WOCAT a framworks for documentation and valuation of soil and water conservation

WORLD OVERVIEW OF CONSERVATION APPROACHES AND TECHNOLOGIES A Framework for Documentation and Evaluation of Soil and Water Conservation TECHNOLOGIES WOCAT Questionnaire Revised February 2003 WOCAT A Framework for Documentation and Evaluation of Soil and Water Conservation Basic Source: Coordination & Editing: A first edition of this document was finalised in an international workshop in Bern in December 1994, based on a proposal by a task force meeting in Wageningen, and on tests in different parts of Africa After four regional workshops in Africa and a national workshop in Thailand, a revised version was discussed during the International Workshops in Sigriswil and Murten, Switzerland in May 1996 and August 1997 Additional workshops in Latin America and China in 1997 provided further opportunities to test and improve the questionnaires Major contributors were Dennis Cahill, Will Critchley, Rod Gallacher, Karl Herweg, Hans Hurni, Hanspeter Liniger, Godert van Lynden, Kithinji Mutunga, Samran Sombatpanit, Chen Shaodong, Kebede Tato and Donald Thomas Additional assistance was provided by: Ali Ayoub, Nie Bijuan, Malcolm Douglas, Gunter English, Louisa Jansen, Joseph Mburu, Amor Mtimet, Issa Ousseini, David Sanders, Sutadi Sastrowihardjo, Dietmar Schorlemer, Anneke Trux, Anton Vlaanderen, Gilbert Zomahoun, Michael Zoebisch and all SWC specialists from Africa, Asia, and Latin America who participated in WOCAT workshops This revised version was edited by Hanspeter Liniger, Gudrun Schwilch, Godert van Lynden, Samran Sombatpanit, Will Critchley and Mats Gurtner Hanspeter Liniger Cartoons & Figures: Karl Herweg, Mats Gurtner Proof-reading: Ted Wachs, Marlène Thibault Layout: Mats Gurtner Copyright  2003 WOCAT Coordination: WOCAT Management Group: CDE - Centre for Development and Environment, Bern, Switzerland; FAO - Food and Agriculture Organization of the United Nations, Rome, Italy; ISRIC - International Soil Reference and Information Centre, Wageningen, Netherlands; BSWM - Bureau of Soils and Water Management, Department of Agriculture, Quezon City, Philippines; INSAH - Institut de Sahel, Bamako, Mali; RELMA - Regional Land Management Unit (former RSCU), SIDA, Nairobi, Kenya; SWCMC - Soil and Water Conservation Monitoring Center, MWR, Beijing, P.R China Contact address: WOCAT, CDE, Steigerhubelstrasse 3, 3008 Bern, Switzerland, Tel +41 31 631 88 22, Fax +41 31 631 85 44, e-mail: wocat@giub.unibe.ch http://www.wocat.net BSWM INSAH SWCMC A Framework for Documentation and Evaluation of Soil and Water Conservation TECHNOLOGIES WOCAT Questionnaire Revised February 2003 Technology Code QT country code consecutive number WOCAT i Technologies List of Collaborating and Funding Institutions1 ACT ADB ASOCON BSWM CAMP CDCS CDE DANIDA DEC DED FAO “Friends of WOCAT” FSSRI / UPLB African Conservation Tillage Network, Harare, Zimbabwe Asian Development Bank, Manila, Philippines Asia Soil Conservation Network, Jakarta, Indonesia Bureau of Soils and Water Management, Department of Agriculture, Quezon City, Philippines Central Asia Mountain Programme, Bishkek, Kyrgyzstan International Cooperation Centre, Vrije Universiteit Amsterdam, The Netherlands Centre for Development and Environment, University of Bern, Switzerland Danish International Development Assistance, Copenhagen, Denmark Department for Erosion Control, Faculty of Forestry, Belgrade University, Yugoslavia Deutscher Entwicklungsdienst, Berlin, Germany Food and Agriculture Organisation of the United Nations, Rome, Italy Individuals without institutional backing Farming Systems and Soil Resources Institute, University of the Philippines, Los Baños, Philippines Fujian Soil and Water Conservation Office, Fuzhou, China FSWCO Deutsche Gesellschaft für Technische Zusammenarbeit, Eschborn, Germany GTZ International Atomic Energy Agency, Joint FAO / IAEA Division, Vienna, Austria IAEA International Fund for Agricultural Development - Global Mechanism, Rome, Italy IFAD-GM International Centre for Agricultural Research in the Dry Areas, Aleppo, Syria ICARDA International Centre for Integrated Mountain Development, Kathmandu, Nepal ICIMOD International Crops Research Institute for the Semi-Arid Tropics, Niamey, Niger ICRISAT Institut du Sahel, Bamako, Mali INSAH ISCW / ARC Institute for Soil, Climate and Water of the Agricultural Research Council, Pretoria, South Africa International Soil Reference and Information Centre, Wageningen, The