Universum-Verlag

Working Group on Integrated Land Use Planning

B. Amler, D. Betke, H.Eger, C. Ehrich, A. Kohler,
A. Kutter, A. von Lossau, U. Müller, S. Seidemann,
R. Steurer, W. Zimmermann

Land Use Planning

Methods, Strategies and Tools

Land Use Planning
268

Deutsche Gesellschaft für

ISBN 3-88085-525-0 Technische Zusammenarbeit (GTZ) GmbH
Schriftenreihe der GTZ, Nr. 268

Land Use Planning

Methods, Strategies and Tools
Land Use Planning
Methods, Strategies and Tools

Wiesbaden 1999

Universum
Verlagsanstalt GmbH KG
Published by: Deutsche Gesellschaft für
Technische Zusammenarbeit (GTZ) GmbH
P.O. Box 5180
65726 Eschborn, Germany
Working Group
Integrated Land Use
Planning: B. Amler, D. Betke, H. Eger, Chr. Ehrich, U. Hoesle,
A. Kohler, C. Kösel, A. v. Lossau, W. Lutz, U. Müller,
T. Schwedersky, S. Seidemann, M. Siebert, A. Trux,
W. Zimmermann
Editorial staff
for the English Edition: D. Betke, S. Klopfer, A. Kutter, B. Wehrmann
Photographs: C. Backhaus (Photo 4), W. Moosbrugger (Photo 1),
U. Müller (Front page, Photos 2, 3, 5, 6),
R. Riethmüller (Photo 7), B. Wehrmann (Photo 8)
Printed and
distributed by: Universum Verlagsanstalt

Die Deutsche Bibliothek - CIP-Einheitsaufnahme

Land use planning: methods, strategics and tools [publ. by:

Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH.
Ed. D. Betke …]. - Wiesbaden: Universum-Verl.-Anst., 1999
(Schriftenreihe der GTZ; 268)
ISBN 3-88085-525-0
Preface

Today, we live in a period characterised by a technical progress

so dynamic that it goes beyond most peoples¥ imagination.At the
same time, we are confronted not only with the consequences of
that progress e.g. the depletion of the land resources showing that
growth is limited,but also with other environmental consequences
which our development concepts did not foresee. This is an
experience shared by almost all countries in the world.
There is a world-wide increase in the impoverishment of large
groups of people.Their livelihood is under serious threat because
of the increasing population and the related pressure on land
resources.Under these conditions,traditional methods of using and
treating flora, fauna, water and soil impose serious risks.
Given the shortage and the excessive exploitation of land
resources, the search for effective planning approaches in land
resource management started way back in the 1960s and 1970s. In
the 1980s,participatory planning approaches increasingly replaced
the strict technical top-down planning.
The Agenda 21, which was ratified by more than 170 nations at
the Earth Summit in Rio de Janeiro in 1992, mentions frequently
that land use planning (LUP) plays a key role in natural resource
management. In the case of competing stakes and interests in the
use of land, it allows to settle arising conflicts and to conciliate
interests in such a way that agreements can be reached which
guarantee the sustainability of land resources. In this process, LUP
follows an integrated planning approach linking up various sectoral
strategies, while at the same time it is closely related to other
instruments of natural resource management such as land tenure
and property rights.
These guidelines to LUP in the development co-operation are the
result of an intensive discussion process with competent partners
in the Federal Ministry of Development Co-operation (BMZ), with
the German Development Bank (KfW) and with colleagues in the
planning and development department of GTZ.Valuable scientific
and practical experience and contributions have been
incorporated in these guidelines. Despite it specifies a technical
standpoint the reader is enabled to form his or her own opinion. It
describes the connection between LUP and other spatial and
sectoral planning operations, it defines those participating in the
planning process, it gives suggestions on how to carry out these
processes in various types of projects and it demonstrates how the
topic is incorporated in the macro-economic and social structures.
This publication is directed at our colleagues in the development
co-operation, who should integrate it into their day-to-day
operations. May we take this opportunity to express our
appreciation to all our GTZ colleagues at home and abroad as well
as to those active in research and education.To us, this teamwork
is yet another indicator of that it is necessary and possible to
produce meaningful,interdisciplinary work passing the boundaries
of divisions and organisations.
Published in German in 1995, the guidelines have now been
translated into English. Some updates have been made in the
bibliography,however the content remains unchanged and has not
lost any validity and importance.

Eschborn, 4. 5. 1999

Gunter Dresrüsse Dr. Henner Meyer-Rühen

Director, Planning and Head of Division,
Development Department Rural Development
Acknowledgements for Technical Contributions

D. Albrecht, CIAD, China, M. Abeywickrama, H.

Amararathna, X. Backhaus, North Western Province Dry Zone
Participatory Development Project, Sri Lanka; M.S. Bakry, Badan
Pertanahan Nasional, Indonesia; M. Bartels, Consultant Second
Land Resource Evaluation and Planning Project, Indonesia; A.
Bartholomäus GTZ;U. Baum KfW;O. Bawa Gaoh,PASP II,Niger;
D. Berhe, IGADD, Djibouti; A. Bety, PDRT, Niger; G. Birbaumer,
Rio Checua, Columbia; V. Böttcher, GTZ, Nairobi; M. von
Boguslawski GASP, Kenya; A. Bourbouze, IAM, France; P.J. Bury
RDPP, Zambia; I.S. Coulibaly Proj. PASP II, Niger; O.K. Dah
GIRNEM, Mauretania; A. Darga UGO/PNGT, Burkina Faso; H.P.
Debelius DED,Ecuador;S. Decurtins HIAP,Tanzania;H. Diedrich
Rio Guatiquia,Columbia;P. Djohossou P.G.R.N.,Benin;O. Dubois
Philippines; E. Dudeck GERENAT, Mali; R. Dutsch LRE San Pedro
RPGIRMP,Norte,Paraguay;T. Duve VARENA / ONAT,Burkina Faso;
M von Eckert TG-HDP, Thailand; D. Effler ALE, Berlin , E. Eller
Philippine – German CEBU Upland Project, Philippines; W.
Engelberg DED, Burkina Faso, F. Faiss RRDP Ichilo- Sara, Bolivia;
Y. Farka PASPII, Niger; A. Fleddermann Upper Mahaweli
Watershed Management Project, Sri Lanka; C. Flores SIG-CORPES,
Columbia; R. Förster GTZ; M. Froude MARRP, Zimbabwe; C.
Gräfen GTZ; J. Griffin SADP Zambia; R. Gumz RRDP Santa Cruz,
Bolivia; H. Häfner PASPII, Niger; A. Hahn GTZ; M.B. Halakhe;
Ministry of Agriculture and Livestock Development and Marketing,
Kenya; S. Hassane SAP, Niger; F. Hautecoeur HELVETAS, Mali; D.
Helmstetter ROUX YVAN, Franc; H. Hertel GTZ; B. Hess Pro
Equidad, Columbia; E.Hinojosa CORDECRUZ, Bolivia; C. Huwe
HIAP,Tanzania;A. Issa GRN,Niger;B. Jäan Ngobe,Panama;K. Janz,
P. Jouve, T. Jungjohann, Transmara Development Programme,
Kenya; M. Kampmann GTZ; D. Kehrmann SEGEPLAN,
Guatemala; F. Kempf Recursos Naturales, Santa Cruz, Bolivia; P.J.
Kimman Social Forestry Development Project, Indonesia; U.
Kievelitz GTZ,Nepal;E.J. Kirenga Selous Conservation Program,
Tanzania; K. Kollmer Landesamt für Flurordnung und Landes-
entwicklung, Karlsruhe; B. Krasemann GDS, Kenya; J. Krug Las
Verapaces, Guatemala; Kühn ALE, Berlin; W. Kunzel Fiji-German
Forestry Project,Fiji;D. Kwesha Forestry Commission,Zimbabwe;
P.S. Lamprea Rio Guatiquia, Columbia; H. Lang, M. Larzilliere
Commission Financière de Développement, Niger; M. Leupolt
GTZ; C. Lobo IG-WDP, India; H. Loos CARD, Zimbabwe; D.
Lubecki ALE, Berlin; B. Lüneburg PASPII, Niger; M. Manandhar
Churia Forest Development Project, Nepal; G. Meinert Cienaga
Grande, Columbia; C. Mersmann GTZ; G. Mertins University of
Marburg; U. Mey GTZ, Senegal; W. Moosbrugger, Desertification
Control Project of Patagonia,Argentina;B. Mohns Upper Mahaweli
Watershed Management Project, Sri Lanka; S. Mwichabe Min. of
Land Reclamation, Kenya; P.N. Muchendu Min. of Agriculture,
Kenya; S. Mustafa QRDP, Egypt; M. Nchafatso Forestry Division,
Lesotho; H. Oebel Atakora, Benin; W. Ohligschläger Corponario,
Columbia; A. Ojwang GASP, Kenya; R. von Oven Recursos
Naturales Santa Cruz, Bolivia; P. Payet, Niger; G. Payr Siran, Forest
Development Project, Pakistan; T. Petermann DSE; W. Petuelli
CILLS, Burkina Faso; A. Pröhl, Chad; G. Ramirez J. SEGEPLAN,
Guatemala; M. Ranaivomanana Integrated Forest Development,
Madagascar; M. Rapp IP Latina; T. Rauch, W. von Reitzenstein
Sucumbios, Ecuador; R. Riethmüller RRDP Kandy, Sri Lanka; C.
Roca Ichilo-Sara,Bolivia; R.M. Rochette Club du Sahel, France; F.
Rock; NAWACOP, Laos; R. Rogg DED, Berlin; G. Roos, J.C.
Sanchez; Los Llanos, Argentina; H. Schmidt; Ministry of
Agriculture, Lesotho; M. Schneichel; Bosque Seco, Dominican
Republic; H. Schneider CORPONARINO, Columbia; H.
Schönwälder Cebu Upland, Philippines; S. Scholaen DED,
Philippines; D.E. Schorlemer SAPA, Burkina Faso; B. Seitz, S.
Seydou, K.M. Shakya Gorkha Development Project, Nepal; M.
ShirimaTFAP North Pare,Tanzania;R. Soldansky PRO-Consult;R.
Solanilla Rio Checua, Columbia; M. Soriano GIRMP, Philippines;
P. Stremplat-Platte GTZ; W. Thees MISEREOR, Aachen; J.
Trevino FDC, Bolivia; K.-P. Traub Forestry Commission Veg-RIS,
Zimbabwe;T. Vetter QRDP,Egypt;L. Waldmüller SECAP,Tanzania;
J.H. Weik GTZ, Jordan; G. Wessling Los Llanos, Argentina; B.
Wiese GEOPLAN, H. Woehl Desertification Control Project,
Namibia; P. Wolter, D. Yameogo Programme National de Gestion
des Terroirs,Burkina Faso;H. Zahorka GTZ,Ethiopia;A. Zarzycki
Recursos Naturales, Santa Cruz, Bolivia.
Table of Contents Seite

Introduction 12

1. What is Land Use Planning? 16

1.1 Central Ideas of Land Use Planning 17
1.2 Principles of Land Use Planning 22
1.3 Implementing Land Use Planning in Development
Co-operation 25

2. Integrating Land Use Planning into

Planning Systems 33
2.1 Planning Systems, Land Use Planning and
Individual Objectives 33
2.2 Planning Systems in the Social Context 36
2.3 Land Use Planning at Different Planning
Levels and the Vertical and Horizontal Linkages 41

3. Elements of an Implementation-Orientated
Planning Process 53
3.1 Planning as an Iterative Process 54
3.2 Important Steps in the Preparation of
Land Use Planning 55
3.3 Collection and Analysis of Data and Information 62
3.4 Capacity Building for Land Use Planning 78
3.5 Drawing up Plans 84
3.6 Negotiating and Decision-Making 92
3.7 Evaluation and Actualisation of Plans 100

4. Participation in the Planning Process 103

4.1 What is to be Understood by Participation in
Land Use Planning ? 104
4.2 What Results are Expected from Participation ? 105
4.3 Stakeholders in the Land Use Planning Process
and their Interests 108
4.4 Processes, Activities, and Institutions: How does
Participation Take Place ? 112
4.5 Gender Approach in Land Use Planning 120
5. Implementation in Land Use Planning 131
5.1 From the Land Use Plan to its Implementation 132
5.2 Implementation Using “Feasible Packages” 133
5.3 Implementation Strategies 137
5.4 Organising and Financing the Implementation
of the Plan 141
5.5 Controlling of the Plan Implementation by
Monitoring and Evaluation (M&E) 146

6. Project Organisation and Land Use Planning 153

6.1 Land Use Planning in the Project Planning and
Conception Process 154
6.2 Land Use Planning and Other Project Activities 158
6.3 Planning Areas 160
6.4 Personnel Requirements and Financial Needs
for Land Use Planning 164
6.5 Tools and Logistics 167

7. Framework of General Conditions for

Land Use Planning 169
7.1 Impact of the General Conditions on
Land Use Planning 170
7.2 Possibilities of Dealing with General Conditions 171
7.3 Limits in Practising Land Use Planning 178

8. Prospects 181

Appendices 183
Appendix 1 Contents of LUP and
“Nature as Advisor” 183
Appendix 2 Legal Aspects in Land Use Planning 185
Appendix 3 A Brief Profile of Regionally
Orientated Programme Planning 191
Appendix 4 Notes on Land Use Conflicts
Using the Example of Mobile Livestock
Keeping 194
Appendix 5 Example of Landscape Units
and Mapping 201
Appendix 6 Examples of Linkages between
Land Use Planning and
General Conditions 205
Appendix 7 Key Questions on the Subject of
Participation 214
Appendix 8 Notes on the Allocation of Land Use
Options to Land 216

Bibliography 226
Index of Abbreviations 234
Index of Key Terms 235
 Introduction

These guidelines are a further step in developing an

approach to land use planning (LUP) within the
framework of development co-operation.They reflect
the present status of the technical discussions initiated
in 1992 within the GTZ working group on integrated
land use planning (WGLUP).
More than one hundred technical co-operation
projects on three continents supported by the various
technical departments of GTZ were involved in the
discussion. In addition, other agencies of the German
Development Co-operation such as the German Deve-
lopment Service (DED) and the German Development
Bank (KfW) have been participating in the discussion.
Various supra-regional projects of the technical co-
operation with strategic objectives are represented in
the WGLUP including the pilot project, “Natural Re-
source Management by Self-Help Approaches”(NARMS),
the pilot program “Gender and Women’s Promotion”
and the project “Desertification Control at the
Observatoire du Sahara et du Sahel”(OSS).The working
group includes consultants and foreign employees,
temporary working at the GTZ headquarter.There are
close contacts with the Technical University of Berlin
and the Faculty of Geography at Marburg University.
The publication of these guidelines would not have
been possible without the generous financial support
from the projects “Natural Resource Management by
Self-Help Approaches” (NARMS),“Desertification Con-
trol at the Observatoire du Sahara et du Sahel”(OSS),the
pilot program “Gender and Women’s Promotion” and
the GTZ sector “Rural Regional and Communal
Development”.
The Working Group would like to express a special
thanks to Mr. Ulrich Müller, Mr. Alois Kohler and Mr.
Christian Ehrich for their technical contributions and
the arrangement of this text.
Due to the interdisciplinary nature of the work
carried out, diverse experience and the various points

12
of view have been incorporated in the LUP concept.
Each person involved has accentuated his or her areas
of importance. The discussion was accompanied by
workshops, conferences as well as the discussion and
compilation of relevant documents. In 1993 and 1994,
six one-week-workshops were held on land use
planning throughout the world in four different
languages.These are:
■ Berlin in July 1993 (in German)

■ Kandy, Sri Lanka in October 1993 (in English)

■ Villavicencio, Columbia in December 1993 (in

Spanish)
■ Niamey, Niger in January 1994 (in French)

■ Naivasha, Kenya in March 1994 (in English)

■ Santa Cruz, Bolivia in October 1994 (in Spanish)

As a result,the workshops have shown that there are

both differences and similarities regarding the
implementation of land use planning in the different
parts of the world.In Asia,a separate working group has
been established which held separate meetings in
November, 1994 in Cebu, Philippines and in March,
1995 in Bonn,Germany.In addition,a working paper on
land use planning focused on Asia has been published.
The continuing discussions on land use planning
were also relevant for project formulation missions, for
project progress reviews,for developing project offers,
and for the training of foreign employees and
counterpart staff. Land use planning is an integral part
of the seminars on rural regional planning (RRP) held
bi-annually and of individual training sessions for
foreign employees abroad. In addition, during many
informal discussions specific questions were debated
and answers sought.
However, the work carried out in four languages has
also shown how difficult it is to agree on a terminology
for the conception of land use planning which is going
to be accepted world-wide.The problems start with the
translation of the term: Can land use planning be
equated with the West- African “Gestion du Terroir”? or
is the correct spanish translation, “Planificacion del

13
 Uso de la Tierra”, “Planificacion del Uso del Suelo” or
“Planificacion del Manejo de los Recursos Naturales”?
With these guidelines,we start an attempt to develop
a meaningful understanding, to give guidance and to
establish standards in planning land use. In the process
of doing so, a certain amount of leeway shall be
maintained in order to take regional and local
peculiarities into consideration when using the land
use planning approach.The concept of LUP considers
regional and local conditions in order to meet their
peculiarities in an optimal way.
Consequently, Land Use Planning: Methods,
Strategies and Tools are rather guidelines than a classic
manual offering a blueprint. It brings together
important ideas and experiences which should be
adapted and applied to the specific working conditions
in a project. The application for these guidelines is
exclusively targeted at rural regions. Urban centres are
therefore not included.
The content is divided into seven chapters,which are
assigned to three different subjects. Chapters 1 and 2
define the policy and planning framework of the GTZ-
concept to land use planning.Chapter 3 introduces the
components for the organisation of an implementation-
orientated planning process. Chapters 4 to 7 discuss,
some important aspects of implementation and of land
use planning in greater detail. Additional questions
arising in the various chapters are dealt with in the
eight appendices.
A summary and a list of contents for the various sub-
chapters can be found at the beginning of each chapter.
Examples from projects are integrated into the text.
They do not demonstrate how things must be done but
rather how they could be done.These guidelines cannot
answer all questions, and do not intend to do so, either.
The Working Group does not offer its services as a
contact partner only, but also refers to experience
documented elsewhere. Both standard documents and
recent publications have been selected for further
references.

14
1. What is Land Use Planning?
2. Integrating Land Use Planning into Planning Systems
3. Elements of an Implementation-Orientated Planning
Process
4. Participation in the Planning Process
5. Implementation in Land Use Planning
6. Project Organisation and Land Use Planning
7. Framework for Land Use

15
 1 What is Land Use Planning ?

This chapter describes the concept of land use

planning.The basic understanding or model drawn up
by the “Working Group on Integrated Land Use
Planning” (WGLUP) is stated as follows:
Land use planning (LUP) is an iterative process
based on the dialogue amongst all stakeholders
aiming at the negotiation and decision for a
sustainable form of land use in rural areas as well as
initiating and monitoring its implementation.
In this chapter, the assumptions within this basic
understanding are discussed and the objective of land
use planning is defined.Land use planning provides the
prerequisites for achieving a sustainable form of land
use which is acceptable as far as the social and
environmental contexts are concerned and is desired
by the society while making sound economic sense.
The presentation of the basic principles of LUP, such
as the principle of beneficiary group differentiation,the
iterative nature of the process or the guidance for
implementation gives a sound and integrated picture of

16
the process. Finally, the applicability of LUP in
development co-operation is discussed.

1.1 Central Idea of Land Use Planning

Wherever groups of people use land and its

resources, land use is planned, being aware of it or not.
Land use does not consider production only, but also
land functions such as protected areas,land recreation,
road-building, waste disposal sides and use-restricted
areas such as buffer zones for exhaust gases, areas for
regenerating groundwater,buffer zones for traffic noise
pollution, etc.
Land use planning (LUP) is not only practised when
national authorities intervene or as a result of
development co-operation projects. LUP happens in
every society, even if the term is not used.
The subject of these guidelines is land use planning
in the context of development co-operation. It deals
with cases in which an intervention occurs in order to
improve land use and to sustain natural resources.In the
past, decisions made on land use have resulted in the
degradation of land resources,or an imbalance between
supply and demand of those resources. Here, land use
planning is understood as an instrument of the tech-
nical co-operation used in the following types of pro-
jects:
■ resources management (forestry, production
systems compatible with resources and agroforestry,
pasture management, nature protection and erosion
control)
■ rural regional development

■ community support and village development

■ government consultation (environmental strategy

planning, agricultural sector planning, development

planning, assessment of land potential).
These LUP-guidelines are not intended to standardise
and impose compulsory procedures for all conceivable
variants. It appears more appropriate to offer support

17
 for different situations, taking into consideration the
specific conditions of the technical co-operation. In
addition, the exact role and scope of LUP within the
technical co-operation has still to be determined
according to the context and local conditions by those
responsible for planning and implementation of
projects.
Different Views Even fundamental concepts are perceived differently
within each project. Whereas some will consider an
approach which gives these directives from above on
how land related subjects should be organised in a
defined region, others will promote a process of
organisation and learning.
The first model of land use planning follows the
sense of a rational model of planning.It is assumed that
the optimisation of the set of planning tools in
connection with rationalisation of the planning
organisation will result in the best possible solution to
the problem to be solved. Any social conflicts are
disregarded in this process (technical planning
approach).
The objective of the latter concept is to create a
social platform for solving problems and settling
conflicts. Land use planning is thereby described as a
political process in which the constellation of forces is
crucial to the result.In this type of planning process the
stakes of differing groups with different power
potential and different influence meet one another. In
this process the mechanisms of conflict resolution and
forming a consensus are the major political factors
(participatory planning approach).
Fundamental The working group on integrated land use planning
Understanding of LUP (WGLUP) has formulated the following basic
understanding based on previous project experience:
Land use planning in the technical co-operation is
an iterative process based on the dialogue amongst
all participants. It is aimed at the definition of
decisions on a sustainable form of land use in rural
areas and the initiation of the appropriate measures
for implementation and monitoring.

18
 This basic understanding contains the following
definitions:

1. The core element in land use planning is the dialogue

amongst all participants to reach decisions based on
consensus. A major task of land use planning is to
accompany and motivate the participants and those
affected in order to attain a conciliation of interests
concerning land resources, types and extent of land
use.

2. The dialogue-orientated learning and negotiation

process amongst the participants leads to the
development of their planning capacities and to
sustaining co-operative relations at local level.

3. Participants in land use planning are direct and

indirect land users, as well as those affected by the
consequences of land use activities.Another group is
formed by people who often have political or
economic influence; this includes authorities,
organisations, middlemen and women, processing
industries for agricultural products,etc.However,the
most important target group in land use planning is
made up of the direct land users.

4. The Land Use Planning process covers all steps

extending from the collection of data and
information through its processing, analysis,
discussion and evaluation right up to the negotiation
for a consensus concerning the form of land use to
be practised. This includes the prerequisites for
preparing, initiating and implementing the plan.
However, in the context of the technical co-
operation,during the LUP process not necessarily all
planned measures to be carried out will be
implemented in their entirety.

5. “Iteration” means putting the result of the decision-

making process into practice and converting it into

19
 a situation specific step-by-step planning. It is a
repeated or recurring process that seeks to reach an
optimal solution.New developments and knowledge
gained during the planning process are incorporated
and may require revision and updating. This may
result in a repetition of steps which have already
been taken and e.g. can mean a renewed data
collection, analysis, discussion and decision.

6. Land use planning is first and foremost a process of

clarification and understanding between people who
together wish to change something and prepare
future actions systematically. In the process, the
elements of a plan are worked out co-operatively.The
core part of a planning process is therefore a
commonly desired objective to be achieved by
implementing the plan.Time planning is linked to the
physical/geographic/ecological planning of areas,
and the two are mutually dependent.

7. Rural areas, in contrast to urban areas are

characterised by agricultural and forestry production
having relatively low population and building
densities. Infrastructure, facilities or services have a
relatively low importance.

8. Land use is considered to be sustainable when it is

both socially and environmentally compatible
desired by the society, technically viable and when it
makes economic sense.This means:
■ Social justice:

When considering the effects of planning

measures, attention should be paid to the
distribution and kind of benefits.Those should be
spread in such a way that even socially weak
parties should participate in the process.
■ Long-term sustainability of natural resources:

The land utilisation type must be designed to

ensure that the natural basis of living is sustained
in the long-term run,i.e.the use of the land should

20
 correspond to its natural potential. Existing
environmental damage should be minimised and
damaging developments avoided by supporting
and developing suitable approaches.
■ Acceptance and social compatibility:

The measures applied are to be desired, accepted,

supported and largely carried out by those affected
by them.The effects of such measures can only be
sustainable if they are socially compatible and
culturally suitable and if they take into account
local knowledge and capacities.
■ Economic efficiency:

The measures planned should be designed to

contribute to the long-term security of the
economic basis of living of the people.Therefore,
the measures should be self-financing and thereby
economically justified.In this way,they contribute
to the improvement of the living conditions and to
the overall economic development.
■ Viability:

The planned measures should be sound with the

level of tolerance of the local population in terms
of technology, economy and organisation.
Decisions are generally guided by the local
technological understanding and culture as well as
the available resources. Even if large expenses can
be considered as investments for the future, the
magnitude must be assessed realistically and the
amortisation should be kept within clear time
limits. This applies particularly to major
infrastructural measures.
To sum up, the following objective of land use Objective of Land Use
planning can be defined: Planning
Land use planning creates the prerequisites
required to achieve a type of land use, which is
sustainable, socially and environmentally
compatible, socially desirable and economically
sound. It sets in motion social processes of decision
making and consensus building concerning the use
and protection of private, communal or public areas.

21
 1.2 Principles of Land Use Planning

On the basis of the central idea, eleven principles of

Land Use Planning are explained below and converted
into proposals for practical actions in subsequent
chapters.

1st Principle Land use planning is orientated to local conditions

in terms of both method and content.
Planning approaches often fail because global
models and implementation strategies are applied and
taken over automatically and uncritically.But LUP is not
a standardised procedure which is uniform in its
application world-wide.Its content is based on an initial
regional or local situation analysis.

2nd Principle Land use planning considers cultural viewpoints

and builds up on local environmental knowledge.
Rural societies or groups can often provide complex
indigenous knowledge of the environment.If this is the
case, such local knowledge should be part of the basis
for planning and implementing a sustainable land use.

3rd Principle Land use planning takes into account traditional

strategies for solving problems and conflicts.
Traditional rural societies have their own way of
approaching problems and settling conflicts
concerning land use. In the process of land use
planning, such mechanisms have to be recognised,
understood and taken into account.

4th Principle Land use planning assumes a concept which

understands rural development to be a “bottom-up”
process based on self-help and self-responsibility.
The population should actively participate in the
process of LUP. The results of planning and the
implementation of measures can only be sustainable if
plans are made with and by the people, not behind
them or even against them. Planning is therefore not
just a matter for experts, but should be carried out

22
together with those affected by it.To ensure a feeling of
ownership concerning self-help activities, people who
are affected have to be involved in the planning process
from the early beginning.

Land use planning is a dialogue, creating the 5th Principle

prerequisites for the successful negotiation and co-
operation among stakeholders.
The core task of LUP consists of initiating a process
of communication and co-operation which “allows all
participants to formulate their interests and objectives
in the dialogue”. On the basis of sound decisions a
sustainable form of land use is proposed “whereby the
aims and interests of other participating groups are
taken into account to the greatest possible extent”
(GTZ/Rauch 1993, p.16).
An important element of participation-orientated
LUP is the identification of the various groups of
participants and differentiating them in terms of their
use of and access to land resources. In addition, their
position on the social scale (gender approach) and their
capacities, either as stakeholders or as members of
authorities and of other organisations have to be
considered.

Land use planning is a process leading to an 6th Principle

improvement in the capacity of the participants to
plan and take actions.
The participatory methods used in all planning steps
of LUP promote the technical and organisational
capabilities of all participants, thereby extending their
capacity to plan and to act. In the medium term, this
qualification process leads to an improvement in the
capacity of local groups for self-determination.

Land use planning requires transparency. 7th Principle

Therefore, free access to information for all
participants is a prerequisite.
Transparency in planning and the extent to which
stakeholders are informed, strengthen both their

23
 willingness and capacity to participate in planning and
decision-making. It increases the motivation of the
people for creating sustainable results. An open
exchange of information leads to discussions about
objectives among the key figures and promotes the
willingness to reach a consensus.The dissemination of
information in the local language(s) contributes to an
improved transparency. In addition, it strengthens the
trust of the population in land use planning activities.

8th Principle The differentiation of stakeholders and the gender

approach are core principles in land use planning.
A prerequisite for realistic land use planning is the
detailed analysis of the various interest groups.The aim
is to find out the various interests of the participants in
order to create a basis for the negotiation and decision-
making process.Men and women often do not have the
same access to land and have specific ways of
articulating themselves. Different interests are arising
from the economic and social character of their roles
and scope of duties.Therefore, the role of gender is an
important criterion when differentiating stakeholders.

9th Principle Land use planning is based on interdisciplinary co-

operation.
The ecological, economic, technical, financial, social
and cultural dimensions of land use make it necessary
to work with an interdisciplinary approach. Land use
planning provides many interfaces with other technical
disciplines and planning fields.It uses a broad spectrum
of tools.An one-sided view of planning will be avoided
due to the interdisciplinary and intersectoral
configuration of the planning groups.

10th Principle Land use planning is an iterative process; it is the

flexible and open reaction based on new findings
and changing conditions.
LUP is more than the preparation of a planning
document;it is an iterative process.Iteration is both the
principle and the method simultaneously. New

24
developments and findings are specifically observed
and incorporated into the planning process.It may lead
to the revision of decision and the repetition of steps
already taken. This can render superfluous both
analyses and data bases which would have been set up
at some expense. Iterative planning requires flexibility
in planning,but in no way constitutes a “concealed lack
of planning”.

Land use planning is implementation-orientated. 11th Principle

Land use planning has to consider how the
negotiated decisions and the solutions identified are to
be implemented. LUP does not end with the land use
plan.
The implementation of limited measures (e.g. the
development of cultivation techniques which conserve
land resources) right at the outset,or parallel to the LUP
process, plays an important role in increasing the trust
of the people in the village as far as the planning
process is concerned.

1.3 Implementing Land Use Planning in

Development Co-operation

Development projects use LUP for a variety of reasons.

The objectives and the expected impact are
manifold, and depend on the specific situation. An
evaluation of the experiences gained from over 100
projects in thetechnical co-operation has resulted in the
followingoverview:

Linking present and long-term problems

Land use planning is implemented in order to

associate solutions for present problems (e.g. soil
erosion, insufficient agricultural production and low
income in rural households) with the planning towards
long-term conservation and sustainable use of land
resources. Therefore such planning is based on

25
Example: Columbia
The primary objective of the “Rio Checua Project in Columbia” is to stop the fast
progressing degradation of soils on the slopes of selected valleys of the Eastern
Cordilleras using appropriate protection measures. LUP is used in order to identify
the required and suitable measures as well as appropriate agencies for their
implementation.
With the successful implementation of protection measures against soil erosion, the
prerequisites are created for solving other long-term development problems: securing
the supply of drinking water for Bogot· or increasing the income of the small-scale
farming population in the watershed areas concerned.
Solving these development problems serves the sustainability of the improvements
through erosion protection. Degradation of land resources is essentially a
consequence of unsuitable land utilisation, which has failed to be adapted due to e.g.
strong economic pressure. Due to the importance of the project area for the supply
of drinking water for Bogot·, opportunities emerged to mobilise additional financial
resources which were urgently needed in order to continue with the protective
measures.

precautions and is future-oriented based on the

interests, viewpoints and problem-solving potential of
the participants.

Combining measures from different sectors

Land use planning as promoted by GTZ has an

integrated character because experience has shown
that problems in the field of land resources
management cannot be solved by sectoral measures
only (e.g. terraces). It is necessary to find appropriate
combinations of different measures in technical,
economic and social fields and to define these in
harmony with each other.This is achieved through land
use planning.

Lobby for protection of resources

GTZ promotes integrated land use planning in order

to harmonise the objectives related to resource

26
 Example: Argentina
In the project “Integrated Rural Development Los Llanos, La Rioja, Argentina”, land
use planning is used as a method to control desertification. Due to the increasing
pressure on land, land resources are under stress. As a result, desertification
processes are accelerating and have to be seriously considered. On the basis of the
strategic guidelines of the Regional-Oriented Program Planning (ROPP) as well as the
development of innovative solutions to these problems related to desertification (e.g.
improved water reservoirs, solar power units, improved pasture management, etc.)
village land use plans are developed in a participatory process. In these plans is
defined what measure should be taken where and by whom based on bio-physical
criteria (where are the most degraded areas?) and social criteria (differentiated
understanding of the interests and preferences of men and women). Innovative
solutions to problems are jointly developed with the farmers who receive temporary
support by the project. Before the actual planning process is getting started, a
dialogue with the people is the initial step to facilitate the contacts between the
project and the target group.

Example: Bolivia
The large region in the East of Bolivia is characterised by a fast spreading agricultural
colonisation and an extensive tree felling. It is the task of the project “Protection of
Natural Resources in theDepartment of Santa Cruz” to promote the concerns of land
resources conservation and sustainable resources management based on expertise
and using modern technology (GIS and satellite images). A departmental land use
plan has been drawn up which combines the results of various different base maps
(soils, vegetation, suitability of locations for agricultural production and forestry). The
plan contains suggestions for new protection zones and is used as a toolfor
negotiations in the public dialogue and for advising in community planning. In
addition, new concepts of land protection are derived from the regional plan, e.g.
improving land rights and extending the territories of indigenous groups of the
population. Thanks to the frequent quoting of the plans in the local
press,transparency is ensured regarding the ecological consequences of certain
project activities. In the long-term perspective, if any activities in the areas do not
meet the requirements of resource protection this should result in a decrease of the
public acceptance.

protection with those focused on local economic

interests. LUP takes on the function of an attorney for
the concerns of land resources protection which often
has no lobby.

27
 Support in settling conflicts

LUP is used in order to find solutions to conflicts

among various groups of the population, among
villages, between villages and authorities or large
companies, between farmers and pastoralists, etc. In
this process, rules of using the land are negotiated
among the parties involved in the conflict.

Promoting disadvantaged groups and

strengthening local planning competence

Emphasise is given to the promotion of

disadvantaged groups and to improve their access to
land resources.Women play an active role in LUP, thus
their status in the village and in society has to be

Example: Benin
In the project “Improving Resources Management in the North of Benin”, an
agreement has been reached between farmers and livestock owners on the basis of
integrated land use planning. Corridors have been created within zones of agricultural
use through which the livestock owners can guide their animals to the waterholes and
pastures. The participants visited the corridors together and marked the trees with
coloured signs as boundaries.

28
 Example: Zambia
In the agricultural development project “Siavonga in Zambia “ the participation of
women emerged as one of the strengths in land use planning: “The LUP
processallowed the women to play an active role and increase their status in the
village (...)”. Not only did women gain confidence by being included in all training
activities, but men also acknowledged women’s abilities” (GTZ/OSS, 1994b).

increased. By applying the principle “learning by

doing”, participatory LUP is intended to improve the
planning competence at local level.
The different approaches complement each other
and reflect the spectrum of contributions to solutions
expected by a process in land use planning. The
examples show, participation-oriented LUP has already
a notable success in projects of the technical co-
operation. Integrated land use planning should be
applied when the biophysical dimension has to be
combined with social, political, cultural, economic and
legal aspects.In other words,LUP is applied when social
conflicts whose origins often lie in the nature of the
current land use or in the form of access to resources
must be settled.
The land use planning approach as presented in this
chapter is very ambitious;a note of caution is therefore
expressed against too high expectations. Various
obstacles are placed in the path which may hamper the
achievement of the above-mentioned objectives.
Creative,realistic and professional handling of the tools
in LUP are required to cope with these obstacles. Land
use planning only makes sense if the contributions to
the solutions in the development co-operation can be
anchored in a sustainable way, and there is a prospect
of applying the approach not only locally but also at
larger scales
The following check list serves to test whether it is
appropriate to apply land use planning:
It is appropriate to apply land use planning if: Check List
■ negotiation is required between short and medium-

term economic objectives on the one hand and the

29
Photo 1: Inappropriate land management practices may cause severe degradation,
Patagonia (Argentina).

interests of land resources management on the other

as well if positive economic effects can be expected
in the long term run as a result of this negotiation
process;
■ land use conflicts are to be avoided or settled in
connection with competing stakes concerning land
use and with an unclear land right situation, or if
mediation is necessary;
■ natural resources are to be protected and
rehabilitated by:
– planning sustainable land use systems,
– implementing national and regional objectives
related to the protection of resources, which have
priority,
– setting up biological reserves and conservation
areas,
– monitoring changes in land use to serve the
national resources planning,

30
Photo 2: Soil erosion in the highlands of Wello, Amhara Region (Ethiopia)

– assessment and identifying of the intervention

zones and areas for development projects,
– planning infrastructural measures such as road-
building or irrigation projects aiming at
conserving land resources;
■ unexplored land use potential has to be identified
and evaluated;
■ existing land use has to be optimised;
■ the objective is to create environmental awareness
among the people as well as the authorities;
■ sectoral and national development plans have to be
harmonised with the plans of the different
stakeholder groups also considering the land
potential;
■ new settlement areas are to be planned and divided
into plots.

