbitration body or to the Courts in cases of irreconcilable disputes. Such disputes result in postponement of the implementation of the land-use plan or of some of its components.

The Negotiation Process

The essence of negotiation among stakeholders is that all the people affected are fairly represented in the discussions. Negotiation can only be effective if all stakeholders accept the forum as legitimate, or if the process and the institutional structure (task force) which supports it is legitimized by them collectively, or by law or custom. This implies that management structures may either be established by the stakeholders themselves, or by government, even if it is not a stakeholder, as outlined in the section Establishment of multidisciplinary task forces.

At this stage of the planning cycle the stakeholders will actively participate in the negotiation process, which can be done in the form of a workshop. It is the duty of the task force to guide the discussion or to engage a neutral facilitator to help reach a consensus among the stakeholder representatives and ultimately a decision. If no decision can be reached, another meeting has to be arranged to allow time for the representatives to discuss relevant issues with their groups and, if required, to improve the quality and quantity of the information on which the decision will finally be based.

There are numerous cases where it is physically impossible for all stakeholders to participate personally in all aspects of the negotiating process, for example involving village land-use planning, the management of an entire forest or irrigation scheme, district level planning, or national or global issues. Up to the present time, the only way that they have been handled is through some form of representation of stakeholders. In future, however, it may become increasingly possible to use computer-based networking or conferencing facilities to enable large numbers of stakeholders to negotiate together, as is already practised in some countries through electronic mail (e-mail). Meanwhile, the main participants in the negotiation process should include the task force, as leading institution, additional stakeholder representatives, staff from institutions dealing with land-use planning at higher levels (e.g. the higher-level task force), technical experts, potential donor organizations, and other groups or institutions which have an interest in the matter.

At the sub-national level, issues of importance can be addressed through negotiation in the District (Province) Land-use Planning Group. The National Land Use Group or Committee provides a forum for discussing land related matters of national importance (e.g. updating land-use policy).

FIGURE 13

THE NEGOTIATION PROCESS

In addition, before initiating the decision-making process, the present stakeholders, representatives from institutions, or potential donors have to agree commonly on certain rules concerning the discussion procedure. The minutes or record of the meeting should then be distributed, not only to immediate stakeholders, but also to others who may need to know of actions proposed because they impinge on their own programmes.

A neutral moderator or accepted authority may play a valuable part in conflict resolution. Mediators might be provided by NGOs, or employed at the district level and made available to the management groups within the district as necessary. It is important to remember that mediators are supposed to facilitate the process of conflict resolution, not to control it.

Supporting Tools in Assisting the Selection of Options

Mechanistic methods can assist in selecting the best options. Examples are the multiple goals achievement matrix and multiple objective linear programming. The objectivity of such methods can support the choice of certain options over others and can assist in resolving disputes. However care must be taken in selecting goals and in their relative weighting.

Frequently the emphasis should not be on selecting the best land-use option, but on providing the land user with a portfolio of choices.

Conflicts among Stakeholders and Conflict Resolution

In extreme situations this can result in physical conflict or war, but in most cases conflict is regulated by socially accepted norms of behaviour, by custom or by law, and is resolved through compromise and exchange of values in the framework of economics and negotiation. Conflict is natural and will always exist. Some origins of conflict are given in Box 22. It is not possible to eliminate conflict once and for all so conflict resolution mechanisms are an essential ingredient in the management of land resources.

Conflicts of interest may arise due to competition for access to resources or for their control. There will be conflict, for example, when expansion of cultivated land encroaches on land traditionally used for grazing, when people are denied access to forest products necessary for their livelihood, or when there is competition for water for livestock or irrigation.

Conflict may also arise due to the effects or impacts of resource use, or when one party's actions affect another party's interests. This may happen when long-term interests compete with short-term profits. Examples are where exploitation creates adverse impacts through clearance of vegetation, destruction of habitats or populations, or other forms of degradation or pollution. In such cases there is conflict between the objectives of those exploiting the land and those whose livelihoods or lives are adversely affected, or who wish to conserve the environment. A conservationist group's wish to conserve a population of elephants may conflict with the local people's need to protect their crops from elephant damage in order to grow enough to feed themselves.

In traditional societies, rights to use land resources are often linked to membership of a group, such as village or kinship group, and disputes are referred to Chiefs or Councils of Elders and are settled with reference to customary laws and practices. In modern societies, disputes may be referred to a village or town council or to the Courts. The number of potential adversaries in typical modern-day resource conflicts, and the variety of interests they represent, make the dynamics of such conflicts more difficult to untangle, and the design of effective solutions extremely complicated. Conflicts are multifaceted, with each possible resolution having many implications.

Institutions dealing with land issues often have overlapping mandates but different priorities. If a decision has to be taken on an issue which concerns more than one institution, conflict is inevitable if the decision authority is not clearly defined by law.

