Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Food Security in Africa and Asia Strategies for Small-scale Agricultural Development

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Food Security in Africa and Asia Strategies for Small-scale Agricultural Development Henk Bakker

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Library of Congress Cataloging-in-Publication Data Bakker, H (Henk), 1926Food security in Africa and Asia: strategies for small-scale agricultural development / Henk Bakker. p.cm Includes biographical references and index. ISBN 978-1-84593-841-3 (alk. paper) 1. Food security--Africa. 2. Food security--Asia. 3. Rural development--Africa. 4. Rural development--Asia. 5. Farms, Small--Africa. 6. Farms, Small--Asia. I. Title.

HD9017.A2B35 2011 338.1’95-dc22 2011003437 ISBN 978 1 84593 841 3

Commissioning editor: Sarah Hulbert Production editor: Tracy Head Printed and bound in the UK from copy supplied by the author by CPI Antony Rowe, Chippenham

TABLE OF CONTENTS

Preface Acknowledgements Introduction The premise of the book The contents summarized 1 Defining the Food Security Problem 1.1 Introduction 1.2 The core concept 1.3 Basic terms and meanings 1.4 Concept pictures 1.4.1 The increase of agricultural production 1.4.2 Achievement of sustainable landscape stability 1.5 The learning process approach 2 Evaluating the Resources of Small-scale and Subsistence Farmers 2.1 Introduction 2.2 Small-scale and subsistence farmers’ households 2.3 Population pressures 2.4 Land use in AFR and SAS 2.4.1 AFR 2.4.2 SAS 2.5 Population density 3 Alternative Approaches Examined 3.1 Relevant to participatory learning and action (PLA) 3.1.1 The acceptance of PLA 3.1.2 Setting standards for participation 3.1.3 Root definitions and conceptual models regarding a blueprint and a learning process approach 3.2 Relevant to ideal type models and ‘real world’ problem situations 3.2.1 The conflict 3.2.2 The combined approach 4 The Need for a Participatory Approach 4.1 Introduction 4.2 The process 4.2.1 General 4.2.2 The methodology followed

ix x 1 1 2 5 5 6 7 8 9 12 15 19 19 20 22 28 28 29 30 33 33 33 36 38 40 40 42 43 43 45 45 45

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

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TABLE OF CONTENTS

4.3

5

6

vi

Relevant to agricultural production 4.3.1 The potential to increase agricultural productivity 4.3.2 Setting standards for participation 4.3.3 Root definition and conceptual model. 4.4 Relevant to landscape stability 4.4.1 The potential to achieve a stable landscape 4.4.2 Factors influencing sustainable soil patterns 4.4.3 Root definition and conceptual model Researching the Situation to Define Strategies 5.1 Introduction 5.2 Finding out what changes are needed 5.2.1 Research questions 5.2.2 The questionnaire suggested for the research 5.3 The activities to be carried out to implement changes 5.3.1 Introduction 5.3.2 Activities 5.4 The monitoring system 5.4.1 Introduction 5.4.2 The fundamental strategic steps 5.5 Indicators 5.5.1 General 5.5.2 The subjectivity of indicators 5.5.3 Type of indicators 5.6 Methods used to collect and register 5.6.1 To monitor the stability of the landscape 5.6.2 To monitor agricultural productivity 5.6.3 Control action Challenges Presented by Natural and Man-made Factors 6.1 Introduction 6.2 Trends of ecosystems 6.2.1 Natural and spatial variability 6.2.2 Resilience and resistance 6.2.3 State factors and interactive controls 6.3 Trends of population growth and density 6.3.1 Population growth 6.3.2 Population densities 6.4 Trends of agricultural production and food security 6.4.1 Expand the cultivated area

46 46 49 52 56 56 57 69 73 73 74 74 76 79 79 79 82 82 82 85 85 86 87 90 90 91 92 93 93 94 94 94 94 97 97 98 100 100

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

TABLE OF CONTENTS

7

8

9

10

6.4.2 The intensity of land use 6.4.3 The increase of yield 6.5 The impact of internal political instability The Competition for Resources for Food Production 7.1 The question of producing crops for food or bio-fuel 7.1.1 Competition between crops for food and energy 7.1.2 Market disturbance 7.1.3 Crops for the production of ethanol 7.2 The potential to achieve objectives 7.2.1 The World Food Summit 7.2.2 The effects of human activities - some examples 7.2.3 Independent control variables and agricultural production Monitoring Intervention Strategies in Different Farming Systems 8.1 Introduction 8.2 Definitions described 8.2.1 Farm system 8.2.2 Farming system 8.3 Sub-Saharan Africa 8.3.1 Characteristics of the region 8.3.2 Farming systems in AFR 8.3.3 A closer look at a selection of farming systems in AFR 8.4 South Asia 8.4.1 Characteristics of the region 8.4.2 Farming systems in SAS 8.4.3 A closer look at a selection of farming systems in SAS Small-scale and Subsistence Farmers’ Households and Selected Farming Systems 9.1 Typical households 9.1.1 Some households in Sub-Saharan Africa (AFR) 9.1.2 Some households in South Asia (SAS) 9.2 Strategic priorities 9.2.1 Sub-Saharan Africa 9.2.2 South Asia Liaison of International, National and Local Agencies Conclusion 10.1 Introduction 10.2 Tensions

101 106 121 123 123 123 124 124 129 129 132 132 135 135 135 135 136 138 138 142 150 158 158 159 167 177 177 177 179 180 180 182 185 185 186

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TABLE OF CONTENTS

10.3

10.4

10.2.1 Cultural environment and participation 10.2.2 Communication 10.2.3 Higher education 10.2.4 Terms of trade 10.2.5 The physical infrastructure Work together 10.3.1 Introduction 10.3.2 The process of action Conclusion 10.4.1 Global problems affecting food security 10.4.2 Summary of main points 10.4.3 Final paragraph

List of tables List of figures Abbreviations, Acronyms and Organizations Glossary Bibliography Appendices Index

viii

186 186 187 187 187 188 188 191 192 192 194 195 197 201 203 205 211 217 231

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

Preface

Having lived in South East Asia, as well as on the African and South American continents working on agricultural projects for some forty years, the writer acquired an appreciation of the harshness of life for so many of the rural and urban peoples living in so-called World Development Regions (WDRs). The difficulty of living on a knife-edge under uncertain and varying circumstances of governance, health and education, infrastructure, soil fertility and climate can only be understood by people who have to spend their energy to survive and improve the circumstance under which they were born. The population pressure now being brought to bear on the globe’s resources only increases the uncertainty of life in such regions. Increasing world population makes the achievement of sustainable food security for the people living in WDRs acute. It is argued that small-scale agricultural development in development regions is important in this regard and that the input of the local small-scale and subsistence farming community, with the active participation of national and international agencies and governments, is necessary if sustainable small-scale agricultural development in WDRs is to be achieved. Policy makers of such agencies should involve themselves closely with smallscale farming communities in establishing ways and means to work towards achieving this aim. Due to modern communication and transportation methods, our world, although rapidly becoming smaller, at the same time is enlarging greatly, which brings a new and challenging world upon us. All nations, whether developing or developed demand their place in this changing new world. Due to their resources the developed world might profit more from the new opportunities opening up than the low income countries. There is a danger for the existing gap between these two streams of nations widening further. Financial aid for the developing world is important, but most important of all is technology and the opportunity for people in the developing world themselves, by means of access to viable markets, to make full use of resources available nationally and internationally. The most important thing for success is the attitude of the individual and therefore agencies, including governments worldwide, towards such opportunities. In that context it is pressing that the necessary assistance be given to small-scale and subsistence farming to promote small-scale and subsistence agricultural development, seen as essential to combat food insecurity.

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Acknowledgements

A number of reference texts have been essential to the writing of this book. The two volumes used most were the following: Copyright Year

Authors

Title

Publishers

Peter Checkland and Jim Scholes

Soft Systems Methodology in Action

John Wiley and Sons, Ltd

© 1991

Malcolm Hall et al.

Farming Systems and Poverty. Improving Farmers’ Livelihoods in a Changing World

FAO and World Bank

© 2001

The book on soft systems methodology has been widely used in Chapters 1 and 3 to 5. References in the text apply. Similarly the book on farming systems has been essential to the writing in Chapters 2, 8 and 9. References have been placed in the text as necessary. The guidance given by Sarah Hulbert, Commissioning Editor at CAB International in setting out the chapters has been essential to give the book appropriate shape and this is gratefully acknowledged. Tracy Head, Senior Production Editor, and Margaret Last, proofreader, did invaluable work on the manuscript and this, also, is gratefully acknowledged. Finally I am grateful to my wife Lois, without whose patience and forbearance this book could not have been written.

x

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

INTRODUCTION

The premise of the book Small farmers’ interests

Local, regional and national agencies’ interests

International institutions and donors’ interests

Rural and urban populations’ interests

Organizations and Institutions: Commission and deliver improved food security

The overall concept

This book builds on the premise that food security in low-income countries may be achieved through sustained effort by the local small-scale and subsistence farming communities, with the active support from local, national and international agencies. It states that any such effort will endure only if those small-scale farming communities and subsistence farmers feel that their interests are protected. Therefore, those local communities should be involved in the process of working towards sustainable food security to the extent that they consider that they ‘own’ the project designed for that purpose. To achieve this such a project should be based on the concept of participatory action and learning. However to protect the interests of financial donor organizations, it should be underpinned by a blueprint model which guarantees achievement of upward accountability from those implementing the project, to financial donor organizations. Therefore, the book is directed towards policy makers of local, national and international organizations and agencies which are prepared to listen, learn from and work with local farmers and their representatives. This is subject to it becoming clear to these policy makers during the process of project development and implementation that the aim of securing sustained commitment from local small-scale and subsistence farmers can be achieved. This will depend on these farmers believing that they would secure an acceptable livelihood from small-scale farming based on the development project. Subsistence farmers would be strengthened and have an incentive

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

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Introduction to stay on the land, reducing the pressure on urbanization. The relationship between the various ‘actors’ involved in the process, is depicted in broad terms in Figure 1.1.

The contents summarized Chapter 1 defines the problem the establishment of food security in low income countries is faced with. It offers an approach towards coming to grips with the problem, the causal factors of which are seen as population pressure, poverty, land degradation and unstable environments. The approach clarifies the involvement of the various players with different and varying interests in the process of arriving at a solution to the complex problem of achieving sustained food security. Alongside the involvement of local, national agencies and governments and international institutions, the commitment of local small-scale farmers’ organizations and principally amongst them subsistence farmer groups, is regarded as crucial in setting standards and norms as benchmarks for action based interactive participation. As the resources of small-scale and subsistence farmers’ households are seen as central to the delivery of food security, they are examined in Chapter 2. The discussion is set against the background of population density and land use. To keep the analysis focused, it is limited to conditions found in the World Development Regions (WDRs) of Sub-Saharan Africa (AFR) and South Asia (SAS). Chapter 3 describes the work to be done to engage the local and small-scale and subsistence farming communities. A monitoring system aimed at assessing the level of their ongoing commitment is developed. A related model, incorporating fac2

tors at play in the ‘expert environment’, and the ‘socio-political environment’ working towards promoting a participatory learning process approach, indicates control action to maintain that commitment. Participatory learning and action (PLA) by all, including small-scale and subsistence farmers operating in the socio-political environment is essential to make the model work. To establish that the small-scale and subsistence farming communities accept that their involvement in interactive participation (see Glossary) to achieve sustained food security is at the core of the intervention, Chapter 4 puts forward a ‘findingout’ process. Based on this concept diagrams and models regarding the achievement of sustained agricultural production and a stable landscape are developed. In Chapter 5 ideas put forward in the models of Chapter 4 are discussed. This is done in the context of a research process as a basis for testing the concepts by means of questionnaires and interviews, directed to potential donors, ‘experts’, and small-scale and subsistence farmers. Subject to answers from the research process, the proposition entailed in the model worked out for a participatory approach in Chapter 3 is tested by means of a number of activities. The ‘expert environment’ is approached by donor organizations and/or international institutions, to find out who would be prepared to undertake a feasibility study under terms of reference relating to the concepts indicated above. The ‘socio-economic environment’ is tested more thoroughly than in the initial stage (Chapter 4) by ‘expert’ organizations also setting up a feasibility study about that aspect. They commission suitable staff to obtain the required information from the small-scale and subsistence farmers. A

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Introduction model guiding farmer-led research under a combined participatory learning process and blueprint approach is set up leading to demonstration plots showing increased crop production. These plots are used to motivate increasing participation by small-scale and subsistence farmers by means of a monitoring system driven by farmers who have consented to take part. As sustainable crop production depends on a stable landscape, methods to promote this are included in the demonstration plots and monitoring system. Chapter 6 indicates broadly a number of challenges presented by natural and man-made factors which are beyond the control of those acting in the process discussed above. Population growth and density are examples of trends or changes in ecosystem processes as expressed for example by unreliable rainfall. Land use, due to its impact on the landscape is another aspect affecting the livelihood of small-scale and subsistence farmers. The consequence of local political instability is a further factor in this regard. The effects of these factors point to the need for agricultural production to be competitive. In that context the intensity of the use of agricultural land and cropping intensities in developing countries are looked at. The technique of intercropping is discussed in some detail. The potential advantages of this system with regard to the use of solar energy by leaf canopies and of the soil profile by root systems is highlighted. The possible use of irrigatioin is given due attention. Chapter 7 considers competition between organizations for land to be used for the production of plant crops.

An example of this is the production of crops for food, or alternatively for biofuel. This is looked at in the context of population densities and the suitability of land for surface irrigation against the overall background of chronic undernourishment. As the target set by the World Food Summit for the reduction of this undernourishment seems unlikely to be achieved, it is argued that insight is needed to ensure that crops for bio-fuel are grown on relatively marginal land and that deforestation is reduced to a sustainable level. The connection between the factors which affect food security is highlighted. Chapter 8 states that if an intervention directed towards promoting food security in a World Development Region (WDR) is to be successful, the region needs to be surveyed to determine in general terms its characteristics regarding its agro-ecological zones. This then could lead to an assessment of its potential distribution of appropriate farming systems (see Glossary). These are defined broadly as a population of small-scale and/or subsistence farms with similar resources, household livelihoods and constraints. Highland temperate mixed crops, or forest based crops with a moderate or extensive prevalence of poverty are examples. To facilitate cooperation by farmers’ groups, Chapter 9 considers farming systems. Based on the examination of resources referred to in Chapter 2, a number of different farming systems are selected for typical households. Based on that selection in a region or country in AFR and SAS, the research process referred to under Chapter 5

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

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Introduction can be initiated and action started to work towards establishing the demonstration plots mentioned in that chapter. This is indicative of the difficulty of the tasks involved. The need for capable adaptive management is emphasized. The final Chapter 10 considers the background for potential tensions between the interests of agencies working under upward accountability and the interests of their staff working on the ground, facing conflicting demands for participation from local and donor interests. The need for positive communication between staff

4

from donor organizations and small-scale and subsistence farmers representatives is emphasized. Sustained political will from policy makers of international and national agencies and national governments is essential if relevant action by local small-scale and subsistence farmers’ organizations and groups, supported by donors’ organizations towards vitally important food security, is to be successful. Population pressure and climate change put unavoidable weight on this issue.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 1

Defining the Food Security Problem

The problem tree

1.1 Introduction

Ineffective rural household income strategies. Social differentiation. Low efficacy of national and international institutions

Falling agricultural productivity Reduction in fallow durations

Unsustainable farm sizes Urbanization

Difficulty in maintaining effectiveness and efficiency

Finding a viable answer to the question of how to improve food security should not be seen as a ‘problem’, but rather as an endeavour to analyse an ever-changing situation. The term ‘problem’ is indicative of a ‘hard’ process which, via analysis of ‘facts’, arrives at a solution. Figure 1.1 presents a ‘hard’ model. It identifies the ‘focal problem’, the ‘causes’ of the problem and the ‘effects’ of the problem.