31
32
2 Integrating Land Use Planning into
Planning Systems

This chapter shows that in order to achieve

sustainable land use planning, it is important to link its
content with other planning processes. It becomes
clear that planning systems are a product of the
development of the society and can therefore be very
different from country to country. A differentiation is
made between central, decentralised and
heterogeneous planning systems. The development
tendencies of planning systems are presented.The main
tasks of LUP at different planning levels and some
interfaces in the vertical and horizontal linkages are
described. Land use planning is understood as partially
integrating and sector-overlapping planning.It is aimed
at the object of reference, which is land use, and is not
suitable for solving all local problems.It cannot replace
an overall planning related to areas, but it can be part
of village, district or provincial planning.

2.1 Planning Systems, Land Use Planning and

Individual Objectives

Plans for using land resources are made everywhere.

Farmers and livestock owners decide which products
they want to have in what areas whether to increase or
reduce the size of their herds and whether to fence off
pasture land or to keep meadows for growing fodder
only.Large companies dealing with wood and energy as
well as authorities concerned with road-building or
conservation of the nature also decide which areas they
wish to use for their purpose. In addition, there are
countless other individual plans by various people,
groups and organisations at different levels regarding
land use in rural areas
Competing interests in the use of land resources lead
to social conflicts. Often, the interests of farmers and
tenants are at a disadvantage in comparison to the

33
 interests of large companies or authorities.Also, public
interests such as the protection of land resources, are
given too little attention in favour of the short-term
interests of individuals in making profit.
State authorities, and in many cases projects of the
development co-operation intervene with the aim of
overcoming these problems. Such instances of
intervention occur according to the instructions from
the authority, mostly within a clearly defined
framework and restricted to a specific planning level
and plan content.As a result, only partial solutions are
achieved.However,if different planning tasks (land use
planning, traffic planning, regional planning) and
planning levels (village, district, regional, national) are
integrated into an overall planning system, it is more
likely that the sustainability of agreements reached
within a restricted framework (e.g. in village land use
planning) can be guaranteed.

The following are elements of a planning system:

1. Different types of planning
In principle, a differentiation is made between
sectoral and technical planning (e.g. transportation
planning or the planning of water resources) and
planning which overlaps sectors or is partially
integrative.The nature of the planning process differs
depending on its specific task.
2. Overall goals of planning
These cover the central idea of planning, such as
participation, conservation of land resources or
balancing of regional disparities. In a democratic
system the overall goals of planning correspond to
the fundamental principles and values in a society.
3. Definition of responsibilities
Planning assignments are mandated to certain
administrative levels (national, regional, district,
community) and authorities (sectoral and territorial,
Department of Agriculture and community).

34
4. Regulating the relationship between the various
types of planning
The nature of relationships between the various
types of planning is stipulated. This results in a
vertical linkages being made between the planning
levels and a horizontal linkages between the various
technical and partially integrative processes.
5. Rules
The set of rules for the participation of those people
affected by planning and their representation at
higher levels of planning are manifested.Mechanisms
for settling conflicts of interests are agreed on.

Nowadays there are planning system approaches in

most countries of the world. In an ideal situation, all
planning processes in a region or country are
harmonised with each other and complement each
other mutually. Competencies and responsibilities are
clearly defined and the interests of all groups of the
population are taken into consideration equally when
negotiation takes place on the plans. The reality,
however, is different from theory, even it is often far
from it.
It is not unusual for activities of a development co-
operation project – in which participation
mechanisms, conciliation of interests and manifold co-
operations within the framework of a land use planning
process are promoted – to be in contradiction to the
usual, official ways and accepted top-down planning
mechanisms. Due to their activities in the field of
planning, projects intervene to a certain extent in
existing planning systems. Friction and conflicts can
therefore not be avoided in most instances.Developing
an enhanced planning system should be a gradual
transition process.Thus planning practices which are
based on co-operation and participation should be
carefully introduced and integrated as well be linked to
the existing planning systems.

35
 2.2 Planning Systems in the Social and Political
Context

Planning systems are an expression of social and

political conditions in respect of space and time.They
are expressed by means of legal regulations(planning
laws), social conventions and rules.
In addition to codified agreements (laws,
administrative regulations), there are others which
have been agreed verbally in form of traditional rules of
conduct.Those are significant at local level.
In relation with the legal norms of a planning system,
a special terminology is used which may have different
meanings. This also applies to the term “land use
planning”, which is used in some countries to cover
planning for urban regions too.This is in contrast to the
concept presented here.
Planning systems differ from country to country. A
rough differentiation is made between three types:
central, decentralised and heterogeneous planning
systems.
Centralised Systems Centralised planning systems are characterised by
clear and top-down oriented directive structures. In
this process, the task of the lower administrative levels
is to implement the directives of the central authorities.
All decisions are made at the highest level,which at the
same time also approves the decisions at all levels.
Problems arise as a result of a lack of flexibility in
adapting to the local peculiarities.
Decentralised In decentralised systems certain powers and at least
Systems partial budget autonomy are transferred to lower
administrative levels, with the aim of creating
participatory decision-making structures. In this
process, attempts are often made to take regional and
local peculiarities into account using appropriate
special regulations, and then integrate them into the
overall planning system.Such systems have been set up
since the mid-1980s,even in countries which until that
time had been characterised to a large extent by
centralised planning systems (e.g. Bolivia).The federal

36
 Example: Indonesia
In Indonesia the National Land Agency (NLA) acts in close co-operation with national
development planning and spatial planning bodies. NLA covers the whole process
of LUP right up to decision-making. Within this framework of a centrally and
hierarchically organised structure, state inspections and the control of land use
planning should be put into practice, and planning as well as co-ordination deficits
should be bridged.
The NLA administration extends over three stages from the national level through the
provincial level to the district level. On the basis of the overall planning objectives,
data and information with relevance to land use planning are collected and processed
at each level. In addition, potential land use, priority fields and areas for actual
development projects are being identified. The results are transmitted centrally to the
state authority responsible for the overall planning. These results are the basis for the
formulation of the national land use strategies. Decisions having relevance to land use
serve as a directive both for land planning by the sectoral ministries and for the LUP
agencies of the NLA at subordinate levels. Finally, the central planning directives
reach the local users through this hierarchy; “local spatial design or side plans” define
their scope for action. In principle, they receive technical support from the lower
government authorities, but are at the same time subject to inspections during the
implementation. The monitoring of the land use development is done by the central
NLA authority.

system of the Federal Republic of Germany was often

given as model.The cost and efforts involved in setting
up such complex structures exceeds the means of
many countries. In addition, problems can arise
concerning the efficiency of this planning system.
At higher administrative levels (national and regio- Heterogeneous
nal) heterogeneous systems are characterised by Systems
modern planning mechanisms, following the example
of former colonial powers and other industrialised
nations. Different regulating mechanisms may work at
the lower level. Important city regions are often the
exception. Deficits arise in the exchange between the
planning levels since central planning concepts are too
inflexible for local structures. Local regulating
mechanisms do not usually include the provision for
processes for which there are no models in the
traditional society. Examples can be found in the
implementation of large-scale projects in road-building
and large-scale migration movements. Systems like this
are typical of many African nations.

37
Policies in Various Various components influence and control land use.
Planning Systems Generally, this includes policies on infrastructure,
influencing LUP taxes, credit and import/export as well as
environmental and development policies. These
political focal points create the framework for medium-
term planning visions. But land use is planned at local
level.Therefore national directives have to be translated
into rules for planning land use at local level.
Countries with a strongly centralised administration
tend to regulate land use objectives even at local levels
in a “top- down” manner.
In contrast, in decentralised planning models land
use regulations at community or village level should be
agreed by the land users themselves, linked to each
other at regional level and co-ordinated with national
development projects.The prerequisite for this is that
the stakeholders should have the capacity to co-operate
and create suitable co-ordination mechanisms related
to land use.
In heterogeneous systems,land use decisions at local
levels are made exclusively among the stakeholders,but
they do not have any legal protection against the
intervention by third parties at a later stage.

Development trends

Planning systems are not static, but are subject to

continuous change.This reflects the processes of social
transformation as much as new problems or changed
perception of problems. In the following paragraph, an
attempt will be made to demonstrate some tendencies
which have been observed in many countries, but
which do not necessarily apply in every case. It is the
intention to make suggestions for an improved
understanding of planning systems as well as the role
and importance of land use planning within these
systems.
Increasingly, additional and new tasks, such as
environmental protection and natural resources

38
management, are being integrated into existing
planning systems.Usually,they adjust established types
of planning or introduce new ones.
Nowadays, land use planning is part of the planning
regulations of many countries without necessarily
using the term “land use planning”. There is also a
considerable range of understandings of the term “land
use planning”as traditions and development processes
differ from country to country.
Related to the planning contents, the tasks can be New Scope of Duties
manifold.The planning process involves an increase of
duties, especially of competencies and responsibilities
at lower planning levels, which play a crucial role in
implementing the plan.This is mostly linked to a policy
of decentralisation which transfers budgetary
responsibilities to the communities. Unfortunately,
however,in many developing countries the reality is far
from this ideal, and planning competencies and
structures have been restricted until now to the higher
levels only.
In many countries land use planning is applied as an Problems with
approach which lacks links to other planning units. Co-ordination
Thus land use planning is understood as regional or
national strategic planning only,or it is restricted to the
village level. Local agreements on land use do not
receive the necessary backing from the higher levels
and, when interests come into play which affect the
society as a whole (e.g. large road-building projects),
they are not taken into account. Another problem is
posed by the lacking co-ordination between the
organisations concerned with sectoral and
intersectoral aspects. In this respect overlapping
competencies and power-motivated interests play an
important role and have to be considered.
It is becoming more and more accepted that land use Putting New Ideas
plans can only be carried out in a sustainable way if they into Practice
are shared and owned by the people. Nevertheless this
realisation is rarely translated into purposeful actions.
Planning should be shifted from offices and conference
rooms to dialogues involving the public. Nowadays

39
 “politically correct”-slogans (participation by the
people) characterises now the language of planning.
However, in many instances there is still a lack of both
concepts and experience how this can be put into
practice.
In developing countries, innovations in planning are
often copied from the social learning process done in
industrialised nations without being firmly rooted in
the thinking of the population. Development co-
operation projects are aimed at raising awareness and
creating consciousness for new knowledge and at
spreading this knowledge. Swift adaptation in many
developing countries is, however, often superficial and
rather serves the purpose of guaranteeing that the
project continues to be financed.
In addition to these externally induced planning
innovations, there are now many examples of an
independent development or refinement of planning
tools. In this respect, development co-operation plays
an important role also by supporting such processes.
This applies particularly to land use planning, which in
developing countries has provided a considerable
impact, for example in the areas of village land use
planning and in settling land use conflicts.
As a result of recent discussions about planning tools,
many developing countries are now facing the
challenge of abandoning rigid and overriding
regulations which hamper the free play of forces and
which have often resulted in the use of
evasion/avoidance tactics. At the same time new and
refined planning structures should be established also
at lower levels. Nevertheless a long tradition of strictly
hierarchical authorities and bureaucracies is a
constraint for achieving both objectives.
In many developing countries there is still a
considerable discrepancy between the existing
planning legislation,which often includes more radical
wording than in some industrialised countries, and
planning reality. Many plans which have been made
with great ambitions, do not get implemented and are

40
“shelved” by the authorities. Deficits in plan
implementation are often closely connected to an
insufficient technical competence as far as the planning
agencies are concerned.This applies particularly to the
corresponding organisations at lower level.
In contrast, in many countries there are traditional,
non-codified forms of agreements on land use which
work well at local level. However, they often fail when
social relationships become more complex (e.g.
spontaneous migration,pressure of use on areas which
had previously been reserved for pastoralists).
Nevertheless they provide important connecting links
for LUP at local level.

2.3 Land Use Planning at Different Planning

Levels and the Vertical and Horizontal
Linkages

Land use planning is a partially integrating and sector

overlapping process.The planning objects are the land
resources.Therefore, LUP is not suitable for solving all
local problems, nor can it replace the overall planning
for an area.
The basic technical strategy in LUP is to plan land use
according to the suitability and the various needs in the
area to be considered.As long as the objectives of land
use planning (see Chapter 1) are sufficiently taken into
consideration, there is no need to carry out LUP
separately.
Links between land use plans in different areas as
well as between land use plans and other area-related
plans are necessary both horizontally (from village to
village, district to district, etc.) and vertically (between
village and district, region and nation) (Figure 1).
Vertical and horizontal links between plans are more
effective if various contact points between the different
planning agencies (authorities, population, etc.) exist.
The flow of information should run in two directions.
This is especially necessary as far as exchange between

41
Overview 1: What distinguishes LUP from other sector-overlapping
planning processes?

Planning process Key question Objective

Land Use What is a certain area of Optimisation of land use in an

Planning land suitable for and area in terms of
what demands to use it ■ sustainability which is adapted

exist? to the area,

■ meeting needs for long term

conservation of land resources

and
■ the settlement of conflicts

between interest groups

Regional Which functions are Best possible supply to a

Planning required in a specific specific( administrative) unit with
region and how can they productive, social and
be distributed best in the infrastructural facilities and their
area? most efficient possible use of
available means

Regionally What activities must be Identification of core problems

Orientated carried out in order to and appropriate
Programme achieve a certain packages of responsive
Planning (ROPP) development or project measures
objective?

the planning levels is concerned. Thinking in

hierarchical structures frequently hampers the free
exchange of information. Figure 2 illustrates the way in
which the flow of information should run between
village,district and nation levels.The concept on which
this model is based is called the “counterflow
principle”.
The central questions related to the vertical link are:
■ In what way can strategic directives from superior

planning at a decentralised level be adapted to local

conditions and peculiarities?
■ To what extent do decisions made at a lower level

require the approval by the next higher instance?

42
 other plans at directives relevant to land use and priorities at

↑
↓
national level national level
↑ ↑ ↑
↓ ↓ ↓

↑
↑
↓
↓
other plans at LUP in neighbouring
LUP in district

↑
↓

↑
↓
district level districts
↑ ↑

↑
↓ ↓
↑
↑

↓
↓
↓
LUP in (neighbouring)
other local plans LUP in village X
↑
↓

↑
↓
villages
↑
↓
↑
↓

farm/household
planning

Figure 1 Vertical and horizontal links in Land Use Planning (idealised figure)

■ How can decisions made at village level be

protected against third party interests?
Important criteria of horizontal planning are:
■ Mechanisms for settling conflicts between sectoral

agencies,of which one is often more influential than

the other.
■ Binding nature of already existing planning
frameworks (e.g. overall planning) to other planning
frameworks (e.g. sectoral planning).
Nowadays, land use planning is used at all planning
levels. The hierarchy of planning levels depends on
existing planning systems, the size of the area, etc.
Overview 2 provides information on the tasks of LUP,
taking a six-stage model as basis. However, in the
subsequent discussion, a simple, three-stage model is
used (local, regional and national level).

43
Figure 2 Land Use Planning, flow of information and relation to other planning at
various levels (Source: FAO 1993, p.6)

Local level

At local level, the most important subject is the

preparation of the implementation of the LUP.The plan
at this level is very detailed, and it is possible for all
participants to take part directly in the decision-making
process. Traditional and often non-codified forms of
agreement on land use become significant. State
intervention is restricted to fields in which these
traditional systems fail (e.g. supra-regional conflicts on

44
Overview 2: Objectives and responsibilities in LUP according to
planning levels

Planning Level Objective of LUP Responsibilities

Nation ■ guidelines for policies on ■ relevant ministries

conservation and resources use; or technical
■ normative directives for the use of authorities and
resources: legal framework (land organisations;
and planning rights); ■ inter-ministerial
■ drafting national programs for the committees.
use and protection of land
resources (tropical forest action
plan, desertification control
programs, investment guidelines);
■ integration of directives relevant to
LUP;
■ establishment of national
conservation areas (national parks);
■ co-ordination of activities also
relevant to LUP (comprehensive
spatial planning);
■ considering and transmitting the
need for action articulated at lower
level.

Federal State/ ■ political and administrative ■ political and

Province acceptance of LUP activities; administrative
■ establishment of institutional and committees;
organisational structures; ■ governmental and
■ translating national and regional non-governmental
guidelines (comprehensive spatial technical services
planning, regional and sectoral and sectoral
planning) into strategies; agencies.
■ formulating basic directives of LUP
at lower level (translating regional
guidelines into strategies);
■ identifying areas with potentials and
areas with risks;
■ establishing protected areas;
■ co-ordination of activities relevant
to LUP;
■ considering and transmitting the
need for action articulated at lower
level.

45
Overview 2 (continued): Objectives and responsibilities in LUP
according to planning levels

Planning Level Objective of LUP Responsibilities

Region/District ■ regulation of land use and of ■ political and

checking procedures; administrative
■ establishment of technical services; committees;
■ training for participants (capacity ■ forum with
building); responsibility for
■ promoting dialogue; application of
■ putting strategies for land use in guidelines;
concrete terms; ■ governmental and
■ offering solutions to problems non-governmental
(problem resolution platform); technical services.
■ establishment of mechanisms for
transmitting the needs identified at
lower level.

Community/ ■ conciliation of interests; ■ socially accepted

Village ■ offering solutions to problems, committee;
establishing institutions dealing with ■ planning group as
LUP-issues; service unit of the
(if necessary based on a traditional higher level
system); (including local
■ decisions on the implementation of experts and
LUP; facilitators).
■ including farms/households in the
LUP process;
■ articulating the need for action for
superior levels.

Farming ■ organisation and planning of living ■ farmer’s family.

Household area and area for other land uses.
Agricultural
Operation

Individual ■ satisfying individual needs by using ■ individual.

land.

land use or increasing degradation of land resources).

There are many interfaces between LUP at local level
and other local or superior planning activities.

46
 National and regional objectives constitute Preparing for
important general conditions for the preparation of the Planning
planning process. The availability of local staff and
finances is determined by the superior planning level.
If the people at local level are sufficiently well
organised, they will try to ensure that the necessary
financial means are made available to support their land
use planning activities effectively.
While collecting and analysing data and information, Collection and
institutions and organisations which are active in the Analysis of Existing
field of planning are analysed.In addition,existing plans Data
and individual development activities are going to be
reviewed.This information is taken into account when
plans are drawn up.
In the process of drawing up and negotiating plans, Drawing up and
conflicts between local development objectives in land Negotiating Plans
use and other local interests as well as superior
planning objectives are identified.Solutions acceptable
to all participants are proposed.In this way,agreements
can be sought between neighbouring villages
concerning an adjoining area of protected woodland,or
water conservation areas can be successfully
established respecting also the interests of the urban
supply of drinking water. Representatives of interest
groups affected by local planning decisions are
involved in the discussion process. Objectives of
existing sectoral planning (agriculture, forestry, nature
conservation, tourism) are reflected in the village land
use plan. Any nature conservation areas, state forests,
country road routes, etc. lying within the village
boundaries are indicated on the map.
To implement the plan,applications for the financing Implementation
of the activities have to be considered if necessary.The of the Plan
planning framework is made public and, will have a
legal back-up by the community administration or the
superior authorities.This is intended to ensure that the
prioritisation of village-level land use planning, i.e.
priority for intensive arable farming or extensive
pasture land is taken sufficiently into account in new

47
 planning processes, such as the extension of a
protected area.

Regional level

Land use planning at the regional or district level has

a kind of “linking function” between implementation
and national strategic planning. One of its major tasks
is to provide information for subordinate and superior
planning levels, i.e. for the population as the decision-
makers using privately the areas or for the state as
trustee of public interests.A well-prepared and realistic
presentation of the present land use situation in the
region including a simple preview of potential future
developments is indispensable. It makes the planning
processes more transparent, and thereby improves the
opportunities of disadvantaged groups.In general,such
groups do not have sufficient access to information.
It is impossible to achieve direct participation by all
individuals taking part at regional and district level.
Interest groups therefore need representation
structures and recognised organisations. Special
attention should be given to “weaker” groups in order
to promote their integration.
Tasks With respect to the plan implementation at local
level, district planning has the following tasks:
■ to provide information on national development

objectives and guidelines;

■ to determine the need for technical training and

consultation of the population, authorities and

organisations at local level and to provide
appropriate proposals;
■ to mediate in conflicts between stakeholders;

■ to identify land use objectives of regional interest

(e.g. ensuring urban water supply);

■ to identify and promote disadvantaged groups (e.g.

pastoralists) which are not sufficiently integrated

into local planning;

48
“Guidelines for Participatory Village Land Use Management in Tanzania” prepared by
the National Land Use Planning Commission as an example of an assignment of land
use planning at national level.

■ to derive simple criteria by means of which the needs

of regional interests and of disadvantaged groups can
be brought as aims into local discussion processes.
Plans at regional or district level are not absolutely Regional Directives
clear-cut as far as the delimitation of the areas are
concerned. They give an orientation without
excessively restricting the opportunities for local
action. The plans presents what future development
concerning land use is socially desirable and how
disadvantaged groups in particular can be involved.
Boundaries of land units are usually expressed by
straight lines or are slightly curved. In reality, those
boundaries do not match the inherent complexity of
the different ecosystems. At local level, the planning
area including boundaries in which the activities will
take place have to be clarified in co-operation with a
competent regional authority.

49
 If needed, the regional directive can also contain a
simple lists of criteria only,for example,statements such
as “On slopes of over 10 degrees incline,arable land use
is only permitted in agreement with the district
authority upon submission of their proposed
protective measures” or “Each village land use plan
should provide information on who has participated in
drawing up the plan”.

Planning agencies

Land use planning at higher planning levels, focuses

mainly on strategic aspects. General laws and
regulations on implementation are passed,
development objectives are set and budgets are
assigned to the project. In this instance too,
participation is ensured via the representative
structures.
In general, state authorities should be suitable
planning agencies for LUP. Given the demands of
harmonising and ensuring plans,peoples organisations
and non-governmental organisations (NGOs) alone are
often too weak to take on the duties of a planning
agency. The responsibility for carrying out land use
planning should therefore lie in the hands of the state
authorities. However, complementary to the planning,
which is carried out by the population, these
authorities should be given a co-ordinating role to play.
The authorities responsible can be regional and local
administrative bodies (community,district,etc.) as long
as they have specialised technical know-how and the
financial resources.In addition,they should not be used
as political instruments for parties to an excessive
extent.If it is the case,or if the allocation of LUP to these
bodies is not desirable for other reasons, there is the
possibility of placing land use planning with sectoral
agencies (Bureau of Agriculture, Nature Conservation
agency etc.). These receive the mandate on the
condition that they take care of the necessary co-

50
 a) Experiences in local LUP are spread to other areas and
are incorporated into higher planning levels

Regional/
National Level

Local Level

b) Regional/national promotion of LUP and experiences at

local level in selected villages

Regional/
National Level

Local Level

c) Mutual support of a regional/national project and a local

project (program)

Regional/
National Level

Local Level

Diagr. 3 Promoting the integration of LUP at various planning levels using technical
co-operation projects

51
 ordination with other authorities to a sufficient degree
and that they take into consideration aspects,which lie
outside their sectoral responsibility.

Role of Technical Co-operation

If there are no regional or national land use planning

structures or no clear directives (cf. Chapter 2.2), or if
other superior planning is restricted to individual
sectors (road building, energy etc) LUP at local level
will remain without the necessary recognition or legal
back-up. This makes it difficult to solve supra-local
problems, and sufficient personnel and financial
resources are not provided.There is no transparency in
the co-ordination with existing sectoral plans. In
addition, representatives of powerful groups are often
not prepared either to participate in negotiation
processes at local level, or to recognise the results.
Conversely, the regional and national LUP will not
have an impact if there is no planning at local level in
which the directives of LUP can be integrated.Technical
co-operation projects have developed three different
concepts for dealing with such situations (Diagram 3).
■ A project starts with LUP at local level. Positive

experiences in pilot villages are spread to other

areas.At the same time the project extends its action
area and incorporates its experiences in the
rudimentary superior planning structures.
■ A project has the mandate to promote LUP at

regional and national levels. It convinces its partner

of the necessity to plan the implementation at local
level, and will support the implementation in
selected villages. Experiences are evaluated and
form the basis for a new orientation in regional or
national land use planning.
■ Two or more projects, of which one is placed at

national or regional level and the other(s) at local

level, supplement each other and collaborate.

52
3 Elements of an Implementation-
Oriented Planning Process

Based on the premises that land use planning is to be

understood as an iterative process, the following
chapter introduces the elements of the LUP process:
preparation of LUP, collection and analysis of data and
information, capacity building, drawing up plans,
negotiating and decision-making, and validation of
plans. Of particular significance in this process is the
conflict management, mediating and moderating
between opposing interests and positions,and building
up manifold co-operative relations. Because of its
special role,another important element of the planning
process, namely initiating and accompanying the
implementation, is dealt with separately in Chapter 6.
The elements of the implementation-orientated
planning process mentioned above are guided by the
given objective.They are moving between optimising
planning, related conflicts and settling those conflicts.
In the first instance, the main objective is to
■ optimise land use according to the available local

resources and at the same time to

■ minimise damage.

Secondly, the objective is to

■ contribute more and more to the settlement of

conflicts
– between villages
– between arable farmers and pastoralists,
– between settlers and residents,
– between different ethnic groups,
– between forestry authorities and village
communities,
– between large landowners and those owning no
land,
– between landless farmers and agricultural reform
authorities or the judiciary,
– between ethnic groups and new settlers, and so
on.

53
 3.1 Planning as an Iterative Process

It is still a widespread understanding in many

countries and organisations that planning must be
carried out in clearly defined steps which are separate
from each other and which must be followed in a
certain order.The alternative concept presented below
is well-proven in practice of the technical co-operation
and which is called an iterative process.
Sometimes, steps which are allocated to different
elements of the planning process, are carried out
simultaneously.The implementation of pilot measures
begins at the same time as the collection and analysis
of data and information. Negotiating processes
accompany the entire course of planning. Conclusions
for further actions are drawn from the experiences and
knowledge gained during the steps already carried out.
The same procedure has to be followed if the general
conditions are changing.
Learning Process Iterative planning is based on a continuous learning
process. It requires the readiness of all those involved
to keep asking and learning more and more. Each
activity,each interaction between those involved in the
planning process provide new information and
experience. This improves the understanding of the
situation and increases the knowledge on the measures
carried out. In case the measures have not the effects
intended, the iterative planning makes it possible to
react swiftly and make the necessary changes or
adjustments.
Land use planning is not a straight step-by-step
procedure, but is iterative and cyclical.This means that
its course is sporadic, requiring backtracking resulting
from experience.Also approved objectives need to be
constantly rechecked and changed when they are no
longer appropriate.
However, an understanding of planning as an
iterative process does not mean that there is no need
for a time frame within which certain activities must be
concluded. In this way, it may become clear

54
immediately before the final plan is approved that key
figures might not have been considered. If this is the
case, two alternatives for action may be considered:
1. The participants may decide to finalise the plan first
and adapt it later in a further planning process,
including all stakeholders;
2. The planning process is going to be stopped and
started again immediately after.That means for many
participants a U-turn, which is difficult for them to
understand.In addition,it causes a considerable delay
in finalising the plan implementation.
Advantages and disadvantages of both alternatives
have to be taken into consideration. It is important to
deal openly with such conflict situations.This requires
that all participants develop an understanding for the
tension arising between meeting the directives and the
necessity of a flexible adaptation.
Planning seen as an iterative process makes it easier
to react to aberrations and learn from mistakes before
they have disastrous consequences. However, this only
applies when mistakes are recognised, reacted and
learned from them.Iteration leads step-by-step through
processes of recognition and learning, via diversions
and resistance approaches to solving problems on a
broad social basis. It leads to solutions and agreements
accepted by all participants.These are processes which,
via diversions and resistance, lead to changes, which in
turn are the prerequisites for sustainable development.

3.2 Important Steps in the Preparation of Land

Use Planning

Evaluating the need for land use planning

Often the initiative for changing land use practices

comes not from the immediate stakeholders
themselves but from authorities, governmental and
non-governmental organisations or communities.At the

55
 same time,changes in land use can be the consequence
of technical projects in rural areas.
The need for interventions at local level by external
organisations can have various reasons:
■ due to the planning objectives at higher level, some

areas are selected as pilot areas;

■ an increase of environmental destruction is to be

counteracted;
■ land use conflicts are to be settled;

■ directives for land use in respect of higher level

planning interests are to be forced (e.g. water

supply).
Awareness Creation The local population often perceives environmental
risks differently from authorities, consultants or
technical specialists. Dangers to or the destruction of
land resources often do not become a critically
recognised issue until it actually influences the land
use. Any potential risk to the environment should
therefore be discussed already in the problem analysis
stage by the different interest groups.The risks should
be evaluated and taken into account both at the
planning stage and during the plan implementation.
Problem Analysis The problems and needs expressed by the local
population may be the result and consequence of
environmental problems already perceived.In this case,
the causes must be identified and weighed up during
the participatory problem analysis in order propose
appropriate solution strategies during the planning
process.The basis for determining the need for land use
planning is the problem analysis, during which the
causes and interconnected causes are being identified,
analysed, evaluated and discussed.

Prerequisites for land use planning

In order to implement the land use plan, certain

prerequisites are required. These are prescribed
essentially by the framework of the general conditions.
How to deal with those conditions in a LUP process as

56
well as the limits for LUP intervention are discussed in
Chapter 7.
One important condition for implementing planned
agreements is the existence of a clearly defined need
and,in conjunction with this,of clear objectives shared
by all participants and involved parties resulting from
negotiation processes.
Beyond this, the following local preconditions must Local
be created:
■ the availability of information on national and

regional plans, directives and regulations, as well as

their analysis and consideration during
implementation;
■ clarification of work to be accomplished and
responsibilities during the implementation, as well
as a realistic time plan, in which the priorities and
working rhythms of the rural stakeholders must be
taken into account;
■ ensuring the necessary extension and financial

services;
■ using all alternatives of compensation where use is

going to be restricted;
■ minimal logistical preconditions.

The preconditions listed above can be created Medium-term

relatively easy and with little effort by the project
directly or with its support.There are, however, some
prerequisites,such as freedom of assembly and freedom
of speech, which cannot be influenced by the project.
Others can only be created with a great effort. These
may include the support in establishing an efficient
planning agency or the creation of a willingness to set-
up a dialogue with the stakeholders. A project often
requires the support by other institutions,
organisations,people or projects.Stakeholders can also
become important supportive partners in creating an
enabling environment. It is therefore of strategic
significance to set up a dialogue and to co-operate with
the involved parties.
Openness, dialogue and co-operation are key terms
in the gradual achievement of further prerequisites:

57
 ■ flexibility in actions by the agency, rejecting of
formal or theoretical working approaches, turning
to a transparent and participatory working style;
■ extending the possibilities of including non-
governmental partners;
■ increased acceptance of participatory working
methods by the participating population, even
where these have no tradition;
■ development of articulated conceptions of land use

by the stakeholders;
■ awareness of disadvantaged groups by supporting

agencies and other governmental authorities, and

the will to change their situation.
Reference is made here to chapter 5.4 which
presents the central significance of capacity building.

Entering into a dialogue with the participants

The dialogue with stakeholders requires profound

knowledge and empathy.In discussions with the groups
of land users affected,it cannot be assumed that already
in the beginning of the dialogue aspects such as
ecology or landscape rehabilitation will be seen as a
priorities. Experience has shown that it is not
opportune to discuss primarily focussed on
environmental aspects. The destruction of land
resources is often not perceived as important;rather life
threatening problems are foremost. Small farmers in
Uttar Pradesh/India are not going to change their
cultivation practices in order to protect the Ganges
delta at Bengal from silting up further,even though this
would be highly recommendable from a superior point
of view. No goat-herdsman in Northern Mali is going to
stop pruning local acacia trees, and thus destroying
them in the medium-term, in order to stop the
extension of the Sahel and the decrease in rainfall.The
aim, therefore, is to find initial points from which
effective economic advantages can be expected in the
shortest possible time. In order to achieve this, it is

58
 Example: Namibia
In a project in Namibia, the general situation of the land users was first described for
the year 1995. On this basis, a projection was made for the year 2000. In both cases,
the land users described the situation using their own criteria. For example the need
to earn income from non-agricultural sources, the need for organisations at
community level and the difficult access to markets. Based on this description,
potential areas were identified in which intervention (not only by the project) would
be necessary in the year 2000 in order to ensure the sustainable use of land resources.
The following issues were mentioned: sustainable use of pasture, access to
marketing and credit organisations, the creation of alternative sources of income and
investment, the resettlement of wealthy farmers, land use rights, organisations in rural
areas, and so on.

necessary to understand how the land users perceive

the world around them.
At project or technical level, superior and/or long-
term aspects form the basis for potential activities.They
must be taken into account choosing initial measures
aimed at building up trust.At this level the question of
balancing between ecological and economic aspects
must be clarified. A more detailed analysis may show
that the formula “ecology = long-term economy” does
not necessarily have to apply.
The problem of starting the dialogue is not only a
question of content but also of vocabulary. The term
“natural or land resources” means little to farmers,
either in Africa or in Europe. It is one of the slogans,
which only starts to take on meaning towards the end

Example: Burkina Faso

The technical co-operation project PATECORE located in the central provinces of
Burkina Faso is a good example reflecting the foregoing. Rows of stones (diguettes
en pierre) were introduced in order to prevent soil erosion in the fields. The objective
of ecological rehabilitation of the region coincides with the short and medium-term
interests of the farmers – both men and women – in increasing yields and reducing
the risk related to production. Already in the first year, farmers were able to achieve
an important increase in yields from their fields. However, it is also important for the
farmers to reduce the risk of crop failure by taking appropriate measures in areas of
low rainfall. In addition, areas considered as completely degraded can be
rehabilitated and used again.

59
Example: Tanzania
In the area of the Handeni Integrated Agroforestry Project (HIAP) in Tanzania, land
conflicts are between arable farmers and semi-nomadic livestock owners. In the
project area, the population growth rate is over 3% per annum; an escalation of these
conflicts is foreseeable. In addition, the access to waterholes in the valley, which are
increasingly used for arable farming is getting more difficult.
In the village governments, the Masai-tribe was only poorly represented and therefore
in disputes usually disadvantaged. With growing self-confidence, they transmitted
their requests to ever-higher levels, but without any great success. Finally, the
problem landed with the Ministry of Lands, Housing and Urban Development. From
there, top-down pressure was exerted until the topic, which meanwhile had become
politically explosive, landed again on the desks of the village government. The Masai
were demanding the title of an autonomous village in order to safeguard their land
use rights.
This was an entry point for the initial activities in Kiberashi, in a project which was
actually to support the raising of seedlings. The Masai were trying to demand their
land use rights also by forming permanent structures, therefore started planting
commercially interesting trees. In 1995 HIAP was asked explicitly by the Executive
Secretary of the Mvunge Ward (the administrative unit above village level) to help
solving the conflict. The request referred to three villages, namely Kiberashi, Gombero
and Kwamaligwa.
All three villages agreed to a participatory land use plan, which would reduce the
conflict potential, including a balanced representation of the conflict parties. In this,
however, HIAP was not a neutral body, but represented the need for the protection
of land resources. The focal point was not only to soften or solve conflicts, but as far
as possible to introduce sustainable land use practices (including the protection of
major forestry areas and rain-fed watershed areas).

of a long planning discussion.Small farmers and settlers

on new land primarily want to achieve a basic income
in order to survive. Only if this is achieved, they can be
approached concerning long-term or large-scale
activities.
In resource management projects and rural regional
development projects, the co-operation between the
local level and the project is often initiated by small-
scale measures aimed at building up trust. Such
activities are not only small-scale measures focussed on
infrastructure,but also the support in negotiations with
authorities or conflict partners.
The local population and the project may get to
know each other when jointly drilling a well or when
carrying out measures to conserve soil and water.The

60
parties check each other out; the interest in co-
operating in the project is tested. It is observed and
evaluated whether promises are kept and to what
extent achievements are made.
If small-scale measures prove to be successful and
interesting for the target group in the short term, an
increased demand at local level can be realised and the
widescale implementation of measures is to be
considered.This is the entry point for land use planning
at village level;individual measures are initially the focal
point but from the wish to extend these measures the
necessity to draw up plans arises. More complex
requirements become obvious.