With mounting pressure on land resources, the incidence of conflict is set to increase. A recent study of resource conflict in semi-arid Africa by the Overseas Development Institute (Blench, 1996) concluded that an awareness of the nature, causes and potential results of conflicts must be a part of effective development planning.

A conceptual framework for conflict resolution is provided in the FAO Guidelines for Integrated Coastal Area Management and Agriculture, Forestry and Fisheries (FAO, 1998b). There, the term "conflict resolution" is defined as follows:

Common conflict resolution structures are:

Setting up the Plan

After completion of the successful negotiation process, the plan for achieving the agreed objective and for related activities can be set up by the task force in collaboration with the other institutions concerned. The appointed task force at each level will be the leading and coordinating group. The details have now to be worked out within a strategic framework such as:

The expected output of the land-use plan should be documented in the form of maps, and a report containing tabular information relating the various land mapping units to recommended land use options and presenting supporting recommendations on sustainable land management and environmental protection associated with each option. However, as with the collection of data for the plan, production of the report should be economical of time and expense, and any documentation should be as concise as possible within the broad framework of the terms of reference.

It may be useful to separate the broad land-use plan, with continuing recommendations, from an "action plan", containing actions to be implemented over a shorter time period, perhaps three to five years (Lesotho Government, 1991). Action plan items should be prioritized using objective criteria such as those in Box 23, and specific mention should be made of any external support needed from government or NGOs, so that requests can be linked up with national or sub-national development programmes. Presentation in the form of a matrix showing objectives, outputs, activities, costs and benefits may make projects more attractive to governments or external donors. An example of a simple matrix presentation for village level activities is given in Box 23:

Legislation and Enforcement for the Plan

To achieve the planning objectives, strategies must be pursued which allow for the effective implementation of the plan. Such strategies may involve the use of incentives, regulations or, more commonly, a combination of the two. Incentives may be social or economic, or related to structure or knowledge. As alluded to earlier, the introduction of the integrated and interactive approach to land-use planning may provide a convenient opportunity for government to review its existing policies and strategies for sustainable development and natural resource conservation. Box 24 gives an example of conceptual goals to which policies and specific incentives may be directed.

Incentives

Striking the right balance between incentives and regulations is essential if sustainable land management is to be achieved. It is important that incentives and regulations are complementary rather than antagonistic in their effects. Policy contradictions, expressed by antagonistic incentives and regulations, are not uncommon when aims of conservation and production are being addressed.

The overriding incentive is security that expectations will be met and will not be adversely affected by war or civil disturbance. Strife undermines any possible incentives for investment of labour or capital either in production or in conservation of natural resources. Clearly, peace is the most essential ingredient of the enabling environment for land-use planning and for establishing sustainable land use. Other incentives can be broadly divided into those promoting production and those promoting conservation. It is important to ensure that individual incentives are mutually complementary rather than antagonistic.

One of the justifications for subsidizing soil conservation is that a single farmer may pay the costs, but a much larger number of people may stand to benefit. In cases where the benefits of soil conservation can be realized directly through maintaining crop yield levels which would otherwise decline, further incentives may not be needed (Stocking and Tengberg, in press).

Land policy must also take account of the increasing importance of the private sector in taking over many former government functions in the supply of services to farmers and in the marketing of produce. Incentives and regulations should aim to stimulate the growth of this private service sector while protecting the rights of farmers.

Legislation

The Role of Law in Land Use
Law is an essential component of land use and land development. It is the body of rules, customs or practices that determines how the members of a group behave toward each other. Law creates both social order and defines the management framework within which a group uses natural resources to create life-sustaining enterprises.

Laws establish rules and procedures through which stakeholders can resolve conflict and reach agreement while implementing the plan or policy. The fora and institutions, for example public meetings and task forces such as government boards, legislatures and technical departments, enable the stakeholders to analyse information constantly, debate issues and make decisions, and create a body of land law and regulation.

Incentives for compliance may be written into the law itself, or sanctions for non-compliance imposed by an outside source such as the state or village council. A court or tribunal can be used to settled a dispute or determine a remedy. In summary, law comprises agreements and institutions and is a land resource management tool.

The Legal Framework
Law in planning and management of land resources is designed to improve the capacity of stakeholder institutions to manage their designed resources in a sustainable way. Sufficient legal requirements include a comprehensive package of national legislation to first support the establishment of local resource management groups; second to provide pro-active technical support from government through a national land resources management working group; and third to ensure that appropriate fora exist for monitoring and enforcement of land-use decisions. Detailed legislative policy goals, principles and structures for creating this new covenant with user management groups are outlined below. Almost every government will have an existing body of law on land-use and land use planning at local, district or national levels. The framework presented here is not aimed at replacing existing law. Rather, it is a guide to evaluate the effectiveness of existing law and institutions in generating an interactive process with stakeholders at local level. Even the most sophisticated legal schemes may fail to consider the full range of stakeholders or account for all sectors affecting land. On the other hand, governments lacking legal tools to integrate local users may find this proposal an appropriate solution for filling in the gaps.