Effects of the problem

The Focal Problem: Population pressure Land degradation Vulnerable food security. Poverty

Causes of the problem

Deforestation

Increasing populations Relatively low HDI Lack of infrastructure

Time scale Develop effective institutions Develop working (international) partnerships

FIGURE 1.1. The problem tree.

The complexity of the problem presented by achieving sustained food security needs to be defined. This justifies an approach based on soft systems methodology.

Economic externalities Market failure Urbanization

Although this figure is useful, in that it helps to focus onto the problem, it does not bring out the fact that we are concerned with an ever-changing situation. For this reason we should think of the subject under discussion as representing a ‘problem situation’. This term ‘problem situation’ is indicative of a ‘soft’ process, containing fluid and everchanging elements. A ‘problem situation’ is open to analysis by means of soft systems

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 5

Chapter 1 Defining the Food Security Problem methodology (SSM; Scholes, 2000).

Checkland

and

This analysis starts by building a picture showing the main stakeholders and related issues. In that context Checkland and Scholes, 2000, pp. 45-48 point out that “it was found useful to think of the intervention structurally as entailing three roles”.

Analysis One. • The role ‘client’ - the person or persons (or institutions) who cause the intervention to take place. In this case this is seen as the small-scale farmers’ communities in the WDRs of AFR and SAS. These should be regarded as powerful players in the intervention.

• The role ‘would-be problem solver’ (could also be ‘client’) is whoever wants to do something about the situation. In our case these would be national and international agencies and non-government organizations (NGOs). To ‘make the case’ to them, the intervention needs to be defined “in terms of their perceptions, knowledge and readiness to make resources available” (Checkland and Scholes 2000, p. 47).

• The role of the ‘problem owner’. The ‘problem solver’ decides who the ‘problem owner’ should be. The decision of who fill these roles is called ‘Analysis One’ in SSM (Checkland and Scholes, 2000, p. A16).

Analysis Two. This attempts to present a framework for the social and political analyses. That is to say a framework of the roles, norms and values and an ongoing analysis of the ‘commodities which embody power’ (Checkland and Scholes, 2000, p. A19). This represents the view 6

that social reality should be seen as continuously constructed and reconstructed by individuals and groups. The difficulty will be to arrive at a usable framework to underpin an analysis of the interplay between small-scale farmers’ groups and organizations / institutions involved with the project.

Analysis Three. This describes the distribution of power in the social situation. As sensitive issues might come to the fore, this will be difficult.

1.2 The core concept Increasing population pressure potentially leads to land degradation, making achieving/maintaining food security more difficult. Delivering a stable landscape (see Glossary) under increasing population pressure may be central for agricultural production to lead to food security. Appropriate technologies applied to land and water management and crop production management drive agricultural production. Therefore small farmers’ organizations, as the ‘owners’ of these technologies, should be most closely involved in the design and implementation of any intervention dealing with food security. The reduction of poverty in rural areas might result from action related to the above. In urban areas a reduction of poverty could be based on a promotion of industrialization, commerce and transport. Lively interchange between the two areas could achieve desirable diversification. If all this is to be achieved, active and well planned and executed cooperation from international, national and local institutions with small farmers’ and citizen groups will be needed. International agencies, consultants and financiers

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Basic terms and meanings

Urban population

Continuous interchange

Rural population Strategy level

Commissioning and delivering agricultural productivity, landscape stability, reduced poverty

Small farmers’ households

National and local institutions

Farmers’ organizations

International institutions Consultants and financiers

NGOs

S MALL FARMERS’ ORGANIZATIONS

LOCAL INSTITUTIONS SETTING STANDARDS AND NORMS

National governments’ and international institutions’ intervention under special circumstances.

FIGURE 1.2. The core concept. Adapted from Checkland and Scholes, Figure A3, p. A17, Soft Systems Methodology in Action, John Wiley and Sons, Ltd © 1999. Used with permission.

should be involved with a view of underpinning the work to be done by these small farmers and citizen groups and organizations. As the financial resources to carry out the work with a reasonable chance of positive progress will not be available in the areas concerned, financiers should be involved. National and international institutions should keep abreast of progress and intervene if necessary. The interchange between rural and urban populations is indicated as impor-

tant. These ideas are depicted in Figure 1.2.

1.3 Basic terms and meanings These notes endeavour to explain basic SSM terms which will be used in the text. The projects of increasing agricultural production, achieving a stable landscape and reducing poverty, although intercon-

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Chapter 1 Defining the Food Security Problem nected, require different strategies (see Glossary) for their implementations. Fundamental at this point is that the matter is approached from the basis of the ‘world view’ (W) of this author that “interactive participation” (see Glossary) is necessary if sustainable and equitable rural development is to be achieved. This means that the so-called ‘customers’ (C), that is the people who do (P), decide what to do (Q), once they have reached the insight why it should be done (R) (Checkland and Scholes, 2000, p. A22). This SSM concept of ‘doing P by Q’ finds an answer to the question of ‘how?’. Importantly, to quote Checkland and Scholes (p. 23) it is necessary “to be sure that there is a plausible theory as to why ‘what to do’ is an appropriate driver to TABLE 1.1.

motivate people (here the ‘actors’) to act”. For this reason the ‘purposeful activity’ for which we wish to build a model and who must be clearly defined. This is done by formulating the so-called SSM ‘root definitions’. These definitions indicate the core purpose of the ‘purposeful’ activity. In SSM that ‘core purpose’ is expressed as a transformation process (T). Importantly it transforms the input, seen as a form of some entity, into output, here a new form of the same entity. For instance the technology used to produce a crop could be seen as an entity. SSM root definitions should be formulated by considering the elements shown in Table 1.1.

The CATWOE code.a Elements

Description

Formulate root definitions by considering the elements of CATWOE C

‘customers’

the victims or beneficiaries of T

A

‘actors’

the people who do T

‘transformation’

the conversion of input to output

W

T

‘Weltanschauung’

the world view which makes T meaningful

O

‘owner(s)’

those who have it in their power to stop T

E

‘environmental constraints’

elements outside the system which it takes as given

a. Source: From Checkland and Scholes. Figure 2.8, p. 35, Soft Systems Methodology in Action. John Wiley and Sons, Ltd © 1999. Used with permission.

This promotes our thinking in layers which is useful when it comes to model building. The centre (layer) of the process is the association of ‘transformation’ (T) and the worldview (W) which gives the process meaning. This underpins the involvement and actions by the ‘customers’ (C) and ‘actors’ (A), representing the top layer. Underneath T and supporting 8

(or otherwise) the process, are the people or organizations who have the power to stop it all (the ‘owners’, O).

1.4 Concept pictures These pictures endeavour to set out the relationships between stakeholders, issues and actions,

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Concept pictures central to the subsequent modelling process. As we are considering the improvement or increase of agricultural production leading to food security, as well as the achievement of a stable landscape and a reduction of poverty, this section will be divided in appropriate sub-sections. The circumstance that the environment contains elements over which the system has no control, is part of this. 1.4.1 The increase of agricultural production In the context of the rising population pressure, an increase of agricultural production is essential. Figure 1.3 presents a concept picture comprising elements affecting this subject. It shows the relationships between stakeholders, and the issues to be considered by those stakeholders. We are engaged with finding ways and means by which agricultural production can be optimized by designing a model indicating commonly agreed actions and action sequences. We believe that the concept of ‘adaptive management’ (see Glossary) is at the core of the process. This means that when beginning to consider strategy (see Figure 1.2 on page 7), adaptive strategy is drafted so that hypotheses about the way in which the production of new plant material responds to human activity, can be tested. Whilst implementing the strategy, learning occurs. Should the strategy fail, it can be adapted, and improved policies applied. The following will use ‘concept pictures’ and Analyses One, Two and Three, discussed in Section 1.1 above, on which subsequent modelling will be based. A purposeful activity can, of course, be

expressed by different transformations, derived from different interpretation of the purpose of the activity. This real-life complex agro-ecosystem is affected by state factors (see Glossary) which, perhaps especially in AFR and SAS, are highly variable and over which the system has no control. For this reason, if the transformation is to achieve its long term aim of being successful, the local small-scale farmers have to be closely involved with the experiments. They would also judge whether any transformation (T) of changing input to output indeed is successful in the long term, by subjecting it to three test criteria (Forbes and Checkland, 1987):

• the first criterion, E1, efficacy, checks whether the means chosen to produce the output, actually work;

• the second criterion, E2, efficiency, checks whether the inputs are efficient; this is done in the sense of the ‘amount of output divided by the amount of resources used’, or inputs being positive;

• the third criterion, E3, effectiveness, checks whether the transformation meets its long term aim. By ensuring that the farmers (or farmers’ groups) have the power to carry out these checks, the intervention can be morally justified. In case this monitoring, based on agreed measures of performance, indicated failure, local farmers’ groups, together with local institutions would have the power to take control action. Learning would have taken place, revised experiments designed, leading to revised strategy and revised policies. At this point the cycle of monitoring and taking control action would start again. These principles will come to the fore in the model to be worked out in Chapter 3.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

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Chapter 1 Defining the Food Security Problem

Foreign institutions WTO - Financiers and NGOs

Set TOT Bias towards WDRs

Small farming households Farmers’ groups

Climate

Time

Local markets International markets

Improve productivity

Improve use of technology

Production

Technology; Farmer led research

Agroecosystems NPP Farming systems

Topography Consult and work with small-holders

Access to markets

Improve access

Consult and work with national institutions

Civil engineering National institutions Agricultural training

Parent material

Agricultural extension

Potential biota

IMPROVE PRODUCTION

INDEPENDENT CONTROL VARIABLES:

Climate Topography Parent material Time Potential biota

Stakeholder

WTO World Trade Organization Issue TOT Terms of trade NPP Net primary production

Action

FIGURE 1.3. A concept to guide activities for the achievement of sustainable agricultural

production improvement.

10

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Concept pictures Root definition. In accordance with Table 1.1 (see page 8), the following CATWOE elements are instrumental in building the ‘root definition’ on which our

approach will be based. As elaborated in previous paragraphs in this section, a learning process approach is central to the thinking.

CATWOE elements regarding the improvement of agricultural performance

TABLE 1.2.

Stakeholders

Description

C - ‘Customers’

Rural population, small farmers, local and international markets, local and national governments.

A - ‘Actors’

Small farmers, agricultural extension services, civil engineering services, agricultural experts.

T - ‘Transformation’

Relatively low performance of agricultural sector improved agricultural performance through the mobilization of farmer-led research and learning from it, leading to economic development (and improved food security).

W - ‘Weltanschauung’ - world view

An interactive participatory approach is necessary, if the three Es (see above) are to be achieved, that is to say if sustainable and equitable, morally justifiable rural development is to be achieved. As shown in Figure 1.2 (see page 7), there will be a continuous interchange between rural and urban development.

O - ‘Owners’

Rural population, small farmers, local and international markets, local and national governments; national and foreign institutions, financiers and NGOs.

E - ‘Environment’

Natural resources (affected by state factors). Social system, that is to say the continuously changing interaction between role (the social position recognized as important by the people in the problem situation), norms (characterized by expected behaviours) and values (beliefs of what is ‘good’ or ‘bad’ performance by role holders). Political system. Politics “is a process by which differing interests reach accommodation” (Checkland and Scholes, 2000, p. 50). The accommodations reached, or for that matter, modified or dissolved, by politics, will depend on the disposition of power. Politics therefore can be seen as a “power-related activity, concerned with managing relations between different interests” (Checkland and Scholes, 2000, p. 50).

The final element E-environment merits special emphasis. It is under this complex factor where ‘customers’, ‘actors’ and ‘owners’ will work to ensure the success of the intervention. The natural resources, as determined by the factors climate, parent material, topography. potential biota and time are given and thus beyond the control of ‘actors’ involved in the intervention. How they deal with the social and

political systems will drive the impetus the intervention may generate. Based on the stakeholders and their description as given in Table 1.2. the following root definition for this learning process approach is set up. A conceptualized model, based on our understanding of the problem situation, as set out in this section, is worked out in Chapter 4.

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Chapter 1 Defining the Food Security Problem BOX 1 Root definition for a learning process approach aiming to improve agricultural performance. A system to improve the agricultural performance of the rural agricultural sector through the mobilization/enhancement of local knowledge in a sustainable and equitable manner to contribute to economic development and improved food security for the nation, thereby raising the productivity capacity of society. 1.4.2 Achievement of sustainable landscape stability The security of any life form depends on the stability of the landscape. The viability of life for all organisms not capable of capturing the energy of light by themselves (chemotrophs), requires consuming organic molecules created by phototrophs (organisms capable of capturing the energy of light). They need these organic molecules for the energy laid down in their chemical bonds. Phototrophs capture the energy of light by means of photosynthetic pigments. Plants, algae, cyanobacteria and some bacteria, capable by themselves of photosynthesis, are phototrophs. Under ‘normal’ conditions plant life depends on natural resources, amongst which climate (temperature and water) and soil are the most important. The control over soil formation is, in part, represented by the state factors of parent material, climate, topography, and time, over which (arguably - the ‘changing climate’ debate) there is no control. Human activities are another, and for us the driving factor. See also Chapters 5 and 6. Against this background it can be seen that the management of vegetation, of which crop management technology is a part, the management of land use and that of water use are important factors in any 12

drive to achieve the stability of the landscape. There is a close involvement of a number of stakeholders as ‘customers’ and ‘actors’ (CATWOE elements). The effect of these management practices on the balance of atmospheric carbon dioxide is an important spin-off. Quite apart from that, however, we emphasize that the long-term viability of any standard of living depends on the stability of the landscape.

Concept picture.

Relationships between stakeholders, and the issues to be considered by the stakeholders are shown, again in a broad-brush manner, in Figure 1.4. Based on this, action the stakeholders consider appropriate will be based. To define that action, in the form of a conceptual model, a ‘root definition’, based on CATWOE elements, needs to be composed. The rural population is heavily involved as ‘customers’ (here beneficiaries). At the same time, because of their involvement in doing the project, they also are ‘actors’. Due to cooperative research they (the ‘actors’) arrive at (the ‘transformation) an understanding that for their particular region there is an optimum balance between the areas which should be under arable, pasture and savannah land, respectively. Because their livelihood depends on the landscape, priorities regarding that balance would be established.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Concept pictures

Foreign institutions Financiers and NGOs

Ensure continuous effort on soil conservation implementation

Small farming households Farmers’ groups

Climate

Time Improve stability of the landscape Improve use of conservation technology Land management Water management

Improve and maintain access to soil conservation services

Technology; Farmer led research

Terrestrial ecosystems NPP

Topography

Consult and work with small-holders

Consult and work with national institutions

Access to extension services

Civil engineering National institutions Agricultural training

Parent material

Agricultural extension

Potential biota

IMPROVE LANDSCAPE STABILITY Stakeholder

INDEPENDENT CONTROL VARIABLES:

Climate Topography Parent material Time Potential biota

WTO World Trade Organization Issue NPP Net primary production Action

FIGURE 1.4. A concept to guide activities for the achievement of sustainable landscape stability.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

13

Chapter 1 Defining the Food Security Problem TABLE 1.3.