Netherlands ISRIC International Water Management Institute, Pretoria, South Africa IWMI Kyrgyz Agrarian University, Bishkek, Kyrgyzstan KAU The Royal Veterinary and Agricultural University, Denmark KVL Land Development Department, Ministry of Agriculture and Cooperatives, Bangkok, Thailand LDD Ministry of Agriculture and Food Security, Soil Conservation and Land Use Planning Unit, Dar es MAFSSalaam, Tanzania SCLUPU MoA, Ethiopia Ministry of Agriculture, Addis Abeba, Ethiopia National Department of Agriculture, Pretoria, South Africa NDA Observatoire du Sahara et du Sahel, Tunis, Tunisia OSS Programa de Agricultura Sostenible en Laderas de América Central, Managua, Nicaragua PASOLAC Regional Land Management Unit (former RSCU), Sida, Nairobi, Kenya RELMA Swiss Agency for Development and Cooperation, Bern, Switzerland SDC Ministry of Agriculture, Soil & Water Conservation Branch, Nairobi, Kenya SWCB Soil and Water Conservation Monitoring Center, MWR, Beijing, P.R China SWCMC Environmental Safety Assessments and Contracts, Jealott’s Hill International Research Centre, Syngenta Berkshire, UK; Syngenta Foundation, Basel, Switzerland Tajik Soil Science Research Institute, Dushanbe, Tajikistan TSSRI Université catholique de Louvain, Agricultural Engineering Unit, Soil and Water Conservation, UCL Louvain-la-Neuve, Belgium United Nations Environment Programme, Nairobi UNEP World Association of Soil and Water Conservation, Ankeny, USA WASWC Watershed Development Coordination Unit, New Dehli, India WDCU WOCAT Management Group: CDE, FAO, ISRIC, BSWM, INSAH, RELMA, SWCMC February 2003 WOCAT ii Technologies Sustainable soil and water management: Making local experience available at the global level WOCAT mission The mission of WOCAT is to provide tools that allow SWC specialists to share their valuable knowledge in soil and water management, that assist them in their search for appropriate SWC technologies and approaches, and that support them in making decisions in the field and at the planning level WOCAT tools WOCAT has developed tools to document, monitor and evaluate SWC know-how and to disseminate it around the globe in order to facilitate exchange of experience A set of three comprehensive questionnaires and a database system have been developed to document all relevant aspects of SWC technologies and approaches, including area coverage WOCAT results and outputs are accessible via the Internet, in the form of books and maps, and on CD-ROM Using WOCAT in the field and at the planning level WOCAT uses global knowledge for local improvements It offers contacts as well as opportunities to share experience around the globe It provides SWC specialists with technical information about SWC technologies and approaches from their own and other regions The same pool of knowledge and information can be used in the field as well as at the planning level The main purpose of WOCAT is to foster more efficient use of existing knowledge and funds for improved decision making and optimised land management A global network WOCAT is a network of soil and water conservation specialists from all over the world WOCAT is organised as a consortium of national and international institutions and operates in a decentralised manner This means that it is carried out through initiatives at regional and national levels, with backstopping from experienced members of the consortium The WOCAT network is open to all individuals and organisations with a mandate or an interest in SWC Everyone is invited to share and use the WOCAT knowledge base More information is available in the WOCAT brochure, on the CD-ROM, and in the internet at www.wocat.net E-mail contact address: wocat@giub.unibe.ch WOCAT iii Technologies Introduction to the questionnaire Some general definitions Soil and Water Conservation (SWC) in the context of WOCAT is defined as: activities at the local level which maintain or enhance the productive capacity of the land in areas affected by or prone to degradation SWC includes prevention or reduction of soil erosion, compaction and salinity; conservation or drainage of soil water; maintenance or improvement of soil fertility, etc The WOCAT methodology was originally designed to focus mainly on soil erosion and fertility decline in erosion-prone areas However, during development and application of the methodology users asked to include other land degradation types such as salinization, compaction, etc The definition has therefore been broadened, but the methodology may not