Determining the unit of planning

What is an adequate unit for the project area in which

land use planning is carried out: a watershed area, a
community territory, an administrative unit or some
other geographical unit? There is no simple rule,and the
final decision will always depend on the actual
situation. However, a decision must be made together
with the population and the local organisations.Various
criteria will play a role: the group consciousness of the
target population,their areas for living and production,
the territorial boundaries of jurisdiction of the local
organisations and the type of the project. If the project
is focussed on community development, the project
area will possibly cover the community territory; if it is
a land resources management project,the planning area
depends rather on the sense of belonging to a social
group or on the area of use by the target population. If
water supply is the central entry point for a project,the
watershed area may constitute an adequate planning
unit. Sometimes the boundaries of a planning area will
change during the course of implementation. This
happens especially if nomadic livestock owners appear
unexpectedly who – because they only come through

61
 the region once a year – were not previously recognised
as stakeholders.
Mobile User Groups In regions where nomadic livestock owners,hunters
or collectors also use the land resources, they must be
involved in diagnosis, planning and implementation
within the framework of land use planning just as much
as the resident land users (most of whom are arable
farmers) – both men and women.Also the villages must
take into account the particularities of this mobile part
of the population, especially if they are often not
noticed by village superiors.The special problems for
LUP related to mobile farmers is presented in detail in
Appendix 4.
Land use planning must deal with the understanding
of all problems, of potentials and alternatives for land
use in all areas of the planning unit. It cannot be
concerned selectively with partial areas, which are
particularly intact or degraded.The whole area used by
the stakeholders has to be planned. However,
implementation activities will not have to cover the
areas to the same extent.An exception might be villages
in which “nothing is right any more”but which is more
of a theoretical case.
Once the planning area is agreed upon, the second
step covers often the identification of pilot zones or
“pilot villages”.This is important when a project cannot
work intensively and equally with the participating
organisations in the entire planning area (see
Chapter 6.3).

3.3 Collection and Analysis of Data and

Information

Within the framework of land use planning the phase

covering the collection of data and information and its
analysis – the diagnostic phase – will not stop with the
start of planning and its implementation. However,
from the viewpoint of a technical co-operation project,
it introduces the actual start of the land use planning

62
process.According to the principle of participation,the
development of the capacity of the land users for self-
help is of major importance.In this process knowledge,
problems, viewpoints, expectations and fears of the
stakeholders are incorporated into the planning
process. The sustainability of the interventions and
agreements identified therein is considered to be
relatively secure. The common learning process
promotes the capacity for the articulation of problems
and planning competence as well as guides the finding
of solutions.

What data and information are required?

Using participatory methods for collecting and

analysing data and information,the basic data and their
analysis prescribed at the superior level (regional,
national, international) are often neglected.
Nevertheless this data,also must be collected and taken
into account in both the planning and implementation
process.It is not always possible to proceed completely
in a participatory manner, because representatives of
national authorities are often not physically present. It
is, however, exactly these interrelated political,
economic, social and cultural structures and
development tendencies, which decide about the
success and the sustainability of a land use planning
process. This is especially the case when important
participants are not completely convinced that
participatory methods are useful.
The above-mentioned basic data can be traced in the Sources of Data* and
following sources: Information
■ development plans (national/regional);

■ consultation with technical services;

■ research papers;

* Data is unprocessed observations and measurements. Analysis and

processing convert data into information. Information can be used to
make decisions but data cannot.

63
 ■ statistics;
■ information on state budgets and other financial
sources (e.g. other donors);
■ reports on activities of other projects and non-

governmental organisations.
When collecting, it should be remembered that not
all data available will be relevant to land use planning.
Thus, a balanced “economy of data” is to be applied to
avoid a confusing ‘maze of data’.
Local Viewpoints In addition to the evaluation of secondary
information, direct contacts and discussions with key
informants especially with older people – are of special
significance.The information given is not only more up-
to-date, but it also reflects the viewpoint of the local
population on superior directives.
The viewpoint and perception of various different
groups and genders can be very different. In addition,
it is not only important with reference to these
directives, but also with reference to their own living
conditions, in their direct living area.
How is this perceived and evaluated? How is the
historical development reflected? How were land use
conflicts solved traditionally?
ROPP If there is a lack of important basic data and
information, the instrument “Regionally Oriented
Programme Planning” (ROPP) may be another tool to
gather data. ROPP consists of two working stages:
1) an analysis of the situation, and
2)the elaboration of the regional development concept
(see also Appendix 3).
Necessary basic data for the LUP can be derived by
using ROPP.
Preparation and In general, specific data on the entire planning area
Analysis is required for LUP:
■ data on the available land resources,

■ the socio-economic, socio-cultural, organisational

and institutional conditions,

■ on the history of the region, and

■ the future visions of the different stakeholder

groups.

64
 In this process, it is not sufficient to collect data and
information only.It must also be prepared,analysed and
processed in order to make it useful for LUP.Secondary
data sources are easy to find but harder to process. In
case the project collects the necessary data, the
collection can be already focussed on the use and is
therefore simpler and less comprehensive. However,
this should not lead to collecting more primary data as
their evaluation and preparation is too expensive.

The significance of indigenous knowledge

Generally, smallholder farmers, new settlers or

nomadic livestock owners have their own ideas about
adequate use of land resources. Particularly in older
settlement areas with traditional arable farming and
livestock- keeping societies, the experience and
knowledge collected over generations manifest
themselves in the impressive diversity and adaptation
of land use systems. Not only is arable farming with its
sophisticated crop rotation systems and agricultural
technologies, together with livestock-keeping of
economic significance, but also the use of other land
resources such as wild plants, medicinal herbs, wild
animals,fishing or honey,are included in the traditional
land use systems.
The indigenous knowledge is an important potential
when the development of technical aspects or
agreements and decisions on land use are being
discussed. It is not easy to collect and document
indigenous knowledge. In addition to a lack of a
common vocabulary, especially concerning the
environment, a major problem is the different
interpretation of the ecological context by the experts
educated in the West and the local population. The
evaluation of a forest by the population for purposes of
its use stands in contrast to a scientific and ecological
evaluation in which conservation (soil erosion,
biodiversity) has the priority. In addition, it includes

65
 religious and cultural aspects (“holy trees or secret
forests”).
Participatory Methods A good opportunity to avoid that external
consultants build their own one sided picture when
interpreting and analysing the reality,the application of
participatory methods of collecting and planning is
recommended. These methods make it possible for
outsiders to get to know and to understand seemingly
irrational decisions on land use by getting familiar with
the background as well as cultural values and norms.
The indigenous knowledge combined with the land
use systems are a potential for LUP decisions.To what
extent it can be used as development potential depends
very much on the political and economic structures of
the higher levels and the development tendencies. In
any case, it is important to know the comprehensive
knowledge and the traditional land use systems in order
to adapt project measures and balance out any deficits
in these systems.

Important tools and techniques

The presentation of tools and techniques in this

section, as well as in the entire manual, does not claim
to be complete.The intention is to present those tools
and techniques which have been successfully used in
the German technical co-operation and which are
considered to be important in the context of land use
planning.
Those processes, tools and techniques which enable
the relevant people, groups and organisations to
actively participate in the process (see also Chapter 4)
are also of major importance for collecting and
analysing information within the framework of LUP.The
methods and techniques which are part of the
PRA Participatory Rural Appraisal (PRA) approach are
especially well-proven. Actually, this approach was
developed on the basis of experience in adult
education and action research. In addition, approaches

66
Photo 3: Participatory planning of pilot measures at village level, Integrated Rural
Development Project, La Rioja (Argentina).

which have developed from ethnographical,

ethnological and ethno-ecological research, such as for
example the indigenous knowledge approaches, are
gaining importance.
These diagnostic and planning approaches focus on
active participation and are of great importance to LUP.
It is not only technically simple to collect information
in this way, but especially the content corresponds to
the requirements of land use planning:
■ information is collected and analysed jointly by all

participating stakeholder groups. The work should

initially be carried out in small, homogeneous sub-
groups, to register their particular needs and special
interests as well as stakes;
■ it is use and action-oriented;

■ it registers and reflects important local knowledge

of the area;
■ it provides knowledge on local land use systems;

■ it mediates views and values of the participants;

67
 Example: Burkina Faso
The karité is a fruit tree widespread in the Oubitrenga Province in Burkina Faso.
The karité nuts are used to produce karité butter and soap. This is profitable, and
constitutes an important source of monetary income for women whose duty it is to
collect the fruits.
Within the framework of LUP, the population in the village of Zippelin noticed: the use
of karité nuts by neighbouring villages is considerably reducing the profits for the
village; the nuts are being harvested long before they are actually ripe; the removal
of the nuts from the village territory is disadvantageous for maintaining the tree crops.
Before harvesting, the right of access of the women of Zippelin to the karité nuts in
neighbouring villages was regulated by a fetish, Zeppelin itself had abandoned this
restriction about 60 years ago. In discussions with the extension group of the
PATECORE project, the village decided to reintroduce the fetish. After performing the
necessary ceremonies, the traditional regulating mechanism, together with its harsh
penalties, came back into force. To date, no instance of disregard has been
discovered, and the harvest passed off to the satisfaction of the women. An extended
application of the fetish to protect more land is now being discussed. (This may not
sound like land use planning but local beliefs can be used to achieve certain land use
planning objectives.)

■ it can be collected with a clear objective, thus data

graveyards can be avoided;
■ a problem-oriented analysis of the area is possible by

transect walks, local soil classifications, etc. and an

analysis of cultural peculiarities and social relations
is focused on;
■ it helps to overcome existing language barriers, as

local vocabulary is documented at the same time.

Creative Use of Above and beyond the known set of tools, there is a
Methods broad spectrum of methods and techniques which also
have their own justification and usefulness, depending
on the situation. Many alternative methods of
assessment and of analysis are developed locally and
used with a varying degree of success. Responses to
concrete demands must be found in a creative way. It
also depends on the local needs whether the special
data and socio-economic information collected in a
participatory scheme by conventional, scientific and
sociological methods are to be safeguarded, checked
and/or supplemented.
The following technical data can be collected
relatively quickly locally using own experience as well

68
as the participation of male and female farmers who are
familiar with the area:

Land units and zoning as tools in implementation-

orientated diagnosis and planning

The method of defining units and sub-units in bio-

physical diagnosis and planning is known.
Especially in larger areas, dividing it into units or
zones according to certain criteria allows a detailed
analysis of characteristics and interrelations. Even
during transect walks, it is often recognised that rural
societies subdivide their areas into units. Thus,
differentiations such as high- and lowlands, plains and
steep slopes, wet and dry zones, will be found just as
differentiation which are more use-orientated:
pastureland,arable farming land,etc.It is important that
interconnections and the cause-effect relationships
among the sub-areas are being analysed and
documented.
For the inventory of the natural potential of the Division into Land
planning area,areas of homogenous characteristics,i.e. Unit
land units, have to be identified and documented on a
map.This is primarily a rough division of the planning
area into units with similar topographical

Example of data which can be collected locally:

Data on land resources use for food production

■ rate of over-grazing in an area: what is the maximum hillside slope for grazing?
■ quality of the soils (pH value, texture, etc): what proportion of the rainfall is available
for plants and what proportion runs off the surface?
■ What is the maximum hillside slope, with and without terracing, where arable
farming is possible without problems?
■ What is the relation between firewood needs and firewood production?
■ To what extent is the potential food production used in the area? What more can
be produced using adapted intensification techniques?
■ What is the degree of self-supply by the local population?
■ Is the availability of manpower a problem?

69
 characteristics (e.g. plain, hilly, mountainous), edaphic
characteristics (for example sandy soil, organic soil,
cohesive soil,e.g.loam/clay,rocky/stony or mixed soils)
and similar vegetation cover (e.g. denuded lands, open
bushland, degraded forest, primary forest).
An example of a possible procedure for a land unit
diagnosis, planning and implementation within the
framework of the LUP process,aimed at optimisation of
land use, is presented in Appendix 5.
Identifying Agro- The identification of agro-ecological zones is
ecological Zones frequently applied in mountainous regions in which
(AEZ) land use depends primarily on the elevation. For
example, maize does not grow at the same elevation as
potatoes.These AEZ form the basis for discussions on
land use types in the area. For mountain farmers, the
access to different elevations is part of an important
survival strategy, especially where the statues of the
traditional village organisations no longer guarantees an
exchange of products. Before areas are subdivided into
land units, the objective of the subdivision must be
clarified:does it serve mainly for the analysis or also for
planning?
The following units can be distinguished:
■ planning units;

■ land utilisation units;

■ resources management units;

■ units of rural development;

■ units for protecting food sources;

■ units for consolidating a social organisation.

For example,if units are identified for the purpose of

planning, they must be reconsidered at the time the
measures are going to be implemented and have to be
possibly “translated”into other units,e.g.land utilisation
units.
If in a land resources management project the
diagnosis and planning unit is a watershed area, the
question comes up of how to deal with those farmers
who have plots of land in two neighbouring watershed
areas. This must be considered when implementing
measures. Measures taken on one plot of land always

70
affect also the other plots and the activities of the
farmer.
The various stakeholders are primarily responsible
for the plan implementation in their living areas, i.e.
their plots of land and pasture zones. For this reason,
agro-ecological zones or units in diagnosis and planning
are not automatically the management units during the
implementation. For an arable farmer the management
unit is primarily his plot of land. For the farmer in the
mountains, there may be several plots of land at
different elevations,for the mobile livestock owner it is
his spacious grazing area, and for the community it is
the entire community territory.
During the implementation of LUP-measures,aspects Land Law
of land law play a decisive role. Measures aiming at a
change in rights of land use, their restriction or their
improvement, involving investments (e.g. terraces,
afforestation, etc.) can only be successful in a
sustainable way when the land law creates the
appropriate conditions. Male and female farmers will
hardly undertake major investments for cultural-
technical improvements if they do not own the land.
The implementation of cultural-technical
improvements, however, can also lead to the
formulation of a legal land titles.

Example: Namibia
In Namibia, livestock owners traditionally migrate with their herds, depending on the
availability of pastures. Due to the population growth and the limited access to water
and pastureland, the possibilities of migrating are constantly decreasing. It is
therefore an essential task to optimise the use of land resources within defined areas.
On the other hand, the flexibility for animals to migrate in a variable climate should
be maintained. Therefore, LUP in small planning units should always consider the
creation of additional pastureland.

71
 Topographical maps, aerial photographs and GIS
in land use planning

For the diagnosis and planning,mapping is part of the

procedure. The maps feature the land units area and
compare the actual land use, potential land use,
environmental conditions and conflict zones. These
maps are an appropriate basis for the discussion of
problems with the stakeholders. This applies both to
maps produced by technical means and to those
produced by the male and female farmers themselves.
Within the framework of the discussion on land
damage, related causes and possible rehabilitation
measures should be looked for. In the process it must
be clarified to what extent the damage was caused by
a lack of appropriate knowledge in the production area,
or unsolved or unsolvable conflicts, or by inadequate
natural conditions (plots of land on infertile slopes).
As a next step, the agreed changes in land use and
regulations can be presented and mapped.This can be
visualised,at least in the case of resident arable farmers,
and constitutes an important planning basis and later
for the implementation.
Topographical Sets Any topographical maps existing in the country of
of Maps intervention are generally available to village
participants to a limited extent only. In addition, they
are very difficult for them to use.Abstract symbols are
used, the maps do not provide any easy accessible
points of orientation. The scale is often irrelevant for
village land use planning.For the project staff the maps
are valuable for locating the village,drawing up general
maps and,in rare cases,for establishing and/or verifying

Example of Cartographical Presentations

An important working approach to understanding spatial interrelations is to overlay
thematic maps in order to develop zones for the specific strategies. Depending on
the planning level, the scope of the data used and the number of maps to be
produced on the same basis, digital (GIS) or participatory methods (participatory
spatial zoning) can be used.

72
Photo 4: 3-D model as a tool in planning discussions, Thai-German Highland
Development Programme (Thailand).

boundaries. Beyond this, when enlarged they can be

used as a basis for creating three-dimensional models of
the terrain, since they reproduce the contour lines.
These 3D-models, often used in projects working in
mountainous regions,were successful tools in planning
discussions in which questions had to be clarified
concerning watershed areas and the proportion of
sloping land.
Computerised Geographical Information Systems Geographical
(GIS) are often used to make data processing, storage Information Systems
and retrieval easier. Having a GIS, the prestige of the (GIS)
project increases.Finally,it depends on the participants
during the in planning process if the GIS is used
properly or if it is used at all. Purchasing and setting up
a GIS is no essential prerequisite for LUP. It can only be
considered after a careful evaluation of the real need.
Above all, qualified staff is required to operate it; and, a
considerable expenditure is needed for additional

73
 know-how, hardware, software and refurnishment of
computer rooms.
Aerial Photographs A well-proven technique in many projects is the
evaluation of aerial photographs.After one or two days
of introduction into the procedure how to read (not
interpret) aerial photographs, village people can read
them without difficulties. The recognition of
orientation points (buildings, individual trees, sections
of river, hills) makes everything much easier, it
stimulates the process and is fun for all participants.
Photographic techniques used nowadays make it
possible to enlarge photos taken at a scale of 1:50,000
to the scales used in village LUP (1:5,000 to 1:25,000,
and mostly 1:10,000 to 1:20,000, depending on the
need for detail and the intended planning) while
receiving additional information at the same time. It is
recommended for the purpose of reading photographs
that the individual photos be pieced together to make
photo mosaics which completely cover certain
boundaries and/or the village planning area. It is
important that a copy of this mosaic is kept in the
village. This gives the village planning partners
confirmation of their responsibility, and also leads to
reinforcement, discussion and the formulation of ideas
apart from planning meetings.
Terrain Walks Aerial photographs are expensive. In Mali a new
flying mission was undertaken in the year 1992. The
costs per set of village boundaries of an average of 50
km2 were DM 3,000 for the aerial photographic
mosaics.It is therefore obvious that there are situations
in which aerial photographs cannot be used for
financial or for other reasons.In this case,topographical
maps at scales,which are not excessive e.g.1:50,000 are
an alternative. On this basis, maps of landscape units,
landscape damage and present land use can be drawn
up by intensive terrain walks. These should be pre-
planned transects and done in co-operation with the
villagers who are familiar with the area. Even when
aerial photographs are available, terrain walks are
necessary, but they are aimed at the verification of the

74
Photo 5: Participatory air photo interpretation, Village Adi Baren, Rural Development
Project Mai Aini (Eritrea).

photographic elements concerning what they actually

represent in the field (ground checking).
In order to draw up plans based on aerial Technical Equipment
photographs, a simple drawing is required including Instruments and
drawing boards, transparent drawing paper (for laying Planning Aids
on top of the aerial photograph mosaic) and a dark
marker. In order to make a quick calculation of the
surface area, a planimeter of simple design or a simple,
transparent,squared sheet can be used.To calculate the
slopes in the terrain, it is recommended to use a
pocketsize clinometer (priced at less than DM 200) and
to assess the pH-value of the soil, a galvanised, pocket-
size pH-meter.
The use of technical instruments and planning aids Local Tools and
such as GIS, remote sensing and maps, comes in Planning Means
addition to the strategies, instruments and planning
tools used by the local population.The combined use
of local and external processes and tools are not
restricted to technical matters. It also covers

75
 procedures and techniques for solving conflicts,
negotiation and decision-making. Land resources are
being destroyed very fast.Therefore,the diverse tasks of
land use planning in their national and local dimension,
as well as modern technologies are becoming
increasingly important.This does not imply that simple
planning methods and self-help approaches as well as
conflict-solving strategies are no more promoted.
Integration of problem solving mechanisms with a
complementary use of various instruments and
planning tools is necessary, especially when the work
is being carried out at various planning levels (e.g.
village, district, region).

Presentation of the results of collection and

analysis of data

After the analysis phase, the stakeholders have to

reach binding agreements and decisions.Therefore,the
results of the data analysis have to be presented in a
way, which is understandable to everyone. Land maps,
maps of environmental damage, maps depicting
landscape units or agro-ecological zones, maps of
present land use forms are an important basis for the
discussion because they have a high visualisation
content.This includes not only those maps produced by
GIS specialists or cartographers, but also the maps
prepared by the farmers themselves.It is also important
that the participants should be able to identify
themselves in the presentation. Other forms of
presentation are tables, diagrams, pictures or texts.
These must be also presented in a form,focussed on the
stakeholders needs. The success of the presentation
depends on how strong stakeholders identify
themselves with the discussion.If they are motivated to
reflect and collaborate, the presentation makes
decision-making and common agreements possible.
The guiding principle for the presentation is that the
“how” is just as important as the “what”. Not only the

76
Example: Argentina
In the project ILE Los Llanos in Rioja, Argentina the following rules were applied
for the presentation:
■ use of local expressions and designations;
■ reproduction of the content in simple expressions, and – if needed – added by
diagrams or statistics easily to understand; and
■ visualisation by people who also participated during the analysis process.

Changes in Land Use in Corral de Negro 100 Years Ago:

quebracho and algarro forest river

scattered small farms with maize fields (drinking water)

Today:

road houses, maize fields abandoned river summer

school (animal fodder fields (salt water, pasture
for the winter) non-potable)

Development processes:
■ felling trees to establish fields: The entire field is “cleared” and fenced by planting
cacti to avoid animals from entering.
■ felling trees for charcoal production: It started with the building of the railway (Dean
Funes-Patquia 1891). For 50 years now there has been no forest no more to
produce charcoal. The men have gone elsewhere to work as woodcutters.
■ migration: Previously, the houses were scattered far and wide. About 40 years ago,
many people moved to Olta, San Juan or Buenos Aires. Others moved to the new
road leading from Olta to Cha–ar. Only about one third of the small farms from
earlier days have remained. Land tenure is not regulated. There are conflicts.
■ giving up fields: There are fields in which nothing has been cultivated for 40 years.
These are bare areas. On some, also no grass will grow even when it rains.
■ decreasing water quality in the river: The water depth in the riverbed in (dry) winters
is only about 1-2 meters. Gradually, this water has become more and more
salinated. Now, it is so bitter that it is of no use at all.
■ in the village, the presentation got broad approval: “There you have it! That is our
life!”. It also stimulated further reports on experiences.

77
 results are important, but also the ways and means by
which they have been achieved. The methods and
procedures to be applied affect the quality and
sustainability of the decisions and results. In this
instance, it means that the “how” of the presentation
and the successive planning step are also important for
the sustainability of the measures to be implemented.

3.4 Capacity Building for Land Use Planning

The mandate for planning and of the agencies

Planning is not an end in itself and cannot be reduced

to an administrative process.Most common motives for
planning are of economic nature. Planning is an
investment and is therefore carried out in order to
achieve additional economic revenue. One of the aims
of land use planning is to achieve an improvement in
the economic viability in the planning region. If a
project intervenes in the field of LUP,it must answer the
questions “How?, With whom?, For whom?, At what
planning level?,Who is the partner?, and What agency
is to be supported?”
Decentralised proceedings in countries in which a
decentralised development is already an implemented
policy applies to structures with established
responsibilities (mandates). The capacity of those
structures is another question. In many countries,
however, decentralisation, if it exists at all, is only an
idea, and is neither planned nor implemented. Thus,
there are no established mandates to be found, and in
order to carry out participatory LUP in a useful way,
these mandates must first of all be clarified.This is done
within the framework of the appropriate institutional
structures in the country of intervention.
Lack of Clear Often, projects start their work in the field of land
Structures resources management or rural regional development
without clear institutional structures. Sometimes,
sectoral organisations are in place, mostly at

78
 Example: Burkina Faso
In the setting of the PATECORE project, the village is the planning unit and
intervention level of the project. The objective of the intervention is to improve the
management of natural resources in the area. In many cases, the decision-making
power is not clarified at community level. The traditional authority (Chef de Terre) has
lost many areas of decision-making (his mandate) on the use of land resources
without new, functioning decision-makers being installed. The consequence is a
power and decision-making vacuum which is only partially filled by the next decision-
making level (“quartier” to the level of farm household/business) and especially not
at all by a higher level. That means that the authority of the village community is
dealing only with a few planning areas and related decision-making. There is no
mandate for LUP, either from “below” (from the village community or the direct users)
or from “above” (meaning a clear definition of rights and duties to plan the resources
at village level by the state authorities).
Here, a field of work opens up which has to be dealt with in LUP at village level and
which has got a very central role in the GTZ-approach: improving village organisations
and decision-making structures. This includes: the definition of rights, responsibilities
and duties of functionaries and groups as well as their representatives in the village,
questions concerning participation in the planning and decision-making process (not
in the sense of participation in the project, but participation by the stakeholders in
planning for their village), establishing norms and rules for land resources use.

implementation level but not at planning level.Usually,

projects have to support and carry out the
development of their own organisational structures,
which is a labour-intensive and time-consuming
process. If the assignments of the project cannot be
accomplished without an improved institutional basis,
then this basis has to be promoted in first instance.
Institution-building can, however, also mean that the
project promotes functioning inter-institutional
linkages instead of concentrating all its efforts on one
organisation only. This should be the aim when the
organisation is large, bureaucratic and governmental-
run, when it is inflexible to carry out new assignments
in an efficient way.The effect of such an intervention
covers by far the expenditures involved.
A project can concentrate first on creating the
supporting planning agency, developing or
empowering it, or on developing a constructive plan
and initiating its implementation. So, precedents are
going to be created, hoping the new situation will

79
 develop the appropriate institutional structures for
planning.
Planning agencies must meet the following minimum
requirements:
■ qualified personnel and equipment;

■ motivated and technically competent extension

personnel;
■ long-term financial security.

On this basis, the following prerequisites can be

created by project support:
■ the politically high importance of protection of land

resources;
■ the possibility of legal validation for land use

agreements and land use plans;

■ establishing a legal security with respect to land use,

especially in the case of investments to improve land

quality (e.g. through Technical Co-operation pro-
jects);
■ possibilities of creating or finding on jobs apart from

agriculture;
■ integrating of LUP into existing planning hier-

archies;
■ possibility of arranging the existence of investment

budgets for implementing land use plans

(government, donors, private sector, etc).

Example: Tanzania
The Handeni Integrated Agroforestry Project (HIAP) in Tanzania supports an
“Implementation Committee” at district level. It is composed of representatives of all
relevant technical district authorities and guarantees an optimal use of the available
capacities (personnel, transport and finances). At the same time, an intersectoral
framework planning is carried out in order to evaluate the necessary land use projects
at higher planning levels. The sectoral planning required for this purpose by district
technical authorities is supported by HIAP and other German Technical Co-operation
projects in the region (production of aerial photographs, mapping).

80
Organising the stakeholder groups

One prerequisite for the success of land use planning

is to create conditions which promote the
development of relations based on trust amongst all
stakeholders. This includes openness, transparency,
respect for taboos, a regular information flow, etc.
It tends to be the rule that rural areas initially regard Measures Aimed at
any intervention (e.g. a project) cautiously and with Building up Trust
distrust.In order to break the ice,projects have applied
various “measures aimed at building up trust”, with
varying degrees of success.
These are often small, but social and/or economic
support mechanisms. The implementation of these
measures often extends to later planning phases.
Measures aimed at building up trust target the village as
a whole and cover particularly urgent basic needs
(drinking water), economic constraints (transport
facilities) or measures to avert off physical danger
(stabilise a slope endangering the village).They should
correspond to the project objective and concept.
Trust building measures should not be restricted to
material incentives. Responsible behaviour cannot be
bought:“The village will get a new well if in future the
inhabitants stop clearing the forest”.Trust can also be
achieved and sustained by non-material support (e.g.
legal advice, balancing of interests with authorities or
large landowners).
Measures in the form of economic support aimed at Clarifying
building up trust are discussed opposingly. If not Prerequisites
carefully applied, trust can be destroyed rather than be
built up. The following questions must be clarified
before any decision is made:
■ For which group or sub-group of stakeholders is the

economic support going to be granted?

■ What are the consequences for the development of

a general trust if only one sub-group receives

economic support?

81
 Example Namibia
A trip to Zimbabwe was organised for a group of 20 farmers and 10 project workers
from Namibia in order to get familiar with the experience made there. Confronting
land resources users having both success and problems, those people can build up
trust, expand their knowledge and promote the readiness to change. Trust can also
be created by offering training on the basis of analysing peoples needs. In this way,
a technical training course can certainly lead to an improvement in pasture
management.

■ What is the effect of any economic support on the

internal development of village organisations and/or
existing conflicts within the village?
■ According to which criteria is economic support

provided? Who sets the criteria up? Are there limits

with respect to the budget? What else can be
suggested? Are there any exclusion criteria (e.g. no
food aid)?
■ Attention should be paid that the measures aimed at

building trust are in line with the future working

methods of the project. The style of co-operation
between the project and the stakeholders is fixed
already in the trust-building measures. The
stakeholders in the village should do related work as
expected in the future. Only those subsidies should
be provided which the project can guarantee over a
long period.
Before deciding to promote a certain form of
organisation at target group level, a project should
carefully examine and consider the impact on other,
existing organisational approaches.

Co-operation agreements and “Rules of the Game”

Deficiencies of State Projects of the Technical Co-operation are often

Agencies confronted with similar deficiencies of government
agencies: lack of co-ordination, insufficiently qualified
staff, frequent staff changes, imbalance between
assignments accepted and available capacities, and
orientation towards completion rather than planning.

82
The hierarchical structures contribute much to paralyse
initiatives of the technical personnel. This leads to a
conflict of objectives with the project.As there is often
virtually no alternative to governmental agencies,
projects have to deal with these conflicts of interest as
well as to mediate between the agencies and the
stakeholders. This task demands more than a
technocratic understanding of roles only. It requires a
constructive search for solutions to conflicts and to
institutional problems which take into account the
limited productivity of both the authorities and the
other stakeholder groups.In this process,it makes little
sense to promote organisations only through
consultation as well as to transfer all burdens of
problem-solving to the local stakeholders.
Instead of relying on one partner agency, the project Linkage
should try to establish co-operative relations with all
relevant interest groups within the planning
framework. When implementing measures, the work
allocated and agreed upon should be fixed and
recorded in co-operation agreements. In this process,
the principle applies gained from experience: “Plan
together, but implement in sectors”, at least with
respect to the participation of the involved authorities.
A broad linkage with all participants increases the
chances of sustainability of the results.
Participatory planning processes are intended to
enable the stakeholders to articulate and represent
their interests. In addition, it gives them the capacity to
organise themselves and to increase their self-
confidence.The success of participatory LUP depends
on a better organisation and clear decision-making
mechanisms.The establishment of those mechanisms is
often more complicated than expected.

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 3.5 Drawing up Plans

Contents of a land use plan

A land use plan should contain the following

elements:
■ clearly defined objectives of the measures to be

implemented;
■ description and presentation of the initial situation

and its economic analysis (e.g.What is the extent of

the long-term damage if there is no intervention?,
How much can the damage be reduced? or What is
the effect if the intervention does take place?);
■ costs of the intervention;

■ effect of the intervention;

■ Who does what work? Who benefits of which use?

■ overall responsibility for carrying out the measures

■ Which authorities participate in what way during

the implementation process?

■ Which mechanisms are used if agreements are not

fulfilled?
■ agreed compensation for restrictions on land use.

Arrange Details When defining the measures, directives from the

Locally relevant plans and directives from superior decision-
making levels directives must be taken into
consideration.A land use plan can be drawn up on the
basis of general agreements on land use, which have
previously been agreed on with the village user groups
concerned and the relevant institutions.These land use
options reflect only what kinds of land use are currently
inappropriate for the land units and need to be
restricted. In the further process, it will not be planned
to the last detail,since the participating technicians often
cannot really advise.Which crops a land user cultivates
in what rotation depends on several criteria. It is
therefore sufficient to propose the land use options and
leave it to the users to decide what option they chose.In
individual cases, however, additional references and
restrictions can be made, either in order to draw
attention to special hazard factors (e.g.“... on condition

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Photo 6: Participatory implementation plans to improve land use practices, Sajama
National Park, Buffer Zone Management Project for Protected Areas in Bolivia.

that erosion prevention measures x are put in place at a

distance of y meters”) or to specific opportunities.

Time frame and process character

It requires a great deal of time to draw up a land use

plan which corresponds to the concept and to the criteria
of these guidelines.It is certainly possible to draw up land
use plans at village level within 3 months,but it can then
be assumed with certainty that during the process the
local population was not involved significantly. The
structures of existing agencies, too, require time to these
participatory processes. Experience has shown that
under normal initial conditions,a period of 2 to 3 years is
required before the first land use plans are available.This
should be taken into consideration when estimating the
timeframe for the orientation phase.

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 As in many other phases of the LUP process, when
drawing up plans, it must be ensured that not only the
content of the plan, but also its form reflects the
collaboration process between the project and the local
population. The process and the results (agreements)
must be reflected in such a way that all participants can
identify themselves with it. The plan drawn up is the
result of a negotiation process which is transparent to all.
Such transparency is also possible when using remote
sensing and GIS.The plan to be implemented contains
only those measures whose implementation was agreed
upon. LUP is a learning process and can be extended,
amended and evaluated within a fixed timeframe.

Technical criteria for assessing land use options

and interventions

Almost every change in land use requires the

additional use of labour and finances.This represents an
investment in the future and therefore the economic
value must be estimated before the decision is made to
implement the plan.In addition,the social and political
context must be considered.
Before the final decision is made on a land use plan
a checking should be made using the following criteria:

List of Questions for Considering and Checking for using LUP

1. Who are the target groups of the intervention?
2. Which immediate constraints or basic needs of the target group are to be
tackled by the intervention?
3. Which assumptions or general conditions must be fulfilled before the
intervention is implemented?
4. Which constraints could hamper the purpose of the intervention?
5. Who will be responsible for the management in the future
(use/care/operation/maintenance)?
6. What contributions are expected from the beneficiaries for
(a) the establishment (construction, installation, planting, etc)?
(b) maintenance?
9. Which future and running costs can be expected ?
10. Who will bear these costs?

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 11. Which group(s) will be disadvantaged due to the intervention?
12. What percentage of women participate in comparison to men?
13. Does any local knowledge of land management and land use related to the
intervention already exist?
14. What priority does the intervention have as far as the target population is
concerned?
15. What is the technological level of the proposed intervention? Can this be justified
or maintained in the local context?
16. What status of organisation of the stakeholder groups is necessary in order to
make the best use of the intervention?
17. Who is responsible for the further management of the intervention and who will
record the quality of it ?
18. Who is intended to be the contact partner for the target group in case of potential
corrections or modifications?
19. What is the expected cost-benefit-ratio which should be achieved within the
intervention? (Establish time frames individually).
20. How will the re-financing or timely renewal/repair of the intervention be
organised?

Area related criteria

The allocation of parts of the village area to certain

land use options is made according to their land use
potential. In addition socio-economic, socio-cultural
and logistical aspects and the need to meet the demand
for raw materials have to be considered.
Land use options have various requirements and,
therefore, restrictions with respect to their
implementation. The following sequence could act
initially as a rough guide:

Overview 3: Example for a tentative sequence of land use options

Planning process Key question Objective

Decreasing natural forest small restrictions

Economic natural pasture
Viability intensive forest
intensive pasture

increasing agroforestry systems increasing restrictions

economic rainfed agriculture
viability irrigated agriculture

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 The land use options “built-up areas” (settlements,
industry, roads) and the options “conservation areas”
and “buffer zones”will not be discussed at this point,as
they are determined externally. In addition, they are
orientated on criteria (e.g. biodiversity) applied
independently of location claims and of land use
requirements.
The overview above represents potential land use
options. In order to propose those for a allocation,
restrictions must be evaluated individually on site and
brought into relation with the major socio-economic
and technical criteria (see Appendix 8).
This procedure leads to various land use options in
the sequence of their economic profitability. In
situations of high pressure on land resources by the
population,it is also a useful identification scheme.The
sequence presented can vary from location to location,
e.g. intensive pasture land can, in individual cases, be
placed higher on the economic scale than rainfed
agriculture. Also, additional land use options can
emerge and others can no longer appear. If there are
land reserves, which cannot or should not be planned
directly, it is possible to implement or maintain an
ecologically stable option. In such a case, it is
appropriate to maintain a natural forest,even if the land
use potential would promote the option “irrigated
agriculture”. Simultaneously, an option can be
implemented even in a location with a higher potential
without having a destabilising effect.To implement an
option in a location with a lower potential requires
considerable technical and financial expense.
It is obvious that the many intermediary forms of
cultivation or land use are placed somewhere
“between” the land use options described; some also
require quite specific general conditions with respect
to the location and socio-economic aspects.This applies
to forest pasture, shifting cultivation with long fallow
periods within a rotation system, plantations with very
intensive cultivations and special crops.