CATWOE elements regarding the achievement of landscape stability

Stakeholders

Description

C - ‘Customers’

Rural population, small farmers, local and national governments, local and international institutions.

A - ‘Actors’

Small farmers, agricultural extension services, civil engineering services, agricultural and socio-economic experts.

T - ‘Transformation’

Disregard of the relativity of the balance between the biomes of arable land, pasture land and savannah land improved awareness of this relative balance, through the mobilization of fully cooperative research, leading to an establishment of priorities for the use of land in a micro as well as macro context, producing longterm landscape stability.

W - ‘Weltanschauung’ - world view

A participatory approach is necessary, if the three Es (see above) are to be achieved, that is to say if sustainable and equitable, morally justifiable use of land is to be achieved. As shown in Figure 1.2 (see page 7), there will be a continuous interchange between rural and urban development.

O - ‘Owners’

Rural population, small farmers, local and national governments, local and international institutions, financiers and NGOs..

E - ‘Environment’

Natural resources (affected by state factors). Social system, that is to say the continuously changing interaction between role (the social position recognized as important by the people in the problem situation, norms (characterized by expected behaviours) and values (beliefs of what is ‘good’ or ‘bad’ performance by role holders). Political system. Politics “is a process by which differing interests reach accommodation” (Checkland and Scholes, 2000, p. 50). The accommodations reached, or for that matter, modified or dissolved, by politics, will depend on the disposition of power. Politics therefore can be seen as a “power-related activity, concerned with managing relations between different interests” (Checkland and Scholes, 2000, p. 50).

Governments would be closely involved in overseeing the process, perhaps especially with regard to the social and political systems, as indicated under E ‘environment’. Based on this and the description presented in Table 1.3, we now set up the

‘root definition’ for this purposeful intervention. The CATWOE factors (see Table 1.3) and this root definition will be the sources used to conceptualize the ‘human activity system’ to achieve this transformation.

BOX 2 Root definition for a learning process approach aiming to improve awareness of the relative balance between arable, pasture and savannah land. A system to improve the awareness of the population of an area of the importance of the relative balance between arable, pasture and savannah land, through the mobilization/ enhancement of local knowledge in a sustainable and equitable manner, contributing to sustainable land use, thereby raising security of their livelihoods and thus the capacity of their society. 14

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The learning process approach 1.5 The learning process approach If food security and landscape stability are to be achieved as far as possible, participatory learning and action (PLA) is central to the process. Boxes 1 and 2 indicate the importance of mobilization and enhancement of local knowledge. Our world view indicates that we think that participatory action and learning, that is between so-called experts, local institutions and farmer groups, is necessary. The root definition given in Box 3 turns on the term ‘insight’ in the sense of ‘the ability to discern the true or underlying nature of something’ (The New Penguin English Dictionary, 2000). The difference between the root definitions in Boxes 2 and 3 is that the intervention detailed in Box 2 aims at defining what to do by various people and institutions to achieve landscape stability through some practical activity (activities). In contrast the definition given in Box 3 aims at defining what to do by various groups of people and institutions to enhance their own insight into the importance of the relationship between landscape stability and food security. The importance of the latter lies in the need to ensure that the actions referred to

in Boxes 1 and 2 are actions sustained in the long term. It has to do with maintaining the effectiveness of the intervention stated in Box 2. It has to do with finding out about the culture in which the work is done, which is crucial to the long term success of the processes of Boxes 1 and 2. The concept of ongoing discussions about the importance of landscape stability is depicted in Figure 1.5. The CATWOE factors used to arrive at the root definition stated in Box 3 are given in Table 1.4 (see page 17). Note that the transformation aims at improving insight needed to support the common purpose of the intervention. Groups and organizations of small-scale and subsistence farmers, as part of the local rural population must be heavily involved in the discussions, they being the people who via their use of the available arable, pasture, savannah and woodlands, create impact on the stability of the landscape. The procedure should arrive at an open channel of communication between the actors indicated in Table 1.4. The input of agricultural extension services, civil engineers and agricultural economists could be regarded as especially important at this stage. Their insight of the importance of the impact of infrastructure on landscape stability should be central to their work.

BOX 3 Root definition for a learning process approach aiming to enhance the insight of the importance of landscape stability in the context of food security. A system to improve the insight of the agricultural population, local institutions and the scientific community of the central importance of landscape stability, through the mobilization/enhancement of knowledge about the subject in a sustainable and equitable manner, thereby raising the security of livelihoods of local populations and thus the capacity of their society. Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

15

Chapter 1 Defining the Food Security Problem The concept of promoting insight in the need for landscape stability

Institutions and NGO communities

Farmer groups

Arrive at new common understanding of the importance of landscape stability

science groups

Discuss the subject of landscape stability together

Establish the level of individual understanding of the problem situation

The political, cultural, social and natural environment

Define criteria for effectiveness

Monitor: needs understanding to be changed?

Define common expectations

Take control action

TRANSFORMATION PROCESS: FIGURE 1.5. The concept of ongoing discussions between stakeholders regarding arriving at a

firm insight into the importance of establishing landscape stability.

16

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The learning process approach

CATWOE elements regarding the achievement of common insight and purpose for the achievement of landscape stability.

TABLE 1.4.

Stakeholders

Description

C - ‘Customers’

Small farmer groups, local and national governments, local institutions, expert groups.

A - ‘Actors’

Small farmers, agricultural extension services, civil engineering services, agricultural and socio-economic experts.

T - ‘Transformation’

Fixed local insght of the importance of landscape stability common and shared insight of this importance, through exercising fully cooperative discussions, leading to an establishment of accepted procedures regarding the maintenance of that insight.

W - ‘Weltanschauung’ - world view

A participatory approach is necessary, if the three Es (see above) are to be achieved, that is to say if sustainable and equitable, morally justifiable procedures regarding the maintenance of landscape stability are to be agreed and implemented. As shown in Figure 1.2 (see page 7), there will be a continuous interchange between rural and urban development.

O - ‘Owners’

Small farmer groups, local and national governments, local institutions, expert groups, financiers and NGOs.

E - ‘Environment’

Natural resources (affected by state factors). Social system, that is to say the continuously changing interaction between role (the social position recognized as important by the people in the problem situation), norms (characterized by expected behaviours) and values (beliefs of what is ‘good’ or ‘bad’ performance by role holders). Political system. Politics “is a process by which differing interests reach accommodation” (Checkland and Scholes, 2000, p. 50). The accommodations reached, or for that matter, modified or dissolved, by politics, will depend on the disposition of power. Politics therefore can be seen as a “power-related activity, concerned with managing relations between different interests” (Checkland and Scholes, 2000, p. 50).

For this reason the ‘environment’ as far as the social and political systems are concerned is especially important. ‘Owners’ may be firmly embedded in social and political systems. When this culture threatens to bring the process to a halt, it is vitally important that international institutions bring pressure to bear with a view of bringing the process back into line. It is realized that this may be very difficult, if not “almost” impossible, but according to

our world view, the well-being of everyone depends on it. Prior to dealing with the problem described here, it is necessary to have a closer look at small-scale farmer households. This is necessary because of their important involvement in dealing with the problem of achieving sustainable food security in the context of maintaining a stable landscape.

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CHAPTER 2

Evaluating the Resources of Small-scale and Subsistence Farmers 2.1 Introduction Against the circumstances of steadily rising populations and pressures on the supply of food, effective farming in the context of small-scale farming in AFR and SAS is essential. This chapter presents background against which later chapters should be seen. This is because small-scale farming families in AFR and SAS are major players in the learning process. The impact of the environment on the resources of these families to produce sufficient food to meet the needs of their households affects their interest as to whether or not to take part in that process. This is relevant as it is claimed that the achievement of sustained food security depends on this level of interest (see Figure 1.3 on page 10).

FIGURE 2.1. A woman farmer in Fiji Photo HB

To sustain the present level of agricultural production by the household, the small-scale or subsistence farmer may be involved in ‘slash-and-burn farming’, thus converting forest to crop land Although in its early stage this might be a win-lose situation (farmers’ income and food production ‘gain’, but forest conservation ‘loss’), in the long term it turns into a lose-lose situation, due to land degradation and declining productivity. A win-win situation, that is in some sustainable manner improving agricultural production on the small-scale subsistence farm, without adversely affecting forest conservation is what should be the aspiration. Apart from crop, pasture and forest land, there may be areas of fallow, savannah and brush land. Therefore, increases in crop-land and pasture do not necessarily have to come from the area under forest.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 19

Chapter 2 The Resources of Small-scale and Subsistence Farmers The FAO estimated that during the first half of the 1990s each year 12.7 million ha of tropical forests was lost. Legal and/ or illegal logging may have a more devastating effect on the land area under forest than the slash and burn agricultural method used by small farmers who operate in a forest-frontier area. Ongoing deforestation leads to a reduction in total leaf area of plants, with a potentially disastrous effect on global rainfall, due to reduced evapotranspiration.

are endowed with sufficient resources to enable them to accumulate income, thereby expanding means of income, such as land. To farm that additional land may go beyond the capacity of family labour. The household therefore may (also) employ labourers from outside the family household. Such farmers may evolve further and become capitalist farmers, increasing their wealth on some continuous basis. This refers to petty commodity production, defined as

Against this background it is acknowledged that small-scale or subsistence farmers, operating in World Development Regions, strive to improve their livelihoods as and when the opportunity arises. This opportunity may be to convert forest to farm land. On the micro-level the question of how a win-win situation, that is small farmers’ income sustained and improved, forest conservation not adversely affected, might be achieved, is at the core of this writing.

A distinctive form of production in capitalism that combines the class position of capital and labour within small, typically ‘household’ or ‘family’ enterprises. (Bernstein et al., 1992, p. 32).

2.2 Small-scale and subsistence farmers’ households The concept of small-scale and subsistence farmers is defined below. This is important in the context of increased involvement of small-scale and subsistence farmers in rural development. The traditional distinction between ‘rich’, ‘middle’ and ‘poor’ small-scale and subsistence farmers is described as follows.

Rich small-scale farmers’ households The term ‘rich small-scale farmers’ refers to those small-scale farmers who 20

The goods produced in addition to subsistence production (use values), are traded for other goods or cash (exchange values). The household uses its endowment for trading [trade entitlement, (Wilson, 1997, p. 27)]. The subsistence minimum is ensured before the smallholder faces the risk of trading. The purchased or imported goods obtained from trade, can be seen as a net gain resulting from the effort of using extra labour to produce the crop exported by the household (Myint, 1958).

Middle-income small-scale farmers’ households The term ‘middle-income small-scale farmers’ refers to those small farmer households capable of meeting the demand of simple reproduction. This is defined as Reproduction of producers and their means of production on the same scale of productive assets and incomes (Bernstein et al., 1992, p. 31). Such small-scale farmers can maintain their means of production. This enables

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Small-scale and subsistence farmers’ households them to raise the next generation of family labour to work their endowments. This is a direct entitlement, referring to own production and consumption of food (Wilson, 1997, p. 27).

Poor subsistence farmers’ households The term ‘poor subsistence farmers’ refers to those who are subject to a simple reproduction squeeze on their endowPetty commodity production

Family enterprise farm

ments. They have little, if any choice in finding a source of income. They may be squeezed to such extent that they have to go and live in towns and cities in the hope of finding some source of income. They may work for ‘rich’ small-scale farmer households. In such cases they use an exchange entitlement (Wilson, 1997, p. 27) by working for someone else, for which they are paid (Bernstein et al., 1992, p. 33).

Go out and work for pay

Urban areas

Market excess production

Industrial farm

Go out and work for pay

Urban areas

Bonded labour

Collective farm

Domestic slavery

Family enterprise farm

Go out and work for pay

Urban area

Progressive reproduction Exchange value

Petty commodity production Simple commodity production

Family subsistence farm

Household production ‘squeeze’.

Elementary household production

Family subsistence household

Simple reproduction Use value

Reproduction squeeze Use value

FIGURE 2.2. The complexity of small-scale and subsistence farmer family households

Small-scale and subsistence farmer families and rural life

As different members of the family may be engaged in different activities, these various classes of small-scale and subsist-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

21

Chapter 2 The Resources of Small-scale and Subsistence Farmers ence farmer family households do not occur in the ‘pure’ form stated above. For instance, families involved in petty commodity production may well have members who at certain times use their trade entitlement, and at other times an exchange entitlement, to enhance their income. Intensification of petty commodity production, such as made possible by the ‘green revolution’, increased opportunities for the ‘rich’ small-scale farmer households. However, at the same time, it increased the risks for the ‘poor’ subsistence farmer households, as the introduction of commodities such as fertilizers and seeds had to be purchased on a yearly basis. This stimulated some members of these ‘rich’ and ‘middle’ income families to use their exchange entitlement (working for pay) to support their families. Class divisions within the family often determine who does what. ‘Poor’ subsistence farmers do not have this kind of flexibility. The matter is further complicated by gender division of labour, that is to say who does what in terms of ‘male’ and ‘female’ tasks (Bernstein et al.,1992, p. 33). This varies widely between classes and groups in different rural societies. As shown in Figure 2.2, members of the same family can have different functions. It is apparent that the concept of ‘rural people’ and the manner in which such people may be affected by poverty, is highly complex. Those who are better off have more flexibility. Some family members may become urban dwellers and hold positions in political and/or commercial fields. The rural small-scale farming population, depending on circumstance, is faced with a variety of problems, involving them in a constant fight to protect their 22

livelihoods. This struggle for survival, frequently under conditions of poor soils and unreliable rainfall, as occurs for example in areas of AFR, requires considerable skill and flexibility, based on a profound understanding of local conditions. This understanding is central to the struggle for survival. The virtually unlimited range of combinations of various types of households, shown in Figure 2.2, is a consequence of this situation. It is apparent that if agricultural extension work directed at small-scale farmers is to be successful, which means that it leads to an improvement of people’s livelihoods, local circumstances must be taken into account. Participation by local people in any such effort is essential.

2.3 Population pressures Population pressures play a significant role in the sustainability of rural livelihoods.

A rural aspect The relationship between the use of land for agricultural production, forestry, pasture and fallow is important in the context of the available natural resource base. Closely related to this are patterns of farm activities and livelihoods, leading to many different farming systems (see Glossary) (Hall et al., 2001, pp. 8-13). Population pressure and poverty are factors of major importance with regard to the sustainability of the natural resource base. As the extent to which natural and human resources are available to small farmers in world development regions (WDRs) affects the potential to increase the production of agricultural crops, national income per capita and population

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Population pressures levels will be looked into. To make this reasonably viable, only the `two regions of AFR and SAS have been selected. In these two WDRs low level income (LI) and the extent of the rural population amongst the total population dominate.

AFR by 2003 and by 26% in SAS. The agricultural section was a substantial and increasing part of the rural section in terms of real numbers in both of these areas, especially in AFR. This section and that for the rural population however declined in percentage terms against that for the total population (Table 2.1).

Seen against the base year of 1991, the population section increased by 51% in TABLE 2.1.