fully cover all aspects of these additional physical and chemical degradation types A SWC Technology consists of one or more measures belonging to the following categories: • agronomic (eg intercropping, contour cultivation, mulching), • vegetative (eg tree planting, hedge barriers, grass strips), • structural (eg graded banks or bunds, level bench terrace), • management (eg land use change, area closure, rotational grazing) Combinations of above measures which are complimentary and thus enhance each other, are part of a SWC Technology Criteria for identification and examples of technologies are given in the Questionnaire on SWC Technologies on page ET1 and ET6 A SWC Approach defines the ways and means used to promote and implement a SWC Technology and to support it in achieving more sustainable soil and water use A SWC Approach consists of the following elements: All participants (policy-makers, administrators, experts, technicians, land users, i.e actors at all levels), inputs and means (financial, material, legislative, etc.), and know-how (technical, scientific, practical) An Approach may include different levels of intervention, from the individual farm, through the community level, the extension system, the regional or national administration, or the policy level, to the international framework WOCAT iv Technologies Besides SWC activities introduced through projects or programmes, WOCAT includes indigenous SWC measures and spontaneous adoptions or adaptations of SWC Technologies In using the term ‘SWC Approach’, WOCAT intends to refer to a particular SWC activity (be it an official project/programme, an indigenous system, or changes in a farming system towards more sustainable soil and water use) In the case of a project, we restrict ourselves to those elements within the project that are directly or indirectly relevant to SWC A framework for the evaluation of SWC Three questionnaires are used to analyse and evaluate SWC: (1) Questionnaire on SWC Technologies (2) Questionnaire on SWC Approaches (3) Questionnaire on SWC Map The questionnaires complement each other The questionnaire on SWC Technologies addresses the following questions: what are the specifications of the technology, and where is it used (natural and human environment) The questionnaire consists of three main parts: General information Specification of SWC Technology Analysis of SWC Technology For each SWC Technology questionnaire completed, you need to fill out a corresponding SWC Approach questionnaire The questionnaire on SWC Approaches addresses the questions of how implementation was achieved and who achieved it It is also made up of three main parts: General information Specification of SWC Approach Analysis of SWC Approach For each major SWC Technology that was used under the SWC Approach, you need to fill out a SWC Technology questionnaire The questionnaire on the SWC Map addresses the question of where problems and their treatments occur It is split up into: General information Land use Soil degradation Soil and water conservation Soil productivity The information obtained from the three questionnaires will provide an information base / database for the development and evaluation of SWC The analysis and evaluation process is based on this information and on the knowledge provided by core groups of SWC specialists and the world community of SWC implementers at large WOCAT v Technologies Please read these notes before filling out the questionnaire! • The ultimate goal of this exercise is to improve the effectiveness of SWC by analysing field experience To achieve this, we need to obtain a better understanding of the reasons behind successful experience with SWC – be it introduced by projects or found in traditional systems • It is necessary to analyse not only so-called “successful” examples, but also those which may be considered – at least partially – a failure The reasons for failure are equally important for our analysis • It is recommended that the questionnaire be filled in by a team of SWC specialists with different backgrounds and experiences who are familiar with the details of the SWC Technology (technical, financial, socio-economic) • Don't let the number of pages in this questionnaire discourage you! In some places the information will be simple to obtain, but in other sections there may be no hard data available In this latter case, we ask you to provide a best estimate, based on your professional judgement • Note: all questions that are not answered