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 It has been stressed repeatedly that mapping and ‘Overused’ Areas
planning must cover the entire area. However, often
there are some areas located far from the village which
are not considered. Experience has shown, these areas
are often extensively used,eroded bushland or hillsides
frequently destroyed by fire and, in the understanding
of the village inhabitants “not really usable”.These are
mostly governmental or communal land but also
private land, which has been left open.
Land use planning should also deal with those areas
if the objective of the plan is not only to meet the
immediate needs. Land of this quality has been, in the
course of time, degraded from intact (natural forest) to
its present status, by long-term use in the sense of
overuse. Land titles or rights are either not given to
individual farmers,or there was sufficient land available
to clear and cultivate new plots elsewhere.Thus in the
past, degraded land fulfilled an economic function. It is
therefore also important to prevent a further
degradation by stabilising these areas.A suitable means
for achieving this is to reforest these areas by direct
seeding, and protecting the area temporarily before
grazing.

Social and formal-organisational criteria

In this context attention should be paid to criteria

such as the short-term economic use for poor parts of
the population, the marketability of the products, the
cultural suitability of proposed technologies, the
conflict potential of measures, the possibility of
financing measures and ways of empowering the
stakeholders, their potential for self-help and their
capacity for co-operation.

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 Presentation of the plan

How a land use plan is to be presented depends on

various questions:
■ To whom will the plan be presented (to an authority,

a ministry, a neighbouring village, a financing

institution)?
■ What is the purpose of the presentation (financial

means for the implementation, political influence/

conviction, legal amendments, motivation for others
as a pilot case, further education)?
■ Who will present the plan (representatives of the

target group, a local female politician, the mayor, an

extensionist)?
■ How will the plan be presented (verbally,with visual

tools or in writing)?
Maps The plan is presented using maps (at a pre-
determined scale), tables and text.The cartographical
part can consist of several parts:
1. base map,
2. land units,
3. map on environmental damage,
4. map on present land use,
5. map on agreed favoured land use based on land units,
6. land use plan (proposed land use).
Accompanying The maps in points 2.to 5.are also to be accompanied
Documents by explanatory tables. The land use plan (map 6)
requires an accompanying note, which goes beyond
table form. It includes a detailed description of the
intended land use and gives alternative options which
should remain within the framework of the agreements
depicted in map 5, as long as not investments (e.g.
terracing slopes) could allow a change. This must be
documented.
Within the intended land use option, the nature and
extent of the intended changes, as well as the costs
involved, must be listed in the accompanying
document. These changes arise from the differences
between map 4 “Present land use”and map 6 “Land use
plan”, and resulting technical and/or organisational

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Overview 4: Example of an intervention and expense documentation for
a land use plan

Land Unit 1 Land Unit 2 Land Unit 3

Present land use natural pasture natural pasture rainfed agriculture

Intended land use intensive forest intensive forest irrigated agriculture

rough description planting work seeding of fodder construction of a

of intervention year 1 = 100% plants xy in rows water pipe at river
year 2 = 20% 5 m apart; planting xy; construction of
local fencing of 600 fodder a channel 1.2 km
bushes yz per hec- long; and of distri-
tare; local fencing butors; fine level-
ling of areas

labour 1.3 1.1 2.6

requirement per
ha in MM (Man
Month)

financial 2,100 1,650 2,400

requirements per
ha in local
currency

size of the partial 28 ha 127 ha 8.5 ha

area

total labour 36.4 139.7 22.1

requirement in
MM

total financial 58,800 209,550 20,400

requirement in
local currency

interventions as well as from the related expense for

labour and other financial needs. These changes are
listed for all partial areas,the costs are added to give the
total amount, which will be required to implement the
land use plan for a certain village or area.

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 3.6 The Negotiating Process

Negotiation and decision-making

The preparation for carrying out the interventions

identified in the LUP process begin already at a early
stage. All participating organisations in the planning
region as well as interest groups in the population are
included in the process from the very beginning.This
gives them the chance during the negotiating process
to clearly define their role during the implementation.
Negotiating is a continuos process during the entire
project period. It begins already with the process of
finding and evaluating projects. Once the project is
installed,a new stage of negotiating begins on the basis
of co-operation with the relevant agencies and
beneficiary groups. Additional groups have to be
involved when identified as relevant. Planning is
therefore always the result of a negotiating process in
which different stakeholders participate.
Negotiating processes do not always take place at the
same time with all stakeholders. They are arranged
between the project and the beneficiaries,between the
beneficiary groups and the authorities, and also
between the project and the local elite or NGO.Usually,
no decisions are made during these preliminary
negotiations, but stakes and interests get clarified.
Subjects are discussed and debated, and possible
measures are proposed for the later plan.

Example: Procedure for Negotiating A Plan

Decisions on what is to be provided for a preliminary land use plan are taken in a
forum in which all those who will participate in the planning process are present. First
of all, a draft is drawn up with the direct stakeholders using the land in the planning
area, and negotiating takes place amongst them. This initial plan is discussed as an
initial suggestion with the local institutions and can be modified if necessary. After
this, discussions take place with the local political elite and the private sector which
will be affected (credit institutes, marketing structures, the processing industry, etc.).
Only when the financial support has been clarified, the relevant government agency
can approve the draft. Depending on the local situation, the character of those
processes can vary.

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 It will emerge from the co-operation with the
beneficiaries and the partner agency who is actually to
be involved in this negotiation and planning process.
The principle thereby applies that each governmental
and non-governmental partner level (administrative
level) is to be included if it is affected by the solution
to a problem or if it is required for this purpose.

Role of the project and demands on the project in

the negotiation process

In order to initiate and facilitate negotiation

processes, the project needs male and female
employees with appropriate communication skills.This
includes the ability to listen and to observe.There is a
need to learn and to see, to observe, to interpret and to
understand things.This is a condition for the ability to
understand and respect different viewpoints, problem-
solving strategies which may be new to the project
staff, and the local population. Only with this basic
attitude, the process of co-operation can be initiated as
a real partnership.
“Understanding” co-operation between the project Understanding
and the population allows project employees to Co-operation
recognise that during the planning process to improve
land use,different criteria are applied,depending on the
stakeholder group. These criteria are not only of

Example Paraguay
A project in Paraguay reports on the consequences of a lack of participation:
“Planning must be made together with the users. And it should follow initially the
thinking of the farmers. Although the farmers had participated in all steps, and their
opinion was heard and taken into consideration, we proceeded with concepts and
tools which were foreign to the farmers. In order to carry out planning together with
the farmers, you must get to know and understand their strategies and planning. The
farmers plan land use according to many more criteria. There are not only soil types
and climatic cycles which play a role, but also, the availability of family labour,
marketing opportunities, access to roads, food security, long-term economic stability,
title deeds, and other aspects.”

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 technical nature.While in smallholder farming families,
the survival strategy is determining, the local elite aims
at maintaining their privileges.
In this process, the project should avoid to be
involved into local power struggles. It should neither
take the position of groups claiming the “only correct”
use of land resources, nor should it claim itself to have
the “only correct”definition.If a project focuses on one
way only, it can turn out to be the end.There is not one
solution or one way only.A project certainly should not
try to convince the partner groups with missionary
enthusiasm. Adequate strategies and forms of
sustainable land use, as well as appropriate rules in
conflicts should be worked out together. Here, the
project plays the roles of a catalyst, moderator and
mediator.

The obligatory nature of decisions in land use plans

The implementation of a land use plan does not

happen on its own, neither is it done voluntarily by all
stakeholders involved. Considerations and agreements
on the implementation strategy are also part of the
plan.The mechanisms needed to define the obligatory
nature should therefore be clarified and agreed on at
the earliest stage in drawing up the plan. However, the
obligatory nature can only be applied if appropriate
measures have been agreed upon before
counterbalancing any restrictions on land use for
certain stakeholders, e.g. in the form of land
replacement or compensation.

Example: India
In many parts of India, cattle pounds are operated. These are guarded and fenced
cattle enclosures where animals caught in places where grazing is not allowed, are
kept. The owners of these animals may have their animals released against a fixed
payment or they may accept that the animals will be sold at a public auction on a
fixed day. A very similar institution is the ‘fourrière villageoise’ in a number of West
African Sahel countries.

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 The use of existing,or the creation of new legal rules,
in order to enforce agreements should be avoided as far
as possible. Generally, motivated land users are capable
to take action themselves against infringements of the
rules. On the other hand, there must exist a legal
framework for dealing with infringements of the rules.
This serves both to support and protect those adhering
to the contract as well as to sanction those violating the
contract.
At village level there are ways and means to take
action against people who infringe on internal village
regulations.The regulations involve social pressure,but
can also mean imposing penalties.In order to avoid any
irregularities or even excesses enforcing internal village
regulations, government authorities often have the
right of approval or the right for checks.
In cases of the infringement of the agreed land use
regulations, the project agency can announce that the
co-operation contract between the project agency and
the village is to be terminated. In order that the
termination of the contract does not remain an empty
threat, the procedure is recommended in which the
project and the relevant village perform their
obligations “tit for tat”. Since in this way none of the
parties enters into excessive advance concessions
without counter-concessions,it is possible to withdraw
from the co-operation at any time without a too great
loss.
Also authorities can infringe on land use rules in the
area around the project or the planning area. For such
cases mechanisms should also be clarified and agreed
on.An example often quoted is the practice of granting
tree-felling concessions to outside companies.For those
locations the usage was already agreed with the local
land users only, and no provision was given to outside
companies. This problem can only be solved in co-
operation with the forestry authority concerned,which
is in any case involved in the drawing up the land use
plan.However,the more advanced the decentralisation
and the more rights and power the community

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 authorities have, the stronger is the negotiating and/or
planning position of the land users in such processes.

Decision-making and conflict management

Since land users are often competing for land

resources, conflicts can jeopardise the success of
planning.Projects are thereby directly confronted with
the problems related to conflict management. The
question to what extent projects should engage in this
field, and with what success, is discussed
comprehensively and is considered to be controversial.
It is important to mention that conflict management is
not a panacea,and no results should be accepted which
no project can produce.
Conflicts There are conflicts, which blow the time horizon or
the frame of a project. Examples are the generation
problem when introducing new cultivation systems or
carrying out agricultural reforms. In practice, it is
recommended that a differentiation be made between
“hot” and “cold” conflicts.“Cold” conflicts can literally
leave a project cold. Although they are latent, they
hardly have any effect on the planning process. But
there are “hot”conflicts,there is a need for action,since
there is a potential that parties will refuse to co-
operate. This will jeopardise the success of the
planning.The type of conflict will therefore determine
the approach. The decision for or against a certain
procedure must be adapted to the local methods of
settling conflicts.
The project should clearly define its role as a neutral
mediator being aware of the consequences.If it appears
as “the attorney of the poor and disadvantaged”, it is
possible that it will not be accepted as a neutral party
by the influential, large landowners. Also these
influential groups must also be integrated in the
process of land use planning. A dialogue must be
initiated with them and maintained in order to achieve
a sustainable planning success. Therefore solutions

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must be found which will provide advantages for both
groups of participants, the better off and the
disadvantaged.
At the same time, an important function of the
project is to empower the disadvantaged groups.This
can even be achieved by explicitly inviting landless
people or women to attend meetings. By using
participatory methods, it is ensured that their interests
are at least heard and discussed.
If a project decides to actively contribute to the Role of the Project
settlement of a conflict, depending on the situation, it
takes on the role as initiator (initiating discussions,
round table meetings or bringing in a mediator) or as
mediator (mediating between the parties involved in
the conflict). In order to develop a strategy for settling
the conflict, precise knowledge of its history is
required, differing viewpoints of the parties must be
recognised and the rules of the game have to be fixed.
How did the parties deal with the conflict previously?
Does the law of power or of majority apply? Is there an
arbitrator, a local authority, which deals with land use
conflicts? What would happen if the participants were
not willing to reach a settlement of the conflict through
negotiation?
Before a project proposes negotiations to settle a Procedure
conflict; it should be ensured that the participants are
willing to take part in such negotiations. It will emerge
from the previous co-operation between stakeholder
groups and supporting agencies which groups and
institutions will be involved in the negotiation and
planning process. In any case, the following parties
should be included:
■ those who are directly or indirectly affected,

■ those who are responsible,

■ those who competent,

■ those who can support or motivate, and

■ those who will impede the process if they are not

included.
During the negotiation process the interests of all
participants will be analysed jointly and in detail.

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 Emerging from this, it will appear who needs whom to
achieve his or her interests,who has common interests
as well as who has competing interests, and where do
potentials for co-operation arise. It is already an
important result for all participants to present and
defend their interests. Direct discussions create more
understanding and make the process of agreement
easier.
It may make sense temporarily to negotiate with the
parties involved in the conflict separately as long as
they agree to this and transparency is ensured. In
difficult cases of conflict,which might paralyse the land
use planning process,it may be helpful initially to agree
at the least common denominator.Any remaining fields
of conflict will be kept open and clarified in subsequent
negotiations. Conflicts are dynamic, and positions and
alliances might change.
Generally, the parties participating in a conflict-
solving exercise represent a certain way of solving it in
the discussions, which they have previously agreed
upon. However, in order to search jointly for ways to
solve the conflict, which would take into account the
interests of all parties, it is helpful to engage neutral
moderators. They are not supposed to represent any
interests and must be accepted by all groups. They
should be familiar with the ruling power structures in
the area and be able to deal with them. Moderators
make sure that the discussion is fair and enables the
participating groups to find solutions, which are
acceptable to everyone.These should be formulated as
a feasible result and documented (in writing).This will
also enable outsiders to reconcile and reconstruct the
negotiation process.
Information Negotiations are difficult if the status of information
of the participants is not even or insufficient.
Independently, the set-up and course of the decision-
making process, it is also important that the flow of
information and the transparency are guaranteed.This
can be supported by media work,minutes of meetings,
informative meetings, blackboards, etc. Informative

98
visits in communities, which have similar problems or
have already found solutions can be helpful. Theatre
shows or role-plays can reduce tension or lay conflicts
open and have proved to be effective in many projects.

Dealing with the ruling power structures

Negotiation and decision-making processes are

determined by social rank and power.In the context of
the development policy guidelines of the Federal
Government of Germany, a project should support
those who, due to their social rank, are less able or not
at all able to express themselves and represent nor
enforce their interests in the decision-making process.
In practice,this demand is a dilemma for the projects. Dilemma
On the one hand, participatory procedures are
intended, if possible, to give all involved groups the
chance to express their interests and to negotiate.The
project should take on a “neutral” role as moderator or
catalyst. On the other hand, power imbalances should
be changed. The side of the disadvantaged groups is
taken if, despite a formal process of participation, the
ruling power constellations lead to results and
decisions, which are not in line with criteria of the
development policy. This applies when, for example,
traditional rights of use by women are restricted
without compensation measures, while actually
women are the prior target group in development
politics. A project will therefore have to ensure to
permanently fulfil the directives of the development
policy. In addition, it will also follow the role as
mediator or moderator.
If in the given framework of general conditions, it is
impossible for disadvantaged groups to express their
interests, the project will search for mechanisms to
solve this problem, e.g. if it is not possible for women
to express their interests in a village as in the example
mentioned above and to demand their rights of use, a
separate discussion can be held with the women only

99
 before the meeting. Is should be someone chosen to
present the results.
Conflicts Therefore it is possible that the project creates
conflicts or makes them visible. For example, when
women demand more rights of use versus the head of
the family, young people versus the elders, or tenants
versus a large landowner.Also if it is not the objective
of LUP to change the ruling land tenure, this topic can
become the central topic of problem analysis within
the framework of participatory planning. If
participation is taken seriously, contents are not fixed,
and burning issues cannot be ignored.
The project should be clear about the fact that
dealing with such conflicts can have negative or even
dangerous consequences for the weaker parties
involved. Improving the capacity of disadvantaged
groups to express themselves and backing them up can
also have the effect of disturbing the entire social
structure in a traditional society.This is the case if old
codes of behaviour are abolished before new ones have
become established.

3.7 Evaluation and Actualisation of Plans

After a certain time,it becomes necessary to actualise

a plan because the general conditions and interests
have changed. Another reason can be the experience
with the implementation of the previous plan.
Information on the general conditions and changed
interests, as well as an evaluation of experience with
the previous implementation (M&E) constitute an
important basis for actualising a plan.
The various parts of the land use plans have different
degrees of detail, obligations, time horizons and a
different nature of the process.In the preliminary plan,
proposed land use in a landscape unit has been laid
down as optimal use with a high degree of obligation,
with a low degree of detail and a longer time horizon.
The subsequent land use plan is a differentiated and

100
detailed definition of the land use, which is tailor-made
for the present wishes of the land users concerned,and
refers to their sub-units or plots and covers a relatively
short period of time (3 to 4 years).
In order to progressively update the plan, a
considerable input of time and attendance by all
participants in the planning and implementation
process is required. Endless meetings quickly stress in
particular farmer groups and lead to a demotivation. In
addition, the land use plan should receive all the
“official” approvals, a process, which cannot be
repeated continuously. Also, a plan which is changed
frequently is often not of good quality in the opinion of
the participating farmer groups. But it is a patchwork,
which leads to a loss of credibility.Continuous planning
in a team of technicians or managers is somewhat
different from planning in a village.
It is therefore recommended that the land use plan is Time Period for
only to be updated after a certain period of time but Updating the Plan
within the fixed limits, i.e. every 3 to 4 years. In the
meantime it has to be verified whether changes in land
use are being made within acceptable limits.If there are
cases of “destabilising” land use being introduced
without permission, they are to be treated as an
“infringement”.An appropriate mechanism of licensing
and supervision must be established at village level and
a regular check made to ensure that it is functioning
accordingly.An appropriate village structure should be
promoted.
A change in the land use plan also requires a revision Budget Planning
of the cost of the implementation (finances and
labour). Generally, the expenses are to be planned well
in advance and kept within a limited budget. The
project has two options for the plan implementation.
1) It can decide to advise the village of an upper limit
of available finances within all technical interventions
should be covered. It therefore also represents the
volume of financial investments for land improvement
measures, including new proposals. 2) Additional
finances can be found either through the land users

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 themselves or through additional governmental or
international funding,which then enter as a contractual
component for a partial implementation of the plan.

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4 Participation
in the Planning Process

Participation in LUP covers communication and co-

operation of all involved participants.The objective is
to increase the planning competence, the self-
responsibility and organisational capacity of
disadvantaged target groups. The entry point for this
approach is the fact that conventional (top-down)
planning approaches have had very little success.
Existing deficits should be balanced out by a more
intensive dialogue and an improved co-ordination.This
also requires a change in thinking of the project
collaborators, government services and participating
NGOs, i.e. changes in the conception of their position
and their role in the participation process.
A precondition for realistic planning is the clarity
about the roles of the different participants related to
the use of land resources, about their social positions,
ranks and interests. A detailed analysis of these con-
ditions identifies competitive relationships, the
potential for conflicts and common interests.This can
open ways to planning based on consensus.A conflicts
solving strategy is also respecting different
perspectives.The success of planning is at risk if socially
disadvantaged groups or those not present at the time
of planning are excluded. Special reference is made to
the need to take into consideration the gender roles of
men and women in land use planning.The gender role
has a considerable effect on the access to land
resources, on the room of action and the opportunity
to express viewpoints.
The explanation of the tools for participatory
planning will be restricted here to the basic principles
and to the diversity of the approaches. When using
participatory planning methods as well as selecting
institutionalised forms of participation, one aspect has
to be focussed on: the participants should learn
together, especially when target groups and
government authorities collaborate.

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 4.1 What is to be Understood by Participation
in Land Use Planning?

Participation is an interactive and co-operative

process of analysing, planning and decision-making in
which all relevant groups and organisations –
stakeholders -take part. It is a process “...which allows
all participants to formulate their interests and
objectives in a dialogue, which leads to decisions and
activities in harmony with each other, whereby the
aims and interests of other participating groups are
taken into account as far as possible” (GTZ/Rauch,
1993, p. 16).Within the framework of these guidelines,
this definition is extended in the sense that also
disadvantaged groups participate in the land use
planning and decision-making process.The aim is that
these groups increase their competence in planning
and implementation, their self-responsibility and
autonomy in decision-making, as well as their
organisational capacities.
Such an interpretation of participation demands a
change in the self-understanding of the role of the
project, the technical services, the non-governmental
organisations (NGO) and of government
representatives in the participation process.This form
of planning emphasises the joint learning by and with
the local population. It requires their capacity and
willingness to take part in the dialogue. The usual
cascade principle transfers hierarchically important
knowledge.It has been practised until now by technical
advisors and should be changed completely. The
contribution by the population to decisions made
during the conception, planning and implementation
process must be respected as being of equal value.
There are not only the partner and the target group,
which should change their thinking and go through the
learning process, but also advisors should enter it.
Above all, one has to be careful with too quickly made
technical proposals. An attitude has to be adopted,
which allows to understand the problem-solving

104
strategies, capacities and the potentials of the local
population.Only with this basic attitude a dialogue can
be initiated.

4.2 What Results are Expected

from Participation?

Outcomes

The results of previous planning in the field of land

use and land resources management are considered as
poor.The following reasons are listed: the unsuitability
of top-down planning approaches and the related
deprivation of the right of decision of local people due
to a paternalistic approach to development;
■ the lack of communication and co-ordination
between sectoral authorities regarding to the
sustainable use of land and other natural resources;
■ the low level of competence and capacity of

government authorities at local level;

■ closely related to this are the deficiencies of the

government in legitimisation planning and the

increasing distrust between population and
authorities;
■ the fact that the traditional power structure is (under

certain circumstances) being questioned;

■ experiences and methods related to conflicts in land

use planning are still relatively recent;

■ controversial rights of use of natural resources. A

frequent result of governmental modernisation and

social change is the weakening of traditional
institutions and indigenous mechanisms of
regulation in land resources management. Among
other things, conflicts arise due to the overlap of
traditional regulations with modern government
jurisdiction (government versus local regulations on
land use).

105
 Expectations

The approach in land use planning as promoted by

GTZ is a participatory learning process based on
dialogue developed as a response to the lack of
institutionalised mechanisms of co-ordination and
planning at local level.This applies above all to land use
planning at community level. In most developing
countries, communities are generally not sufficiently
equipped, neither with legal and technical
competence, nor with the necessary financial
resources. Especially in Latin America, they often
occupy themselves with purely urban concerns. On
the other hand, it is the community level at which a
reconciliation of interests takes place and where
adherence to agreed regulations can be enforced.
Taking into consideration the character and political
mandate a local government should have, the
community is the only suitable authority at local level.
Improvements are expected by the active participation
of the population and/or of individual stakeholder
groups.

Quality of planning

■ Only those subjects are to be planned which the

population can achieve;
■ modern technical know-how,indigenous knowledge
and specific local knowledge are linked in planning;
■ the starting point is the way in which the different
local groups see their problems and their initiative to
analyse problems, to plan, to make decisions and to
implement;
■ by applying the principle of co-operation in LUP,
competing or poorly co-ordinated sectoral planning
approaches and levels of responsibility converge.

106
Development of institutional capacities

■ All those concerned are participating in community

planning and decision-making within the framework
of the organisational development of communities.
Simultaneously, participation gives the represen-
tatives of local groups an insight into the institutio-
nal “rules of the game”. They learn how to better
represent their own interests or the village interests
to others. In addition, local groups are more cap-
able to demand rights and actions from the
government.
■ Sharing of social responsibility in utilisation and
conservation of natural resources at local level based
on the principle of subsidarity is introduced step by
step. This releases the government from
administrative, social and economic transfer actions.
■ Structures are developed for comprehensive, self-
determined community and village long-term
development, which is a solid basis for
decentralisation measures.

Further important aspects are:

■ the learning process of all participants due to the

heterogeneous composition of the groups
participating in LUP;
■ all participants are better informed;
■ the local population is more willing to accept and
can better identify themselves with the activities;
■ an improved relationship between population and
administration leads to more binding agreements and
sustainability in planning;
■ The fact that the participating groups involved are
encouraged to represent their interests, to express
themselves, their organisation and self-
determination, and in their co-ordination and
planning processes,leads to an increased capacity to
negotiate planning objectives;

107
 ■ The development of co-operation and
communication structures and the capacity of local
institutions to implement plans.

4.3 Stakeholders in the Land Use Planning

Process and their Interests

Who participates in land use planning?

The potential participants in LUP are all groups

which
■ are affected by decisions on land use in a planning

area;
■ are interested in the results;

■ are involved in a land use conflict (even in the widest

sense);
■ have a considerable influence on it or;

■ are affected by its outcome.

Participation by the groups concerned does not

mean that they are always physically present during the
planning process. However, it must be guaranteed that
they are at least represented by a delegation or by other
binding forms of communication.
Many projects have been unable to realise the goal of
a socially accepted and sustainable use of land
resources because relevant groups and/or their
interests have been ignored. Users and user groups in a
planning area have varying relations with other actors,
even outside the planning area. These stakeholder
groups affect each other.This is because:
■ The use of natural resources by one group has

ecological effects on the use by or quality of life of

another group, e.g. in watershed areas, drinking
water production or irrigation systems can be
damaged in settlements downstream due to
destructive arable farming practices on steep slopes
upstream;
■ Economic exchange relations are often very tense,

and there are relations of dependence and

108
 competition.This can be the case between resident
farmers and nomadic livestock owners, between tea
planting or tobacco companies and rural seasonal
workers or between timber companies and forest
farmers;
■ A complex social and political network of relations
link the individual groups.An example is the relation
between landless people, tenants and large
landowners,complex “patron-client”-relations,or the
influence which powerful parties and government
organisations have on the rural communities.

What criteria are applied in the detailed analysis of

social groups?

Due to the diverse and complex relationships, it is

necessary to have a differentiated description and
analysis of the groups involved. This is only possible
when they are directly involved in this analysis. The
characteristics used to differentiate between the
groups are: the role in the use of resources and the
position in the rural society. In this process, the
stakeholders can be differentiated as follows:
■ according to the nature of the use of land resources:

direct and indirect users;by (long-distance) effects of

other users/affected parties,permanent and seasonal
users, arable farmers and livestock owners, forest
farmers and collectors.
■ according to the access to land resources;
landowners, tenants, landless people, local habitual
users, illegal users, men and women.
■ according to the principles of relationships and to

the social position: ethnic, family, clan and customer

relations; business and political relations;
membership of the government administration,
parties or local elite; large companies, large
landowners; smallholder farmers, agricultural
workers, exploiters and the people being exploited,
rich, poor and marginalised, advantaged and

109
 disadvantaged groups, casts, religious groups or age
groups, men and women.
■ based on their capacity as target groups of the
project;
■ based on their capacity as participants, without
direct reference to the area (not working in situ):
landowners or concessionaires; social, economic,
political or professional groups,such as e.g.groups of
livestock owners,authorities for the overall planning
and the sectors, partner agencies, Technical Co-
operation / Development Co-operation organi-
sations, NGOs; associations and external interest
groups such as churches, parties, national and
international conservation organisations, guerrillas
and the military.

Which various interests, attitudes, values and

positions are to be considered?

Based on the fact that land use planning is a process

of communication and co-operation, the analysis of
group interests related to land resources is required.As
a result of an analysis of interests of participating
groups, the following should be identified: the degree
to which the various interests are organised, the
capacity of the groups to express their interests,shared
interests, and co-operative as well as competitive
relations. In this way, potential sources of conflict
become visible, as well as possibilities for consensus.
Reasons for conflicts become just as clear as group
specific options for resolving them. In this context, it is
important to distinguish between interests and
positions. Positions are expressed due to social and
economic considerations or traditions, but they are
taken due to “hidden interests”. It is easier to negociate
on interests than on positions as the it opens up options
or alternatives.
A group can only participate appropriately in
planning if it has a clear idea about its own points of

110
view as well as attitudes and value, perceptions and
expectations, as well as those of other groups.

How can consensus be found in a conflict

situation?

In LUP processes,in which conflicts are to be solved, Open

the task of finding a consensus is a focal point. This Dispute/Discussions
should, however, not lead to the temptation of
“harmonising”differences in interests and perspectives
of heterogeneous groups as quickly as possible, or
homogenising them in general categories of groups
(e.g.in the “village community”or the “average farmer”).
Nevertheless,it is of great value for negotiated solutions
if the groups can clearly formulate their perceptions of
the problem and their interests as well as the self-
defined role of their group. Respecting different
perspectives of action, at the same time promoting the
open debate among the groups about their varying
values and opinions can be a sound basis for successful
conflict management.
The scope of interactive tools for analysing Non-identification of
stakeholders, their interests and conflicts, is limited Stakeholders
because of the complex social relations. For example,
when groups are not included in an analysis of
stakeholders and therefore they remain excluded from
any support.The causes can be diverse.Due to the fixed
location when planning land use, users who are not
always present – be it for reasons of temporary absence
(seasonal users), due to physical distance (e.g. those
living downstream) – are often not part of the planning
process and are therefore not identified as
stakeholders.
Within the framework of village LUP it is not rare that Exclusion
dominating groups try to exclude competing users by
not talking about their existence.Groups which are poor
at expressing themselves are excluded socially or
internally from taking their share of an offer of support.
Those affected by this may be groups outside the village,

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 such as hunters, wood collectors, charcoal-burners or
nomadic cattlemen.It can,however,also apply to socially
weak groups within a community, such as women, old
people, landless people or ethnic minorities.
Therefore the identification of the relevant groups
and their interests is often a painstaking and time-
consuming process which is not finished with the
analysis of participants in the initial stage of the
planning process. If this analysis is wrong or too brief,
measures, which have already been planned, can easily
become worthless. Identifying the stakeholders and
recognising their interests – especially in interaction
with them – can and should extend throughout the
entire planning process. The analysis of the
stakeholders is socially and politically a delicate tool.
Suspicions of “social espionage” are not rare. There is
always a danger that differentiated information on
groups or individuals might be misused, for political
purposes. This demands of the project to deal very
carefully and confidentially with this knowledge.

4.4 Processes, Activities and Institutions:

How does Participation Take Place?

Participatory process and tools

Only a few, brief references will be made to the use

of participatory processes and tools in land use
planning. In all planning phases of LUP, many methods
and tools of participatory collection and planning are
applied which are already well-known from other fields
of Technical Co-operation1.

1 Special reference is made to the work of Michael SCHÖNHUTH and

Uwe KIEVELITZ (1993), from which large parts have been adopted in this
work. The authors deliver a user-friendly introduction to participatory
appraisal and planning methods which is of great value to interested
(land use) planners. Furthermore, the book contains a detailed
bibliography and references to organizations, which have for many years
examined participatory methodologies, or which offer training courses.

112
 A certain “hit list”of favourite participatory methods
has emerged in land use planning.These instruments,
most of which originate from the field of RRA/PRA and
PAR, were originally used in data collection and
problem analysis.
A tendency is currently being observed for them to
be used increasingly in the phases of actual planning
and decision-making, or called upon them to settle
conflicts between different groups.
Some basic requirements in the utilisation of these
methods and techniques are to be emphasised:
■ The starting point for all action is the specific

understanding of the problem and the interest by the

stakeholders involved;
■ Planning covers also joint learning by external

project workers and government services of and

with the local population;
■ The tools are not used as a rigid pattern, but adapted

to suit local communication traditions and resources;

■ The principle of visualisation is important (maps and

aerial photographs; three-dimensional models,

diagrams, or comics). This enables all participants,
even those belonging to different language groups
and also illiterate people, to follow and comment on
the planning steps;
■ The planning steps are carried out as far as possible

by the affected groups themselves,and the project or

government services restrict themselves to the
function of a catalyst and, if need, moderator2.
When carrying out the steps in land use planning
concerning areas or land resources, terrain or transect
walks by residents and external people, cartographic
tools such as aerial photographs, self-made maps and
three-dimensional models have proved being very
successful.They play an important role in surveys, the

2 A catalyst is a person, who influences processes to start without taking

an active part. A moderator presides over processes in a conciliary
manner to ensure harmonious discussions. This person is responsible
for the quality of the processes but is not directly responsible for the
results.

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Diagr. 4 Participatory planning game seen in a home-made model
(Source: E+Z, 1992, p. 15) Drawing: Ibrahima Fofana

problem analysis, the evaluation of the suitability of

land, the identification of the use of areas and also
during the communication about problems and the
evaluation of the land use potential of the planning
area.
Methods developed in the social sciences and
anthroplogy are also used in land use planning.These
methods support the gaining of knowledge of and an
insight into the socio-economic and socio-cultural
relations.
They are also applied in the interactive analysis of the
stakeholders, when analysing group specific interests,
social values, viewpoints, and preferences. Semi-
structured interviews, group interviews with a special
problem “focus” or those tools concentrating on
problems,and also ranking techniques are widespread.
Visual sharing also plays an important role: maps of the
social structure and of social relations,resources charts
and charts depicting the decision-making processes,
presentations in the form of comic strips of the history

114
 Example: Sri Lanka
The objective of the Dry Zone Participatory Development Project in Sri Lanka is
to create sources of income by developing land use types which are adapted to the
climate, especially for the poor population groups in rural areas. The major aspect is
the development and implementation of a participatory approach in planning and
implementation. The basic idea suggest the following sequence:
■ training of local workers in PRA techniques in selected villages;

■ development of village resources management plans with the local inhabitants on

the basis of this training;

■ implementation of these plans with the support of local institutions and the village

population.
In this process, great significance is given to the joint learning process of the
participants.
A comprehensive training program was worked out for the members of the co-
operating organisations. The target group comprises the members of the Beneficiary
Participation Program, of the Technical Support Teams and all other organisations
connected with the project. This training is intended to put them in a position to
adequately apply their technical knowledge within the framework of land use planning
at village level, and also in their capacity as multiplicators, to feed their experience
with PRA into their respective organisations. PRA is used not only in the examination
phase, but also in planning and implementation. The training of workers is therefore
not restricted to a one-off PRA crash-course, but covers continuous consultation and
further education. Since it is partly the case that the villages have very different
starting conditions, the participatory methods are adapted to the respective local
conditions.

of the village (historical transects), seasonal calendars,

calendars of working time and agricultural cycles,
calendars showing the relations between festivals,
celebrations and agricultural cycles, etc.

Institutional forms of participation in land use

planning

Concerning the institutional form in which the

various groups participate in LUP, there is a wide range
of differing objectives and different degrees of
formalisation and organisation. In many project
situations the objectives of participatory planning are
mostly achieved not by one single form of participation
and co-operation, but by applying different ones
simultaneously, in combination or as mixed form.

115
 The institutional forms of participation range from
the community or village meeting, informal and formal
interest groups or user groups of varying size and focus
up to purpose-oriented, formal committees, often
having a technical character such as LUP or resources
management committees. The latter includes
organisations such as:
■ Village Watershed Development Committees
(VWDC) in India;
■ Community Based Land Use Planning and Local

Watershed Committees (CLMC) in Thailand;

■ Local Operative Units in East Africa;

■ Catchment Conservation Committees (CCC) in

Kenya;
■ Comités Villageois de Gestion des Ressources
Naturelles (CVGRN) in Mali.
Which form of organisation is appropriate depends
mainly on the context. Opinions are divided
concerning the usefulness of the one or the other form
of organisation: for some formal committees greater
continuity is promised and more obligation required for
land resources management. Others mention the
experience that it can be very time-consuming to build
up formal structures and that the degree of organisation
of such committees is often (still) not commensurate
with the duties. In addition, such externally proposed
formal structures could also hamper an active
participation by the village population due to its
partially “imposed” nature.
Internal Village However, before it is proposed externally that such
Organisation organisational structures be established, a detailed
check should be made what organisations or
institutions already exist in the village. If it is proposed
and promoted to form new organisations,the impact on
organisations already existent must be examined and
considered. In case of a complete absence of
organisations and institutions, the creation of new
structures is necessary,and particular attention must be
paid to the aspect of their sustainability.