Legislative Policy
Integrated land-use law has four main policy objectives:

Legislative Principles
Ten principles guide the law-making process.

Legislative Structure
The proposed legal and regulatory framework consists of three interrelated laws. The first establishes and empowers local level, resource management groups to negotiate, make and enforce land-use rules (see Enabling Legislation below). The second sets up an institutional network for interagency cooperation through a working group at the national level for departments concerned with land-use issues. It ensures that information flows to and from technical sources on local needs and that appropriate policy decisions and reform are responsive to those needs (see Inter-agency Support for Local Groups below.) The third establishes a national oversight board or committee to strengthen enforcement of sustainable land-use management decisions and offers suggestions for improving dispute settlement procedures and resolving land related conflicts and claims. The necessary elements and requirements for each law, and options for accomplishment, are presented below. Policy-makers may find that existing legislation can be used or revised to accomplish interactive land-use planning goals. Others may choose to implement the entire package at once or in stages. The interagency coordination law, for example, could be used to establish a task force on implementation that could then be converted into a permanent coordinating body once proper legislation is in place. The requirements proposed need to be incorporated into a comprehensive and integrated legal package of support at the national level in order for the approach to be most effective.

An example of a local by-law is given in Box 26.

Policing the use and management of land should be seen as a last resort, and the most effective laws will have the support of at least the majority of the population. However it is important that the resources and mechanisms for law enforcement, for prosecution of offenders, and for arbitration, exist if land protection laws are to be effective deterrents to misuse of land. Also required are a general willingness to uphold the law on the part of the population, and reasonable access to law for all stakeholders.

Effective plans are most likely to emerge when local, sub-national and national policies are complementary and supportive. An example of the provincial planning supporting local and national level initiatives to manage natural resources is shown in Box 27.

Matching of Land Use and Land Tenure Structure
Land-use changes are usually possible within an unchanged system of land tenure arrangements. If, however, far-reaching changes in land use might occur, new instruments are needed to match those land-use options with the present land tenure structure.

Land consolidation and land readjustment are the most comprehensive of all land tenure instruments. They are applied in the development of rural areas for the elimination of deficiencies in the agrarian structure considering the existing ownership, and for matching the land-use pattern with the land tenure structure (GTZ, 1998) (Box 28).

Monitoring and Evaluation

There should be continuity between the completion of the land-use plan and the implementation of its various components. A monitoring and evaluation plan should be established which clearly indicates when recommended measures are being implemented and if they are having the desired impacts.

Integrated planning for sustainable management of land resources does not provide a blueprint for rural development but an iterative process for achieving the best possible outcomes based on stakeholder objectives. The plan as well as the implementation phase must be somewhat flexible as it will undoubtedly encounter unexpected externalities or new findings which will directly or indirectly influence the plan.

Having coordinated formulation of the land-use plan, the task force, e.g. at local level the LRMG, is the body best placed to coordinate its implementation and also to coordinate the monitoring of its effectiveness. The task force provides continuity and the link between stakeholder groups and institutions supporting implementation of the various plan components.

Just as planning cannot be left to external bodies, neither can monitoring. To ensure adequately that implementation is going as planned and is achieving the desired outcomes, it is necessary to establish a monitoring and evaluation plan even while developing the land use plan. A participatory monitoring and evaluation plan allows the stakeholders to identify indicators or feedback mechanisms that will let them know if the implementation is successful or not. When stakeholders are designing the monitoring and evaluation plan, they should ask themselves the following:

Typically, monitoring and evaluation should be done throughout the implementation process and stakeholders should review and retest the indicators they have already identified and ask:

Monitoring of implementation of the land-use plan would normally be carried out by the task force, for example the LRMG, in association with technical extension staff, who would record the progress made in implementing the various components (based on the monitoring plan and interviews with stakeholders) and report at regular task force meetings. Progress should also be reported, and publicized, to the community at large, so that particular implementation problems and possible remedial measures can be discussed and appropriate action taken. It may be necessary to modify the plan or some of its components if they are not being adopted or are seen to be ineffective. As with the planning process, communication and cooperation among the various actors is of utmost importance.

3 Financial analysis is based on market prices and costs. Economic analysis takes into account shadow prices and opportunity costs. Whereas a land-use plan of a large farm or group of commercial enterprises may rely on financial analysis to determine feasibility, a land-use plan covering a broader range of activities within a nation, a district or a community would normally use the more complex procedures of economic analysis to evaluate alternatives.