will be considered as not applicable or non-available information • Make use of existing documents and seek advice from other SWC specialists and land users as much as possible in order to improve the quality of the data Use this questionnaire as an evaluation tool for your SWC activities Remember that the quality of the results entirely depends on the quality of your answers • If you not have enough space for answers, use the empty pages at the end of the questionnaire Please make a footnote in the questionnaire to indicate the exact question number Please also attach good technical drawings, photographs (prints or slides), descriptions, references, etc They will be needed for the WOCAT documentation and outputs, and they will be returned to you afterwards Please put your name and address on them! Contributing specialists will always be acknowledged and will receive the output(s) free of charge • One questionnaire has to be filled out for each technology Do not forget to give this questionnaire a code (see first page of this document) If you wish to describe additional SWC Technologies, copy this document or request additional questionnaires from the national / regional WOCAT coordinator or from CDE • Note that for the understanding of your SWC Technology, an additional questionnaire on SWC Approaches needs to be filled out (can be requested from the national / regional WOCAT coordinator or from CDE) • Please fill out the questionnaire carefully and legibly • Please send the completed questionnaire plus any additional material back to the national or regional WOCAT coordinator If you are working in an area where no national / regional coordination has been established yet, send it to WOCAT (CDE, Institute of Geography, University of Bern, Steigerhubelstrasse 3, 3008 Bern, Switzerland) WOCAT vi Technologies • The questionnaire is structured as follows: The questions to be answered are always on the right page On the opposite left page, you will find the corresponding explanations, examples, photographs, drawings and cartoon • The questions presented in shaded boxes contain key information and should therefore be answered with the greatest accuracy! (However, this does not mean that other questions not contain important information Therefore, all questions should be answered!) WOCAT vii If you are ready to start now, please turn the page and fill out the questionnaire Thank you in advance! Please return completed questionnaires to the national or regional WOCAT coordinator or to CDE, Steigerhubelstrasse 3, CH-3008 Bern, Switzerland Technologies WOCAT Technologies 3.5.2 QT 53 Evaluation List the major weaknesses / disadvantages of the technology and how they can be overcome Weaknesses / disadvantages in your opinion 1) How can they be overcome? 2) 3) 4) 5) in the land users' view 1) 2) 3) 4) 5) WOCAT Technologies ET 54 Explanations References used: Community Forests and Soil Conservation Development Department 1986 Guidelines for Development Agents on Soil Conservation in Ethiopia Ministry of Agriculture, Addis Ababa, Ethiopia International Soil Reference and Information Centre (ISRIC) 1995 Global and National Soils and Terrain Digital Databases (SOTER) Procedures Manual FAO, ISRIC, ISSS, UNEP Kerr, J.M 1994 How subsidies distort incentives and undermine watershed development projects in India Draft paper prepared for the IIED New Horizons Conference on Participatory Watershed Management, Bangalore, Nov 28 – December 2, 1994 Swiss Agency for Development and Cooperation (SDC) 1996 Getting to know PEMT Brochure in the Series: Working Instruments for Planning, Evaluation, Monitoring, Transference into Action (PEMT) SDC, Berne, Switzerland United Nations Environment Programme (UNEP) / Food and Agriculture Organization of the United Nations (FAO) 1994: Report of the Expert Meeting on Harmonising Land Cover and Land Use Classifications Earthwatch Global Environment Monitoring System GEMS Report Series No 25 UNEP, Nairobi, Kenya WOCAT Technologies QT 54 Annex ANNEX T1 List the names of other contributing SWC specialists who assisted in filling out this questionnaire Note that on QT the main responsible person needs to be indicated Last name / surname First name(s) Institution, address, fax, tel., e-mail Available documentation List all useful references, reports, technical manuals, videos, training materials, etc and contacts (individuals or projects with address) that relate to the technology you have described: where available / costs References / reports: title, author, year Contact person / institution: Last name / surname First name(s) Institution, address, fax, tel., e-mail WOCAT Technologies ET 55 Explanations WOCAT Technologies QT 55 Annex ANNEX T2 Your judgment of the SWC Technology questionnaire I liked: I disliked: I suggest: Did the questionnaire help you in evaluation and analysis of SWC activities? (rate = very little to = very much) rate: Comments: WOCAT Technologies ET 56 Please add relevant reference materials here, particularly: • • • • Maps (land use, topography, soils, demography, etc.) Photos showing people working Pamphlets and brochures on SWC activities Technical manuals Explanations WOCAT Technologies QT 56 Annex ANNEX T3 Additional information (please always make proper reference to particular questions and page numbers!) WOCAT Technologies ET 57 Explanations WOCAT Technologies QT 57 Annex Additional information (please always make proper reference to particular questions and page numbers!) WOCAT Technologies ET 58 Annex ANNEX T4 WOCAT SWC Technologies categorisation system H.P Liniger, D Cahill, W Critchley, G.v Lynden, G Schwilch, D.B Thomas Principles of newly proposed system: - Hierarchical system consisting on types of information: (1) land use, (2) degradation type(s) addressed and (3) conservation measure(s) - Each of the types is subdivided into main types and subtypes Land use: Main types and subtypes (as defined in QT: p ET4): C: Cropland: Ca: Cp: Ct: annual cropping perennial cropping tree and shrub cropping G: Grazing land: Ge: Gi: extensive grazing intensive grazing F: Forest / woodland: Fn: Fp: Fo: natural plantations, afforestation other (eg selective cutting of natural forests and incorporating planted species) M: Mixed land: Mf: Mp: Ma: Ms: Mo: agroforestry (cropland and forest) agropastoralism (cropland and grazing land) agrosilvopastoralism (cropland, grazing land and forest) silvopastoralism (forest and grazing land) other O: Other land: Oi: Os: Oo: mines and extractive industries settlements, infrastructure network (roads, railways, pipe lines, power lines) others: wastelands, deserts, glaciers, swamps, recreation areas, etc If subcategories cannot be differentiated, just indicate the main type with a “–“ instead of a letter: eg: C-, G-, F-, etc WOCAT Technologies ET 59 Annex Degradation type addressed Main types and subtypes (as defined in QM): W: Water erosion: Wt: Wg: Wm: Wr: Wc: Wo: loss of topsoil / surface erosion gully erosion / gullying mass movements riverbank erosion coastal erosion offsite degradation effects: deposition of sediments, downstream flooding, siltation of reservoirs and waterways, and pollution of water bodies with eroded sediments E: Wind erosion: Et: Ed: Eo: loss of topsoil / surface erosion deflation and deposition offsite degradaion effects: covering of the terrain with windborne sand particles from distant sources ("overblowing") C: Chemical deterioration Cn: Ca: Cp: Cs: fertility decline and reduced organic matter content not caused by erosion, eg leaching, soil mining acidification: lowering of the soil pH soil pollution: contamination of the soil with toxic materials salinisation/alkalinisation: a net increase of the salt content of the (top)soil leading to a productivity decline P: Physical deterioration Pc: Pk: Pw: Ps: Pu: Pa: compaction: deterioration of soil structure by trampling or the weight and/or frequent use of machinery sealing and crusting: clogging of pores with fine soil material and development of a thin impervious layer at the soil surface obstructing the infiltration of rainwater waterlogging: effects of human induced stagnant water (hydromorphism), excluding paddy fields subsidence of organic soils, settling of soil loss of bio-productive function due to other activities (eg construction, mining) aridification / soil moisture problem: decrease of average soil moisture content, lowering of ground water table If subcategories are not specified, a -” should be added instead of a letter WOCAT Technologies ET 60 Annex Conservation measure (as defined in QT E6) Main types and subtypes (as defined in QT: p ET6): M: Overall Management: M1: Change of land use type: enclosure / resting protection change from crop to grazing land, from forest to agroforestry, from grazing land to cropland, etc Change of management / intensity level: from grazing to cutting (for stall feeding) farm enterprise selection: degree of mechanisation, inputs, commercialisation from mono-cropping to rotational cropping from