116
 Example: “Rural Organisations”
A workshop was held in May 1990 in southern Paraguay within the framework of land
use planning projects supported by GTZ together with advisors from various
organisations. Four working groups were dealing with, among other things, the
question “Which forms of organisation are existing in your working area?”. In former
discussions, limited, and in some cases, the non-existence of any form of
organisation of the rural population had been mentioned as major obstacle to
successful extension work. After the meetings, the working groups returned to the
plenum with surprising results. The organisations identified will be listed here in order
to demonstrate the diversity of organisations in the rural area.
First Working Group: Fishing and hunting club, “May Sun” sports club, Catholic
Church, Baptist Church, schools, parents’ committees, festival committee, transport
organisation, committee for electrical power, road-building, joint use of machinery
and exchange of products (e.g. in slaughter);
Second Working Group: Farmers’ committees, co-operative, government rural
advisory teams, regional agricultural research centre, regional study centre for Indian
matters, village and Indian communities, farmers’ groups in new settlements, landless
farmers on illegally occupied land;
Third Working Group: Church committee, social club, producers’ committee, health
centre, commission “pro construction of a schoolhouse”;
Fourth Working Group: indoor-football-club, agricultural school, primary and
secondary schools, community administration, political organisations (parties and
others), neighbourhood commissions, trade houses for Yerba tea and ceramic
products.

In this context, reference is made to the double

meaning of the term “institution”. Colloquially,
“institution” is often equated with a body of public or
private law. Here, however, the sociological term
“organisation” is more appropriate.“Institutions” in the
sociological sense designate bundles of generally
accepted norms, which regulate certain areas of life. In
this sense, traditional institutions are significant if they
have developed effective rules for protecting land
resources and settling conflicts.

Forms of participation in land use planning at

supra-village levels: “Scaling Up”

The majority of examples given have introduced

participation mainly at neighbourhood, village district,

117
 village and community level.They deal primarily with
local problems, which are manageable. Generally, co-
operation takes place between participants who are
well informed and motivated.
Some projects of Rural Regional Development (RRD)
try to extend their radius of action beyond the village
approach. LUP in this instance does not concentrate
only at village and community level, but at regional
level.Thus there is, to an increasing degree, a need for
forms of participation which are also useful for this
level, such as watershed areas, and which meet the
demands of inter-village and supra-village co-operation
and of settling conflicts.Land use problems of this kind
can often be solved only at higher levels (district,
regional, provincial, and national).
Delegation We are talking here about forms of participation,
which fulfil their purpose beyond the village level and
related duties. This includes inter-alia participation
processes which can be used in mediation between
competing neighbouring villages, between resident
farmers and nomadic livestock owners, between up-
stream or down-stream locations in a catchment area,
or between politically powerful and marginal groups in
a forest area. This means, however, that the specific
forms of delegation and representation of the
participants must be developed in supra-village-level
committees, as well as in forms of communication and
settlement of conflicts.

Involving government authorities in participatory

planning processes

Forms of participation and action are often only

developed in the co-operation process itself.
Organisations and institutions can also keep a transitory
nature, and be adapted and amended. Interest groups
which have formed in order to achieve a clearly defined
goal, e.g. to introduce and test a new land use system,
often fall apart after achieving the goal.When another

118
occasion arises, the participants can form a new group
of a different composition.
Of particular significance is the relationship of new
participatory institutions to the government
administration, since the sustainability of the
participatory planning approach depends on it. The
question of whether the participatory process is suited
to being incorporated in the local administration
structures or whether there is a danger of forming so-
called “parallel administrations”should be examined in
the initial stages.
In a series of projects with a LUP component in
Thailand, Sri Lanka, Mali, Kenya and Zambia,
government structures at supra-village level are
explicitly included as major participants in land use
planning or resources management. This is an
important aspect as far as institutional sustainability is
concerned. Planning institutions at supra-village level
(district, “Cercle”) are multi-disciplinary teams
composed of technical services for agriculture,forestry
and animal husbandry.Another form consists of mixed
groups of technical services and members of the local
government. Planning is carried out as a participatory
dialogue by the teams from the districts together with
the village contact partners.
This joint learning process promotes simultaneously
the qualification of the communities and the
government authorities or technical services at district
level.The technical services have for the first time the
opportunity to act without the narrow sectoral
boundaries of the ministries. Due to the intersectoral
character of LUP, the services are now able to develop
creativity in the sense of integrated resources
management. Thereby are, often surprisingly positive
working results achieved.

119
 Learning processes and the danger of demanding
too much

When the participatory/co-operative planning

process is put into practice, the participants in the
village, in the project and in the government services
together gain new knowledge and new skills. Other
viewpoints and attitudes are recognised, understood
and respected, and under certain circumstances, roles
are redefined.
Of major importance for the long-term success, for
the institutionalisation of the participatory process and
the sustainability of planning is the time component.
Learning processes have to be given time to develop.
However, care must be taken not to demand too
much.“Forced” participation, permanent marathons of
village meetings in the work-intensive season or setting
up committees for every issue quickly overstrain the
physical, mental and socio-cultural capacity of the
people and the local institutions.The disappointment
and resignation will be even greater if no visible
improvement in their lives within a short period can be
achieved.

4.5 Gender Approach in Land Use Planning

From the foregoing, it has become clear that a

detailed analysis and description of the participating
groups is a precondition for realistic land use planning.
The aim of the participatory process is to identify the
different interests of the participants in order to create
a basis for the negotiation and decision-making process.
Men and women often have different access to
resources, different opportunities of expressing
themselves and different interests because of their
economic and social roles as well as areas of work.
Therefore, gender is an important criterion of
differentiating target groups.In the project practice,this
topic is still dealt with in different ways and is discussed

120
Photo 7: The economic role of women: Women working as farmers in a rice field,
Sri Lanka.

controversially. It therefore appears appropriate to

examine closer the criterion of gender differentiation
and its effects on land use planning.

Why is it especially important in planning to

differentiate the participants into males and
females?

A few examples from the project practice will

illustrate why a gender-specific differentiation in land
use planning is not only appropriate,but also necessary
with regard to the interest of equal treatment and of
equalisation.
■ The interests and priorities of men and women in

land use can be different.

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 In Northern Benin, the top priority for young men
was to ensure a high soil fertility, even if the fields
were located far from the village.For the women,the
closeness of the fields to the village was of prime
importance because they have to manage the work
in the household as well as in the field.
■ Men and women have different scopes of action,
opportunities of expressing themselves, or decision
power, etc. Due to traditional conditions, women are
often legally and socially disadvantaged. They
experience difficulties to get their interests
accepted.
Given the increasing shortage of land, women’s
traditional land use rights are more and more
restricted, and they are pushed aside onto poorer
soils.
The increasing rural exodus or the seasonal
migration by men results in the cancellation of the
traditional distribution of work. Women have more
duties piled upon them, such as the complete
responsibility for providing food for the family
without receiving any rights for access to land.This
makes it difficult to carry out soil improvement and
other conservation measures.
Women can have a direct disadvantage by land use
planning projects (e.g.the loss of traditional rights of
land use, disadvantages when title deeds to land are
granted in settlement projects).
■ The introduction of new technologies or other
innovations can have various effects on men and
women due to the gender-specific division of labour.
Ploughing is mostly men’s work. Introducing a
plough with oxen yoke makes it possible to expand
the cultivated area. At the same time, however, the
burden of work on the women is increasing because
they are frequently responsible for weeding.
■ There is the opinion that the application of
participatory methods in the planning process,
negotiates and takes automatically into account the
interests of all stakeholders.

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 In practice, however, experience has shown that the
needs of women are often not integrated into the
discussion process, unless this is specifically
proposed due to the project design.
■ The integration of women into the planning process
requires special considerations and additional efforts
in order to overcome social barriers.
Women are often not organised. Due to basic social
conditions, they are generally not used to express
their interests in public and are therefore overlooked.
Women often do not perceive their central role in
agriculture, but see reflect their role as “an assistant”
to the man (Guatemala). Therefore, they do not
consider it as necessary to participate in the planning
process. In addition, the fact that they have a heavy
workload makes it difficult for them to participate in
planning workshops.
They are rarely included in advisory and further
education measures and have therefore little self-
confidence in dealing with external advisors. They
are hardly institutionally involved in any decision-
making processes and represented in committees.In
addition, there are language barriers when the local
language is not the national language (Maya and
Spanish in Mexico). Partner organisations in the
Technical Co-operation mostly fail to give priority to
the participation by women.Mostly the men,who are
employed in these organisations as consultants,
planners, etc., and, for socio-cultural reasons, have
either no access to women,or have difficulties to get
access.
Due to their gender roles, women rather than men
are disadvantaged in planning process. Thus the
following paragraphs deal mainly with the problems
of a higher degree of participation by women.

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 What results are expected from an increasing
degree of participation by women in land use
planning?

A precondition for the appropriate consideration of

women in planning and in balancing measures are the
visualisation of their diverse areas of work, their
problems and problem-solving strategies within the
framework of the situation analysis and related
discussions. If women play an active part as a major
group of resource users than better planning results
will be achieved. So, the reality in how the land is
recently used is reflected and the sustainability of the
implemented measures will be ensured .
One result of land use planning must be to secure the
access to land for women according to their roles and
areas of work. Including them in the planning and
decision-making process, e.g. the work in committees,
their competence in negotiations is promoted.
Empowerment of women is an explicit objective of the
Technical Co-operation.
By sensitising and advising partner organisations on
a gender-differentiated working practice within the
framework of land use planning, the quality of their
work will improve in a sustainable manner.

Analysis of the working conditions of women as a

basis for their participation

A precise analysis of the working conditions of

women is a pre-condition for the development of short
and longer-term strategies for the participation of
women in land use planning. The socio-cultural
conditions play a role in determining the form and
intensity of participation of women and can cover a
spectrum from direct participation to a representation
group of women’s interests. It is important to develop
appropriate strategies together with the partner
organisations. On the one hand they must be managed

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by them, and on the other hand, this opportunity must
be used to sensitise and further educate colleagues (on-
job training).

The following key questions are helpful in the Key Questions

analysis:
1. Which institutional, legal, social and cultural basic
conditions promote, hamper or exclude the
participation of women in LUP?
2. Do the partner organisations advocate the
participation of women, and do institutional
preconditions exist to initiate and institutionalise
participation of women? Is the related political will
existing?
3. Which working conditions can be influenced by the
project?
4. Can the project influence the granting of land title
deeds or the allocation of land to women, e.g. within
irrigation systems?
5. Can the access to means of production and credit by
women be improved?
6. Can the employment of women, e.g. as advisors, be
proposed or be negotiated?
7. Is a further education on the topic of gender for the
colleagues of partner organisations useful?

Methods and procedures for promoting

participation of men and women

Some positive experiences from various projects are

presented below3. Team members should know the

3 See, e.g.: Griffin, John and Frischmuth, Christiane: „Land use planning
for improved natural resources management: Approaches, experiences
and ideas from Siavonga, Zambia“, 1994. Kerstan, Birgit: „Introduction
to the Gender Analysis Method: Aims, Categories and Tools“, May 1993
Seidemann, Sabine: La Promocion de la Mujer en el Proyecto de
Desarrollo Rural Regional Los Llanos, La Rioja/Argentina, 1993.

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 methods and techniques of the gender analysis, i.e. an
analysis of a gender-differentiated situation.This includes:
■ Drawing up activity profiles:Who does what?

Who invests how much time for which activity?

Who earns what income doing which activity?
■ Working out profiles, allowing to identify the

situation concerning the access to and rights of

disposal of resources, such as land, capital, markets,
information, consultation, etc.
Who has what access and which rights?
Who makes the decisions on the type and extent of
the resource usage? In which areas there are
imbalances between men and women and what
effects do they have? Does this cause disadvantages?
■ Drawing up participation profiles:

Who is member in which organisation and in what

function?
Who participates where and how in decision-
making?
In this context it is also important to recognise
interactions, agreements and exchange relations
between men and women, such as e.g. mechanisms of
distributing income within households, as they can be
potential links for further negotiations. For example, in
Northern Benin, men sometimes help women with
fieldwork in return for hoeing weeds in the men’s
fields. In Northern Ghana, women who help their men
harvesting crops for sale are paid directly.For example,
in groundnut cultivation areas they receive a part of the
harvested nuts.
Women are not a At this point, it must be warned not to generalise.
Homogenous Target Women are not a homogeneous target group either,
Group since their roles, fields of work, positions and thus also
their opportunities to articulate differ very much,
depending on the region,their ethnic group,age group,
education or economic power.There can be conflicts
amongst women, which have manifold origins. For
example, tension can arise between members of a clan
and the members of the husband’s family.Single women
have a different status from married women.There is

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 Example: Argentina
Within the framework of a resource management project in North-West Argentina, the
formation of village committees was encouraged. In various village meetings talks
came up about how important it is to elect women to the village committee in order
to ensure that their interests are represented. However, no woman declared being
willing to be elected. The women argued that they could not do this, because they
did not know how such a committee functions. Also, they would not have the
confidence to discuss with other village representatives and possibly take
controversial standpoints. At the same time, the project had started to organise
sewing courses at the request of the women in one village. This was intended to
create the opportunity for them to have an income. The courses were a source of
controversy within the project team, which did not want to promote “typical” women’s
activities, but rather their participation in local decision-making.
After long discussions, it was decided to use the sewing courses also for making
women familiar with questions of organisational development, representation of
interests and dealing with finances. After only one year, some women felt in the
position to work in the village committee. Two women were finally elected.

also the aspect of belonging to different socio-

economic levels; conflicts between rich and poor
concern also women.
The chosen forms of participation must give to
women and to men the opportunity to express
themselves. Additional measures will be necessary in
order to motivate women to represent their interests.
This can happen by institutional support, but also
applying measures aimed at building up trust in other
areas where forms of participation are being tried out.
There were positive experiences in many projects, Work in Sub-groups
that part of the work was carried out in homogeneous
sub-groups, in order to make an open discussion
possible. Simultaneously, differences in perception and
positions were worked out and discussed. Due to the
distinctive division of working areas and
responsibilities between men and women, working
separately with women was mostly accepted without
any problem. The prerequisite is, however, that the
objective is plausible, e.g. discussion of the women
specific problems on the basis of the division of work
according to gender. Local forms of discussion and
competence or deficiencies must be taken into

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 consideration in this context.This also includes,e.g.oral
traditions, the often widespread illiteracy or the lack of
knowledge of the “official” national language.
For the reasons mentioned above,it is recommended
that methods and techniques of Participatory Rural
Appraisal (PRA) be applied separately according to
gender. The following instruments have shown to be
suitable especially for making gender-specific problems
and strategies visible:
■ Discussion of the village history:What has changed?

What have been the effects of the introduction of

new technologies? Who has benefited from this? Is
land in shorter supply? Have the soils become
degraded? How have the changes affected men
and/or women? What are the perspectives?
■ Drawing various maps: the village, the land and its

owners as well as its users,the fields with distribution

of use and infrastructural installations. This gives a
clearer perception of the milieu and the areas of
activity of men and women;
■ Drawing up gender-specific work calendars;

■ Preference ranking.

However, above all, work in separate groups is to be

seen as a preparation for discussions with the entire
village during which positions are made clear and
compromises are worked out.Depending on the socio-
cultural context, women should present and discuss
their results or – if this appears impossible – by
delegation. It is important to set a sufficiently generous
time frame for this purpose so that learning processes
can take place.
It must be ensured that all information reaches both
men and women.As experience shows that men often
do not pass information on to their women, invitations
to meetings should also be addressed directly to the
women. It has proved useful to identify female contact
partners in the village who convene the meetings.The
venue, time and duration of meetings must be chosen
according to the mobility of the women and the time
they have available.

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 Participation by women should be encouraged when
committees are formed, e.g. as representatives of
certain user groups. It makes sense to discuss the
chosen forms of participation with the local
organisations, which deal with the promotion of
women.
In the case of government interventions, such as
granting land title deeds, women should also be
considered as special stakeholders. Depending on the
context, it may be appropriate to bring the arguments
of a “women’s quota” into the discussion.
In summary, it can be said that generally all methods
and procedures are suitable if they promote the
participation of disadvantaged groups, which are weak
at expressing themselves.However,the procedure must
be adapted to suit the framework of the general
conditions and reflect the milieu.No artificial scenarios
should be created.The viewpoint and intentions of the
project are important: Are women perceived at all as
land users? Is there any intention of allowing them to
participate actively in land use planning? Where there
is a will there is a way!
In order to observe the effects of LUP on different
groups of participants, a gender-differentiated
monitoring of the effects must be established.

Example: Paraguay
Within the framework of a settlement project in Paraguay in an uninhabited
area of forest, land was consciously given also to single mothers. However, the
women, who all still had small children, were not able to do the heavy work of clearing
the forest, neither did they have the financial means to employ labour. Therefore, they
were not able to cultivate the land. They also had no social protection. After one year,
most of the women had given up. In order to help them out of their economic misery,
it would have been more sensible to help them looking for land in their old villages
(traditionally, neighbours or relatives make land available to single mothers). In
addition, the arrangement of lines of credit which would have made it possible for
them to buy seeds, fertiliser, if needed pesticides, or to employ outside labour as well
produce cash crops -in this case cotton, would have been supportive to them.

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130
5 Implementation in Land Use
Planning

This chapter is guided by the principle that LUP

without implementation is a waste of time and energy.
In this process, measures taken must primarily be
oriented towards the working rhythms and learning
processes of the beneficiary population, i.e. the main
actors in the implementation process.It often proves to
be disadvantageous to force the plan implementation.
It is for this reason that the implementation occurs
within the framework of partial implementation plans
which are agreed by the participants for realistic time
periods. Partial implementation plans should contain
attractive goals and adapted to suit the volume, which
can be achieved by the beneficiary groups.
Since the implementation will increasingly take place
within the framework of decentralised (administration)
structures,capable colleagues must be prepared for the
new assignments. This can be done through
consultation and training. At village level, checking
mechanisms must be established and encouraged. A
prerequisite for this, and for ensuring incentives and
compensation, is the viability of at least a rudimentary
legal framework. In certain cases in which the target
group does not adhere to agreements for the
implementation despite available capacity, it should be
even considered to (temporarily) break off the co-
operation with a village.
Lead agencies for implementation are mostly state
authorities or regional development bodies. The
following basic principle applies: integrated planning,
sectoral implementation. There is a strong
interdependence between the volume of investment,
the sources of finance, the implementing institutions
and the form of participation. The implementation is
monitored and controlled with the help of a M&E
system on the basis of commonly fixed indicators.
Whereas “physical” results can be easily measured and
judged, the tools for “measuring” (learning) processes

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 are still underdeveloped. In M&E, beneficiaries should
not only fulfil the function of data collectors, but also
be able to bring about timely corrections in planning.

5.1 From the Land Use Plan to its

Implementation

In projects dealing with land resources management

and rural regional development there are different ways
of carrying out measures. Experience has shown that
especially the implementation of any relevant measures
for wide areas needs also to be planned as such.In many
cases,however,the need for planning becomes evident
only due to the directives for the implementation.
The framework for the changes to be made is given
by the land use options, depicted and described in the
land use plan,by the agreed regulations on land use and
by the associated investments,both in terms of finances
and labour. It is not rare that the amount of planned
intervention exceeds both the available labour of the
target population and the budget. Although the
implementation of a land use plan could be speeded up
by other development organisations by providing
additional external labour and finances, it is not
desirable. Explicit reference should be made to the
necessity not to force changes or to implement too
quickly.Time must be given to reflect and absorb.The
life rhythm of the beneficiary population should be
respected.
The implementation of the plan is the real and
original task of the target population. External support
should only consist of friendly advice and the provision
of materials as well as specialised know-how, which
would otherwise not be accessible or affordable to the
target group.The assignment of the project is restricted
to testing measures,but in no way to carrying them out
over a wider area.
It is important for the implementation that the
measures have a binding character,i.e.the nature of the

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superior directives (e.g. identifying protected zones),
the dynamics of changes of the general conditions
relevant to planning and implementation as well as the
participation by the intervening authorities. The
implementation should be organised in such a way that
the authorities concerned can participate in the
measures according to their sectoral orientation.
The content and kind of the measures can be
arranged according to different criteria,as they can also
be combined.The selection has a decisive effect on the
implementation process:
■ Individual measures can be “spot measures” or can

cover wide areas;

■ Measures can aim at changes in behaviour of people;

■ Measures can be of short, medium or long-term

nature.
In addition, a differentiation is made among:
■ technical measures (erosion protection,
infrastructure);
■ administrative and legal measures (laws, granting

land titles);
■ institutional measures (creation of committees,etc.).

5.2 Implementation in the Form of “Feasible

Packages”

Adapting the plans according to the willingness and

potential of the target group means generally that the
technical interventions will be broken down into
“feasible” packages.These have a fixed time frame and
concern annual and bi-annual implementation plans.
Therefore,there is no single “implementation plan”,but
a series of successive partial implementation plans
which together contain all of the intended
interventions.
When drawing up the individual partial Partial
implementation plans,attention must be paid to ensure Implementation Plans
that these contain short as well asmedium and long-
term “attractive” interventions in approximately the

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Tanzania as an Example
In the Handeni Integrated Agroforestry Project (HIAP) in Tanzania, measures in
the field of sustainable land use are implemented as early as possible. Applying a
twofold strategy, first measures are developed and implemented with user groups in
an early stage simultaneously to the “village LUP”. By taking the catchment/user
group-approach, the aim is to apply sustainable land use practices and to cover large
areas of connected fields belonging to the user groups. However, this cannot be
applied to areas, which require communal planning, such as in potential conservation
areas.
Using the second approach: ”participatory village-level land use planning”,
boundaries of areas with different land uses should be identified, such as agroforestry
areas, arable and pasture lands, conservation areas, areas reserved for special use,
etc.
Both approaches complement each other. They should guarantee the protection and
sustainable use of the natural resources. So, the available capacities of all participants
can be better used, in a step-by-step procedure in the planning and implementation
process.
Overview of different stages of HIAP’s twofold approach

Introduction of
HIAP

Situation Analysis Participatory

Rural Appraisal

Strategic Planning at
District Level
(HIAP/District)

Participatory Village Participatory Participatory

Level Land Use Catchment Planning Planning
Planning Catchment/User Group
Level

Workplan Workplan Implementation

Community Level Group Level

134
same ratio as the entire plan intends.This will give the
project the opportunity to offer a sustainable and
attractive mixture to the target population for each
implementation period.
In the first few years it should be avoided to
implement only the most attractive measures due to
their profitable short-term character.An example of this
would be the initial installation of irrigation schemes
and the afforestation,with slow-growing trees in a later
phase.In this way,especially the ecologically significant
interventions, which after all often represent the
”ideological engine”of land use planning,would be left
behind.This danger is reinforced due to the fact that in
the eyes of the village beneficiaries long term benefit
interventions have often a very low ranking. Many of
these measures will only be carried out if and when the
necessary motivation is created due to a dialogue-
orientated partnership co-operation.
If it should emerge that even the partial
implementation plans exceed the potential of the
beneficiaries and therefore some planned interventions
remain unachieved towards the end of an
implementation period, appropriate conclusions must
be drawn.The progress in working out adapted partial
implementation plans will be slower and more realistic.
It is worth to consider also labour-saving techniques
(e.g.direct seeding of trees instead of planting seedlings
from a nursery).
Crises and conflicts will occur again and again in the Flexibility and
implementation process.The motivation to co-operate Creativity
will fluctuate both in the beneficiary group and
amongst the advisors.The course of a project, be it in
planning or in implementation, is rarely a smooth
process, which can be planned to the last detail. Many
things are predictable, but some occur unexpectedly.
Special labour peaks during sowing and harvesting
times must be taken into consideration. In addition,
traditional festivals and other special events will occupy
the attention of stakeholders temporarily.During those

135
 times, the project team has to be flexible and show
understanding.
A high degree of creativity is required in order to find
new motivation mechanisms. However, if it is still not
possible to continue with the implementation, the
following procedure can be proposed.
Crisis Management Partial implementation plans cover a relatively short
period of time (1 – 2 years). If the beneficiary (target)
group does not achieve what has been jointly agreed,
the co-operation with the village can be interrupted or
even terminated without any important binding
obligations on the project. The short-term nature of
partial implementation plans create obligatory breaks,
but the target group should be aware of. Such an
interruption can be limited in time.Often are 1 – 2 years
sufficient and neighbouring villages will have advanced
visibly. In this way, the motivation can be recreated, so
that the co-operation can be taken up again.The project
has so only a contractual obligation vis-à-vis the village
within the framework of the present partial
implementation plan.
Preparation for the If it is not guaranteed that a project, which has
Implementation initiated and finalised the process of participatory
planning is also active in implementing, then special
precautions must be taken.A minimal objective should
be to provide further technical service to the
indigenous planning agencies, which were qualified
during the initial project work.In such a case,it is often
possible to identify complementary national or
international financing partners and to involve them
into the project at an early stage. Ideal conditions can
be offered to those partners, and available finances can
be used directly in the implementation without a
comprehensive preparation. This is a situation which
many international donors, especially in financial co-
operation, should wish for themselves and their
partners.

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5.3 Implementation Strategies

The effective implementation of a land use plan is the

task of the intervening governmental and non-
governmental organisations in the region. Planning
projects should stimulate this implementation and
support it technically, e.g. the development of
implementation strategies, financing concepts and
process controlling systems. This is a step-by-step as
well as a participatory process.

Important elements of implementation strategies

There is no doubt that individual measures aimed at Mixing Measures

short-term economic yield are initially the point of
interest of the stakeholders. While planning the
implementation,short,medium and long-term effective
measures must be combined with each other according
to their economic attractiveness. So, not all “profitable”
measures will be implemented only at the beginning or
only at the end.
In the initial stage, the plan implementation is Direct Implementation
accompanied by the project. In this process,
experiences with the implementation management are
being recorded and processed for further
consideration. Partners of the project are prepared
specifically for the implementation assignments.
The implementation and related monitoring of the Indirect
planned measures should be transferred by the project Implementation
to the local program partners (government
organisations, NGO’s or self-help groups) as soon as
possible. Periodic evaluations, in which all program
partners should take part, create the basis for the joint
learning based on the experiences gained during the
implementation.The strengths and weaknesses of the
partners can be identified, proposals for an
improvement drawn up and the need for further
education defined. Also, a redistributing of
responsibilities is possible.

137
 Photo 8: Erosion protection carried out by the villagers as part of the implementation
of a land use plan (Niger).

Decentralised Independent on the planning and negotiation levels

Implementation selected,the implementation of the plan will be always
decentrally organised via local structures. If needed,
support can be given externally. Even basic national or
regional directives are focused on changes in land use
which are made locally,or on the termination of certain
undesirable land use practices. This means, however,
that organisations and institutions should be
established, reinforced or co-ordinated at local level, in
order to guarantee the plan implementation. However,
decentralisation is not always and everywhere useful.
This applies particularly to legal initiatives.The creation
of a natural conservation law as the result of the land
use planning process serves as an example.
Participatory It would be optimal that those organisations,
Implementation institutions and beneficiary group representatives,who
have planned locally,also implement the LUP measures

138
together with other stakeholders. The ideas of
individuals (household,large family) should,after being
adapted to the local overall concept, be considered, in
order to take into account ”hidden”agendas in the field
of land law, traditional land use regulations, etc.
Implementation should be organised sectorally Sectoral
during both the initiation and the pilot phase, and Implementation
finally in the whole area by the local partners. The
responsible authorities are entrusted with the
implementation according to their sectoral orientation.
Broad impacts can only be achieved by an efficient Implementation
implementation management.Thus, extension plays an Management
important role, both in the pilot phase of the project
and during the implementation by the local partners.
Effective land use planning is closely linked to the
abilities of the participating organisations, groups and
individuals.
The implementation of an individual measure Know-how of the
requires know-how in the groups at various levels: the Participants Involved
target group, the technical extensionservice and the in the Implementation
decision-makers at regional and national level. This
applies to the establishment and the administration of
a protection zone as well as to the large-scale
implementation of measures in land resources
management. In addition to the consultation of the
implementation management, practice-oriented
training and further education measures, which are
adapted to the needs and capacities of the participants,
are also project activities.
Planning is a sequential description of measures to be Concerted Action
taken in all areas which are affected.The same applies
to the implementation: prescribed negotiation and co-
ordination steps are to be carried out in a certain
sequence.For example,in planned activities to increase
the production in agriculture, the increased costs for
transport, storage and marketing can be taken into
account.
Local controlling mechanisms are an important tool Local Controlling
for ensuring the decentralised, participatory and Mechanisms
concerted implementation of the planned measures.

139
 Mostly, these mechanisms have to be developed in the
beginning. This requires time for the development of
such an controlling mechanism and related tests.
Examples of such mechanisms are duty books or
overview tables, which describe the activities,
participants,time and quantity in carrying out a measure.
Transparency is ensured by displaying these in public.
Conviction and Both aspects, conviction and voluntary action, are
Voluntary Action basic principles in land use planning. They apply
without restriction also to the implementation, and
even in the process of sensitising stakeholders for the
participation in the program.
Minimum Legal A legal framework is necessary for controlling as well
Framework as ensuring incentives and compensations. The legal
frame should be kept as simple and transparent as
possible.It contributes to achieving the sustainability of
the land resources protection measures.

Legal tools in the implementation process

Any existing legal framework should be used and

taken into consideration during the implementation of
a land use plan.This makes it generally easier to achieve
a consensus and to support it. Examples can be given
as follows:
■ Town and Country Planning Act in Malaysia;

■ National Land Use Planning Commission in Tanzania,

Act of Parliament;
■ Land Development Act in Thailand;

■ Soil Conservation Act in Rwanda;

■ Soil and Water Conservation Act in Uruguay;

■ Land Consolidation Act in Indonesia.

Different countries with substantial small

landholdings have developed special tools for land
tenure and the implementation of land use plans. In
Indonesia, the active participation by those affected
and their high plan approval rate (85%) was made a
prerequisite for implementing plans (Land
Consolidation Act of 1988).

140
5.4 Organising and Financing the
Implementation of the Plan

General considerations and remarks on financing

Implementing planning results and/or evaluating

them implies automatically changes in the previous
land use pattern in peri-urban, rural and village areas.A
plan has not a purpose in itself,but is an instrument for
achieving useful and sustainable land use; it is not an
objective but a tool to achieve an objective.
Consequently, if the means for the implementation are
short or even lacking, a debate on general principles
should be held even before the plan is drawn up.
Appropriate decisions should be taken on the basis of
the available or potential financial framework.Without
this security,even a well established plan will soon face
financial bottlenecks, and it will be not possible to
implement the measures.In addition,organisational and
institutional aspects of the implementation must be
considered by all means before a plan is drawn up.The
circumstances in the institutions of the region and its
vertical structure (of state authorities) represent
important conditions for planning and implementation.
The contents, the scope and the arrangements of the
measures prepared in the plan must consider these
institutional conditions.
Whereas a small-scale plan for a micro-region has
modest financial claims on its implementation, higher
costs must be expected for the implementation of a
large-scale land use plan from the early beginning. In
addition, the differing complexity of plans also
influences the costs of the implementation.
Typical minor measures are:
■ education and extension programs for participatory

land use planning;

■ legal consultation;

■ drawing up micro-regional development and

investment plans;

141
 ■ participatory approaches to organise the
local/regional implementation of the plan;
■ minor interventions in irrigation schemes (drainage,

small-scale irrigation, supply of drinking water, etc.).

Sources of Financing Potential sources of financing are rural development
projects which often have a small investment fund at
their disposal, well developed contacts with the local
population and provide finances relatively quickly and
without administrative problems. Additional sources
come from local NGO’s, sectoral ministries or
development funds. However, these means are very
limited,and can often offer only additional financing.In
general,these are fed from bilateral or multilateral credit
lines.
Measures, which are linked to a greater investment,
for example for road and bridge building, damming of
rivers and enforcement of riverbanks,require individual
finances,partly of high amounts.Special projects,which
are financed bilaterally or multilaterally, special
development funds or regional bodies having
appropriate means, and sectoral Ministries, might
finance these measures. Concerning communal or
regional investments for land resources conservation,
or for increasing or stabilising the production capacity,
the explicit participation by benefiting stakeholders in
form of labour, materials or capital is common.
Large-scale investments in form of building water
reservoirs or setting up national parks, which by
necessity result from land use plans and which are
technically comprehensive, can cost a large sum of
money. In general,these costs are borne by the bilateral
or multilateral financial co-operation or are fed by
externally financed sectoral or regional development
programs.

Institutional set-up

Based on the investment demands to be considered

for the implementation of land use plans,it emerges the

142
question of the formal realisation.If the implementation
is linked to an outflow of or to extensive financial
means, there is a considerable organisational and
administrative process involved. This additional task
cannot be accomplished as a sideline by only one of the
participating organisations.The organisation in charge
of the completion of investments must make additional
capacities available. If necessary, the project must plan
an objective-oriented training and further education in
order to improve the capacity and motivation of the
implementing organisation.
The responsibilities for planning, implementation,
financial and administrative completion can be splitted
amongst two or three different organisations. It is also
possible to concentrate it in one organisation. For
example the planning agency, the implementing
organisation itself or a new institutional structure to be
created can take over the complete assignment of a
single investment. In principle, the implementation is
carried out according to the sectoral orientation of the
participating bodies. The basic principle is: plan
together in an integrated way,but implement sectorally.
The implementation of the plan should be done by Use of Existing
an already existing organisation. Preferably, Organisations
organisations should be selected which are not at the
same time also responsible for the financial and
organisational completion of one or more main plan
components.This prevents internal animosities,and the
organisation can concentrate on the main assignments
of the program management.
In an ideal scenario, existing regional development
bodies take on the leading function in carrying out the
measures, and set up appropriate co-ordination
mechanisms (steering committee, regional
development council). If there is no suitable set-up
already in place, one of the participating organisations
must take on these assignments. Usually, this has to be
a state authority. If this is not promising, a new
organisation has to be created which is, however
temporary in nature. Nevertheless, it should have the

143
 necessary organisational, material, financial and
personnel capacities. Irrespective of which option is
finally selected, all participants must together establish
the following:
■ functions

■ responsibilities

■ planning systems

■ co-ordination systems

■ checking systems

■ tools and mechanisms of sanction.

Minor pilot measures or those aimed at building up

trust can be carried out by the local population through
self-help groups,co-operatives,farmers’organisations or
local NGOs. It is also possible that companies in the
private sector or individual extensionists take over this
part. With increasing investments and technical
complexity, it makes sense to contract special private
institutions. Governments or private implementation
organisations will then concentrate on the supervision
and monitoring of the process.
Lead Agency The technical and administrative requirements of the
responsible organisations carrying out the measures
are varying. This makes it necessary to use the
appropriate examining and evaluating tools, in order
both to examine the qualifications of individual
organisations and to ensure the most efficient co-
operation possible.These instruments are used by a so-
called lead agency,which also carries out the individual
measures and supervises the conclusion of contracts
with private companies or individuals. Inter-
dependencies and recommendations for financial and
institutional completion of planning and
implementation are summarised in Figure 5.It becomes
clear how broad the range is with respect to
organisations carrying out measures, mechanisms of
completion and the conditions, financial sources and
requirements.This range can be explained by the nature
of the extremely diverse investment requirements.Each
individual case requires functioning mechanisms of co-
ordination and checking.