Population distribution of AFR and SAS. a Sub-Saharan Africa (AFR) Population in millions

Percentages

1991

1995

1999

2003

1995

1999

2003

Total

464

577

626

700

124

135

151

Rural

323

397

417

449

123

129

139

Agricultural

294

365

384

415

124

131

141

Percentage of total Rural

70

69

67

64

Agricultural

63

63

61

59

South Asia (SAS) Population in millions

Total

Percentages

1991

1995

1999

2003

1995

1999

2003

1,142

1,240

1,344

1,436

109

118

126

Rural

854

916

970

1,033

107

114

121

Agricultural

672

706

750

760

105

112

113

Percentage of total Rural

75

74

72

72

Agricultural

59

57

56

53

a. Source: FAOSTAT - Base year for percentages 1991=100

This overall picture is highlighted further in Figure 2.3 below. Population density is important in the context of the availability of land for agricultural expansion.

The data of Table 2.1 and Figure 2.3 show that the agricultural population in the AFR region on the whole has kept pace with the rural population. Although this is not the case in the SAS region, the agricultural population here also appears

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

23

Chapter 2 The Resources of Small-scale and Subsistence Farmers

Sub-Saharan Africa - Population in millions 800 700 600 500

Total

400

Rural

300

Agric

200 100 0 1991

1995

1999

2003

South Asia - Population in millions 1,600 1,400 1,200 1,000

Total

800

Rural

600

Agric

400 200 0 1991

1995

1999

2003

FIGURE 2.3. Population in millions over time for three population sections in AFR

and SAS. Source Table 2.1.

quite stable. As agricultural development, when based on small farms, relies on input by local people, maintaining this stability is significant. If the small-scale and subsistence farmers consider that their interest is protected in programmes devoted to small-scale agricultural development, this stability is likely to be promoted. 24

The table emphasized the importance of the availability of land for small-scale agricultural development, perhaps important especially in the context of subsistence farmer labour redundancy and rural welfare and its impact on political stability. It would, however, be quite erroneous to think that a future economy based solely

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Population pressures (or mainly) on agriculture could provide adequate income for everyone living in the countryside now and for those who will be born in rural areas in the future, not to speak of the masses of urban poor. Further to this, sufficient employment to ensure that the needs of those displaced or marginalized as farmers or agricultural wage workers, is not necessarily generated by industrialization and urbanization (Bernstein et al., 1992, p. 7). To give the TABLE 2.2. WDR

stability referred to above a chance, it will be necessary to consider what types of interaction, of agricultural and industrial linkages are required by any form this small-scale type of agriculture will take. Agricultural development might produce increased income for farmers and farm workers, which in turn can create demand for services and local goods.

GNI level per capita per year. Number of people in thousands. Year 2003. a UMI

%Tot

LMI

%Tot

LI

% Tot

NA

%Tot

TOT

AFR

4,335

0.62

48,090

6.87

624,932

89.27

25,713

3.67

703,070

MNA

27,870

8.77

236,322

74.37

20,010

6.30

33,577

10.57

317,779 1,874,770

EAP

24,425

1.30

1,674,424

89.31

103,772

5.54

72,149

3.85

ECA

75,604

16.20

344,334

73.76

46,869

10.04

0

0.00

466,807

LAC

195,400

36.31

305,939

56.85

22,600

4.20

14,227

2.64

538,166

0

0.00

0

0.00

1,410.005

98.16

26,472

1.84

1,436,477

327,634

6.14

2,609,109

48.89

2,228,188

41.75

172,138

3.23

5,337,069

SAS Total

AFR

Sub-Saharan Africa

ECA

Eastern Europe and Central Asia

Middle East and North Africa

LAC

Latin America and Caribbean

EAP

East Asia and Pacific

SAS

South Asia

UMI

Upper Middle Income $3,036 $9,385 per year

LMI

Lower Middle Income $766- $3,385 per year

MNA

LI

Low Income $765 per year or less

NA

Not Applicable

a. GNI Gross National Income in PPP dollars. Source: FAOSTAT and International Bank for Reconstruction and Development/The World Bank, World Bank Development Indicators 2005. See Appendix 1 for countries of AFR and Appendix 2 for detailed data on SAS.

Such development could be a driver for a reduction of rural poverty, mainly due to its effect on demand for services and local goods. This could create employment in the off-farm sector of rural areas and market towns, thereby stimulating urban development. One effect could be the lowering of urban food costs, but perhaps most importantly it could lower the rates of urban settlement and reduce urban poverty.

Table 2.2 shows that the World Development Regions of AFR and SAS are dominated to a significant extent by low national income countries, at 89.27% and 98.16% of their populations respectively. People in many of these countries live on less than $1 per day. These financial figures represent PPP dollars. Such averages can be misleading. Other yardsticks, such as the HDI (see Glossary) may be more appropriate. In this context it is disturbing that the HIV/AIDS pandemic as well as

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

25

Chapter 2 The Resources of Small-scale and Subsistence Farmers the ongoing migration of people who used to be involved in agricultural activities of some kind, to urban areas, leads to uncertainty over population trends. There appears to be an urgent need for viable agricultural development in these areas.

An urban aspect Development in the sense of economic growth depends arguably more on the well-being of the urban population than on that of the rural population. As illustrated in Figure 2.2, the situation is dynamic; urban and rural populations are inter-linked. Once rural people involved in elementary household production are enabled to get a step up the ladder towards petty commodity production, they have a chance to get involved in progressive reproduction and market their excess production in exchange for money. This then would be used to further improve the household, health and education. By then many in the younger generation would begin to look for jobs in urban areas and, perhaps most importantly, become involved in the ‘world of ideas’, designing new products and production methods. For this kind of positive flow hither and thither between rural and urban populations to be created and sustained, agricultural development is vital. This concerns not only the production of food and the maintenance of a stable landscape, but perhaps most importantly, it would be a source of energy, in the form of healthy and energetic people, on which industrial development depends. It would therefore appear that the best route to achieve sustainable growth in development regions and move towards a situation in which this becomes a possibility, is to promote agricultural development, centred on the small family farm, especially on the low

26

income households, involved in elementary household production. The so-called ‘family enterprise farm’ (Figure 2.2, see page 21) can be a good end-stage of development out of petty commodity production. This form of capitalist farming may evolve into the production of ‘industrial’ crops (that is more large-scale and managed for the specific purpose of meeting a budget set up for the achievement of a financial profit), thereby providing raw materials for processing and manufacturing. Exports of such crops may produce a net foreign exchange. This might be used (partly) for the purchase of imports to promote industrialization. In this context, industrialization, as far as it depends on active and productive workers, depends on food markets selling foods to such workers at affordable prices. To avoid a potential conflict with small farmers’ interests, governments may find it appropriate to subsidize the cost of food, at local markets, at the same time ensuring reasonable prices at the farm door. This is all the more important when urban workers live under a low-wage regime. The latter may be a fact of life until a stage of ‘take-off’ of industrial and agricultural commodity production has been achieved. To an extent such cheap food may be supplied by small-scale farmers, who, through their family supplied enterprise farm have sufficient resources to produce food for the market at prices capitalist farmers would be in a position of not having to accept [petty commodity production (see Figure 2.2 on page 21)]. Such supply of cheap food depends on the under-valuing of the labour that grows it and is prepared to sell it at low prices (Bernstein et al., 1992, pp. 41, 42).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Population pressures As far as these small-scale and subsistence farmers are concerned, this would be a form of self-exploitation, which effective rural development (in the sense of achieving improving livelihoods) would get rid of. This would, however, drive up food prices in urban areas, forcing up wages of industrial workers. This would be an incentive for industrial production in such development regions to become more effective. Fewer people would be able to find employment at such higher wages. Improved circumstances in the rural areas and more competition for jobs in urban areas might help to put a brake on the tendency for increasing urban populations. It has been argued that if a sustainable and reasonably healthy society is to be achieved, close links between rural and urban societies need to be maintained. TABLE 2.3. a

Population levels for AFR and SAS The distribution of agricultural people as part of the total rural population is of interest in the context of the above. The rural and agricultural populations have increased quite rapidly during the period from 1991 to 2003 (see Table 2.1 on page 23) The bar charts show that from 1995 onwards the agricultural population, as part of the rural population, has remained quite stable (see Figure 2.3 on page 24). With respect to AFR, the increase in numbers from 1995 to 2003 shows 27%, 16% and 17% for total, rural and agricultural populations respectively. In the SAS region these numbers were 17%, 14% and 8% for total, rural and agricultural, respectively. An estimate of the yearly increases derived from these figures is shown in Table 2.3 below. The various population

Average yearly population increase for the 5-year period 1999-

2003.

Populations

AFR

SAS

Total

2.36%

1.37%

Rural

1.53%

1.30%

Agricultural

1.61%

0.27%

a. Source: International Bank for Reconstruction and Development / The World Bank: World Development Indicators, 2005..

sectors for AFR appear fairly constant, but those for SAS show a fall in the increase of the agricultural population as part of the rural population for the period analysed. On the other hand, the rural and agricultural populations fell by 6% and 4% respectively in AFR for the period 19912003 and by 3% and 6% in SAS (Table 2.1, page 23).

proportion of the total population. The numbers are indicative of small-scale farmer redundancy and a transition process threatening rural welfare and political stability. This highlights the need for a more attractive rural livelihood, development of which might be promoted by the project indicated in Chapter 1.

The real numbers show an increase in rural populations as an ongoing smaller Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

27

Chapter 2 The Resources of Small-scale and Subsistence Farmers 2.4.1 AFR

2.4 Land use in AFR and SAS The availability of suitable agricultural land for productive use by increasing rural populations is a factor of major importance for the sustainability of a stable rural population. Data regarding land use put the above discussion in sharper context. Relevant data are presented in Table 2.4, illustrated in Figure 2.4 (see page 29).

TABLE 2.4.

The agricultural area in this region increased from 807 million ha in 1991 to 1,283 million ha by the year 2002. This represents 38% in 1991 and 60% in 2002 of the total land area. The arable and permanent area remained virtually constant at some 7% of the total land area. The increase in agricultural area is reflected in an increase in pasture and permanent area (Table 2.4). The potential productivity of this land is limited due to non-favourable climatic conditions, otherwise the arable and permanent would have increased.

Land use classes for AFR and SAS. a Area in million ha. Sub-Saharan Africa (AFR)

As a percentage of total

Year

1991

1995

2002

1991

1995

2002

Land area

2,127

2,127

2,127

100

100

100

Agricultural area

807

930

1,283

38

44

60

Arable and permanent

151

159

164

7

7

8

Pasture and permanent Non-arable, not permanent

656

771

1,119

31

36

53

1,977

1,968

1,963

93

93

92

South Asia (SAS) Year

1991

1995

2002

1991

1995

2002

Land area

478

478

478

100

100

100

Agricultural area

262

262

263

55

56

55

Arable and permanent

212

213

214

44

44

44

Pasture and permanent Non-arable, not permanent

50

49

49

10

10

10

266

268

264

56

56

55

a. Source FAOSTAT.

However, if the people involved in family enterprise farming (Figure 2.2; see page 21) empower themselves to invest more in resources, it may become possible to convert some of this pasture land into permanent arable land, increasing petty commodity production. This might stimu-

28

late an increase in the marketing of excess production, increasing the small-scale and subsistence farmer household endowment. This could also have a beneficial effect on elementary household production, in turn reducing subsistence farmer redundancy.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Land use in AFR and SAS

A F R L a n d u s e in P e r c e n t a g e s 120 100 80 2 002 199 5

60

199 1

40 20 0 Land a rea

A g r ic . a r e a

A r a b le + Pe r m .

Pa s tu r e p e r m .

No n A r . & No n Pe r m .

S A S L a n d u s e in p e r c e n t a g e s 120

100 80 2 002 199 5

60

199 1

40 20

0 Land a rea

A g r ic . a r e a

A r a b le + Pe r m .

Pa s tu r e p e r m .

No n A r . & No n Pe r m .

FIGURE 2.4. Land use for AFR and SAS in percentages.

2.4.2 SAS In the SAS region the situation could be seen as more complex in that the agricultural area, at 55% of the land area, remained constant for the period considered. The arable and permanent section also remained constant, at 44%, with no movement into the relatively small pasture and permanent area.

Here it appears that households involved in a family enterprise farm do not have much chance of increasing productivity by looking for more land. To achieve this increase in productivity, the emphasis would have to be on increasing yields. Education, effective agencies, such as those involved in agricultural and plant genetic research and extension work, appear most important.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

29

Chapter 2 The Resources of Small-scale and Subsistence Farmers In the context of the latter, a recognition of the ‘Farmers First’ or ‘People First’ concept (Chambers et al.,1998; Burkey, 1993) under the conditions prevailing in SAS may be even more important in SAS than in AFR. In both these regions (as in others) self-reliant participatory development, dependent on the people themselves and assisted by those ‘specialists’ who are willing to work and live for a time amongst them and who understand the concept of ‘reversal learning’, might have a chance of successful development.

2.5 Population density In densely populated low-income areas, the competition for arable agricultural land is strong. The aspects discussed in the previous sections come to the fore when considering population density. The contrast between AFR and SAS is striking (Table TABLE 2.5.

2.5). In AFR, as in MNA, ECA and LAC, competition for arable agricultural land may be less severe than in SAS and EAP, the latter two regions having a relatively high population density. The pressure on effective farming systems may be more pronounced in the latter regions. Once a reasonable food supply on the market has been achieved in these densely populated areas, there may be a higher incentive for those involved in a family enterprise farm, to go out and work for pay in urban areas. This may be especially so for these family members if they can become involved in industry. It is, at least in part, due to the influx of healthy young people coming from such successful enterprise farms, and which are open to ‘new’ technologies and ideas, that such densely populated areas have a chance of moving up the ladder of development.

Estimates of population densities in WDRs, year 2003. a

World development region

Total population in thousands

Surface area in sq. km in thousands

People per sq. km

AFR

697,299

24,320

29

MNA

317,779

11,132

29

ECA

466,807

24,107

19

SAS

1,433,902

5,092

282

EAP

1,874,770

15,761

119

LAC

523,939

19,904

26

a. Source FAOSTAT. Due to the lack of data for surface area, Cape Verde, Comoros, Djibouti, Reunion, São Tomé and Principe, and the Seychelles have been excluded from the AFR region. In the SAS region, Bhutan and Maldives have been excluded for the same reason, as well as Korea DPR and Myanmar in the EAP region. In the LAC region no information regarding surface area was available for Antigua, Barbados, Belize, Bermuda, Cayman Islands, Cuba, Dominica, Grenada, Guyana, Neth. Antilles, St Kitts and Nevis, St Lucia, St Vincent and Suriname.

30

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Population density This also is the case for less densely populated areas, but here, if arable land is still available, there may be a higher incentive for more production of food for the market. In such regions, small-scale farmers may become involved in ‘expanded’ reproduction, increasing the land area under cultivation. They might begin to use other means of production, now beyond the capacity of family labour, by employing the labour of others. In this way, the better-off petty commodity producers may become capitalist farmers.

A down-side of this (perhaps optimistic) picture is that this can lead to social differentiation and clashes with other village members and holders of power. The economic aspects considered in this chapter are closely related to the resources small-scale farmers’ households have available to produce their crops, whether for direct consumption or for market produce. These resources will be considered in Chapters 8 and 9 in the context of farming systems, defined in Chapter 8.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

31

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CHAPTER 3

Alternative Approaches Examined

3.1 Relevant to participatory learning and action (PLA) 3.1.1 The acceptance of PLA PLA requires dynamic managing of change, involving all stakeholders in the monitoring, evaluation and corrective action. If these aspects are ignored, a lack of participation by ‘user stakeholders’ (Eade, 2000, pp. 125, 126), may lead to failure of the intervention.