continuous cropping to managed fallow from “laissez-faire” (unmanaged) to managed, from random (open access) to controlled access (grazing land forest land eg access to firewood), from herding to fencing adjusting stocking rates staged use to minimise exposure (eg staged excavation) Layout according to natural and human environment: exclusion of natural waterways and hazardous areas separation of grazing types distribution of water points, salt-licks, livestock pens, dips (grazing land) Major change in timing of activities: land preparation planting cutting of vegetation Control / change of species composition (not annually or in a rotational sequence: if annually or in a rotational sequence as done eg on cropland -> A1) reduction of invasive species selective clearing encouragement of desired species controlled burning / residue burning - M2: M3: M4: M5: A: Agronomic / soil management A1: A2: Vegetation / soil cover better soil cover by vegetation (selection of species, higher plant density) early planting (cropland) relay cropping mixed cropping / intercropping contour planting / strip cropping cover cropping retaining more vegetation cover (removing less vegetation cover) mulching (actively adding vegetative / non-vegetative material or leaving it on the surface) temporary trash lines (and in A2 as “mobile compost strips”) others Organic matter / soil fertility legume inter-planting (crop and grazing land; induced fertility) green manure (cropland) applying manure / compost / residues (organic fertilisers), including “mobile compost strips” (trash lines) applying mineral fertilisers (inorganic fertilisers) applying soil conditioners (eg use of lime or gypsum) rotations / fallows (associated with M) others WOCAT Technologies A3: A4: ET 61 Annex Soil surface treatment conservation tillage: zero tillage, minimum tillage and other tillage with reduced disturbance of the top soil contour tillage contour ridging (crop and grazing land), done annually or in rotational sequence breaking compacted top soil: ripping, hoeing, ploughing, harrowing pits, redone annually or in rotational sequence others Subsurface treatment breaking compacted subsoil (hard pans): deep ripping, “subsoiling”, … deep tillage / double digging others V: Vegetative V1: Tree and shrub cover dispersed (in annual crops or grazing land): eg Faidherbia, Grevillea Sesbania aligned (in annual crops or grazing land): eg live fences, hedges, barrier hedgerows, alley cropping Subcategories: - on contour - graded - along boundary - linear - against wind in blocks Subcategories: - woodlots - perennial crops (tea, sugar cane, coffee, banana) - perennial fodder and browse species Further subcategories for dispersed, aligned and in blocks: - natural reseeding - reseeding - planting V2: Grasses and perennial herbaceous plants dispersed aligned (grass strips) Subcategories: - on contour - graded - along boundary - linear - against wind - in blocks Further subcategories for dispersed, aligned and in blocks: - natural reseeding - reseeding - planting WOCAT Technologies ET 62 Annex S: Structural: Structures constructed with soil or soil enforced with other materials (S1-S7) or entirely from other materials such as stone, wood, cement, others (S-8) S1: bench terraces (6%) S3: bunds / banks level tied non-tied graded tied non-tied semi-circular v-shaped trapezoidal others S4: graded ditches / waterways (to drain and convey water) cut-off drains waterways S5: level ditches / pits infiltration, retention sediment / sand traps S6: dams / pans: store excessive water S7: reshaping surface (reducing slope, …) / top soil retention (eg in mining storing top soil and respreading (*) S8: walls / barriers / palisades, (constructed from wood, stone concrete, others, not combined with earth) S9: others Note: Often there are combinations: list them according to priorities: eg Ge/Wt/A3V2 WOCAT Technologies ET 63 Annex ... crops and trees • Agropastoralism: cropland and grazing land • Agrosilvopastoralism: cropland, grazing land and forest • Silvopastoralism: forest and grazing land • Other: other mixed land Other:... network WOCAT is a network of soil and water conservation specialists from all over the world WOCAT is organised as a consortium of national and international institutions and operates in a decentralised... is applied Example: Fujian Province (China) SOTER: Global and National SOils and TERrain Digital Database SOTER is an internationally endorsed and standardised methodology for storage and mapping