144
Figure 5 Summary of the Major Aspects of Financing and Organising
the Implementation Investment (Volumes)

Object of Minor Activities Medium Activities Large(-scale)

Financing Investments
■ micro-regional ■ regional/dept. ■ large-scale land
development development use plans
plans plans ■ regional infra-
■ consultation/ ■ drainage structure (roads,
extension ■ irrigation bridges, electrifi-
■ further education ■ road and bridge cation, etc.)
■ drainage building ■ national parks
■ small-scale ■ afforestation ■ river damming,
irrigation measures ■ resources protec-
■ resources tion water
protection reservoirs

Sources of ■ TC projects ■ development ■ externally

Financing ■ sectoral ministries funds financed (WB,
■ NGOs ■ sectoral ministries IDB, ADB, AFDB,
■ development ■ NGOs GDB, etc.)
funds ■ regional/sectoral
investment
programs

Organising ■ NGOs ■ govt. services ■ area bodies

Implementation ■ govt. services ■ private sector ■ sectoral ministries
■ private sector ■ area bodies ■ sectoral/regional
■ advisors/com- ■ NGOs programs
panies
■ self-help groups
■ co-operatives

Institutional ■ less institutional ■ institutional pre- ■ high-grade

Prerequisite prerequisites requisites technical
■ technical ■ specific know- specialisation
■ organisational ledge and expe- ■ application of
■ administrative rience required social techniques
■ good access to ■ technical in planning and
the target group ■ organisational implementation
■ administrative ■ evidence of
■ to be checked in appropriate
detail experience

Form of tender ■ Implementation ■ contracting of ■ international

Implementation with sole specialised ■ contracting of
responsibility companies in the specialised private
■ contracting private sector companies
■ sophisticated
super vision
techniques

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 Planning and its implementation appear to be
promising if and when individual assignments are
delegated. The priority contact partner is the private
sector, on condition that it is functioning. In this
instance also, responsibilities must be fixed in a
contract. The state reduces its role to functions of
standardisation, planning, financing and checking.

5.5 Controlling the Implementation of the Plan

by Monitoring and Evaluation (M&E)

Both the project as an independent structure in

terms of organisation and administration, and the
partner organisations participating as well as all other
groups which work in planning and implementation
need functioning tools of control.They must be able to
accompany, check, evaluate and, if necessary, correct
the implementation process of the planned measures.
M&E requires attention and causes costs as well as
work.There are only a few tested concepts to meet the
special demands of M&E in projects in which land use
planning plays an important role.
An M&E system must provide information to the
project management about the following:
■ which physical degree of implementation the
project has reached;
■ what ecological, social and economic impact
previous interventions have had on the beneficiary
population;
■ which measures have already been taken to “qualify

the indigenous partner” and other partners in co-

operation;
■ what costs have been caused by the process.

The precondition for using monitoring and

evaluation is the availability of a basis to which it can
be related. This basis is the land use plan, which has
been drawn up, and the M&E system should influence
the process of its implementation.Therefore, it should
be talked about planning, monitoring and evaluation

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(PM&E) and not only about M&E. The detailed
discussion on land use planning in the previous
chapters,will be followed by paragraphs concentrating
on M&E.

Conception and organising M&E

When establishing the content,frequency and scope

of the data and info to be collected, one often goes far
beyond the actual requirements.This happens both due
to a lack of experience and due to the fact that M&E
indicators are sometimes difficult to define.It should be
warned for an M&E approach aimed at monitoring all
project activities. Generally, such an approach cannot
be implemented,or it quickly comes to a “M&E fatigue”,
i.e. it is terminated sooner or later.
Even the frequency with which data and info are
collected, often exceeds the processing capacity of the
recipients. Only very little information is required at a
monthly or even weekly basis. Often, the collection
every 3, 6 or 12 months is enough.
Data from the technical field – such as data on Collection of
climate, erosionmeasurements or the results of growth Additional Data and
– have absolutely no place in a M&E framework.They Information
are recorded separately. The results are given in a
summarised form to the project management
(environmental monitoring). Data, which require an
objective-oriented and more in-depth analysis, for
example about the social effects of certain measures,
are better elaborated in special studies.If the necessary
expertise for this purpose is not available in the project,
this requirement can be covered by specialists outside
the project in larger intervals (1-3 years). Ecological
monitoring can be organised with support of satellite
images or aerial photographs, or by means such as
transect walks every 4 to 5 years in a series of spot
studies.Once such external assistance is terminated,the
ecological monitoring should be continued over a
period of 5 to 10 years.

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Conscious Restriction The flood of data and information, which is in any
case overwhelming must be consciously restricted
within the regular data collection for M&E. Ten to
fifteen key data are sufficient for this purpose.There is
no standardised and generally binding
recommendation for selecting data,but it should be laid
down from case to case in consultation with
experienced external specialists.
Analysis and A frequently observed weakness of M&E is the lack
Consequences of an analytical processing of the data and information
collected.Thus, the tables of figures, which are passed
on, remain unused, the M&E system becomes a “data
graveyard”. It takes a considerable amount of specialist
knowledge and time to compile project relevant
knowledge from the data collected. However, the
project management often has neither the knowledge
of a specialist nor the time for this. A direct
consequence is the users (including partner
institutions) and the project management are unable to
take corrective steps, and the necessary interventions
in terms of both time and technical aspects will fail.
The analytical processing of the data collected is
therefore a necessary component of M&E. The data
must be presented in a short report which can also
contain recommendations or warnings. It is the task of
the project management or the state authorities at
district level to arrange for such reports,and determine
their form.

Steps for introducing an M&E system

The following process and preconditions must be

established for an accompanying check based on M&E:
1. The availability of a planning document (land use
plan including the necessary explanations),in which
objectives, results, activities and an outline of
quantities, have been discussed and co-ordinated
together with all participants;

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2. Submitting an organisational document, which has
been co-ordinated and agreed amongst the
participants (role distribution; additional support in
form of money; material and labour; competence;
time planning);
3. Proposing the necessary information and their
indicators, as well as the details of data collection
(when, how often by whom, quality, quantity,
analysis, presentation) for each level;
4. Identifying feedback and application mechanisms for
the project management, and the appropriate
interventions and corrections by the project
management;
5. Establishing a baseline at the beginning of the project
as a reference for changes made by the project.
Tools and key indicators
Since the demands of the system and the related
decisions to be made are different at each level,also the
instruments and indicators have to be adapted. They
should be compatible between the levels.
At communal level preference is given to the use of Community Level
forms to be filled in by hand. It is reported from Latin
America that ”talking maps” (“mapas parlantes”) have
proved to be a very helpful tool for the
dynamic/periodical self-diagnosis and documentation
of changes in land use.
The hand-written monitoring sheets (“fichas de District Level
seguimiento”) or an aggregate of them can then be
transferred to data carriers for the purpose of an
analysis, in order to inform about the implementation
level and to be processed for forwarding to higher
instances.A participatory method of analysis should be
established which is able to implement the results
directly in situ without waiting for instructions “from
above”.
The tools at project management level are oriented Project Level
towards the analysis of the aggregated data.These refer
to the set of objectives identified in the plan.Taking into
consideration a balanced relation between input
(personnel, time, material) and output, the

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 opportunities offered by the electronic data processing
should be used.
In the M&E system, the indicators to be applied at
various levels depend on the directives both of land use
planning and of superior planning (e.g. ROPP). The
indicators refer to physical data on areas (hectares,
square km, etc.), type of land use (pasture, forest,
conservation area, fallow, settlement, industry, etc.),
yields, social objectives, degree of supply, etc. They
should be monitored gender-specific.
When selecting and defining the indicators it is
important to strictly apply strict rules of formulation.An
indicator must take into consideration the object of
observation, quantity, quality, as well as restrictions in
terms of space and time. In addition to the “hard”
indicators, ”soft” or subjective indicators are being
increasingly integrated, especially at lower planning
levels. Community representatives, female speakers of
groups and representatives of key organisations deliver
important information which makes it possible to
integrate the physical data in a qualitative context.They
provide information about the social settings of the
element being observed.

Data collection and direct follow-up

Generally at district and communal level, a ready

schedule or formula is used and the current status of
implementation, costs and directly detectable effects
are registered and forwarded to the project
management level. An appropriate training in the
general conception, the aims and the application of
tools is especially necessary at community level.If there
is no understanding for the purpose of this, such tools
in situ will be misunderstood as state control. Data and
information will be falsified, or the tools will not be
applied at all.
At management level, the data received will also be
analysed and aggregated using a prepared tool.Measures,

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which are required immediately, are implemented and
related documents forwarded, together with the
appropriate notes to the district level or the regional
level. Recipients and users of the information must be
clearly defined: target groups, district councils,
development councils or other organisations.
The “lower” levels have not only a “data collecting
function”. Depending on their competence, they also
take decisions or demand decisions of the bodies
located on the horizontal and vertical lines. In
organising the plan implementation, the following
elements must be established: the responsible parties,
competence and the authority to issue directives for the
different levels, participating organisations and the
authorities of planning, co-ordination and control.
Measuring physical factors and monitoring financial How are Processes
or material results is a long process but, if done Measured?
methodically, it is relatively easy.The process leading to
these results is,however,just as important as the results
themselves.How,using what means,tools and strategies
were the results achieved? Finally, the sustainability of
the results achieved depends also on the process.
But how can a process be evaluated? One important
weakness of project visits, checks or evaluations is the
fact that only punctual checks are possible. The
important dimension of the process in a project can
thus either not be recorded at all, or only inadequately.
In future, additional tools will be required, in order to
be able both to evaluate these processes and to
consider them better in an extended monitoring
system.

151
152
6 Project Organisation and Land Use
Planning

This chapter will deal first of all with basic questions

which should be answered by the project of the
Technical Co-operation before the actual start of LUP.
Often this will consider the following aspects:
■ the position of LUP in the project;

■ the introduction of LUP in various (current) project

phases;
■ the logistical and organisational prerequisites of

LUP;
■ the framework of general conditions to make LUP

feasible.
LUP is not a “project type”.The co-ordination and links
to other project activities are necessary,such as further
education programs, ROPP, trust building measures or
M&E activities.
The area considered by the land use planning process
is not necessarily identical with the project area.This
depends on the situation and the role of LUP. It can be
identified by natural criteria (watershed areas), by
different interests in land use (areas or regions of use
by beneficiary groups) or by higher authority
objectives (administrative units). Additional
amendments at a later stage to the size of the planning
area are possible.The size of the planning unit varies:
in LUP at village level, it ranges from an individual farm
household up to the community.
In order to keep the demonstration effect of “start-up
villages” in LUP as useful as possible, the distance
between the villages should be sufficient. Experiences
made in such pilot villages should not be imposed on
neighbouring villages as “pre-fabricated” solutions.
Land use planners can come from different
professional backgrounds. In addition to technical
qualifications (e.g. training in geography, agriculture or
forestry, landscape or regional planning), they should
have a good team spirit, the capability to organise, the
capacity to moderate and a strong commitment related

153
 to the field of land resources management. Depending
on the ranking of LUP in the project, manpower will
have to be employed in the long or short term. The
same qualification criteria apply to the partners.
Frequently, they need an additional education as well
as training measures.
In order to secure LUP financially, appropriate budget
planning and administration are required covering the
items personnel, logistics, planning aids, training and
further education, trust-building measures,
publications, public relations and travels.

6.1 Land Use Planning it the Project Planning

and Conception Process

Documents dealing with project planning and

project conceptions having a LUP component should
contain statements about the following aspects:
■ position of LUP in the project;

■ reference to the political development principles of

the Federal
■ Republic of Germany and of the host country (see

Chapter 2);
■ target groups of the LUP component (see Chapter 4)

■ incorporating LUP into the time frame of the project

(project phases, see Chapter 5.2);

■ logistical and organisational structures for the LUP

process (see Chapter 5.4);

■ links of LUP activities to other project activities (see

Chapter 6.2);
■ definition of the planning area (see Chapter 6.3);

■ personnel requirements and budget (see Chapter

6.4);
■ framework of general conditions (see Chapter 7).

In order to ensure an adequate formulation of these

contents, the participation of the target groups and the
LUP specialists in project planning workshops (ZOPP:
objective-orientated project planning) should be
guaranteed. In this way, account is taken of both the

154
participatory component of LUP and the technical
requirements.

The role of land use planning in the project

Land use planning can have different roles. In some

instances, it is the objective to systematise statements
on the land use potential and to contribute to the
awareness-creation of the beneficiaries. In other
projects LUP is the decisive strategic process in which
other project activities fit in. This should also be
expressed in the project planning, e.g. by mentioning
LUP at the result or activity level.
The question of the role and position of LUP in the
project is going to be clarified during the project
approach or the first project phase, e.g. related to the
objective-orientated project planning. In this case, the
project organisation is tailored to the needs of LUP by
providing the appropriate personnel and budget.
There are, however, a large number of projects in
which the need for land use planning arises only at a
certain stage.This may be a new idea, or it has existed
for a long time but never been articulated. It might
happen when the orientation of the project has
changed in order to consider more the projection of the
land resources.The project organisation is then lacking
important elements for carrying out LUP: the
formulation of appropriate activities, budgeting for
specific training measures, etc.
Difficulties arise, especially in a current project
phase. As long as the project conception allows it,
attempts can be made to implement short-term
measures by employing qualified external specialists.If
the need to incorporate LUP is recognised at the end of
a project phase, it should be ensured that the LUP
component is adequately anchored in the
conceptualisation of the subsequent phase by
arranging for the participation of appropriate
specialists.

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 Incorporation of the land use planning component
in the time frame of the project

Project Phases Land use planning is a medium-term process which

requires a careful preparation by creating awarenessof
the participating groups appropriately. Experience in
West Africa has shown that it takes 1 to 3 years before
a village land use plan is proposed and of long-term
duration. One or more implementation proposals
amend the planning.Generally,the plan is accompanied
by the project during several project phases but should
be continued independently by the partners once the
project is finalised.This results in the following specific
assignments, in a project planned in four phases, for
which a LUP component has been considered:
■ first/second project phase: preparation of LUP;

initial experiences with the implementation at local

level (pilot measures) in a pilot area; creation of an
information base for LUP at regional or district level;
■ second/third project phase: evaluation of LUP
experiences in the pilot areas; anchoring the pilot
measures as well as elaborating a local LUP in the
project region; drawing up superior LUP at regional
or district level; integrating LUP into the legal
planning framework;
■ fourth project phase: handing over of LUP activities

to the partners; organising training measures; plan

evaluation.
Depending on the project type and the position of
land use planning in the project, there might be
considerable deviations from the structure presented
here as an example.
Leaving Room for It is important to understand that there is a potential
Adjustments conflict between the iterative planning approach,a LUP
principle required, and the project planning structure
aimed at a regular balancing between the target
situation and actual situation. This conflict should be
taken into account when formulating results and
activities for the project, and when drawing up
operation plans. In addition, it should be considered in

156
discussions about the project implementation within
the framework of progress checks.However,the project
should be given the necessary room in order to adjust
the plan by justified changes. This depends on the
experiences made in the planning process.

Logistic and organisational structures for land use

planning

Depending on the role of LUP in the project, certain

logistics and organisational structures are required in
order implement the plan. Appropriate activities may
be: “To support by consultation the process of
organisational development of the partner resulting in
its ability to initiate, accompany and support LUP
processes” or “To encourage teams to support village
LUP by using extension personnel from local NGOs”.
The more significant LUP is for the project, the
greater is the need to create such structures. If it plays
a more subordinate role, it is more likely that the
necessary expertise will be brought into the project
from outside.This requires appropriate finances to be
provided.
In order to make possible and guarantee the Documentation
participation of stakeholders, the iterative planning Centre
process, transparency and an open dialogue, a
documentation centre should be established. The
structure and capacity of this set-up should ensure that
important information, findings, agreements and plans
are documented, processed and passed on in a form
which is appropriate for the participating groups. It
must be ensured that information will be circulated
within a fixed timeframe.This work cannot be done “in
passing” by a secretary. If the principles of LUP are
taken seriously, a qualified person must be foreseen for
this purpose.The work amount, however, depends on
the scope and the significance of the LUP component
in the project.

157
 The general conditions

Like any other project activities, the implementation

of LUP is strongly influenced by the framework of
general conditions. This must be taken into
consideration when developing realistic objectives for
the project and when formulating assumptions and
risks.In this process,an important tool is proposed:the
“indispensable minimum prerequisites” and the
“important prerequisites”(see Chapter 7).If major basic
conditions are not fulfilled, either the objective of the
project should be amended – in general, this means
formulating it in a more modest way – or basic
considerations must be made concerning the capacity
of the project to be implemented.The examination of
the general conditions should be conducted as an
activity during project planning and operation planning
before the plan is getting implemented.In this process,
reference can be made to the results of other planning-
related project activities.

6.2 Land Use Planning and Other Project

Activities

Land use planning is not a project type.Therefore, it

will never be a single activity of a project. A good co-
ordination and complementarity with other project
activities is of major importance regarding the success
of the project.
In the following paragraphs some activities which
are exemplary in their association with LUP are
presented from the wide range of possible
complementary activities:
Training Training of partner specialists, village extensionists
and participating groups is an important prerequisite
for the successful implementation of LUP.Experience in
LUP supports the realisation of certain training
assignments, such as an increasing planning
competence or environmental education.Here,the LUP

158
process provides the opportunity to the option
‘learning -by- doing‘.
On-farm trials and demonstrations of sustainable On-farm Trials and
forms of production and land resources protection Demonstrations
measures, which are carried out simultaneously to the
planning process provide valuable information and
findings on measures, of which the spatial allocation is
to be determined. Testing and dissemination of
measures which are simple and inexpensive to
implement,and with whose help improvements can be
made within a short period (e.g. green fertilisation or
“diguettes”) create trust among the participating
groups.This is necessary for the LUP process, which is
actually designed for more long-term effects. At the
same time, land use planning is an important
instrument supporting the full effect of the measures
promoted, since this results in a co-ordination with
other measures and an application in neighbouring
areas.
Regionally orientated programme planning (ROPP) ROPP
defines core problems and possibilities for action for
regional development. As such, it also contains
statements about the need for LUP as well as the
prerequisites and the framework of general conditions
for its implementation. ROPP will often be a working
step previous to LUP.This has been the case for example
in the Las Verapaces project in Guatemala.There, the
decision criteria for the project planning were given:
whether, when and in what way land use planning
should be carried out.
In addition,ROPP provides spatial data,which can be
useful for LUP and does not need be collected again.
Finally,ROPP initiates a dialogue to be continued among
the participating groups and relevant organisations.On
the other hand, due to the land use planning process,
strategic ideas in ROPP are getting transferred to the
implementation level.For the land use planning process
at regional or district level, ROPP offers information on
a potential regional involvement.If a superior planning
is lacking or if it is insufficient, ROPP provides

159
 information on areas in which there is a need for basic
directives. However, there are also cases in which
existing small-scale LUP at regional or national level
forms an important information base for ROPP.This is
the case in the Department of Santa Cruz in Bolivia.
Measures Aimed at Measures aimed at building up trust can also
Building up Trust contribute to an increase of the interest of participating
groups in more complex planning processes such as
land use planning.The following examples can be given:
support in legal matters, support in conciliation of
interests with large land-owners,support in negotiations
with authorities or carrying out small infrastructural
measures on a self-help basis.Land use planning provides
a decision-making base for an appropriate allocation of
these measures in the area.At an early stage, provisional
statements should be made about potential directions of
the development within the framework of LUP, in order
to prevent that the trust-building measures are contrary
to the objectives to be defined at a later stage.
M&E Monitoring and Evaluation (M&E) as a tool in project
controlling requires on the one hand information on
the situation in the project area at a defined starting
point (baseline) and on the other hand indicators
which can be recorded easily and regularly. The LUP
diagnosis provides important information on the
natural resources in the area at the beginning of the
project, and supports the development of simple but
meaningful indicators. Indicators, which are also
recorded within the land evaluation, can be used for
M&E as well. The M&E system provides important
information on the success of the implementation of
LUP at local level, on the evaluation of experiences in
pilot zones and for the plan evaluation.

6.3 Planning Area

Prior to or at the beginning of the diagnosis phase,

the boundaries of the project area have to be fixed
together with the participating groups and local

160
agencies. In general, these boundaries are identical to
the village and settlement boundaries of the
participating population. However, an orientation
should be the boundaries of the administrative body:
district, rural district, region, cantonment or
department.
The planning area is not necessarily identical to the Determining the
project area. There are differing views on how to Planning Area
determine the planning area. For a long time, the According to the
watershed areas were favoured as the ideal planning Situation
areas for projects related to land resources
management. In other cases, micro-regions or regions
used by the target groups or their organisations were
taken. Administrative boundaries such as areas of
responsibilities of extension services and the
boundaries of communities and districts can also be
chosen.
In general, it can be said that the boundaries of
planning areas should always be determined together
with the participating groups and the partner
organisation,depending on the situation and the role of
LUP in the project in situ. In this process,the following
criteria for reaching a decision are possible:
■ Areas of responsibility of the local or regional

planning agencies and/or of the agencies linked to

the project;
■ The areas used directly or indirectly (not only the

cultivated parts) used by the land users and

supported by the project. If the planning area is, for
example, a watershed area or a village area, and the
target groups living in the area also use fields, forest,
pasture, wild plants and water outside these
boundaries, the planning area must be extended
covering also these areas;
■ If a participating group represents an organisation

which is already well structured, then the planning

area must cover all those areas which are used by
the members of such an organisation;
■ In many countries there are already existing,
decentralised administration units at department,

161
 district, community or other levels. In such cases, it
must be examined whether the potential planning
area is identical to the areas of juridiction of the
related administration, in order to avoid the creation
of parallel administrative structures.
In the context of land use planning,the planning area
can never be limited in a rigid manner for all times.
Given the dynamic character of LUP, the boundaries of
the potential planning area can change. It can even be
extended over the period of the various project phases.
Pilot Villages It makes sense to initially enter into a planning area
step by step.Thus at the beginning, only certain parts
of a region will be covered. The start will be in pilot
villages (also called nucleus or test villages).The aim is
to test a procedure in some villages before a larger
intervention starts. Examples or demonstrations can
also be established with the intention to implement
measures in the whole area but only at a later stage,after
the end of the project,and with the support of partners
or other donors.
The special will for co-operation and self-help express-
ed by the participating population, i.e. the land users,
should be considered as an important and often decisive
criterion for the final selection of the pilot villages.
Subsequently, it will be discussed with the village
representatives in which units should be worked.The
potential units for village LUP are:
■ housholds;

■ hamlets (settlement groups without their own

administration);
■ villages (with appropriate official status);

■ communities (possibly several villages).

Positive experiences have been gained especially

with units which are not defined geographically
(watershed areas), but administratively. In this case,
responsibilities, boundary lines and motivations are
easier to clarify and incorporate.As a rule,“the village”
as a unit is a very practicable pilot unit, under the
condition that appropriate contact or planning
partners can be identified at this level.

162
 Further criteria, which should be considered to Selecting the Pilot
select pilot villages are: Villages
■ The pilot villages or groups should not only be

interested in co-operating with the project, but also

in carrying out LUP;
■ They should not represent a homogeneous group,

e.g. only landless farmers, only livestock owners,

only manual workers,only men,etc.,but they should
reflect the heterogeneity of the reality in the
planning area;
■ Strategic considerations should form the basis of the

selection in order to be able to

a) achieve the greatest possible effects with the
greatest possible number of target group families,
b)reach and support the greatest possible number of
target group families,i.e.for example not start with
remote areas,
c) use pilot areas for demonstration purposes to
spread the project work over the whole region.
If the effect of a demonstration in the pilot villages is
positive,then the villages,which are located next to the
pilot villages, will be involved in the program next.As
the experience of the project increases, villages, which
are more remote, can be step by step included in the
work. In this procedure, care should be taken not to
mechanically transfer the experiences from the pilot
villages. Villages involved at a later stage must not
become only recipients of models and of pre-fabricated
solutions to their problems. For each village, planning
should have new, individual and location specific
aspects. ‘Process orientation‘ means to use learning
processes as much as possible.
Involving the “follow-up” villages, the demonstration
radius of the pilot villages is extended.If there are large
areas in the project region which are not covered yet,
additional pilot villages are to be involved while
intensifying the project activities.These in turn have to
be surrounded by follow-up villages. Even the last
villages considered must proceed to the plan

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 Example: Mali
In 1991, 26 “test villages” were selected in Mali for a resource management project
according to the criteria of their capacity to represent the genral situation (at national
level). The following criteria were chosen:
■ covering the most important natural and spatial elements and units;

■ covering the major ethnic groups;

■ covering all major socio-economic groups (arable farmers, livestock owners, forest

users);
■ non-neighbouring position, in order to develop the expected demonstration effect.

The most decisive criterion applied was the interest expressed by the villages in co-
operating with the project. At the later stage, this turned out to be a partly deceptive
criterion. Often, the “immediate” acceptance was a burden for later co-operation,
because a relatively low ranking was given to it.

implementation; therefore this intensification should

begin at the latest 4 years before the end of the project.

6.4 Personnel Requirements and Financial

Needs for Land Use Planning

The need for external specialists depends to a large

extent on the significance of land use planning for the
project. Only if the ranking of LUP is high there will be
a specific, long-term specialist for this area. That
person’s assignments will rarely be restricted
exclusively to LUP: typically, assignments will be taken
on in moderation, organisation and co-ordination, co-
operation,conception,transparent information policies
and the evaluation of LUP experiences.
Short-term In addition, short-term specialists will be used
Specialists specifically for special assignments in LUP.This may be
an advisor accompanying the process, for whom a
series of interventions is planned at regular intervals.
This kind of external specialist advisor is important,
especially in process- and participation-orientated
projects and components such as in LUP. It is to be
recommended on the basis of positive experiences.
Other short-term assignments may be advising the
project team on the conception of LUP, technically
accompanying the working steps in the pilot villages,

164
evaluating LUP steps taken and bringing in the special
know-how (soil science, gender analysis).
National specialists are required to accompany the National Specialists
process in the village, to carry out special technical
assignments and to include LUP into the official
structures (approval,linking to higher planning levels).
These specialists can be project personnel, partner
specialists, members of governmental and non-
governmental organisations or consultants. Often,
national personnel must be trained for these
assignments. This can often be carried during a joint
learning process in practice. For direct activities at the
local level, people are required who have gained the
confidence of the village population. In the long run,
the aim should be that all activities can be continued
independently.
A good knowledge of the administration structure at
all levels is a prerequisite for the necessary
administrative implementation. Good relations to the
local administration make it easier to implement the
ambitious objectives of LUP. In this context, the
relatively extensive documentation and information
work, which significantly contributes to the
transparency of the planning and implementation
process, deserves special attention.
The spectrum of qualifications of the external and Demand for High
national personnel required for LUP can be wide: Quality
agriculture or forest management, planning sciences,
landscape and land use planning, geography,
economics, agricultural economics, regional planning
and many more. In addition to these technical
qualifications, the project workers need to be highly
motivated and to have team spirit. They should be
interested in the topic and show an understanding for
the complex context and other cultural viewpoints.
These skills and talents must be defined, in addition to
technical criteria, in job descriptions and profiles of
requirements.
In this process the point is not only to have the
longest possible professional experience, but the

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 quality of knowledge,experience and personality.What
is required is an interest in and a capacity for
moderation, team work, organising complex working
processes, preparation of workshops, a capability to
motivate and delegate, but also knowledge in applied
remote sensing, simple forms of topographical survey,
thematic cartography and more.Specialists in LUP need
to trust others and themselves; they should be able to
listen, to be prepared to understand and to learn, and
they must draw conclusions from this for the
implementation.
Budget Planning In budget planning (quantitative framework for new
project phases) for LUP the following costs must be
considered:
■ personnel, including external specialists, costs for

travels, daily allowances;

■ logistics, including capacities for guaranteeing
transparent information policies, documentation,
etc.;
■ planning aids (remote sensing, small instruments,

drawing equipment, etc.);

■ training and further education;

■ measures aimed at building up trust and

contributions to financing planning documents,
partial implementation plans, publications, etc.
Usually, it is difficult to allocate costs for the staff,
since it often carries out other activities or provides
additional support to LUP. On the other hand, it is very
important to keep sufficient funds for employing short-
term experts for special requests in LUP and possible
consultations to accompany the process.
The partner can have high personnel costs, for
example when establishing logistic structures for land
use planning and putting in place capacities to
disseminate the approach widely.The costs for planning
aids depend on the scope of land use planning.At local
level, various maps and charts, aerial photographs,
drawing equipment and other measuring instruments
are part of the minimum equipment. At higher levels,
GIS versions may be appropriate,just as satellite images

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may be required.A substantial cost factor is presented
by training and further educational components.This
applies to target groups, employees in community
administrations or other planning agencies, NGOs as
well as to the national project workers.
Land use planning does not necessarily have to be
expensive. Satellite images and GIS systems are not
always needed.The partner and the target groups in the
course of time can share the costs of workshops,which
were initially financed by the projects. In the long run,
LUP measures should not have a subsidy character. In
the field of personnel, it should be avoided to increase
the public sector.

6.5 Materials and Equipment

The planning materials and equipment needed are

often not locally available.In this case,the project must
arrange to obtain them in due time.This fact should be
taken into account,especially in the field of processing
and interpreting aerial photographs (aerial photo-
mosaics) or satellite images. It becomes even more
difficult when new flying missions are required and
flying permits have to be arranged.
In principle,the logistics available in the region must
be explored and utilised. Prices, quality and delivery
dates must be in reasonable proportion to the needs
and demands of the project.The experience with the
procurement must be documented (register of
suppliers and advisors),so that both the project and the
partner can refer to this in later project phases.
For carrying out land use planning at village level,
expenses for the following working steps and related
measures must be considered:
■ visits to the village: travelling expenses,
accommodation, materials;
■ provision of services for legal consultation:travelling

expenses, accommodation, materials;

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 ■ co-ordination and discussions with authorities,
interest groups, NGOs and other projects: travel
expenses, accommodation, documentation, maps;
■ small projects, measures aimed at building up trust,
pilot measures: materials, extension aids;
■ supra-village co-ordination: travelling expenses,
accommodation, documentation, maps, moderation,
materials;
■ documentation, drawing up plans, evaluation of the
plans: travel expenses, accommodation, PC, maps,
moderation, aerial photographs, drawing
equipment,possibly GIS and satellite images,photos,
miscellaneous materials.

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7 Framework of General Conditions
for Land Use Planning

This chapter deals with the framework of general

conditions relevant to LUP.They are of a diverse nature
and change constantly. Therefore, it is important to
recognise and observe them.Any changes of the general
conditions make it necessary to revise the previous
plan and initiate an iterative planning process.
The framework of general conditions in LUP
considers land law, the situation of the natural
resources, the interests of the participants, the
economic system, the equipment of the responsible
organisations in terms of materials and staff, or the
traditional systems of value of the target population.
The possibilities of Technical Co-operation-projects
to influence these general conditions is often over
estimated. Instead of trying to change it, it often makes
more sense to find ways to adapt to it.When the general
conditions are particularly difficult,attention should be
paid to an exchange of experiences with other projects
or organisations. It is often sufficient to use the legal
framework and the scope for action,which are granted
to bilateral projects in order to clarify the situation. It
should also be considered to support the establishment
of new legal regulations.
The framework of general conditions can also
hamper the implementation of LUP.This is the case if:
■ the political will for LUP is lacking;

■ the binding character of LUP or securing rights of

use are not guaranteed;

■ there is no prospect of an implementation;

■ there is no will for dialogue among the majority of

the participants or
■ the ecological scope for action turns out to be too

narrow.
In such cases, the LUP process will not be started or
current projects have to be terminated.

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 7.1 Impact of the General Conditions on Land
Use Planning

Although the framework of general conditions is not

part of planning, it is closely connected to it. It
influences the whole process of planning and
implementation. It is permanently subject to dynamic
changes. Changes to the framework conditions
constitute one of the reasons why land use planning
cannot be carried out according to fixed working steps.
It is an iterative process allowing countless instances of
backtracking, learning from experience and new
findings. In order to take account of these conditions,
continuous observation of the essential general
conditions, as well as consider them in the planning
process, represent an important task for LUP.
As an additional activity in land use planning, the
framework of general conditions should be influenced
if possible and appropriate. Nevertheless, a warning is
given at this stage to overestimate such possibilities: it
is better to deal with the conditions in a suitable and
appropriate manner which is realistic and therefore
meaningful (according to GTZ / Rauch, 1993).
The extent to which the framework of general
conditions can or cannot be influenced by the project
is depending on the case. To a limited extent, the
implementation of a land use plan will always have
repercussions on the general conditions. These can
have also negative effects and must be considered from
the beginning and avoided as far as possible.
General conditions vary in nature, context and
country. They are composed of natural, economic,
political, legal, institutional-, organisational and socio-
cultural factors, which also influence each other. The
following aspects are particularly significant for land
use planning (see Appendix 6 for a detailed
presentation):
Land law and land order: Uncertainty about land
tenure and rights of use restrict the scope for action in
decision-making by the land users. There is little

170
willingness to make high investments for long-term and
sustainable forms of land use.
The present situation concerning the natural
resources: When resources appear to be intact, there is
often little concern for protective measures. If
resources are already degraded, often the funds are not
available for carrying out measures to improve them.
Differences in interests specific to gender and age:
Due to the existing system of splitting responsibilities
in rural families, men and women, young and old
people, often have different priorities concerning the
planning of land use.
The economic potential of the (smallholder
farming) population: The need for daily survival does
not enable the poor rural population to invest long-
term in improvements to resource management,unless
this also leads in the short-term to an increased income.
Equipment of the responsible organisations in
terms of personnel and materials: Without external
support, many organisations are overwhelmed by their
tasks in land use planning.
Traditional authorities and mechanisms of settling
conflicts: Existing traditional authorities and
mechanisms of settling conflicts are an important
element in land use planning. External support is
especially necessary when traditional mechanisms of
regulation in the field of land use planning fail.

7.2 Possibilities of Dealing with the General

Conditions

Improving knowledge of the framework of general

conditions

Well-founded knowledge of the framework of general

conditions sets the scope for action and finds the limits
of LUP to be determined.
The assumptions and risks in achieving the project
objectives and results can be defined more realistically.

171
 They are particularly helpful in checking the potential
for self-help.This knowledge forms an important basis
for creating awareness and public relations work.In the
long run, a precise analysis is a prerequisite for
examining which of the conditions can be influenced
and which cannot.
Some of the information required for this purpose
will already have been collected in connection with
other project activities. It is therefore available when
starting the LUP process. If Regional-Orientated
Program Planning (ROPP) has set up a comprehensive
information base, it is also available for land use
planning.Additional information specific to LUP will be
only provided if the reasons for using it are absolutely
clear and any involved costs are justified.The results of
the studies serve the LUP process directly and can also
influence the general conditions.
Informal Sources of In addition to data sets and evaluations of existing
Information materials and statistics, informal information and
findings by key people are of major importance.
Informal sources of information often has a higher
clarification content, are more up-to-date and closer to
the situation of the participants. Information of this
nature – e.g.through informal marketing structures – is
gained less from studies than from direct conversations
with key people.Thus, the knowledge is important for
projects, but is nevertheless difficult to transmit to
outsiders. It will often not be appropriate for political
reasons to mention these sources of information in
official project documents. This might easily give the
impression that the project is working without a clear
information base. The legitimation for using informal
information and the necessary support of the project
by its partner organisation are important prerequisites
for dealing with the framework of general conditions in
a flexible manner.
Even in the day-to-day life, all participants are
continuously confronted with the effects of the general
conditions, and act accordingly, consciously or
unconsciously.This should be understood to be able to

172
correctly assess the own actions and to create
awareness. Ways must be found – e.g. in moderating
discussion processes – to know and to use the
experiences of participants in dealing with the general
conditions. In this process it is especially important to
deal sensitively with conflicts related to the general
conditions, as it is for some participants often not
possible to make an open and direct approach.

Creating awareness, encouraging concerted

actions and public relations work

Spreading the knowledge of the general conditions

enables all participants to a realistic assessment of the
potentials and limits of land use planning. For groups,
which have not received sufficient information up to
this point,new possibilities for actions are opening up,
in order to adapt their behaviour in an optimal way to
the general conditions.An example can be given with
the broadcasting of agricultural price information on
the local radio,which can also be important for land use
planning.
It will not always be a priority that people adapt their
behaviour. It is equally important to effectively
influence inappropriate general conditions,e.g.a better
information base. Some measures can result in an
improved handling or even change of the general
conditions (empowerment). This is of major
importance, especially when neighbouring groups are
to be encouraged.
Incentives to change people‘s behaviour can be
given by disseminating the results of LUP. Plans and
documents are good advertising materials or
argumentation aids. Projects are able to improve the
situation of disadvantaged groups or create awareness
among politicians for the protection of natural
resources also due to their good technical know-how.
This happened, for example, by providing information
on the situation of the American Indian population

173
 groups concerning land law, or on the risk for soil
erosion.
The exchange of information with other projects and
organisations on the nature and strategic handling of
the general conditions is an important component of
institutional co-operation. In addition, opportunities to
influence and change the general conditions can be
improved by co-ordination. For this reason, many
projects support committees at regional level, which
meet at regular intervals and represent different social
groups and government organisations.
Consequences The open discussion processes on existing patterns
of behaviour and regulations usually have
consequences.A problem is identified,e.g.why existing
legal regulations do not have an effect, due to those
being too rigid and do not fit into the regional situation.
This can be the case when there is a general limit on
land use, because of the slope; or the political will for
implementation is lacking. It is possible to use political
pressure on the decision-makers, aiming at legal
changes or keeping of existing regulations.This can be
done through press reports on the appropriate
meetings. The participants are encouraged to change
their behaviour and might consider, for example, the
introduction of new agricultural techniques. Even
traditional regulation mechanisms can be revitalised
and developed further.