FIGURE 3.1. Small-scale coffee farm in St Kitts.

Photo HB.

It is quite disturbing that this approach, based on common learning through common action, does not appear to have been more generally accepted in former years, in attempts aimed at rural development. Rondinelli, when considering a project commissioned by USAID (1989), found that in a sample of 212 projects, just some 11% had a strong probability of being sustained once aid was terminated. Twenty six percent had poor prospects of providing long term benefits (Rondinelli, 1993, p. 2). An interesting and encouraging example of the benefit of capacity building and participatory management is provided by the irrigation system of Gal Oya in Sri Lanka, which did provide long-term benefits (Uphoff, 1996). This example shows that if those who provide assistance are prepared to learn and work with participants from the bottom up towards a common agreed aim, success can be achieved.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 33

Chapter 3 Alternative Approaches Examined Quite apart from the wastage of resources, which occurs when ‘user stakeholders’ are not involved with the monitoring, evaluation and corrective action of agricultural projects, is that ‘positive externalities’ defined by Uphoff as “benefits greater than costs that extend beyond the project, community or enterprise at TABLE 3.1.

hand”, are not accomplished to some satisfactory degree. When user stakeholders are fully involved with a development project they would have good reason to expect to profit from such long-term benefits which are external to the project. This would have a positive effect on their motivation to stay involved.

The focal benefits and problems of a learning process approach.

Sequence

Causes of the focal benefits

Effects of the focal benefits

Project identification

Willingness to learn by ‘outsiders’.

Reversal of learning.

Project preparation

Dominance by local stakeholders.

Participation by ‘user’ stakeholders. Perception and acceptance of the value of local knowledge.

‘Ownership’ of the project by ‘user’ stakeholders.

Emphasis on socio-economic benefits. Project appraisal

Input from user-beneficiaries. Opportunity of empowerment of local people.

Project implementation

Dominance of local people.

Commitment to the project by user beneficiaries. Promotion of the sustainability of the project.

Use of local knowledge.

Downward accountability to user beneficiaries.

‘Outsiders’ listen.

Participatory monitoring and evaluation.

Evaluation by HDI indicators. HDI: Human development index. This is the average of the indices for the health of the population, measured by life expectancy, its educational attainment and its material standard of living, measured by gross domestic product per capita in PPP dollars (Allen and Thomas, 2000, p. 16). The potential focal problem is a difficulty of creating and maintaining an effective and efficient partnership.

Examples of such externalities from sustained rural development are improved access to markets, increased requirement and demand for schooling and health services and strengthening civil society (see Glossary). Positive externalities “represent the essence of sustainable development” (Uphoff, 1995, pp. 25, 26). A shortfall in downward accountability is contrary to the need ‘user stakeholders’ have to fulfil their capabilities and potential. It demotivates. Opportunity to learn

34

from a project does not materialize (Korten, 1984, pp. 182-185).

Stakeholder groups All this is all well and good, but as the need for an effective and efficient partnership between the various stakeholder groups is central to the PLA approach, we look at its potential benefits and problems, as well as at stakeholders, more closely in Tables 3.1 and 3.2. The complexity of a partnership arrangement depends on the interest in its success

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to participatory learning and action (PLA) of the stakeholder-groups taking part. Amongst these and perhaps above all on the ‘world view’ of ‘outsider-stakeholders’, many of which do adopt a participatory approach. Once local people, such as a small-scale coffee farmer (Figure 3.1) have expressed their problems in the con-

text of the intervention, these local people may consider it to be in their interest to request strengthening of the input by ‘outsiders’. The need for those ‘outsiders’ to be prepared to learn and work with the participants from ‘the bottom up’, referred to above, comes to the fore here.

Stakeholder table for an agricultural investment project; design based on a learning process approach. a

TABLE 3.2.

Potential impact of project

Priorities of interests =2

Type of stakeholder

Interests

Owner: NGO shareholders, members, trustees

1. Control over design procedure

1. (+/-)

2. Control over funds

2. (+/-)

Practitioners: Staff NGO

1. Control activities

1. (+)

2. Doing project management

2. (+)

3. Achievement of targets

3. (+)

Financiers: Investors, project donors

1. Control over funds

1. (-)

2. Evaluation of project

2. (-)

Regulators: Ministry of Agriculture

1. Achievement of targets

1. (+)

=2

User owner practitioners, local farmers

1. Participation in design procedure

1. (+)

=1

2. Doing project management and experimentation

2. (+)

=1

=1

3. (+)

3. Achievement of targets Users: other local people, customers

1. Achievement of targets

1. (?)

2. Availability of markets

2. (+)

Regulators: local government

1. Achievement of targets

1. (+)

2. Availability of infrastructure

2. (+)

3

4

Potential impact: the (+) and (-) signify a positive and negative impact respectively on particular stakeholders; (?) signifies an impact which is unclear. Relative priorities given to each stakeholder are identified from high (1) to low (5). a. Adapted from OU course TU870. File 1, Part 2, section 2.3.2 Stakeholder Analysis, pages 42-44. © The Open University 1997.

The highest priorities go to the staff of participating NGOs, the people who provide funds and have control over them and to the local farmers, as ‘users’ of the project. The Ministry of Agriculture has a

significant impact, especially as far as achieving the target or aim of the intervention is concerned. This, however, shows that effective cooperation, defined as “to act or work with another person, or other

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

35

Chapter 3 Alternative Approaches Examined people for a common purpose” (the New Penguin English Directory, 2000, p. 305) will depend on trust between these groups of stakeholders. Here trust can be seen as a control mechanism, as it shapes the ideas and motivation of participants by a sense of common purpose (Robinson et al., 2000, p. 271). The Feyerherm framework. a TABLE 3.3.

Purpose

What is the activity or negotiation about?

Process

What are the means for discussion to proceed and conflict to be resolved?

Characterization

What is the perception of people involved? (individuals and groups)

Interests

What are the parties’ interests?

Stake

What is at stake for the parties?

Judgement basis

What are the criteria for a proposal to be judged adequate?

a. Source: From Feyerherm, 1994.

Awareness of this common purpose, as far as financiers and regulators are concerned is based on their world view that ‘bottom-up’ control and participatory management is essential for success. As far as users are concerned, this awareness is based on a conviction that achievement of the targets (here improved agricultural performance based on a stable landscape) is vital for sustained benefit to all. Understanding that in fact there is a common purpose between the groups of stakeholders can be strengthened by applying the Feyerherm framework (see Table 3.3). These ‘What questions’ are important and should be considered by participants

36

during initial negotiations and ongoing implementation of the project. Once roles and contributions of each of the participants have been agreed to common satisfaction, this agreement should be recorded to form the ‘contract’ on which the partnership is based. 3.1.2 Setting standards for participation The success of PLA depends on sustained trust between the parties involved. Much of what has been stated in the previous section is based on the concept of ‘self-actualizaton’, defined as ‘the need a person has to fulfil his or her capabilities and potential’ (from OUBS course B600, Book 3, page 24). However a counter-balance to this ideal situation of ‘pure’ participation can be found in Cooke and Kothari (2001), as well as in Dichter (1989). These authors argue that aspects of ‘pure participation’ where

• people are involved in the design and implementation of a project, thereby influencing its development at every stage - by being decisive about key issues;

• people organize themselves to take action to deal with a shared problem, rather than reacting to the initiative of outside agencies (Eade and Williams, 1995, p. 15) may cause conflict, due to different levels of interests amongst the people concerned. Potentially this could result in the failure of the intervention. This point of view is exemplified by Dichter’s statement that “whether the management approach is ‘people-centred’ or ‘blueprint’ becomes less important than

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to participatory learning and action (PLA)

Real world problem situation

Natural resources

Commitment Donor community

Institutional landscape

Socioeconomic environment

Accountability NGOs

Participation beneficiaries

Farmer-led participatory research

Evaluate onfarm trials Project environment

Identification Policy environment Preparation Determine policy Appraisal Determine design approach Implementation

FIGURE 3.2. Influence diagram, indicating factors affecting the choice of design approach,

whether the efforts they are engaged in move towards their goals”. A case study of a health project in India concluded that in that case a ‘pure learning process is

hardly feasible, some elements of a blueprint approach may be unavoidable’ (Villarosa, 1994). In our complex case a tradeoff between these two approaches may

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

37

Chapter 3 Alternative Approaches Examined have to be considered. To arrive at a basis suitable for our intervention, which aims at combining an improvement of agricultural production with the protection of a stable landscape, the four-stage model advocated by Rondinelli (1993, pp. 118153) is of interest. The four stages move from implementation of action to completion of the intervention as follows: TABLE 3.4.

1.

the implementation of a model as an experiment

2.

to pilot and demonstration projects

3.

to full implementation of a final stage

and successful replication of the final stage under different landforms and farmers’ communities. This might accommodate subsistence farmer-led research. 4.

CATWOE elements for the building of root definitions. a For blueprint approach

For learning process approach

C ‘customers’

Urban and rural populations, workers and markets, state and local government

Small farmers, markets, local government

A ‘actors’

Ecological and agricultural experts

Small farmers, agricultural extension services, ecological and agricultural experts

T ‘transformation’ process

Agricultural performance improved agricultural performance, based on improved land and water use management, by means of efficient land use and agricultural projects, leading to economic growth

Relatively low productivity of rural agricultural sector improved agricultural performance and use of water and land, by means of mobilizing, and learning from farmer-led research, leading to economic development

W ‘world view’

An ‘expert’ approach is necessary if sustainable improvement in agricultural performance and land use is to be achieved

A participatory approach is necessary if sustainable and equitable rural development, based on agricultural performance and land and water use, is to be achieved

O ‘owner(s)’

Implementing organizations, funders, state and local government

Small farmers’ organizations, agricultural research and extension services, ‘outside’ organizations, funders, state and local government

Project environment

Participatory and policy environments

E ‘environment

a. Based on Checkland and Scholes, 2000, p. 35.

Various approaches are compared in Figure 3.2 on page 37. The figure indicates that NGOs may involve subsistence farmers in research and use the results of that research, again in conjunction with the farmers, to look at the policy environment and decide (together) the approach to the design of the project. Alternatively, NGOs may identify and implement a project directly, that is without input from farm-

38

ers’ groups, by using a prescriptive or blueprint approach. 3.1.3 Root definitions and conceptual models regarding a blueprint and learning process approach As indicated in Figure 3.2, the design of a project based on successful subsistence farmer-led participatory research, which

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to participatory learning and action (PLA) occurs on a micro, or landform scale, will be influenced by the policy environment in which the intervention takes place. The implementation of the project on a macro B lu ep rint a p pro ac h

1 . D o fe as ibility s tud y

2 . A ss es s s o cio -e c on o m ic e nv iro n m e n t

3 . M o biliz e ec o n om ic res o u rc es

4 . D e cid e p o lic y a n d s tra teg y

5 . U se b lue p rin t a p p ro a c h

6 . D e sig n a n d im p lem e n t on e -s te p p ro je c t

or landscape scale, will depend on the political, social and natural resources environment in which the project is to be implemented. L e arn ing p ro cess a pp ro ach

3 . D o s ta ke h o ld e r a n a lys is to m o b iliz e lo c a l kn o w le dg e

4 . U s e fa rm e r-le d re se a rc h to c o ntrib u te to p o lic y, s tra te g y a nd d e sig n

5 . U se lea rn in g p ro ce ss a p pro a ch

6 . D e sig n a n d im p le m e n t fo u r-s te p p ro je c t

7 . C o n trib u te to ec o n om ic g ro w th

9 . M o n ito r 1-7

10 . Ta k e c o n tro l a ctio n

7 . C o n trib ute to e co n o m ic g ro w th

9 . M o n itor 1 -7

8 . D e fine p e rfo rm an c e in dic ato rs

1 3 . M o n itor 1-1 0

1 2 . D e fin e m e a s ure s o f p e rfo rm a n ce

2 . As se s s ru ra l p o p ula tio n inv o lv e d in p e a sa n t ag ric u ltu re

1 . D o fe a sib ility s tu dy

1 0 . Ta ke c on tro l a c tio n

8 . D efin e p e rfo rm an c e in dic ato rs

1 4 . Ta k e c o n tro l a c tio n 13 . M o n ito r 1 -10 11 . A p pre cia te m o d e l b u ild e rs ’ a s piratio n s fo r th e sy ste m

1 2 . D e fine m e as u re s o f pe rform an c e

1 4. T ak e co n tro l a c tio n

1 1 . Ap p rec iate m o de l b uild ers’ a sp ira tion s for th e s ys te m

FIGURE 3.3. Conceptual models for ‘pure form’ blueprint and learning process approaches.

It is here where the steps to be taken prior to implementation, that is from its identification to its preparation to its appraisal and finally its implementation,

should be based on the design approach as determined by the result of the participatory subsistence farmer-led research (see Figure 3.2 on page 37). This is where the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

39

Chapter 3 Alternative Approaches Examined considerations stated in Tables 3.1 (see page 34) and 3.2 (see page 35) are of some importance. Local people may request strengthening of input by ‘outsiders’. To highlight the importance (and potential difficulty) of the arrow connecting the policy and project environment in Figure 3.2 it is useful to compare and contrast the blueprint and learning process approach and their ‘ideal type’ conceptual models. In the context of root definitions discussed below, see also Table 3.4.

Root definition for a blueprint approach. This concerns a system to “improve agricultural performance and land use of the agricultural rural sector by using expert agricultural and ecological knowledge and economic resources in a sustainable and equitable manner to contribute to economic growth”.

Root definition for a learning process approach. This concerns a system to “improve the agricultural performance and land use of the agricultural rural sector through the mobilization/enhancement of local knowledge/insight in a sustainable and equitable manner to contribute to sustainable agricultural production and sustainable economic development”. To facilitate our discussions, ‘ideal forms’ of the blueprint and learning process approach are shown in Figure 3.3 above. The main characteristics of these ‘ideal types’, relevant in the context of our discussion, are summarized as follows:

Blueprint approach.

Activities indicating how change is to be achieved are prescribed and take place under the control of ‘experts’. This is indicative of a mechanistic (closed) approach and a hier-

40

archical (command) structure. The success of the project rests on effective and efficient management. The process of managing the project takes place in an ‘expert environment’, basically excluding so-called non-expert user stakeholders.

Learning process approach.

This ‘ideal type’ takes account of factors outside the control of any one single agency. ‘User-stakeholders’, as subsistence farmers are involved in relevant dialogue and negotiations. They take part in the design and implementation of the project, thereby acquiring a sense of ownership of the project, promoting its sustainability. The process of managing the project takes place in a socio-political environment.

3.2 Relevant to ideal type models and ‘real world’ problem situations 3.2.1 The conflict As stated in Section 3.1.1 (see page 33), projects to manage improvement of agricultural performance whilst achieving/ maintaining a stable landscape rest on a dynamic management of change. This requires effective monitoring, evaluation and corrective action based on that evaluation, by user-stakeholders. A blueprint approach, which is mechanistic and based on hierarchy (command structure), is not suitable for that kind of problem situation environment. Typical for the problem situation is that it is affected by factors, such as climate, soil, slope which are outside the control of any single agency. To establish what is feasible, small-scale and subsistence farmers, with their knowledge of and insight into the local situation, will have to be involved in relevant dialogue and

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to ideal type models and ‘real world’ problem situations

1. Do feasibility study

Social-political environment

Expert environment

5. Assess rural population involved in small farmer agriculture

2. Assess socio-economic environment

3. Mobilize economic resources

6. Do stakeholder analysis to mobilize local knowledge

4. Decide strategy 7. Use farmer-led research to contribute to policy, strategy and design

Economic empowerment 8. Use learning process approach 9. Design and implement four-step project 10. Contribute to economic growth

System control environment

13. Monitor 1-10

14. Take control action

12. Define measures of performance

11. Appreciate model builders’ aspirations for the system

FIGURE 3.4. Conceptual model for a participatory approach.

negotiations. Participation in the design as well as the implementation of the project by these stakeholders would be desirable. However, power relations between these small farmers and the capacity of the state (as expressed by good governance, infra-

structure, availability of markets, education, health) in the real world pertaining to the region where the project is to be implemented, will be instrumental to the extent that this is feasible. Circumstance may prevent effective participation.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

41

Chapter 3 Alternative Approaches Examined Also, assuming that an agricultural development project, encompassing a drive to improve agricultural performance and achieving a sustainable stable landscape, will depend on investment by funders, such effective participation may, as yet, be beyond reach. As indicated in Figure 3.2 (see page 37) the donor community, such as NGOs involved in bringing the project into being, will be accountable to these funders. NGOs dedicated to this difficult work, will be supportive of the principles underlying participatory research and adaptive management, and try to find and work with funders supportive of these principles. However, also for these funder-organizations, even if of the not-for-profit type, results based on ROI (return on invest-

42

ment) remain a powerful driver for the control of agricultural (and other) development projects. 3.2.2 The combined approach It has been argued that the two approaches of blueprint and learning process, if applied as discrete ‘ideal type’ concepts, do not achieve sustainability of agricultural projects. ‘Effective participation’ will be essential for this. However, combining the two approaches can open an opportunity for learning by all, resulting in effective participation over time. The conceptual model for such a participatory approach, shown in Figure 3.4, illustrates this proposition.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 4

The Need for a Participatory Approach

4.1 Introduction Problem situation considered problematic

Action to improve the problem situation Changes: Systemically desirable; Culturally feasible

Problem situation expressed

Comparison of models and Real World

Real World

Systems Thinking about the Real World Root definitions of relevant purposeful activity systems

Conceptual models of the systems (holons) named in the root definitions

FIGURE 4.1. The conventional seven-stage model of SSM. Source: From Peter Checkland and Jim Scholes, Figure 2.5, p. 27 Soft Systems Methodology in Action, © 1999 John Wiley and Sons, Ltd. Used with permission.

Involvement of small-scale and subsistence farmers in a project towards achieving food security is essential. A process to assess the readiness of small-scale and subsistence farmers’ communities in AFR and SAS to take part in a project aimed at promoting food security is discussed in this chapter. Following Checkland and Scholes, one might use the conventional general descr]iption of SSM as a seven-stage process (see Figure 4.1). In our context this is helpful in that a clear distinction is made between the ‘real world’ and the world of systems thinking. In Chapter 1 we arrived at an expression of our problem related to ‘landscape stability’ and ‘increased production of food’. Root definitions (RD) of these problems were presented in Box 1 (see page 12) and in Box 2 (see page 14). From our discussion, and following Checkland and Scholes, it is clear that this conceptual model (see Figure 4.1) “gives too much an impression that SSM is a seven-stage process to be followed in sequence” (their page 27). The reason is that ‘awareness’ (Box 2) and ‘insight’ (Box 3, see page 15) relate to culture in

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 43

Chapter 4 The Need for a Participatory Approach the context of social and political (soft) systems, with varying conditions.

As the problem situations we are considering occur in areas of social concern,

H is tory

‘C u s to m e rs’ an d ‘a c to rs ’ a s w ou ld-b e im p ro v ers of th e p rob le m s itu a tio n

R e al-w o rld p rob lem situ a tio n

Tasks is su e s

C ultu re

R elev a n t s y s tem s

R ea l s itu a tio n

M o d e ls

1 . A n aly sis o f th e in te rve n tio n

C o m p a re

2 . S o cia l a s pe c ts

3 . P o litic a l a s p ec ts

E tc .

D iffere nc e s be tw e e n m o d e ls a n d re a l w orld

STR EAM O F C ULTURAL A N A L Y S IS

C h an g e s de s ira ble fe as ible

A c tion in th e s itu atio n

L O G IC -B A S E D S T R E A M O F A N A L Y S IS

FIGURE 4.2. The soft systems methodology process. Adapted from Peter Checkland and Jim

Scholes, Figure 2.6. p. 29. Soft Systems Methodology in Action. © 1999 John Wiley and Sons, Ltd. Used with permission.

44

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The process SSM (see Abbreviations, Acronyms and Organizations) is used to guide this process. This methodology involves the people concerned in a learning cycle. It reflects “upon and debates perceptions of the real world, taking action in the real world. It reflects on what happens using systems concepts” (Checkland and Scholes, 2000, p. 28). The situation(s) in the real world, here food security and landscape stability, which are very much part of human affairs, are products of history, which can be looked at from different points of view. However, when thinking about these problems, it appears that classical management has been dealing only with the logic of the situation. SSM enables us to go beyond that important logic to “enable action to be taken in the full idiosyncratic context of the situation” (Checkland and Scholes, 2000, p. 28). This is followed through by referring to Figure 4.2 (see page 44).

4.2 The process 4.2.1 General When in accordance with Figure 4.2 we consider the ‘history’ of the problem situation, or why it has arisen, Figure 1.1 (see page 5) is useful. At the core of the problem are the ever increasing population pressure, economic externalities (see Glossary) and deforestation. This has to do with human behaviour or culture, or the social and political aspects of that behaviour. These can be defined from an analysis of the intervention (the ‘Finding out’ process discussed below). In accordance with Figure 4.2, above, it is essential to go through these analyses if a logic-based analysis of tasks (purposeful action) and issues (things about which there is disagreement between ‘would-be

improvers’ of the problem situation), is to be carried out successfully. The logic based stream of analyses aims at defining differences between conceptual models of participatory learning and action, landscape stability and food security, and the ‘real world’. The result of a stream of cultural analysis, that is to say of social and political aspects, considers these differences and determines which changes in the ‘real-world’ situation are desirable and feasible. Based on that interpretation action to improve that ‘real-world’ problem situation is recommended. Whether this action, that is the ‘Transformation’ of changing ‘Input’ to ‘Output’, is successful, would be judged by the ‘Customers’, in our case local small-scale and subsistence farmers and local agencies. This judgement would be based on the 3Es (see page 9). These ‘E’ criteria are all important. In our case however, the third, referring to ‘Effectiveness’ and answering the question whether the ‘Transfomation’ is meeting its long-term aim, that is improving livelihoods (not necessarily linked to economic growth) may be the most important. 4.2.2 The methodology followed In order not to lose track of these points, following Checkland and Scholes, 2000, the following sequence of events (stages) will be used.

Stage 1 - Finding out about the problem situation. An introduction to the problem situation (see Chapter 1) will be broadened in the present chapter.

Stage 2 - Developing a general model. This model is to be applicable to the three ‘E’ criteria. This model is to be set up in the current chapter.

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Chapter 4 The Need for a Participatory Approach Stage 3 - Revised RDs and their conceptual models. ‘Root definitions’ (RDs) of three problem situations, considered relevant, have been presented in Chapter 1 (see Boxes 1, 2 and 3, on pages 12, 14 and 15, respectively). Based on additional information, discussed in the current chapter, these will be revised. Following the general model of stage 3, three conceptual models based on the three revised RDs, will be worked out.

Stage 4 - Comparing models and perceived ‘real-world’. The problem situation will be considered in terms of a blueprint and learning process approach. These approaches will be compared with the perceived ‘real-world’ situation. A thesis for a combined approach will be set up. This will be the final section of this chapter.

Stage 5 - Defining most significant These will be defined in changes. Chapter 5.

Stage 6 - Taking action. With reference to the general model, we will review the suggested action process. It is noted that this sequence has been adapted from Checkland and Scholes, 2000, p. 62.

4.3 Relevant to agricultural production 4.3.1 The potential to increase agricultural productivity As indicated in Chapter 1 regarding agricultural production (see page 9) and Figure 1.3 (see page 10), whether the intervention is successful depends on collaborative experiments, carried out by small-scale and subsistence farmers with the full support from local, national and 46

international agencies. A way to motivate these farmers to carry out this work, aided by agricultural extension and applied research workers, will have to be found. In this respect the availability of attractive markets for local commodities and the prevention of social differentiation will assist. Here important social and political aspects come into play (see Figure 4.2 on page 44).

Social aspects. The bigger and more advanced farmers, comprising the ‘rich small-scale farmer households’ (see Figure 2.2 on page 21) may tend to dominate the way experiments and pilot schemes are designed and conducted, thereby reducing the ‘poor small-scale farmer households’ or subsistence farmers to virtual bystanders. Avoidance of this will depend on the skill of agricultural extension workers to select those who will take part in the applied research work (see page 81) and act upon its findings. The design of interviews, and the manner in which interviews are conducted, as well as the design of questionnaires by policy-oriented researchers, skilled in Participatory Rural Appraisal (PRA) will be important. Robert Chambers has described PRA as “a growing family of approaches and methods to enable local ‘rural or urban’ people to express, enhance, share and analyse their knowledge of life and conditions, to plan and to act” [my italics (Chambers, 1994)]. This means that well-conducted PRA allows for information gathering and interpretation which ‘conventional’ survey techniques are unable to include. Most importantly however, those undergoing the selection process will be able to have their voices heard. Their awareness and understanding of what is proposed may

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to agricultural production grow. The likelihood that they will play a determining role in the development of the policy which is likely to affect them, may be enhanced. At the same time these proc-

esses question the role and the power of the other ‘actors’ (see Table 1.2 on page 11) involved in the intervention (Thomas et al.,1998, p.151).

Basic needs

Subsistence farmer household

Decline in capital funds per person

No household savings

No tax payment

Negative economic growth of household

(Negative)

Depreciation of assets

No contribution to economic growth of society

Increase of number of family members

FIGURE 4.3. The poverty trap. Based on Sachs (2005), p. 248. The End of Poverty; Economic Possibilities for Our Time. The Penguin Press, New York.

PRA approaches will help to understand the social dynamics of these power relations. It can contribute to empowerment for example by: 1.

increasing groups of small-scale have more

awareness and enabling the ‘poor’ and ‘middle farmer households’ to say in defining the needs

and actions related to the intervention; 2.

emphasizing a reversal of power relations between the agricultural extension services, civil engineering services, agricultural experts and small-scale farmers. Following Chambers, 1994, this concerns:

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47

Chapter 4 The Need for a Participatory Approach (a) reversal of frames, through a shift from the categories and values of outsiders to those of the local small-scale and subsistence farmers, enabling them to have a definite input into defining the shape of the investigation; (b) reversals of modes through the use of farmer groups, rather than individual informants; the use of visuals (such as pictures, drawn up by the farmers themselves), rather than verbal techniques; the use of comparison to find out quantitative data rather than direct measurement;

erty trap (see Figure 4.3 on page 47). However, some critical political decisions need to be taken, both by local governments and by the so-called ‘developed nations’ represented in the World Trade Organization (WTO). 1.

(a) allocated funds to infrastructure improvement, especially the maintenance and construction of roads; (b) ensure that the need to make cheap food available for urban populations does not adversely affect the sales price paid at the ‘farm door’ for locally produced foods;

(c) reversals of relations by establishing rapport and involvement with local people, rather than reserve and distance from them;

(c) where necessary, subsidize farm inputs; (d) encourage banks to make seasonal micro-credit facilities available.

(d) reversals of power by enabling local people to build up their capacity for ‘finding out’ and improving their understanding of the ‘problem situation’, rather than investigators extracting information for use elsewhere.

It is realized that this by no means is done easily, a radical change of culture may be needed. Examples of regional changes due to farmers making use of an assured market can be found in sugar cane outgrowers schemes in Kenya, for the Mumias Sugar Estate (Beevers, 1980) and Sri Lanka, supplying the Pelwatte Sugar Company (Private information).

Potentially such reversals can change the ownership of the ‘finding out’ process and cycles of learning. To achieve the transformation stipulated in the RD, a constant dialogue between actors is of main importance.

Political aspects. As pointed out in Figure 1.3 (see page 10), the availability of local and international markets is essential if ‘middle small-scale farmer households’ are to be motivated to endeavour to increase production, and use their ‘trade entitlement’ to move from ‘simple reproduction’ to ‘petty commodity production’ (see Section 2.2 on page 20). The subsistence farmers’ households might find better opportunities to use their ‘exchange entitlement’ by working for someone else thereby beginning to move out of the pov48

By local governments:

Following the above and the information in Section 1.4.1 (see page 9), revised CATWOE elements and RD regarding this intervention of increasing agricultural production, are specified under Section 4.3.2 below. 2.

Achieve and maintain a stable landscape. As indicated in Chapter 2, the longterm viability of local food security depends on a stable landscape. As indicated in Figure 1.4 (see page 13), human activities play a major role,

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to agricultural production especially with respect to deforestation and desertification.

4.3.2 Setting standards for participation

These activities are management of soil, water and vegetation in such manner that landform (see Glossary) is maintained and an optimum balance between the land areas occupied by respectively arable, pasture and savanna land is achieved and/or maintained.

Mutual relationships

Social aspects. As the achievement and/ or maintenance of a stable landscape is affected by human activities, a PRA is required. Small-scale and subsistence farmers need to be consulted because the balance between arable, pasture, savanna and forest land, as maintained by them, affects both rural and urban populations. There is a need for a common understanding of the problem situation between governmental institutions, technical advisors and representatives of the people living on the land. This common understanding should be translated into a commonly accepted plan and into commonly accepted action. Social and political stresses and constraints are likely to arise as the understanding of the problem situation evolves. The central role played by ‘adaptive management’ is apparent (see Figure 4.5, page 51 and Glossary).

Political aspects. Any project, depending so much on the preparedness of the people concerned to proceed, will require insight into the need for a stable landscape. Figure 1.5 (see page 16) highlights the need for discussion between all groups concerned. The complexity of the process is evident. Power-relations between groups will be important. It will be necessary to determine and commonly agree on who will be empowered to take control action as and when required.

Human activities are central to any endeavour to improve crop production. These activities drive the balance between a stable landscape and food production. Ecosystem processes and plant growth are affected by these activities and as such influence crop production and the stability of the landscape. Overall this interplay takes place within the bounds set by state factors (see Glossary) and economic externalities (see Glossary). The relationship between all groups of the local populations (that is not only farmer groups) and the local and national agencies, can be seen as a main driving factor in any such intervention. This is depicted in Figure 4.4 below. Because ecosystem processes and state factors (see Glossary) affect the level of potential success of the intervention, they are included in the figure, however without further specific comment.