Example: Zambia
In the Siavonga Agricultural Development Project meetings were held with
chieftains and their village elders as a reaction to the lack or loss of local authorities
and mechanisms of regulation related to land use. These meetings were successful
in creating awareness and mobilisation. It can be expected that traditional forms of
regulating land use will be reinstalled, as will traditional forms of land resource
management with appropriate changes in the behaviour of the land users. The major
points of discussion were:
■ What is the present situation?

■ How did we cope with similar problems in the past?

■ Why does that no longer work?

■ How can appropriate structures be renewed or established?

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Using the existing legal framework

In addition to developing new mechanisms and

institutions, many projects aim specifically at
maintaining existing laws (agricultural reform, nature
conservation, etc.), in order to influence the general
conditions in this way. Authorities are encouraged to
become active in implementing laws concerning their
field of activity. Strategies for this are as follows:
■ Support by the project for appropriate requests

from the population. Often, stakeholder

representatives only get access to the authorities
thanks to the project;
■ Empowering representatives of authorities and of

target groups to deal with activities which are

necessary to enforce laws;
■ The project finances or temporarily fulfils tasks,

which are actually those of the government. Such

Example: The Dominican Republic

The project Rational Savannah Cultivation (INDESUR) encourages the granting of
land titles to smallholder farmers, as legally provided for, in the following manner:
■ There is a permanently contracted attorney who takes the necessary legal steps.

Her assignment includes the support and regularly reminders to the various
government authorities about the land reform authority assigning the claimed land,
regular checks on the status of the plots and the accompaniment of the entire
process, right up until the deeds are finally granted;
■ The target group and the project team take on tasks which should in fact be

performed by the land reform authority: the community and neighbouring

communities in question establish the related boundaries; research at various land
registers in order to investigate the plots in question and their legal status, and draw
up a list of potential users. The land reform authority receives an appropriate
documentation together with the application made by the participating population.
■ Calling in willing and influential persons and organisations so they can use their

influence appropriately;
■ Frequent reference by project personnel, and occasionally by the German

Embassy, concerning the fulfilling of the project agreements to various government

authorities;
■ Pressure by the target group presentation on the land reform authority in the form

of “courtesy visits” and specific information to the public media about the state of
affairs and delays;
■ Logistical support to the land reform authority.

175
 financial support should, however, have only a
temporary nature.Taking on additional tasks is only
appropriate if these are taken back by the
institutions responsible after a short time;
■ Other incentives such as further education,
supporting the interests of the organisation or
encouraging the establishment of independent
means of control;
■ Lobbying and public pressure, as far as possible by
different people and groups according to
agreements fixed in the project contract.

Participation in the process of drafting laws

An important opportunity to influence the general

conditions is to participate in initiatives to create new
laws and regulations or to repeal those which are
particularly damaging to land resources.In this process,
projects can take on the following tasks:
■ expressing the need for legal changes using public

relations work and lobbying;

■ evaluation and presentation of experience in the

project which are often the result of the creative use

of the scope for action;
■ direct participation in compiling and discussing

parliamentary bills. This can be achieved either by

projects being active simultaneously at different
levels or by different projects complementing each
other.

Using the scope for action

It is not only the case that the general conditions

define the boundaries for action.The scope for action
may also open up, allowing at least a temporary share
of limited actions.This is the case when people having
a particular interest in land use planning occupy key

176
positions.Surprisingly,even a political boom can lead to
an increasing demand for LUP.
Projects of the Technical Co-operation almost always
create a certain amount of space for action. When a
project is getting more and more accepted, it plays a
role in the local power game,which should certainly be
taken seriously. In this way, the political weight of a
project can lead to changes in the rules of the game:
groups which have been disadvantaged are now
recognised and accepted.Such opportunities should be
used, even if what is achieved in this way is difficult to
incorporate and cannot be transferred to neighbouring
regions. It should, however, also be noted that projects
might easily and unpurposely be drawn into local
conflicts of interests and it might be taken advantage of
by certain power groups.
Projects can become active especially when only
certain social groups are affected by a limitation of the
opportunities for action. Implementing specific
measures,these groups can be encouraged to overcome
bottlenecks, for example by creating markets using
specific advertisement campaigns.
Scope for action is also getting available in unclear Informal Mechanisms
legal situations.This happens particularly in connection of Regulation
with a non-compliance with existing laws, the lack of
clear regulations on implementation and in situations
where insufficient institutional capacity is recognised.
The population therefore develops informal solutions
– such as the establishment of illegal settlements on
land close to conservation areas – which are not
necessarily in the interests of all parties. In such cases,
a project can work together with the population to
develop new mechanisms of regulation and
institutions, such as the creation of co-ordinating
committees, already mentioned before. In order to
avoid new conflicts, a procedure is appropriate
respecting traditional, existing decision-making
mechanisms. It includes also agreements with local
government representatives. Parallel structures, which
neglect the state structures in certain areas or even

177
 avoid the contact to them are not recommended.This
would weaken the state structures. In addition, there is
a considerable risk for the sustainability of the results
based on these structures.It should be worked towards
a situation in which ideas and proposals should be
discussed widely, socially recognised and used as a
model for other legal reform projects.
As far as the economy is concerned, the scope for
action emerges from taking advantage of co-operation
in order to change economic structures in the interests
of the target groups, for example the support of
structures to overcome a local monopoly.

7.3 Limits in Practising Land Use Planning

The extent to which land use planning can actually

contribute to solving problems depends on many
prerequisites and conditions.
Some of these prerequisites can actively be created
by the project.There are, however, limits to the use of
LUP. If a certain minimum of prerequisites does not
exist, and cannot be created by the project, it must be
considered to give up the idea of land use planning
entirely. Freedom of speech and freedom of assembly
are prerequisites for participation, publicity and
transparency; under a dictatorship, these prerequisites
will hardly exist.Nevertheless,the space available must
be checked out and, if necessary, at least any possible
contributions to problem-solving by LUP must be
checked out. If there are traditional mechanisms of
regulation in place which control the planning and co-
ordination of land use in a satisfactory manner, then it
is not necessary to practice land use planning.
In the Technical Co- Practising land use planning in a project of the
operation Technical Co-operation is not appropriate if:
■ it is impossible to create the prerequisites for LUP at

the intervention levels of the project, e.g. due to -

economic processes in the world;

178
 In General
It makes no sense to practice land use planning if:
■ the political will is lacking;

■ it cannot be guaranteed that planning will have a binding character

■ there is no guarantee for the implementation of the plan;

■ other problems have priority to be solved e.g. refugee problems;

■ unfair land distribution practices;

■ natural catastrophes;

■ general conditions which cannot be changed do not allow LUP, e.g. if in an

ecologically extreme climate zone (desert) “the available scope for action is too
small”;
■ the political or security situation allow neither the freedom of speech nor the

freedom of assembly;
■ a minimum security for long-term rights of the plots in the planning area is not

guaranteed and cannot be established;

■ there is no possibility of raising the willingness in the population to talk about

questions and/or problems concerning land use;

■ the existing institutions and organisations have very rigid structures which allow

no changes

■ it is beyond the financial or personnel capacities of

the project to implement LUP;
■ LUP requires expenses, which are not appropriate
(cost-benefit-ratio);
■ LUP with the partners is not feasible or is politically
inopportune.

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180
8 Prospects

The discussion process on land use planning in

developing countries does not stop with the
publication of these guidelines.The concept should be
developed further to become a flexible methodology.
It is through its very dissemination for which GTZ
strives and the awareness creation of a wide circle of
people. So it can be ensured that these guidelines do
not remain an abstract book. The document gives
opportunities to discuss, to criticise, to question and to
formulate doubts. The results will give new inputs to
both the concept and the further development of land
use planning.
The working group WGLUP will continue to be
active and to be available as contact partner.
An important step in this direction is the evaluation
of experiences made with land use planning in the
partner countries. This will lead to a collection of
materials being drawn up on country and continent
specific experiences. There is already a suitable
contribution for Asia, which is published within a
separate volume.
The work will continue on special forms of planning
for ethnic groups which negotiate binding agreements
and planning without written documents, for areas
with indigenous population, for zones where security
is endangered, for peripheral and economically
marginal areas and for improving city-country relations.
It is important to improve the tools with which non-
formal information can be used. Land use planning
should be linked horizontally and vertically to other
types of planning and integrated into development
planning at local and regional level. In this process, it
should also be linked to national and multi-national
resources management programmes (e.g. CCD), to the
strategies in the field of land resources management
and to topics such as land law.
The next objective of WGLUP is to compile a “tool
box”in which possible procedures are presented based

181
 on given assignments of LUP. This includes the
evaluation of land use potentials and the adaptation of
tools and techniques, such as GIS or PRA. Work has
been initiated on compiling training modules for LUP,
with the result that there is already a demand for the
appropriate services.The goal GTZ is striving for is an
exchange with other institutions and projects at the
conceptual level of LUP.
Finally, it is the hope that the reader of this book will
have a better overview of land use planning as
promoted by GTZ.Suggestions are made for its practical
use in projects. If there is an interest in a further
conceptual development, the members of WGLUP
would appreciate to receive contributions to the
discussion and reports on experiences.

182
Appendices

Appendix 1
Contents of LUP and “Nature as Advisor”

Nature as a guide in the search for planning contents?

Which sources of knowledge do the planning contents
come from? Is it only the result of a negotiation process?
Is it free of conflicts and does it reflect the consensus
of the participants, the ”least common denominator”?
Several sources of knowledge play a role in the
planning process.These are not only scientific findings
and results of evaluating cause-effect relations. They
also reflect the experiences of both the technicians and
the local population;they also reflect the laws of nature
and biological processes.The stability of an eco-systems
is guaranteed by complementary interrelation among
many heterogeneous factors. E.g. the tropical natural
forest owes its stability to the interconnected
relationship between flora and fauna.
The content of the plan is based on models: on
models of the nature,on political,cultural,scientific and
technical models as well as on the actual conditions
themselves. The objective of land use planning is to
ensure and improve the capacity of an area to function
as living and production area. Consequently, we must
first of all make use of the elements and mechanisms of
the nature, and complement them by technical
interventions. This complementation can involve
considerable costs.
In the opinion of various ecologists,the vast majority
of areas which are presently settled by people were in
a state of climax before the settlement started.They,too,
would have changed in the course of time, even
without a human intervention.The state of climax was
characterised by a dense vegetation, at least by forests
of differing formations.The following factors stabilised
the ecosystem:
■ The soil was, to a large extent protected by shade;

■ The soils were not entirely heated up and dried out;

183
 ■ There was higher rainfall and a better distribution;
■ The rainfall infiltrated more slowly into the soil;
■ The soil was well structured due to good tilt, good

rooting and soil fauna;

■ There was a permanent supply of nutrients;
■ There was a regeneration of vegetation “by itself”

(climax).
The interventions by humans,especially the clearing
of the vegetation, led to a severe imbalance and to the
beginning of soil degradation of varying intensity.
However, by adapting land use to the present
conditions, the population could avoid major
imbalances and the destruction, or could keep the
degradation at low level.
If in tropical and sub-tropical regions,future land use
planning would be based on the conformity to the laws
of a natural forest, this can lead to more stable soil
conditions again. By including agro-forestry
components, quasi-forest conditions can be created in
fields used for agriculture.
Plan contents nevertheless do not only refer to
vegetation, soil coverage and the cultivation systems
adequate for the location only. It also considers the
social and economic requirements, expectations and
interests of the affected groups of the population. In
general,agricultural use is needed to survive.In land use
planning it should be promoted a conciliation of
interests or areas when land use is getting restricted in
some areas and land use (including intensification) is
getting extended in other areas. If a considerable
population growth can be expected in the planning
area, additional areas for agricultural use have to be
identified in the plan, but not necessarily developed at
this stage.
The focus of the plan considers primarily the
concertation, i.e. the conciliation of interests and the
sustainable settlement of conflicts.This means not only
short-term solutions to conflicts, but also the
institutionalisation of negotiation mechanisms,with the
participation of the responsible authorities. Settling

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conflicts means not only dealing with the local parties,
but also dealing with authorities,with laws (e.g.forestry
law), with the agricultural industry and, with the
market. Especially when there is a competition
between the cultivation of cash crops and subsistence
products, co-operative relations with the processing or
exporting private sector are appropriate as a
component of the plan.
Similar co-operative relations with authorities are
necessary when an area is no more suitable for
agricultural use. Often the concerned land users must
be resettled, or they have to migrate to areas with non-
agricultural use.

Appendix 2
Legal Aspects in Land Use Planning

Land use planning always interferes in the rights of

individuals,communities or the state.Especially for this
reason,the following two questions will be considered:
How can the legal security for using land resources
be improved? Which basic legal instruments are needed
for implementing land use planning?

Historical aspects of the legal development

Formal and informal rights and legal norms which

regulate the use and the property of land resources are
accompanying components of the historical and socio-
cultural development of social organisations, power
structures and cultural fields. First, the development of
the European nations and the division of the world into
three power systems as well as the colonisation phase
led to a situation where:
■ the law was increasingly developed and applied

uniformly to the entire area of the state;

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 ■ the law primarily regulated the relations between
people, and to a much lesser extent those between
people and the use of land resources;
■ the traditional socio-cultural and socio-legal links

between land users and the land resources at local

level was minimised in favour of central state
categories in the various special laws such as land
law, irrigation law, inheritance law, hunting law,
forestry law, etc.;
■ along with the specialisation of legal fields went the

specialisation of the administrative structure and to

split up natural resources institutionally into more
and more sub-systems;
■ former colonies took over the legal systems of the

colonial powers;
■ indigenous common law can no longer make a

sufficient contribution to the legal security, even

where it was tolerated or accepted as legal practice;
this was due to the erosion of traditional,
decentralised power structures and authorities;
■ for this reason,the practice in many cases differed to

a large extent from the official legal status.

On the other hand, the more recent development of
the system of relations between the law and the use of
land and other natural resources is characterised in
many developing countries by the following
tendencies:
■ the realisation that in the socio-cultural context

common law cannot exclude modern land and

water laws, depending on the situation, but rather
complement (multiple tenure systems);
■ the realisation that control of the laws on local use

of land and water must always come from

decentralised structures;
■ the realisation that granting title deeds does not

automatically lead to more legal security and so an

improved access to resources (credit, etc.). Above
all,it also requires supplementary structures such as,
for example, a functioning land administration;

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■ the realisation that in order to implement Agenda 21
(Rio de Janeiro, 1992), the conventions (e.g. the
convention on combating desertification) or the
national environmental action plans, legal
instruments must be harmonised and developed in
the sense of supporting sustainable development.

Exemplary principles of land law

The legal, social, ecological and technical disciplines

in the structure of relations of land use are
fundamentally linked and complementary. In this
system, legal instruments are intended to regulate
between:
■ land user and land user;

■ land user and land resource;

■ land user and institutional structure;

■ institutional structure and land resource.

In this process, the legal basis for land use is derived

from various sources.The main sources may be:
■ constitution:definition of the term ”property”,social

functions of land;
■ implementing national agreements which have legal

status: Agenda 21, Convention on Combating

Desertification (CCD);
■ national land law and tenure systems (Land Act,

Agrarian Law, Basic Law): legal principles for

implementing national soils policies, e.g. Basic
Agrarian Law (Indonesia), Basic Land Law
(Tanzania);
■ sectoral laws: e.g. Town and Country Planning Act

(Botswana),Soil Conservation Law (Rwanda);

■ common law:

1. Formal regulation within the framework of the

national land law such as, for example, in
Indonesia:The Agrarian Law is dualistic regarding
to the validity of the ADAT (common) law,existing
beside the Agrarian Law.

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 2. Informal regulation on the basis of local socio-
cultural and socio-legal traditions.
■ administrative actions of the specialised
administrations.
Criteria The major principles of land law for supporting land
use planning can be exemplary in covering the
following criteria:
■ legal security: common law and modern land law

have the same legal status and are treated equally by

the legal system;
■ flexibility: land law should form a regulatory
framework and not a rigid legal system which
attempts to regulate every case and all details;
■ social function: all rights to land are different from

general economic goods and should also consider

the social functions of land;
■ ecological function:Agenda 21 with global and local

function;
■ economic function: for example, land utilisation

charge to guarantee self-supply, or land tax;

■ transparency: rights to land should be transparent

and public. It should make an efficient

administration of the land possible;
■ bottom-up control: systematic involvement of those

affected by the regulatory work of land law should

be a keystone of land law;
■ forming a consensus and balance of interests during

interventions: constitutes a prerequisite for socially

tolerated implementation of a land use plan.

Land law as a tool of land politics

Ideally, land law provides legal tools for

implementing socially, economically and ecologically
orientated land politics within the framework of
political priorities. Usually, consistent land politics can,
however, not develop, because they are hampered by
diverse and conflicting interests,pseudo-economic and

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technical constraints, contradictory laws and political
fluctuations.
In some countries, aspects of land politics which are
relevant to land use planning are embodied in legal
regulations. Some of these aspects are mentioned
below:
■ safeguarding areas which are highly suitable for

agricultural use (priority areas) vis-a -vis other forms

of land use;
■ safeguarding corridors (buffer zones) for use as and

linking to pasture land;

■ extra charges made to protect the soil in areas with

erosion risk;
■ obligations on cultivation to ensure self-supply;

■ emphasising the social function of rights to land;

■ fixing upper limits for land tenure by individual

owners (especially in irrigation areas);

■ pre-emptive rights for the state.

Implementing the Convention on Combating

Desertification (CCD) and carrying out environmental
action plans require an improvement in the legal basis
for using land resources.

Forms of land use and land tenure

Land use planning has varying economic and social

effects, depending on the forms of land tenure (legal
status of a piece of land) and the present land use.
Restrictions on the use of arable land possibly have
different effects and consequences than on pasture
land or forested areas. Also, differing effects must be
expected, depending on whether the land in question
is privately owned, state-owned or communal land.
It is important for those participating in the planning
process to recognise these dependencies and
connections, and to take into account the potential
effects. Land use types such as arable land, pasture,
forested areas, etc. should be put in the context of land
tenure categories such as privately owned,state-owned,

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 community-village-owned, communal land, mixed
forms, etc., which may all be used both privately and
rented out or used informally.

Example Multiple land use

■ arable land as primary land use

■ leguminous trees as fodder plants along the
development
■ use as secondary pasture area after harvesting the
main crop.

Example Multiple land tenure models

■ common pastoral use of private arable land after

harvesting the main crop up to new sowing period;
or
■ common keeping of sheeps in private small-holder
rubber plantations (Sumatra).
Highly developed and flexible land use-land tenure
models, i.e. combination of different land use types
(arable farming, keeping livestock on pastureland,
forestry, etc.) on the one hand and land tenure forms
(private ownership, state or communal land, etc.) on
the other hand are certainly existing at local level.
Which form is taken in what case depends on the
availability of water and the annual cultivation calendar.
However, due to their complexity, they are often not
understood by outsiders, and their potential is under-
estimated.
Especially in buffer zones and dense rural areas, as
well as in coastal zones, land use planning depends
more and more on innovative forms of land use-land
tenure models. This nevertheless requires that the
participants have a basic understanding of dealing with
multiple land use-land tenure potentials.

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Appendix 3
A Brief Profile of Regionally Orientated
Programme Planning (ROPP)

The starting point for ROPP is always a defined

project.This can be a project of the development co-
operation or a specific assignment (e.g. the
establishment of an irrigation system) of an authority or
non-governmental organisation. Planning serves to
identify strategies and activities to achieve the project
goal with a medium to long-term prospect. In this
process, however, it is not only those activities realised
by the project which are taken into account.Also,those
supporting measures which are appropriate and
necessary in the context are to be determined, such as
family planning or the creation of non-agricultural jobs
in a project which actually aims at improving the
management of land resources. Thus, ROPP is an
extended project planning which has a longer time
horizon and offers to the project planning a framework
and decision-making criteria. At the same time, ROPP
can be seen as reduced regional planning. In contrast
to the overall planning relevant to the area, it is
restricted to those sub-areas which are relevant to the
project goal.The limitation of regional LUP arises from
the subject of planning, since ROPP is not tied to the
subject of land use.

Field of application

The field of application of ROPP is not at local,but at

regional level. Planning results show guidelines for the
future development of a region with respect to a
certain project goal. These guidelines require further
details defined by the project and operation planning
with respect to its implementation. Statements
presented in maps only are not sufficient.Statements on
financial and time requirements indicate ranges and

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 approximate values. ROPP is a strategic planning, not
implementation oriented planning.

Participants

Those participating in ROPP should be all

organisations which are relevant to the project and all
those groups of the population which are affected by
the actions of the project. This can be achieved by
group-specific workshops – such as conducted in the
project ILE Los Llanos (Argentina) – or by a mixed
planning team, which includes representatives of the
rural population and of institutions, as done in the
project LRE Ichilo-Sara.

Implementation

Some of the measures are carried out by the project

itself. In this case, ROPP serves to support project
planning. The remaining activities are passed on to
financing and implementing agencies. In this process,
ROPP documents should be composed in such a way
that project proposals emerge from them easily, which
than are addressed to financing organisations. The
participation in the planning process of as many
organisations and social groups as possible makes them
more aware of the planning goals. People will more
easily identify themselves with the planning results and
take on assignments in the programme.This is where
ROPP serves public work and helps to acquire donors.

Necessary data and information

ROPP is not a regional data base: this is where

excessive expenses are often involved.The aim of ROPP
is not to list figures on all possible topics of regional
development, but to answer important questions:

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■ Which processes have led to the present situation in
the region?
■ What is the probability that these processes will

continue in future?
■ Which influences come from neighbouring regions

to the region or what influences does the region

have on neighbouring regions?
Information should be gathered and analysed in a
participatory manner. Thus problems and needs are
identified on the basis of a discussion on the historical
development in the region and possible scenarios for
the future.In this way,the view to cause-effect relations
is not shifted by momentary needs.Above all, data and
information should help to develop simple statements
about cause-effect relations: “Because the land users
have no security of their land tenure, they are little
interested in sustainable production.” Or “If the citrus
cultivation will be extended, marketing problems can
be expected.”
What is important is that a common understanding
is achieved with the participants on the basis of their
experiences.A proof of the statements is not, however,
necessary.

Presentation

ROPP should be presented in such a way that all

participants can understand and reproduce the
planning statements. In this process, it is not so much
the scientific penetration of the statements which is a
decisive criterion but the proximity of the argument to
the population’s situation in life.This means, however,
that the statements in the plan can be very complicated
for certain situations.Problems arise when the readers,
with their personal experience, cannot identify
themselves in the text.This often happens due to lofty
speech and the use of strongly abstractive data (average
values, complex matrices). In contrast, rediscovering
their own situation in life in the plan provokes positive

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 reactions:“That’s us! We experience that every day.And
so that is connected to other things.”

Appendix 4
Notes on Land Use Conflicts Using the Example
of Mobile Livestock Keeping

Introduction

What is understood by mobile or pastoral keeping of

livestock is a form of economy or a form of living as
described below for mobile groups whose existence is
based entirely, or at least mostly, on keeping cattle,
irrespective of the degree of mobility. In this process,
the terms pastoralism, nomadism and mobile livestock
keeping are used synonymously.The different land use
forms of mobile livestock keeping in place at present
are the result of adapting over centuries to changing
general conditions.These are in the process of change
today, more than ever, in many arid and semi-arid
regions of Africa.
Population growth and sedentarisation have led to a
situation where until recently, rural regional
development in arid and semi-arid regions
concentrated above all on expanding and increasing
arable production. This involved, above all, extending
areas used for arable purposes, and developing
connected,largely stationary keeping of animals,which
thereby went against mobile livestock keeping.The fact
that arable farming penetrates into areas of mobile
livestock keeping, and given the additional changes in
the socio-economic field, the result is competition for
resources, right up to eviction of nomadic cattlemen.
Existing tensions are increasingly being vented in
bloody land use conflicts.
Keeping livestock in marginal locations which have
an annually and seasonally varying biological resources
requires mobility.However,as can be seen from relevant
literature,traditional forms of mobile livestock keeping

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are being more and more reduced.This is mainly caused
by:
■ state sedentarisation policies;

■ restrictions to the seasonal balance of fodder by

competition for use and eviction from favourable

locations in traditional dry and emergency pastures;
■ repeal of old grazing rights due to nationalisation

and re-privatisation;
■ restricted mobility as a consequence of drought and

security problems.
Key resources such as seasonal pasture areas in the
dry season (which are often flooded lowlands in the
wet season) are increasingly being used for arable
purposes.The fact that arable land is penetrating into
areas of mobile keeping of livestock is detrimental as a
whole to the opportunities which the animals have to
migrate, and thereby affects the herd management.
Even the trend of restricting the timing or function of
land use rights up to exclusive land law makes it
difficult to integrate mobile forms of keeping of
livestock in land use planning processes in arid and
semi-arid areas.

The significance of mobile livestock keeping

Extensive pastoral land use in the form of mobile

keeping of livestock is dominant in the arid and semi-
arid regions of Africa.About 10 to 15 million people live
and produce on about 13 million square kilometres of
these regions with about 500 million head of cattle of
various types.In addition to the mobility of the herd,the
main characteristics of these systems consist in the fact
that:
■ land resources use is based on annually regenerating

biomass;
■ pasture lands which mostly have low production are

used jointly;

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 ■ mutual access to strategic resources such as water,
pastures rich in nutrients, salt licks and reserved
areas is guaranteed;
■ strong reciprocal relations exist between pastoral

operations and households;

■ there is a high degree of flexibility in management

decisions.
Many national and international development
organisations consider the mobile keeping of livestock
to be an anachronism and therefore a symbol of
backwardness.This is despite the fact that until now,no
scientifically or ecologically justifiable alternative has
been developed for the population living there, and
migratory keeping of livestock continues to be the
economic backbone in dry zones and a main source of
income for the state.
Whether the mobile keeping of livestock as a form of
economy and a form of living has any future depends
very much on the attitude of those affected towards
their own traditional strategies of survival, and on the
general political conditions.
In the last few years, there has been a re-orientation
process within the ecologically orientated science and
in some of the development planners, a process which
recognises mobile keeping of livestock as the only
sustainable form of land use for the major part of these
regions,and considers it to be a main long-term branch
of the economy in these regions.

Land use conflicts and marginalisation of

traditional mobile livestock keeping

The present situation of land use in arid and semi-arid

regions is a result of processes which were initiated in
colonial times.The consequence was increasing decay
of the traditional social structures and production
systems, a process which was not only continued, but
even intensified, by independent governments. The
appearance today of degradation of vegetation and soil

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due to unsuitable land use forms can mostly be traced
back to this process.
In many parts of arid and semi-arid zones the
continuous population growth and the catastrophic
consequences of various periods of drought intensified
land use conflicts amongst pastoralists and between
pastoralists and arable farmers. Mono-sectoral
promotion can be cited as an example of a typical
conflict today between arable farmers and mobile
keepers of livestock, such as the increase in plant
production (groundnuts, cotton, etc.).This gives rise to
processes of differentiation and displacement in which
the mobile keepers of livestock usually come worse off.
The main reasons for marginalising pastoral groups are
politically historical and ethnically cultural, and
constitute the expression of a socio-economic change
which has pushed these groups to the edge. This has
now been described by many authors and has also been
documented in UNCED Agenda 21 and in the
declaration of the conference of Praia (1994) on land
law and decentralisation in West African Sahel
countries.
In this context it is worthwhile to mention that there
are a few isolated groups of cattlemen – for example in
the North West of Egypt – who have succeeded, due to
an intact social system, in having their interests and
needs listened to and recognised by state institutions.
Even within the sphere of mobile keeping of
livestock there has been a radical change, since
nowadays all groups are competing for land resources.
So-called “new livestock keepers” (traders, state
officials) are investing their money in cattle herds and
making an appearance as users of resources in
communal pasturelands.As a rule,they have no interest
in determining pasture or land use rights.This creates
additional conflict which, however, is seldom a burden
to those who cause it, since they are influential.
In many West African countries land use conflicts are
formally regulated by land law.However,this often does
not correspond to reality or to customary rules of land

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 use which include the rights of cattlemen. Following
independence, land reforms were enacted which only
recognised the principle of validation of arable farming.
According to this process, cattlemen who do not deal
with farming are excluded.Mostly,they do not have the
organisational coherence and the political power to
oppose such rulings.
Traditionally, the mobile keeping of livestock does
not compete with arable farming, but creates
competition where the environmental conditions
(rainfall) no longer make any other form of cultivation
possible. In the context of sensible use of land
resources,arable farming and mobile livestock keeping
should complement each other.
From the point of view of protection and
management of land resources, mobile keeping of
livestock can constitute an important element for the
ecological stability of a region, as in principle it only
uses what regenerates annually, depending on the
rainfall.
Positive examples of mutually beneficial interaction
between pastoralists and arable farmers exist above all
in areas of work exchange, manure economy (by using
cow manure to improve the fertility of the soil) and
possibilities of exchange. Traditionally, a symbiotic
relation between both groups has developed in many
places,even if it is already noticeably disrupted in many
regions by the failure to adapt agrarian and
development policies. From the point of view of
optimal land use planning, it would therefore be most
welcome if the advantages of integrating the different
forms of land use by political consultation and
measures of rural and agricultural development were to
come more to the fore.
Within traditional structures,conflicts can be settled
very effectively, either directly by the affected parties
themselves, or by mediation between the political
leaders of both groups. Measures for settling conflicts
in land use planning can be carried out only by creating
awareness among the local population and by fair

198
participation of all the groups affected. This also
requires active and real participation by cattlemen
who,as is well-known,are difficult to reach,due to their
mobility, and to include in forming a consensus.

Approaches to land use planning focused on

mobile livestock keeping

The repeal of clan rights and the declaration of the

entire pasture land in almost all regions as open and
free state-owned land has contributed considerably to
the degradation of pasture lands in many arid and semi-
arid regions.The same applies to the weakening over
decades of the legal position of local decision-makers
and authorities who have precise knowledge of mobile
systems of livestock keeping. The weakening process
ensued in favour of a centralised administration which
partly pursued its own interests (e.g.arable farming and
agro-industrial irrigation economy) and has distanced
itself greatly from the local problems.By an orientation
towards short-term economic interests, this led to
carefree use of land resources, right up to the point of
its destruction in form of desertification.
Within the context of these guidelines, particular
importance is given to encouraging local and regional
institutions to settle existing land use conflicts in which
both the mobile cattlemen, farmers and other groups
are represented.
What is important for a successful implementation of
adapted land use systems focused on pastoral livestock
keeping is the extent to which the local or affected
groups can or wish to actively participate in
implementing the land use programmes. The success
depends just as much on the flexibility of the
bureaucracy and the will of the state to enforce the
rights of the pastoral groups.
As has been shown in many examples given in these
guidelines, land use planning has been until now
restricted more or less to village boundaries only.The

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 participation of all user groups in areas used for pastoral
farming does, however, require greater reference in
terms of the area. Here, the purely territorial approach
must be supplemented by an approach which
considers the social groups and the safeguarding of
their rights to use the key resources.In this context,the
uppermost goal must remain the flexibility of a land use
system. No rigid regulations can be introduced; rather,
the point is to strengthen decision-making autonomy at
the various levels.What is required is not rigid land use
plan, but an understanding of present land use aspects
by the participating groups.The various and different
claims must be negotiated on the basis of accepted
principles and regulations. Land use regulation or
planning must allow the necessary local flexibility,
depending on rainfall and the stage of vegetation.
The pre-condition for each package of measures is
the participation by mobile groups of cattlemen in rural
development process. First of all, the question must be
examined of where, in the view of the mobile groups
of cattlemen, the bottlenecks and alternatives lie for
their pasture/land use systems. Also, the possibilities
and necessities of intensified integration of livestock
keeping and arable farming must be examined,
especially with reference to the ecological, ethnic and
socio-political conditions.Furthermore,the pastoralists
must be advised on their land use rights and their
organisational involvement in land use planning.

Summary and prospects

To summarise the evaluation of the land use

problems in a rough outline in the context of mobile
livestock keeping in arid and semi-arid regions of Africa,
the following aspects should be emphasised: The
mobile keeping of livestock will continue to be the
best-suited form of land use in arid and semi-arid
regions of Africa. Nevertheless, given the existing
population pressure and the increase in cattle herds,

200
there will be additional shortages of land resources,
leading to processes of eviction. In addition, the
consideration of pastoral groups and their rights will
initially tend rather to aggravate the existing land use
conflict.
In order to achieve long-term improvements, mobile
keeping of livestock must be recognised as an adequate
and adapted land use system. The cattlemen must be
actively involved in the approaches and the concepts of
land use planning. Only in this way the needs and the
ecological advantages of mobile livestock keeping can
be taken into account in a sustainable way.Carrying out
such measures requires the pastoralists to be sensitised
and given suitable advice as to their land use rights.
However, this approach is only promising if it is
understood as a participatory process and
implemented as such.
Problems do exist where responsibility for using land
resources has not been clarified. Present use of
resources is not known, nor are traditional rights
recorded. The point here is not to save tradition for
nostalgic reasons. It is rather the case in many regions
of Africa – due to the lack of alternatives to economic
development – that one simply cannot afford to
disregard the economic and ecological potential of the
mobile keeping of livestock.

Appendix 5
Example of Land Units and Maps

Phase 1: Compiling land units

A well-proven method of recording the natural

potential of the planning area is to work out land units,
i.e. areas with homogeneous potentials in a map.
Initially, this means to roughly divide the planning area
into areas with:
■ similar topographical features: e.g. plain, hilly,
mountainous;

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 ■ similar edaphic features: e.g. sandy soils, organic
soils, cohesive soils (loam/clay), rocky, stony or
mixed soils;
■ similar vegetation cover: e.g. denuded, open bush,
degraded forest, primary forest.
Examples of identified land units are:
■ plain arable land on sandy loam soils and peripheral

tree vegetation;
■ open, almost level flat areas of sand and shingle with

sparse grass-shrub vegetation:

■ wet valley terrain on predominantly organic soils

and a low grass-shrub vegetation;

■ slopes covered by degraded forest on stony-clay

soils;
■ river meadows on partly sandy, partly organic soils

with medium-dense tree stand;

■ dense secondary forest on loamy soils on slightly

hilly terrain;
■ open, level grassland on sandy soils with single high

trees;
■ dense primary forest on humus-loamy soils of low

depth on almost level lowlands.

In general,it is not difficult to record and name (using
local terms!) the local land units in discussions with the
village population.The result will be documented in a
descriptive table which contains the main details of the
potential in the unit.

Phase 2: Discussing the possibilities of land use

and landscape damage

Often, there follows an extended discussion on the

options for using each land unit.This discussion is the
key to sensitising the land users, the technicians and
advisors concerning an improved use of the local land
resources to be planned at a later stage.The initial step
is of general nature and does not yet refer to individual
plots or operations.It allows the land users to talk about

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the landscape damage, and gives them the chance to
think about possible causes. Landscape damage and
instances of misuse are now also added to the table
mentioned above.The use of aerial photographs and of
terrain walks is extremely helpful and establishes a
discussion on a consolidated and verifiable basis.
During this verification process, it is useful to locate
the mentioned landscape damages on the map
“landscapes”and thereby to compile a proper “damage
map”.This map will be useful for later discussions about
measures to be carried out.
A few examples of the contents of such a map are
mentioned below:
■ severe surface erosion

■ sealing of surface soil

■ landslides, escarpments

■ zones of severely degraded vegetation

■ siltation

■ salinisation

■ formation of ravines (gullies, erosion ditches)

■ zones with high water erosion

Phase 3: Determining categories of potential land

use

Immediately afterwards,a discussion must be held on

the potential land use options for the land units
considering also the landscape damage.In this process,
it will often be necessary to subdivide the land units
into sub-units for which the potential land use and
certain restrictions or amendments will be laid down.
The results of this discussion will be depicted in a
separate map agreed with all planning partners and
signed by them. This map is an expression of the
“optimal” land use planned in future for the individual
land units. It constitutes an initial, but provisional
agreement towards future land use.