The general concept Participatory learning and action (PLA) between rural people and local, national and international institutions lies at the core of the intervention, its effectiveness depending on that continuous interchange of general views and specific ideas (see Figure 1.2 on page 7). They, in close cooperation, need to set the standards and norms for the intervention. Roles, e.g. social positions recognized as significant by actors in the problem situation, norms, or expected behaviours in the role, and values, or local standards, need to be continually redefined (Checkland and Scholes, 2000, p. 49). In situations such as these, profes-

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Chapter 4 The Need for a Participatory Approach

STATE FACTOR S

E cosystem processes M o du lato rs

D isturba nce reg im e

R esou rce s

B iotic com m unity

HUM AN A C T IV IT IE S

Landscape stability

P lant grow th

C rop production farm ing system

LOCAL AND N A TIO N A L IN S TITU TIO N S

Infra stru ctu re

Fam ily fa rm ing h ou se ho lds

Tech no log y m a nag em ent

E X T E R N A LIT IE S

FIGURE 4.4. The mutual relationships between ecosystem processes, landscape stability, plant

growth, crop production farming systems and activities by local people and institutions.

sionals will have to work with the people they are supposed to serve and devote effort to gain their trust. In this context adaptive management (see Glossary) is

50

important. It requires insight from professionals into the importance of the intervention. It is the perception of the rural people of their condition, which may well

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to agricultural production be different from the perceptions of outsiders, that should form the basic point of reference for and during analyses (Burkey, 1993, p. 62). The general concept, high-

The increase of agricultural production

Do feasibility study

Monitor implementation

lighting the importance of control action, is depicted in Figure 4.5.

Participatory action and learning between rural people and local and national institutions Do stakeholder analysis

Perform PRA Establish adaptive management Do farmer-led research Monitor effectiveness Design and implement project

Monitor effectiveness

Monitor implementation

Achieve landscape stability

Do stakeholder analysis

Do feasibility study

Establish adaptive management

Monitor effectiveness

Take control action

FIGURE 4.5. The general concept of the interventions regarding the increase in crop production

and the achievement of landscape stability.

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51

Chapter 4 The Need for a Participatory Approach 4.3.3 Root definition and conceptual model A revision of the root definition given in Box 1 (see page 12) now is necessary. In

this regard the concept of reverse learning, important in the context of participatory learning, will be given additional emphasis.

Revised CATWOE elements regarding the improvement of agricultural performance.

TABLE 4.1

Stakeholders

Revised CATWOE elements for root definition regarding the improvement of agricultural performance

C - ‘Customers’

Local small-scale and subsistence farmers, local and international institutions, local and national governments.

A - ‘Actors’

Those who do T, here the local small-scale and subsistence farmers, local and international institutions (local and foreign specialists, donors).

T - ‘Transformation’

Relatively low performance of agricultural sector improved agricultural performance through the mobilization of farmer-led research and learning from it by all parties concerned, leading to economic development (and improved food security).

W - ‘Weltanschauung’ - world view

Motivation through learning is necessary, if the three Es (see above) are to be achieved, that is to say if sustainable and equitable, morally justifiable rural development is to be achieved. As shown in Figure 1.2 (see page 7), there will be a continuous interchange between rural and urban development.

O - ‘Owners’

T could be stopped by local farmers, donors withdrawing support and NGOs if the environment is found to be unsuitable.

E - ‘Environment’

Natural resources (reasonable state factors). Social system, that is to say the continuously changing interaction between role (the social position recognized as important by the people in the problem situation), norms (characterized by expected behaviours) and values (beliefs of what is ‘good’ or ‘bad’ performance by role holders). The active support by national and local government will be necessary. A reasonable infrastructure is a requirement. Political system. An active understanding of the mutual interest, converting different interests, represented by groups with power (commercial farmers) and groups with no power (middle small-scale and poor subsistence farmer households) in joined support, is needed if the intervention is to be successful and sustainable.

Reverse learning is defined as learning to offset the gap between outsiders’ knowledge and rural people’s knowledge (Chambers, 1983 p. 84). The behaviour and attitudes of outsiders with respect to farming practices, knowledge of their observable environment by rural people and of their experiments, may be seen as especially important in our context. With 52

respect to farming practices, the scientific bases of minimum tillage, intercropping and shifting cultivation are now better understood than some decades ago. Communities living in diverse environments, and/or which live close to the margin of survival, understand the factors relevant to these circumstances and may use experimentation to strengthen their

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to agricultural production knowledge. This enormous resource of local knowledge should be respected and used as and when applicable. Chambers (1983) presents interesting examples (his pp. 84-93). One of these is the Groundnut Scheme in Tanzania. The local inhabitants did not cultivate in the areas proposed for that project, but they were not consulted for their reasons. Had this been done, the problems of that particular project might have been better understood.

The emphasis is on a continuous dialogue between local farmer groups and ‘appropriate’ agencies. Representatives of these would need to support the principles of Participatory Rural Appraisal (PRA), and therefore would work from the standpoint of ‘farmer first’ (Chambers et al., 1998). The above is expressed in the revised CATWOE elements of Table 4.1, above and in the RD of Box 4.

BOX 4 (from BOX 1 - page 12) Root definition for a learning process approach aiming to improve agricultural performance. A system to bring about agricultural rural development (P) by developing the productivity of the agricultural sector in a sustainable and equitable manner, while mobilizing and enhancing local knowledge (Y), aiming to achieve a participatory (ownership) rural community and a sustainable rural small-scale farming community, thus contributing to economic development and improved food security for the nation (Z), thereby raising the production capacity of society. This enhancement of local knowledge will be sustainable as farmer groups become motivated to take the lead in building up the knowledge. It is equitable as farmer groups are transformed to come to ‘own’ the processes to be adopted. involvement of local, national and international agencies.

Conceptual model - general The term ‘model’ relates to the ‘real world’ and to the ‘imagined world’. 1.

It should contribute to making increased agricultural production happen.

4.

Different models for the same purpose can be built from different perspectives.

5.

In our case the model should act as a point of comparison in a learning process.

There are two conditions a model must meet for it to be valid:

• as a simplification from what actually happens in the ‘real world’, the essential relations between the parts of a model must allow it to actually work;

• the model must correspond to an ideal relevant to the work of some agency. 2.

3.

The conceptual model under discussion should be such that it can relate to a range of different scales, e.g. micro, meso and macro, that is from local, via national to international levels. This is important due to the

Influence diagram.

The diagram in Figure 4.6, below, assists in building the conceptual model. The difficulty in finding farmer groups representative for the middle income small-scale and poor subsistence farmer

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53

Chapter 4 The Need for a Participatory Approach

Real world problem situation

Donor community Constraints

Natural resources

Accountability

Institutional landscape NGOs

Socioeconomic environment

Leads to purposeful action Constraints

Farmer-led participatory farming system research:

Train professionals Use expertise Yields: shared learning

Evaluate

plan farm trials evaluate farm trials determine policy determine policy strategy

Monitor Evaluate

Project approach: learning process  

Design Implement

FIGURE 4.6. Influence diagram regarding the institutional landscape in connection with the

achievement of food security.

households, without their work being hampered by the more powerful commercial or ‘rich’ small-scale farmer households running a family enterprise, might be quite significant. It will depend on how the socio-economic environment in which these farmer groups operate, is placed in 54

the ‘real world problem situation’. External professionals, charged by the donor community, foreign agencies and NGOs together, to be involved with working with these small-scale and subsistence farmer groups need to work amongst themselves prior to setting foot in the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to agricultural production restricted small-scale farmers’ community. The aim of that work should be to come to a shared insight on how to behave and act, in the form of ‘purposeful action’,

to achieve this farmer-led and small-scale farmer-owned, participatory research.

1. Find suitable small-scale farm er population

Donor community

Accountability

2. Decide agricultural commodity

1. Based on their expertise and insight, select suitable ‘specialists’.

NGO s 3. Decide agricultural productivity

4. Mobilize/ enhance local knowledge 3 Specialist, to define ‘purposeful action’.

2. Specialist, to assess ‘real world’ constraints.

5. Use farmer-led research

6. Use learning process as basis for project

7. Design and implement four-step project 10. Take control action

9. M onitor 1-7

8. Define performance indicators

13. Monitor 1-10

12. Define measure of performance effectiveness (E2)

14. Take control action

11. Appreciate the model builders’ aspirations for the system (E1)

FIGURE 4.7. Conceptual model regarding the increase of agricultural production.

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55

Chapter 4 The Need for a Participatory Approach Conceptual model constructed. This model is presented in Figure 4.7. The points regarding its validity (see page 53) are commented on as follows: 1.

Does this model provide a valid explanation of what actually happens; does it work? The difficulty lies in the effects of the institutional landscape and socio-economic environment in the ‘real world’ problem situation (see Figure 4.6 on page 54). Much effort will have to be devoted to finding the right specialists, a suitable small-scale or subsistence farmer population and agricultural commodity (farming system). If this can be done, the model has a chance to work. If not, the process should be stopped at that stage and a different approach adopted.

2.

This conceptual model applies to local, national and international levels, requiring input from all. Equally, if successful all are affected.

3.

It aims at making increased agricultural production happen involving all concerned in this pressing endeavour.

4.

The question whether the learning process adopted for the model works as a basis for the design of the intervention is answered by analysis E2 as defined in point 12 (see Figure 4.7) which demands that a measure of performance effectiveness be defined.

4.4 Relevant to landscape stability Food security depends on a stable landscape. Small-scale agricultural practice should take this into account at all times. As indicated in Figure 4.3 (see page 47) the stability of a landscape is a factor

56

affecting the achievement of food security in any one area. Small-scale and subsistence farmers are well aware of this, but to put the subject in context the following detail is relevant. 4.4.1 The potential to achieve a stable landscape

General Processes forming single terrain features, are controlled by climate and time. Geomorphic agents (apart from tectonic forces) that cause changes on the earth’s crust are temperature, running water, glacial ice, the wind, groundwater and wind driven water waves. Running water may cause stream or gully erosion. Terrain features may be either erosional or depositional. The former, which is the more frequent landform, refers to the shape of what is left after material has been removed. Examples of these are stream valleys. Sand dunes and deltas are depositional landforms, their shape and size being controlled by a depositional process. Some forms, such as an outwash or delta plain, are partly erosional and partly depositional. These landforms contain a wide range of parent materials of different chemical composition, which in turn are the resources for the formation of soils. This leads to ‘soil patterns’, associated with features of rhizospheres (see Glossary), soil aggregates and mesopatterns perhaps most importantly, the ecological connection between vegetation and soils. From the point of view of a stable landscape, the factors of running water and groundwater may be subject to some degree of control by human activity as soil conservation practices in the landscape. Soil patterns, as the end-results of

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability soil formation processes, are important in the context of terrain features and this is where land use impacts on the landscape. The small-scale and subsistence farmer will be aware of these features when determining which crop to cultivate.

4.4.2 Factors influencing sustainable soil patterns Figure 4.8 presents an influence diagram relating to the factors discussed in the previous section. Landforms and landscapes cannot be created by human intervention.

C lim a te P are n t m a teria l T im e

G eo m orp h ic a g en ts

S ta te fa cto rs

T em p era tu re R u n n in g w a te r G ro u n d w ate r W in d G la cial ice W a te r-w a ve s

E rosio n D e p osition Pro ce sses

Ero sio n a l la n dfo rm D e po sitio n al la nd fo rm C lim ate Pa re nt m ate rial Tim e

Po te ntia l b io ta

S o il p a tte rn s: F e a tu re s o f rh izosp he re s S o il a g gre g ate s M e so p a tte rn s

H u m a n activitie s: S o il co nse rva tio n p ractices S o il m a na g em e nt W a te r m a n a ge m en t V e ge ta tio n m a n ag e m en t

S U S TA IN A BL E S O IL PA TT E R N S

FIGURE 4.8. Influence diagram regarding sustainable soil patterns

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57

Chapter 4 The Need for a Participatory Approach However, practices of land use can destroy the natural landform, or, in contrast, preserve it in optimal condition. In that context land-use capability classes (see Table 4.2) are of practical use to the small-scale farmer when deciding what crop to cultivate on his/her ‘patch’. In this context and as far as the smallscale or subsistence farmer is concerned, land-use planning is important, particuTABLE 4.2

Class

larly with respect to arable cropping under rain-fed or irrigated conditions. The alternatives of shifting cultivation and permanent cropping merit attention.

Shifting cultivation This is defined as the production of food-crops for subsistence farming in cycle with vegetative fallow, the duration of which depends on population pressure.

Land-use capability classes. a

Description

I

Lands that can be cultivated safely on a sustained production basis for moderate to good yields of adaptable crops. This class does not require special practices or treatment. Methods of good farming practices for the relevant landform remain essential for sustainability to be maintained.

II

Lands that cannot be cultivated safely on a sustained production basis for moderate to good yields of adaptable crops without special practices or treatment. Examples of such practices are contour cultivation, strip cropping with wide strips, improvement of drainage, removal of rocks or debris, simple rotations, preservation of crop residue.

III

Lands that cannot be cultivated safely on a sustained production basis for moderate to good yields of adaptable crops without intensive practices or measures. Examples of these are contour cultivation, strip cropping in narrow bands, terracing, tile drainage, fertilization or systematic rotations.

IV

Lands that cannot be cultivated safely under any plan of continuous use. It can be used safely for pasture grasses and hay, using such limited cultivation as may be required to maintain a good ground cover.

V

Lands that cannot be cultivated safely at any time, being suitable only for permanent cover.

a. From: H. Bennett, 1939, Soil Conservation, First Edition, pp. 957, 958, © 1939, McGrawHill Book Company, Inc.

Under this cultivation method mixed cropping often is used, that is the production or growing of two or three crops together on the same piece of land. The aim is to secure a yield of the highest return possible with minimum weed control and using soil, light and rainfall to the best advantage possible.

58

Permanent cropping Single cropping. In the case of annuals this cropping method entails the crop covering the land for only part of the year, to be followed by fallow. In the case of perennials the land is covered throughout the year by the crop (ILACO B.V., 1985, p. 515).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability Multiple cropping. This involves the cultivation of two or more crops after each other or with some overlap within the period of one year. The method of double cropping is practised in areas in the tropics and subtropics where sufficient water for crop production is available from rainfall, irrigation or both. An example is double cropping of rice in South East Asia (ILACO B.V., 1985, p. 516).

Intercropping. Intercropping is common and sophisticated within traditional cultures (Innis, 1997, pp. 3, 4). The practice may be used for the period of establishment (maturing) of perennial crops, such as oil palm and rubber. During that period the farmer may inter-plant catch crops (for cash and/or food) which will provide some income whilst the perennial crop is still unproductive. This points to a more efficient use of the available solar energy than would have been the case with the farmer concentrating on a monocrop only. However this improved efficiency (inputs over outputs) of solar energy used also can be achieved with annual crops, such as those of intercropped maize and beans. This is due to the different growth habits of the two plants. Maize has more or less vertical leaves which trap about half of the available sunlight. The lower and more horizontal leaves of beans are able to capture most of the remaining solar energy. Experiments show that, using the same resources of water and light, intercropping, used intelligently, can produce a higher yield of organic matter, or food, than monocropping can (Innis, 1997). A further aspect is that the traditional farmer, by intercropping with legumes, adds nitrogen to the soil.

Water-borne erosion

Water-borne erosion depends on the unhampered impact of raindrops on the soil, causing a detachment of soil aggregates and surface run-off.

Rainfall. The unhampered impact of raindrops on the soil results in detachment of soil aggregates, causing surface run-off, or water-borne erosion. Run-off is the part of water falling on the soil, which does not enter into the soil. Due to the slope of the land, it runs off the surface, carrying soil particles and aggregates (water-borne erosion) with it.