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 Phase 4: Describing the present types of land use
and working out solutions to problems

In further discussions on the land units, this map

should be refined with the help of a map depicting the
“present land use” according to the existing land use
types (e.g. rainfed agriculture, irrigated agriculture,
market gardening, plantations, pasture land, forest,
orchards, uncultivated land, water bodies, residential
areas, etc.). In general, the information given by the
land users based on transect walks and aerial
photographs is sufficient.The map “present land use”
will also be supplemented by a table describing the
following criteria:
■ statement on landforms

■ cultivated crops or type of trees

■ production/yield per hectare

■ significance of subsistence

■ marketed crops

■ major problems

■ the extent to which demand is covered by the

production
■ crop rotation or mixed crops

■ significance for local income

What is important is that this map should cover the

whole area and not just individual parts within the
boundaries.An indication of the land use type (using a
legend of the map) for all units of the planning area
must be given.
This phase is concluded by initiating a meeting with
the participating population. The aim is to solve the
local problems identified in the preceding steps:
■ social and economic problems;

■ land use potential;

■ problems with present land use, i.e. the production

in situ.
The problems discussed should be looked at not only
from a current viewpoint, but also the conditions
in the past (time horizon of 20 to 40 years previous) and
the future development should also be covered.

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Phase 5: Negotiation and concluding documentation

On the basis of the maps “land units” and “present

land use”, the land use potential, restrictions or
extensions of land use are discussed and provisionally
agreed on.When at a later stage a discussion starts on
measures to change the present land use, than the
individual people are addressed at the level of their unit
of land use, which is the plot of land.
The results of this discussion are documented (table,
map etc.), agreed with all participants and signed.The
documentation does not necessarily reflect the optimal
land use, given the natural potential, but it does
constitute the socially acceptable and sustainable
version. It is the binding plan with the implementation
of measures allocated to it.Wherever possible, it is also
drawn up by the local administration as a document,
registered and thereby rendered officially.
The entire documentation of the phase “collection
and analysis of data and information”goes into a general
report called “Diagnosis Village X”.This report serves as
retrospective verification at village level, but also as
presentation of the work at administration and
decision-maker levels.It would be desirable to have the
presentation given by a representative of the
beneficiary group.These presentations serve not only
to give general information to the participating
committees, but are also intended as an invitation to
make critical comments, etc. In this way, a continuos
and contradiction-free work in the subsequent stage of
the implementation is supported. The formal starting
point for this is the commonly agreed diagnosis report.

Appendix 6
Examples of Linkages between Land Use
Planning and General Conditions

The following overview is intended to give an

opportunity, in the sense of a checklist, to examine

205
 which general conditions exist in the project which are
significant for LUP. It is neither complete nor generally
applicable, but can hopefully provide the initiative to
identify important connections in the context of a
project.
The suitability of areas for a certain land use is
Merit of Protection determined by physical factors such as climate, soil,
water level, topography, flora and fauna and their
mutual reciprocal relationships. Areas with a
particularly need for protection are those with an
unstable ecosystem, e.g. forests on steep slopes. A
special merit of protection can also arise from a
particular rarity and diversity of plant communities.
Development Process The present situation concerning land resources in a
specific location is always a momentum within a
development process in which natural processes (e.g.
the vegetation adapting to climatic changes) overlap
with the small and large-scale as well as short and long-
term effects of past and present human interventions.
It is not only the recent clearing of forests,over-use,etc.
at the location which influence the natural potential
there. Also, interventions which go back decades or
even centuries or which are located far away (e.g.at the
headwaters of a river) can have a major effect on the
development of the natural resources.
Motivation The more degraded the natural resources in an area
(Sahel),the greater the motivation may be to participate
in land use planning and implement appropriate
measures. On the other hand, very degraded natural
resources in connection with extreme poverty can also
lead to total despondency and a passive behaviour. In
general, possibilities for actions are very restricted in
areas which are extremely degraded, and low income
limits the use of labour and capital to rehabilitate such
areas.
Influential Economic All decisions on land use which aims at economic
Factors objectives are orientated towards the development on
local, regional, national and international markets, e.g.
by the prices for agricultural products or for tools and
the availability of other resources, in order to consider

206
changes in land use. Decisions depend also on the
existing economic order, e.g. to granting or
withdrawing subsidies, the direction of exports,
restrictions to imports, or on consequences of total
barriers to the outside world.Further important factors
are the access to the market, transport costs and
expectations of future economic developments.
Decisions are also determined by typical patterns in the
behaviour of the population regarding the motivation
to change, trust in the economic stability, consumer
habits, etc. New forms of land use are only realised and
disseminated if they offer prospects for success
according to economic criteria.
Under pressure of high foreign debts, many
developing countries are obliged to obtain foreign
currency by exporting products. Frequently, the
intention is to achieve this by extending the areas of
agricultural use. Without the relevant knowledge and
mechanisms of regulation, this quickly leads to the
degradation of natural resources, because arable
farming is practised on land which is not suitable for
this purpose. Similar effects can be provoked by other
economic and social causes,for example by expanding
markets for certain agricultural products or state
subsidy programmes.
In many countries, the forest is even today
considered to be a “green hell” and an obstacle to
progress.The potential of the soils to yield is thus often
overestimated.The economic opportunities which are
offered by sustainable use of tropical and sub- tropical
natural forests are, however, often not known and
therefore not taken into account. Unemployment and
under-employment, together with a simultaneous lack
of good arable areas, lead to an increasing pressure on
the remaining forested areas and conservation areas.
The economic potential of small-farmer producers is
usually low due to their high production costs and poor
access to markets.The situation is aggravated by high
prices of the inputs on the one hand and low market
prices for agricultural products on the other (“price

207
 gap”), by limited perceptiveness of the local markets, a
lack of price information and transparency of the
markets, and by the monopoly of middlemen and
transport companies. The LUP approach must take
account of this situation.It is difficult for the poor rural
population to direct their attention to questions of
suitability of land use and the long-term sustainability
of their forms of cultivation when their daily fight to
survive takes up all their time and energy. Land use
planning should therefore also include solutions to
short-term economic problems of small farmers.
The smallholder farming population mostly does not
have an opportunity to improve their weak investment
capacity.They have no savings, and the existing offers
of credit are neither suitable for their needs nor
accessible to them.Under these circumstances there is,
justifiably, very little willingness to discuss changes in
land use within the framework of land use planning, in
order to achieve sustainable forms of land use.
Smallholder farmers cannot take even limited risks with
respect to the outcome of the next harvest.
The great economic attraction of cities leads to a
situation where the rural regions are becoming drained
in favour of the development of urban centres.
Especially the economically active age groups and
people with a higher level of education as well as the
courage to invest and to change are leaving the rural
areas. Left behind are the children and the old people,
who are not in a position to introduce the necessary
innovations.
The use of areas aimed at superior overall interests of
society, such as setting up national parks, are
determined by political objectives.
Influential Political These depend on the political system, the existing
Factors balance of power, the capacity of certain groups to
represent their interests and the status of public
discussions on topics such as environmental protection
or minority rights.
In authoritarian states, restrictions to the freedom of
assembly and freedom of speech, to accessibility to

208
maps and data material, and the activities of non-state
organisations hamper the implementation of land use
plans.
In difficult security situations, LUP is impeded or
rendered quite impossible by restrictions to the
freedom of movement,unwillingness of the population
to enter into a dialogue, the necessity to integrate
enemy parties into the planning process and possible
dangers for employees.
If there is an overlap of different legal systems, e.g. Influential Legal
traditional law and modern codified law, and if there is Factors
a juxtaposition of different forms of production,such as
keeping livestock and arable farming,than there will be
a potential conflict concerning the decisions on land
use in the area.As a result, it becomes more difficult in
LUP to reach agreements which are recognised equally
by all participants.
An uncertainty about the use of law, such as missing
title deeds, leads to unsustainable forms of land use
which are promising a profit in the short term and do
not require investments which will only be profitable
in the long term. Similar tendencies can be observed
when land is not a public asset controlled by the
community, such as in some former socialist states or
former military dictatorships in Latin America (e.g.
Paraguay). Land use planning alone cannot lift these
restrictions and change to a responsible use of natural
resources.
Knowledge of land law and land order are of major
significance when they affect decisions by people and
groups in land use planning. In addition, it is essential
when the discussion starts on which mechanisms of
regulation should be created for the decision-making
process.
In countries with a polarised distribution of land Balance of Power
tenure, rules and laws designed to protect the natural
resources are often ignored due to the political power
situation, in order to prevent an overdue reform of the
land ownership. Instead of a land reform, the
colonisation on protected areas or forested areas

209
 actually not suitable for agriculture is permitted or
propagated. This is intended to create an outlet for
releasing the social pressure exerted by landless people
and to avoid revolutionary political changes.
The distribution of land tenure has a major influence
on the creation of interest groups in land use planning.
When the distribution of land tenure is extremely
inequitable,LUP on a consensus basis can be hampered
or even made impossible.Special efforts are required in
order to create the willingness of large landowners to
participate as equal partners in decision-making
processes on future land use.
Influential Organisations dealing with issues of agriculture,
Organisational forestry and environment which typically take on
Factors assignments in land use planning are often not
sufficiently equipped in terms of personnel and
materials. Funds are allocated at irregular intervals, and
often salaries are not paid for months. The
consequences are a low efficiency, corruption and
taking on additional activities. There is a danger in
development co-operation that demands will be made
of these organisations which go far beyond their
capacity.The implementation of LUP leads to additional
tasks for the co-operating authorities for which they are
usually not prepared.In this case,the available capacity
is not sufficient for these additional tasks.
Given the financial bottlenecks, expectations in the
organisations are high regarding the equipment. A
typical example is the equipment of a project with a
geographical information system (GIS), of which often
miracles are expected.Such procurements are often out
of proportion to the actual requirements.They lead to
a situation where necessary improvements in other
fields, such as labour organisation and further
education of employees, are neglected.
In many cases, the understanding of land use
planning by the employees of these organisations differ
from the approach represented by the project.
Consequently, there are also different opinions on the
objectives and working steps, and a lack of willingness

210
to co-operate in LUP.This activity does correspond to
the conception of technicians, and they fear having to
change the scope of their technical training or of their
previous work.
Many organisations are set up to push the interests
of certain groups. This is often contradicting to the
substance and objectives of LUP. The sustainability of
the promotion is endangered by frequent changes in
personnel caused by a shift in the political balance of
power. It is difficult to train LUP specialists who can
carry out this assignment in the longer term without
external support.
There is a danger that the hierarchical structures
within the state authorities will paralyse the initiative
and sense of responsibility of the technical staff
responsible for LUP. They wait for instructions from
above. In addition, the staff members avoid taking on
any responsibility due to the fear of being made liable
for mistakes, and thereby losing the job or any chances
of promotion. In general, they do not make their own
decisions.
Many sectoral organisations, regional and local
authorities and NGOs often compete for
responsibilities and work in the same area in an
uncoordinated manner. This results in an inefficient
overlapping of the activities, confusion in the
population and unnecessary expenses.The reasons for
this situation are a lack of regulations on
implementation in existing laws, political interests or a
lack of suitable committees and forms of mutual
planning.
Previous or simultaneous activities of different
organisations in similar assignments affect the
implementation of LUP.If promises have been made but
not kept in earlier programmes or projects, the
confidence of the population will be low in new
projects.Work by other organisations in the same area
but with a different approach confuses the population
and has a negative effect on their participation and

211
 performance.This is especially the case when subsidies
are provided.
Under these circumstances it is often difficult to find
suitable partners with whom to carry out land use
planning. Attempts to build up a new organisational
structure often lead to parallel structures and the
sustainability cannot be ensured.
In general, it is an advantage for the implementation
of LUP when indigenous and non-governmental
organisations exist. They can take on the function of
multiplicators, or can offer supplementary services.
They are, however, not in a position to guarantee the
binding character of LUP decisions. The co-operation
with the responsible authorities is necessary to provide
the legal guarantee for agreements on land use.
Influential Socio- The evaluation of different forms of land use is very
cultural Factors much determinedby traditions and values. It is very
difficult to change these cultural values by LUP, even if
this appears to make perfect sense as far as the
sustainability of the land use is concerned.Thus,it is still
a major status symbol to own heavy livestock.Conflicts
can arise when different groups of the population with
differing traditions meet. An example of this can be
given in the form of claims to land use by settlers in
“holy places “of the resident population. Migrating
people and settlers bring to their new settlement areas
different values which no longer correspond to the
local ecological requirements.
The attitude of different groups of the population to
authorities and to the national and regional elite have a
profound effect on their acceptance of state LUP
agencies. This can range from acceptance of the
authorities to a general mistrust.
The social organisation of the participating groups is
of major significance for the participation in LUP and
for negotiating on and implementation of LUP
measures. Are there a tradition of community work,
functioning interest groups and intact supra-regional
relations, or do individualistic social structures rule?

212
The latter is often the case in new settlement areas or
in regions which have a high seasonal migration rate.
In general, the support by the state, the church or
representatives of the local elite as an expression of
paternalistic relations influence the willingness of
small-farming land users to get active.
In many societies, there are traditional mechanisms
and authorities for settling questions on land use.These
structures have been undermined by social change or
have been lost altogether.By focussing on revitalising or
the further development of such mechanisms – even if
only fragments remain -there is a considerable potential
for LUP.Cause-effect relationships are often understood
by the local population in a different way from the
project staff. This explains why long-term orientated
planning can often not be arranged so easily. The
reasons must be found out and analysed why the
perceptions are so different .
Women, children and older people have a special
interest and motivation in LUP.This is caused by their
role in the family or gender and age-specific division of
labour.Their legal and social position is often special,as
it is expressed in differing rights of access to land.Thus,
in West Africa, women and young unmarried men are
often get fields allocated where they are allowed to
cultivate to earn their own income.At the same time,
however, they have an obligation also to do some work
in the fields belonging to the head of the family. This
should be taken into account in LUP.It is not enough to
deal with the interests of the head of the family; but his
wives or sons may have different interests, e.g. with
respect to the cultivation of subsistence or cash crops.
Often, the local population does not have the time
required in LUP for continuous negotiation processes
and implementing measures. The differing seasonal
workloads,the distribution of tasks according to gender
and the fact that farmers often can and wish to attend
meetings only on Sundays play a major role.

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 Appendix 7
Key Questions on the Subject of Participation

The specific ways in which the institutional forms of

participation function are considered in the following
catalogue of key questions:
1. Who are the initiators of the process, who
established the group,the organisation? Is there an
“ranking” from the groups in question?
2. What is the purpose of the institution and what are
its assignments,responsibilities and powers? What
is the legal status of their decisions? What is the
degree of continuity and how binding are its
decisions?
3. What role is played in the participation process by
female facilitators, mediators, female moderators,
animators both men and women?
4. How is technical planning competence in the
process in LUP? How is the necessary level of
information on contexts specific to the locality
and viewpoints of problems guaranteed?
5. How are the stakeholders who are involved in land
use problems in the planning area represented,
directly or indirectly?
6. How can people become a member of a group or
organisation? Is the process open to all social
groups and figures or does it purposefully
concentrate on certain stakeholders? To what
extent are groups with a socially weak position
taken into account? How is the participation by
these groups assured in the longer term?
7. Can the process be democratically controlled, e.g.
vis-a -vis the influence of strong external interests
or the development of self-interests? If there is a
lack of controlling mechanisms, how can at least a
partial conciliation of interests still be achieved
amongst the participants?
8. How intensive are the communication and co-
ordination amongst the participants and how are

214
 these structures maintained? How is this achieved
in the case of participation by migrating livestock
keepers?
9. Which conflict solving mechanisms (arbitration,
moderation) are provided ? How are situations in
which a consensus can not be reached dealt with?
How do agreements become a binding character
and how is this controlled?
10. Which opportunities are existing in the process of
empowering the participants? To what extent are
joint learning effects and changes in behaviour
encouraged by an increase of the local
competence for planning and action? What
chances do the participants, especially the direct
land users have to influence the steps of the
participation process or to plan the tools and
methods used?
11. Are there specific incentive mechanisms in
connection with the participation processes, are
there measures aimed at building up trust,
compensation, etc.?
12. What is the cost-benefit-ratio? Each procurement,
the establishment and development of an
institution, an operation or an organisation mean
investments.
13. What are the relations to the state administration?
To what extent does the process lead to co-
ordination or integration of sectoral agencies? Is
the process already part of the existing planning
and administration structures, or is it suited to be
integrated at a later date? Are there activities
oriented towards the formation of “parallel
administration structures”?

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 Appendix 8
Notes on the Allocation of Land Use Options to
Land Units

Sequence according to land use requirements

The land use options listed below have different

requirements on land and therefore restrictions
concerning their suitability for an implementation In
order to better allocate land use options, each
individual land unit must be evaluated in terms of its
land characteristics and it must be brought into context
with the most important socio-economic and technical
criteria.
The next paragraphs are intended to give an
overview on land use options in form of a rough
sequence, followed by a detailed evaluation.
The land use options “built -up areas” (settlements,
industrial facilities, roads) and the options
“conservation areas” and “buffer zones” will not be the
subject of further consideration at this point.They are
determined externally or are orientated towards
biodiversity criteria, which usually are applied
independently of land use requirements.

This procedure leads to land use options according

to their economic profitability, and is certainly a useful
scheme in areas of high pressure on land resources. Of
course, the sequence presented here can vary from
location to location, e.g. an intensive pasture can, in
individual cases, be placed higher than rainfed
agriculture in terms of economic factors. Furthermore,
additional land use options can be added and others
neglected. If there are land reserves which should not
or cannot be developed directly, an option should be
implemented or maintained which is ecologically
stable (e.g.natural forest).This might also be possible in
a location for potential irrigated agriculture.
A land use option can always be implemented in
place of an option placed lower in the scheme without

216
1. Natural Forest

Land Use Requirements

Availability very adaptable due to variable composition of species.
of water Limit in rainfall: >250 mm per annum
Soil Nutrients very adaptable due to variable composition of species
Slope almost no restriction
Rooting Conditions very adaptable, on shallow soils: more small trees and
shrubs
Risk for of little significance, given sufficient vegetation cover
topsoil erosion adaptable due to variable composition of species (with the
Soil drainage exception of swamp areas)
pH-value of very adaptable due to variable composition of species
the soil below the tree line
Elevation

Socio-economic conditions
Traditionally almost always known
known land
use option
Self-supply local use important for various purposes, partly also for
food supply, hunting, forest pasture, etc.
Legal status Often state land, therefore rights of use must be clarified
of the land prior to the implementation of measures
Conflicts especially between tree felling companies and village
of use population or between village population and the state
Consumer or mostly unhindered removal of products by the local popu-
Consumption lation for their consumption, partly impeded by controls of
Practices officials, especially when products are removed for
commercial purposes
Marketability often intervention by the forestry authority; in general,
of the timber of greater value is not marketed via the local popu-
products lation, but firewood and secondary forest products
(baskets, honey, herbs, etc.)
Economic risk Low, since investment by the village is rare
Surveillance not normally practised
Prestige value/ Varies very much, depending on the product
Motivation
Value

217
2. Natural Pasture

Land Use Requirements

Availability very adaptable due to variable composition of species.
of water Limits in rainfall: > 150 mm per annum
Soil Nutrients very adaptable due to variable composition of species
Slope should not be practised on slopes above the locally
observed erosion limit (at present clay = 2% slope)
Rooting conditions variable, the deeper the soil, the better; limit lies mostly at
Round 8 – 10 cm, depending on distribution of rainfall
Risk for soil can be protected very effectively by dense sward; the
topsoil erosion more sparse the sward (e.g. in arid zones), the more
susceptible the soil substratum is to erosion, especially on
slopes
Soil drainage greatly affects the composition of species of the pasture
grasses a higher moisture-holding capacity has a positive
effect in arid zones; grazing of animals reduces drainage
due to canpaction of the soil
pH-value of best between pH 5.5 and pH 8, but in even extreme situa-
the soil tions the soil can be used by adapting the composition of
species; improving the pasture plants community requires
special knowledge
Elevation below the vegetation line

Socio-economic conditions
Traditional, almost always knownuse of areas for pasture purposes
Known land often well beyond selfsupply
Use option
Self-supply
Legal status often community land treated as no-input land, different
of the land from private lands; pasture regulations and rehabilitation
measures are often necessary
Conflicts often overlapping of stationary and mobile livestock keeping
of use with conflict potential
Consumer or mostly traditions of use, no innovations in general , no
Consumption bottlenecks, as long as access to the market is guaranteed
Practices Marketability (roads, transport); profitability of livestock keeping cannot
of the products always be proved
Economic risk Livestock epidemics, drought years, excessive grazing and
degradation of vegetation cover, excessive advantages for
small producers, etc.
Surveillance very costly surveillance is often practised

218
3. Intensive Forest

Land Use Requirements

Availability must be continuously available by high rainfall, need for
of water water depends on species planted, but as in general higher
than for natural forests
Soil Nutrients often higher demands than for natural forest mostly small
Slope restrictions, if planted species are sufficiently fixed
Rooting Conditions in general, deeper than in a natural forest, depending on the
species but at least 1.20 m and more
Topsoil erosion risk plays a role if natural forest is cleared on steep slopes in
order to plant intensive forest; therefore it must be avoided
or by-passed by planting enrichment plants (without
clearing)
Drainage of the soil extremely poor-drained soils, sites which are frequently
waterlogged can constitute a limiting factor
pH-value of the soil depends on the pH-requirement of the species note the
Elevation limits specific to the species (information available from the
forestry service); depends on the latitude

Socio-economic conditions
Traditional known often unknown or not practised, since local village inhabitants
land use Self-supply often do not see a sense in practising the option has often
little reference to local supply, which is, in general provided
by the natural forest
Legal status must be clarified before planting, as it decides future use;
of the land on communal land either communal care and use, or
division into plots for use (village intern)
Conflicts of use between the village and timber companies, between the
village and the state
Consumer or product often not known and intended for sale (source of
Consumption income!), sometimes inappropriate use (eucalyptus for
Practices construction purposes)
Marketability often good, especially in times of shortages, which was the
of the products initial point for planting
Economic risk must be examined by investigations e.g. the profitability;
assessing the risks into account before planting
Surveillance often necessary to prevent theft, especially in tree-cultures
similar to plantations (cinnamon, cinchona bark, etc.)
Prestige value/ often high (innovation prestige)
Motivation

219
4. Intensive Pasture / Fodder Cultivation

Land Use Requirements

Availability often, high and evenly distributed rainfall or possibilities of
of water irrigation are necessary, because the composition of
species is more demanding than in natural pasture
Soil Nutrients high demands, in general supplemented by fertilisers
Slope usually on even terrain or on terraces
Rooting Conditions deeper than natural pasture, rarely less than 30 cm
Topsoil erosion risk dangerous on land which has been repeatedly cleared and
kept unprotected by removing the plant cover (e.g. by
harvesting fodder plants), especially on slopes
Drainage of the soil waterlogging as exclusion criteria
pH-value of the soil no extreme pH values, generally between pH 5.4 and
pH 7.6
Elevation at elevations of local arable farming

Socio-economic conditions
Traditional, often innovative activities
known land
use option
Self-supply often serves to bridge seasonal fodder bottlenecks; near
cities, often very beneficiary fodder sales (cash crop)
possible
Legal status mostly on private plots, rarely on communal pasture land;
of the land only possible when the animal producers are well organised
Conflicts when local pasture rights overlap with the traditional rights
of use of migrating livestock keepers
Consumer or fast adaptation, rarely problems with the consumption of
Consumption surplus of produced fodder
Practices
Marketability animal fodder as cash crop near the cities, often with an
of the products excellent profitability, can be increased by combination
with known fodder trees; sale of milk only worthwhile near
the cities
Economic risk low, unless the additional fodder is diverted into high-risk
branches of production
Surveillance often necessary, especially to prevent stray animals from
Prestige value/ entering high (innovation prestige)
motivation value

220
5. Agroforestry Systems

Land Use Requirements

Availability high in comparison to rainfed agriculture, competition for
of water water between woody plants and crops must to a large
extent be excluded (in tropical climates more than 500 mm
rainfall per annum)
Soil Nutrients top soil: not decisive, since nutrients are “pumped
upwards” from deeper layers of the soil by the trees
Slope suitable on gentle slopes, whereby the woody plants
(mostly planted horizontally in hedge formation) function as
soil stabilisers
Soil depth to roots at least 60 cm
Topsoil erosion risk on slopes, as far as possible on stable soils, as the pro-
tective effect starts only after 3 – 4 years; relatively
insignificant on plain land
Drainage of the soil on slopes, not on poorly drained clay / poor clay soils;
insignificant on plain land
pH-value of since the land is used simultaneously for arable farming,
the soil the limiting pH values 5.4 to 7.6 apply
Elevation in general, at elevations of local arable farming

Socio-economic conditions
Traditional agroforestry systems are traditionally developed almost
known land everywhere by local farmers; they should not be radically
use option changed, but integrated or further developed and adapted
to the special local conditions
Self-supply the system makes a contribution to the local demand for
food, wood, fodder, cash, etc.
Legal status usually on individual plots of the land
Conflicts of use no particular potential for conflict, since cultivation is mainly
on an individual basis
Consumer or often no innovations, therefore no break with the traditional
consumption use of the products
practices
Marketability no “special” products; marketing of surpluses, therefore
of the products generally no bottlenecks
Economic risk Low
Surveillance surveillance necessary in a similar way as for arable farming
(against theft and to prevent animals from entering)
Prestige value/ established, reliable prestige and motivation values
motivation value

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6. Rainfed Agriculture

Land Use Requirements

Availability amount and distribution of rainfall, and the demands of the
of water specific crops play a decisive role (example millet:
> 280 mm/a; well distributed in 120 consecutive days)
Soil Nutrients the better the supply of nutrients, the higher the yields to
be expected; nutrient status can be improved by fallow or
fertilisation; many crops (e.g. millet) show clear yield limits
even by fertilisation
Slope as far as possible on plain land; knowledge of local erosion
risks is essential and has to be considered
Rooting Conditions at least 40 cm
Topsoil erosion risk varies according to the characteristics of the topsoil: clay
erodes at a 2% incline, organic black soils are often
relatively stable up to 10%; prevent erosion by applying
adapted techniques of tillage (e.g. ploughing topsoil
parallel to contour lines)
Drainage of the soil extreme situations (clay: waterlogging, sand: excessively
fast infiltration of water and nutrients) set clear limits for
rainfed agriculture
pH-value of the soil between pH 5.4 and pH 7.6
Elevation suitable elevations are generally known to the inhabitants
of the region

Socio-economic conditions
Traditional known Yes
land use option
Self-supply in general, the essential needs for basic food production
are covered by rainfed agriculture
Legal status mostly individual cultivation (household level) with different
of the land regulations in rights of land use and/or tenure
Conflicts of use frequent conflicts with livestock keepers and/or their
straying animals
Consumer or crops generally correspond to the traditionally consumed
Consumption crops (corn, tuber crops, etc.)
practices
Marketability generally surpluses can be sold without any problems, if
there is access to marketing facilities (local market, etc.)
Economic risk mostly low, since the products (especially corn) can be stored
Surveillance surveillance against theft when crops are ripe, and against
birds and animals
Prestige value/ established, reliable prestige and motivation values
motivation value

222
7. Irrigated Agriculture

Land Use Requirements

Availability rainfall: relatively unimportant irrigation water: must be
of water available when needed
Soil Nutrients in paddy fields: rice: has relatively low demands on the soil,
assured by fertilisation; temporary irrigated agriculture is
comparable to rainfed agriculture
Slope in sloping areas establishment of terraces, for which the
”economic limit” is around 6 – 10% incline
Rooting Conditions in paddy fields, it is desirable to have a in a depth of 30 –
40 cm an impermeable layer , in order to avoid infiltration
losses
Topsoil erosion risk insignificant, since the land is plain
Drainage of in paddy fields: low infiltration desired, at the same time
the soil high water retention capacity (field capacity)
pH-value of the soil in paddy fields between pH 4.6 and pH 7.2 (rice); in irrigated
agriculture additionally between pH 5.4 and pH 7.6
Elevation as for rainfed agriculture; many types of rice have an upper
limit of about 1,700 m a.s.l.

Socio-economic conditions
Traditional, known Yes
land use option
Self-supply in the highly productive paddy fields of Central Java, an
area of 0.085 hectares “feeds” one person with rice (cycle
with 3 crops per annum)
Legal status land preparation requires the major investment in terms of
of the land money and labour, so the legal status of the land must be
especially guaranteed
Conflicts of use some destruction of fences and small dams by grazing
animals after the harvest
Consumer or crops produced do generally correspond to the traditional
Consumption consumption practices
Practices
Marketability mostly good, if there is access to the market
of the products
Economic risk low, since products can generally be stored
Surveillance surveillance against theft and birds when crops are ripe
Prestige value/ high, especially when the required food cannot be pro-
Motivation value duced in the area by rainfed agriculture

223
Scheme for identifying land use options at given locations

Land Use Option Preferred Potential alternative option

implementation

irrigated agriculture yes

irrigated agriculture or any other option (see below)
no
rainfed agriculture yes agroforestry system
rainfed agriculture or
no intensive pasture
intensive forest
natural pasture
natural forest
agroforestry system yes intensive pasture
agroforestry system or
no intensive forest
natural pasture
natural forest
intensive pasture yes intensive forest
intensive pasture or
no natural pasture
natural forest
intensive forest yes natural pasture
intensive forest or
no natural forest
natural pasture yes
natural pasture or natural forest
no
natural forest yes natural forest

having a destabilising effect.This is, however, (almost)

never possible when an alternative option is going to
be considered which is placed higher, at least not
without considerable technical and financial inputs.
Obviously,the various mixed forms of cultivation and
land use (e.g. forest pasture, shifting cultivation with
long fallow rotation,plantations in partly very intensive
cultivations, special cultures) are placed somewhere
“between” the land use options described. Some do,
however, require special local and socio-economic
conditions.
Repeatedly, demands have been made for mapping
and planning the covered the area belonging to the
village. It will happen that, after covering the village
areas, some additional areas will be “left over”, which
are located far from the village. Most of them have
hardly been used labour-intensively, e.g. these are

224
eroded bushlands or hilly landscapes, often destroyed
by fire. In the understanding of the village inhabitants,
these areas are of “little use”. Often this is state or
communal land, or private land which has been left
open.
Also this land must be considered if not only the
immediate demands will be focused on but also an
ecological impact is expected. It is obvious, that in the
course of time, this land has developed to its present,
degraded appearance from an originally intact state
(natural forest).This has happened due to unsustainable
land use in the long term.The reason for this may lie in
the fact that title deeds or land use rights either were
not given to the individual farmers,or there was enough
land available to clear and cultivate plots elsewhere.
Thus in the past, the degraded land fulfilled an
economic function. It is therefore an obligation to
stabilise these areas to such an extent that a further
degradation is not possible. Generally, it is sufficient for
this purpose to reforest these areas using simple means
(e.g. direct forest seeding). The results must then be
protected from grazing animals.

225
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Index of Abbreviations

WGLUP Working Group for Integrated Land Use Planning

DC Development Cooperation
FAO Food and Agriculture Organisation of the United Nations
GDB German Development Bank
GIS Geographical Information Systems
GTZ Gesellschaft für Technische Zusammenarbeit
LUP Land Use Planning
M&E Monitoring and Evaluation
NGO Non-Governmental Organisation
PAR Participatory Action Research
PIDA Participatory and Integrated Development Approach
PRA Participatory Rural Appraisal
ROPP Regional Oriented Programme Planning
RRA Rapid Rural Appraisal
RRD Rural Regional Development
TC Technical Cooperation
Index of Key Terms

Aerial photograph, satellite picture 72, 74, 75, 80, 113, 147, 166, 167, 168, 203,
204
Conflict management 53, 96, 111
Counterflow principle 42
Creating awareness 56, 155, 156, 172, 173, 174, 181, 198,
Dialogue 16, 23, 27, 39, 46, 57, 58, 96, 103, 104, 119, 135, 157, 159, 169, 209
Documentation 91, 149, 157, 165, 166, 168, 175, 205
Erosion / Erosion protection 17, 25, 26, 31, 59, 65, 85, 133, 138, 147, 174, 186,
189, 203, 217, 218, 219, 220, 221, 222, 223
Financing 21, 47, 87, 89, 90, 136, 137, 141, 142, 145, 166, 192
Flexibility 25, 36, 58, 71, 135, 188, 196, 199, 200
Framework of general conditions 99, 153, 154, 158, 159, 169
Gender 12, 23, 24, 64, 103, 120, 152, 165, 171, 213
General conditions 47, 54, 56, 86, 88, 99, 100, 129, 133, 153, 154, 158, 159, 169,
170, 171, 179, 194, 205, 206
GIS 27, 72, 73, 75, 76, 86, 87, 166, 167, 168, 182, 210
Implementation 13, 16, 18, 22, 25, 37, 41, 47, 53, 62, 63, 69, 72, 79, 84, 86, 87,
90,92,100,104,115,131,132,133,136,137,138,139,140,141,145,146,
156, 158, 160, 164, 169, 170, 174, 188, 191, 199, 205, 216, 224
Information procurement and processing 19, 54, 63, 73
Institutions 46, 47, 57, 84, 92, 97, 105, 108, 112, 115, 118, 119, 120, 131, 138,
141, 144, 148, 175, 177, 179, 182, 192, 197, 199
Interest groups 24, 42, 47, 48, 56, 83, 92, 110, 116, 118, 168, 210, 212
Iteration 19, 24, 55
Land law / Land order 71, 139, 169, 170, 174, 181, 186, 187, 188, 193, 197, 209
Land use conflicts 30, 40, 56, 64, 97, 194, 196, 199
Land use plan 27, 50, 84, 90, 92, 94, 100, 132, 137, 141, 148, 156, 170, 188, 200,
209
Land units 49, 69, 72, 84, 90, 201, 216
Learning process 40, 54, 63, 86, 104, 106, 107, 115, 119, 120, 128, 131, 163, 165
Legal framework 45, 95, 131, 140, 169, 175
Local knowledge 21, 22, 67, 87, 106
Maps 27, 72, 76, 90, 113, 114, 128, 149, 166, 168, 191, 201, 205, 209
M&E 100, 131, 132, 146, 148, 153, 160
Measures 18, 22, 25, 26, 31, 42, 50, 54, 59, 61, 66, 70, 72, 78, 81, 84, 86, 89, 92,
101, 107, 112, 122, 127, 131, 132, 137, 141, 146, 150, 153, 155, 156, 159,
162, 166, 171, 173, 177, 192, 198, 203, 205, 206, 212, 217, 218
Measures aimed at building up trust 59, 81, 127, 160, 166, 168, 215
Objectives of LUP 165, 211
Organisation 14, 18, 46, 79, 82, 83, 87, 107, 116, 126, 143, 146, 153, 158, 161,
164, 172, 176, 210, 212, 215
Participation 15, 29, 35, 40, 48, 50, 67, 69, 79, 83, 100, 103, 104, 108, 112, 115,
117, 123, 124, 125, 133, 140, 142, 154, 155, 157, 176, 184, 192, 199, 211,
212, 214
Participatory methods 23, 63, 66, 72, 97, 113, 115, 122
Pastoralism 194
Pilot villages 52, 62, 153, 162, 163
Planning agencies 41, 50, 80, 136, 161, 167
Planning area 49, 61, 69, 74, 79, 92, 95, 108, 114, 153, 154, 160, 161, 179, 184,
201, 204, 214
Planning levels 33, 37, 39, 41, 45, 46, 48, 50, 76, 80, 150, 165
Power structures 98, 99, 185, 186
Prerequisites for LUP 178
Principles of LUP 16, 157
Qualifications of the staff 73, 82
Resource management 5, 12, 60, 127, 164, 171, 174
Role of the project 93, 97, 104
ROPP 27, 42, 64, 150, 153, 159, 172, 191, 193
RRD 118
Stakeholders 16, 23, 24, 38, 48, 55, 57, 63, 71, 72, 76, 79, 81, 89, 92, 94, 104, 108,
111, 122, 129, 135, 137, 139, 142, 157, 214
Sustainability 5, 20, 26, 34, 42, 63, 78, 83, 107, 116, 119, 124, 140, 151, 178, 208,
211
Training and further education 139, 143, 154, 166, 167
Transparency 23, 24, 27, 52, 81, 86, 98, 140, 157, 165, 178, 188, 208