FIGURE 4.9. An example of the splash effect of rainfall on unprotected land. Rilling or grooving is becoming apparent. Photo HB.

In this context the following factors are important:

• Energy of the rainfall The kinetic energy of the falling raindrops is the most important factor. A drop falling on bare soil surface may

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59

Chapter 4 The Need for a Participatory Approach detach soil aggregates by a splash effect. An example is shown in Figure 4.9 above, highlighting the importance of soil cover after harvest.

duration saturate the topsoil with water. This decreases the stability of the topsoil, thereby promoting run-off and erosion. If the moisture is well distributed in the soil matrix, the soil can cope more readily with the hazards, resulting in less erosion.

• Quantity of the rainfall Higher quantities of rainfall increases erosion hazards. Showers of long TABLE 4.3

Soil cover and water erosion. a

Vegetation or cover Grass 100% cover Grass 20% cover Natural forest Citrus + mulch Citrus without mulch Crops + mulch Crops + bare soil or fallow Bare soil Natural fallow

Slope (%)

Run-off (%)

Soil loss b t/ha per year

30 20 7-15 7 7 7 7 7 7

6.9 29.0 2.4 2.6 9.2 13.9 21.0 39.0

0.026 12.0 0.24 4.3 18.9 13.0 43.6 89.4 9.3

a. Source: From ILACO B.V. (1985) Agricultural Compendium, Second Edition, Table 5.4.1, Soil cover and water erosion, Elsevier, Amsterdam, p. 450. © 1981, The Netherlands Ministry for Agriculture and Fisheries, The Hague. b. For extreme rainfall intensities, soil losses may be considerably higher.

• Intensity of the precipitation With intensities of 3-60 mm/h up to 10% of the rain is erosive, whereas if this is higher than 100 mm/h all rainfall is erosive (ILACO B.V., 1985, p. 447). Due to higher intensity of rainfall in sub-tropical and tropical areas than in temperate areas, erosion hazards tend to be higher in the former areas. The nature of the soil. The natural characteristics of the soil, soil management by humans and various climatic factors affect its erodibility. The structural stability of the topsoil and its organic matter content are important. A topsoil of a non-stable structure disinte60

grates rapidly. Raindrops cause a puddling effect, promoting surface run-off. The soil profile depth also is important. A deep profile (subject to there not being horizons impeding water movement) can lead to a good water holding capacity, reducing the risk of over-saturation of the topsoil.

Slope. If the slope of the land is sufficient for water to run down it, the land may be subject to erosion. On steep slopes, excess water from precipitation will run down that slope at higher velocity with higher kinetic energy, than on a gentle slope, causing more serious erosion. The longer the slope, the more excess water will accumulate on it and all this will run down the slope at an ever increasing vol-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability ume and velocity. The curvature of the slope, the vegetation on it, its texture and structure are factors coming into play (ILACO B.V., 1985, p. 449).

Vegetation. The cover of the soil by vegetation breaks the energy of raindrops, and increases the surface retention. This is a most important factor in reducing run-off (see Table 4.3). Forest and good grassland form the best soil cover. Good management also is a substantial factor. All this is of considerable importance when it comes to cultivation practices (see Chapters 5 and 8).

Wind-borne erosion This type of erosion refers to the action of wind detaching, transporting and

depositing soil. As soil needs to be dry to undergo this action, areas sensitive to this type of erosion are characterized by low seasonal rainfall and a climate of high temperatures. Unhindered impact of a strong movement of air on smooth soil surfaces, is a prerequisite. In desert areas, already comprising extensive areas of relatively loose soil, the damage to the area is limited. In arable land on the other hand, extensive damage can be done by the complete or part removal of the arable layer. As wind erosion does not need a slope, wind action removes soil from flat as well as from sloping land, provided there is an open and smooth soil surface.

FIGURE 4.10. Gully erosion. Photo HB.

Under such conditions the very fine particles (<0.1 mm diameter) are moved in suspension by air turbulence and then may move over considerable distances. Such dust storms can remove the richest part of the soil. The medium sized particles (0.050.5 mm diameter) move by bouncing over

the surface of the land. The coarsest particles are blown over the land surface, causing so-called creep of deserts. These medium and coarse particles may damage vegetation and cause abrasion, breaking soil aggregates into smaller erodible sizes (ILACO B.V., 1985, pp. 452, 453).

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Chapter 4 The Need for a Participatory Approach Types of erosion Sheet erosion. During this process topsoil is more or less evenly removed by water or wind. Sheet erosion can be recognized by: • thin topsoils and subsoil exposure; evidence may be seen by light coloured patches of soil; sometimes this type of erosion may have progressed to the extent that bedrock is exposed; • relatively high amounts of coarse materials, such as coarse sand, gravel and pebbles in the arable layer, due to the finer material having been blown or washed out; • exposure of roots;

• deposits of materials at the leeward side of a field.

Micro channel or rill erosion. This is characterized by small washes in defined channels which still can be filled by normal cultivation practices (see Figure 4.9 on page 59). When run-off water concentrates in rivulets of sufficient volume and speed to leave small incisions in the land surface, rills occur.

Gully erosion. This is concerned with the removal of soil by excessive concentration of running water, resulting in the formation of deep channels which cannot be removed by tillage (see Figure 4.10 on page 61). A rill can be cultivated and therefore handled or passed by farm machinery. A gully cannot. If not dealt with, gullies can become so extensive as to making large areas of land unusable. Then it threatens land and roads and river courses. The final result of such unchecked gully erosion is the total devastation of the landscape.

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Deposition and accumulation. When soil is removed from a location in an uncontrolled manner, it will be deposited elsewhere in an equally uncontrolled manner. • Deposits from water-borne erosion Layers of sand, silt and mud may affect agricultural land when deposited downslope from eroded areas, thereby destroying crops and damaging the land. Discharge (drainage) capacity of the river system may be reduced as a result of being loaded with suspended fine soil particles, promoting flooding of surrounding areas. Due to its kinetic energy, the mass of flowing water will tend to establish a new hydraulic equilibrium, by changing the geomorphology of the river system. Scouring the riverbed in one area (say the outside of river bends) and raising it in another (say the inside of river bends) are examples. Such raised riverbeds will lead to further drainage problems, due to increased natural water levels. Also water discharging structures in the river system, such as weirs and flumes may become blocked, as a result of which water storage reservoirs will silt up. This disturbance of the hydraulic balance of the catchment area produces strong discharge fluctuations of the rivers into which the catchment drains. Higher flood levels and stronger discharges occur. In the downstream areas alluvial sedimentation, such as the alluvial deposits being transformed into flood plains and river delta areas, may have beneficial effects by enhancing agricultural productivity and potential for settlement (ILACO, B.V., 1985, pp. 452, 453).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability • Wind-blown deposits Large quantities of wind-blown material may adversely affect both agriculture and the area where deposition occurs. Such deposits are characterized by their rather uniform mechanical composition and sedimentation pattern. Shifting sand dunes in (semi-) desert areas are of a typical pattern. By covering the land and blocking canal systems they endanger oases and irrigation schemes, thereby reducing the quality of the land and in fact making irrigation impossible. On the other hand, deposits of thin layers of loess-like material by dust storms can improve the quality of the land when this occurs year after year (ILACO B.V., 1985, pp. 452, 453).

Soil conservation This concerns action to prevent or control erosion and is important for the smallscale farmer. If successful, damage to the land may be avoided, thus preventing financial loss due to crop yield becoming depressed as a result of erosion. Preventative measures, such as applied crop husbandry techniques, can be taken by farmers themselves. Such measures do not require complicated planning, engineering or high capital investments. However to produce best results, land use will have to be planned (ILACO B.V., 1985, p. 454).

Soil conservation plan Factors to be considered are precipitation, soil conditions, topography, present land use, including its vegetation, and people. An assessment of these factors might produce an evaluation of the actual erosion symptoms, the erosion hazards involved and how these might be dealt

with. Based on this evaluation, the land may be classified according to its ability to produce a sustained yield by means of specific uses and treatments. The natural conditions of the land will impose restrictions affecting the intensity of land use, the corrective soil conservation practices to be used and the productivity of the land. In our context, which concerns the management of agricultural production on mainly small-scale and subsistence farms, as opposed to large scale mechanized commercial agriculture, small-scale farmer groups should be aware of the eight-class land-use capability classification devised by the USDA, shown in Table 4.4 (see page 64).

Conservation and reclamation measures These measures should be designed in such a manner that they can reduce or eliminate the erosive energy held by water and wind. The important actions to be taken, based on the soil conservation plan, should be seen as one-time investment, concerning, should this be necessary, major control practices and equally importantly, year-round and therefore repeated routine cropping and management practice.

Major control practices. These can be seen as mechanical and biological protection practices and artificial protection works.

• Mechanical protection Earth works which aim at controlling and diverting run-offrun-offrun-off in arable areas are a form of mechanical protection. This type of defence against erosion building up starts with the construction of a stormwater diversion drain, intercepting water flowing

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Chapter 4 The Need for a Participatory Approach down from higher grounds located above the arable lands. The run-off control achieved by this drain must be effective, the structures further down depend on it. In the arable land run-off is controlled by channel terraces. Generally speaking, these are built mostly on a slight TABLE 4.4

Class I II III IV

grade or, where practical, along the contours of the lands. Depending on the rainfall, slope and soil conditions, distances between channel terraces vary and can be constructed as broadbased or narrow-based terraces. The broad-based terraces can be incorporated into a cropping pattern.

SCS land capability classification.

Suitable for arable cultivationa No risk, only good management necessary Some risk, moderate conservation practices necessary Considerable risk, intensive conservation practices necessary Great risk, best for perennial vegetation and infrequent cultivation

Suitable for pasture, hayland, woodland and wildlife V VI VII VIII

No restriction Moderate restriction in use required Severe restrictions in use required Suitable only for wildlife and recreation

a. Source: From ILACO B.V. (1985) Agricultural Compendium, Second Edition, Table 5.5.3. SCS land capability classification, Elsevier, Amsterdam, p. 454. © 1981, The Netherlands Ministry for Agriculture and Fisheries, The Hague. See also Table 4.2 on page 58.

The excess water from the stormdrain and terraces should be discharged into a water course which may be either natural or artificial, the latter mostly as grass waterways, discharging into natural drains of the catchment areas. If gullies are used for that purpose, they need to be reclaimed if uncontrolled run-off is to be prevented. In addition to vegetation, structures such as gabions, wire bolsters, netting dams, brushwood dams and log dams can be used to slow down the speed of flow in such drains. Rather steep natural slopes may be converted by constructing bench terraces. These comprise nearly horizon64

tal ledges and vertical walls between the ledges. In stable soils these walls are secured by vegetation, but in less stable soils structures with stones, brick or timber will be needed (ILACO B.V., 1985, p. 456).

• Biological protection Vegetation, breaking the kinetic energy of raindrops is the main vehicle for this purpose. In this regard the following aspects are of interest.

Reforestation. If land is not or no longer suitable for agriculture, reforestation should take place. Provision of a creeping ground cover is most important during all stages of reforestation.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability Treecrops. Similar to reforestation, treecrops require ground cover as protection against rain induced erosion.

a mulch spray of hay and straw, protected by a netting of natural jute or synthetic material.

Windbreaks. These may be set up to

All this can be effective only under sound farm management and appropriate farm practices.

reduce wind velocity to prevent removal of fine soil particles by air turbulence. However, this raises a potential problem. If a windbreak is constructed of a dense row of relatively high trees, this will break the wind force, but serious turbulence just behind the trees may occur, increasing the problem in the trees’ influence zone. A windbreak which is sufficiently permeable to prevent that problem arising, comprises a balanced composition of shrubs, medium-high and high trees. Where the control of wind as well as that of water erosion is needed, windbreaks may be complemented by hedges planted at given distances along the contour lines.

Pasture establishment. The soil type and climate may offer opportunities for the establishment of pastures on reclaimed land. This may be the case especially when conditions are regarded as too risky for arable cropping, but too attractive to leave the land to establish a climatic climax vegetation (see Glossary). As shown in Table 4.3 (see page 60) a well established pasture of a correct mixture between grass and legumes, provides good protection against water erosion.

• Artificial protection works Increased erosion risk on land which may be exposed as a result of works needed for the construction of roads, culverts and viaducts, can be considerable. In such cases in erosion-sensitive areas, planted vegetation may not establish itself sufficiently quickly to provide adequate ground cover to prevent erosion occurring. The seeded sloping land should then be covered by

Cropping practices. This concerns the practices of crop rotation and strip cropping. Especially in areas vulnerable to erosion, crop rotation is a useful practice if sustained crop production is to be achieved. Under such vulnerable soil conditions certain crops will have to be left out of the rotation, or grown to a limited extent only. Although this may be restrictive from a production and income point of view, it is essential to protect the soil surface against erosion at all times, if long-term income is to be sustained. Strip cropping concerns dividing land into alternate strips of erosion-resistant and closely grown vegetation, such as grass, grass-legume mixture, small grains or natural vegetation, with economically important crops, which, however, are not suitable to control erosion. Examples of these economically important but erosionvulnerable crops are maize, sorghum, cotton and root crops. The practice of strip cropping generally is applied in combination with tillage and soil conservation practices. Diverse ways of strip cropping are:

• Rotational field strip cropping Alternate strips of equal width, that is some 10 to 20 m, are planted or natural grassland is left in place. These strips are rotated at regular intervals. The technique is constrained by the slope of the land, which should be not more than 5%. Field strip cropping can be done manually, but should machinery

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Chapter 4 The Need for a Participatory Approach

(b) Mechanized planting of sugar

(a) Tool to cut through

(c) Minimum tillage (Photo HB) FIGURE 4.11. A sequence in minimum tillage operations, here applied on a sugar cane

farm. The important point is shown in (a) where the trash is left on the land. A tool carrier holds two vertically mounted discs, heavy and sharp enough to cut through trash, their spacing is set in accordance with the required row width of the crop to be planted. (b) Planting and furrowing operation in progress, the planting material being carried on a separate small trailer. (c) The surface of the land after the operation has been completed. Rainfall on this (slightly) sloping land will penetrate the soil, preventing runoff and the hazard of erosion.

be used, the width of the strip should be a multiple of the width of the prime mover employed.

• Buffer strip cropping Here permanent grass strips vary with arable strips. The grass strips can be rather narrow at some 3 m, whereas the arable strips, depending on the conditions of the land under cultivation, may vary from 10-20 m. It is advisable to adopt a layout with the grass strips along the contour.

• Contour strip cropping Under this system crop rotation is done on the strips and cropping follows the contour as closely as feasible. To bring about the correct layout,

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skilled personnel are required and farmers have to be skilled in performing the cultivations as needed. Due to its crop rotation this form of strip cropping can be very effective for soil and water conservation purposes. The application of manure or fertilizers and perhaps above all the use of cover crops is facilitated. The width of the strips continues to be dependent on the local conditions of soil, climate and slope. Here too, should farm machinery be used, the width of the strips should be some multiple of the width of the ‘footprint’ of that machinery.

• Wind strips This concerns the planting of farm crops in straight and parallel strips, in

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability a direction at right angles to the direction of the prevailing winds. The contour is disregarded. These wind strips can act as a support to windbreaks. To encourage the roughness of the soil surface, stubble should be left on it.

General observation. To practise soil conservation methods successfully, a topographical survey, with contour lines at an established vertical interval, is required. The extent of that interval will depend on the slope of the landform. Skilled personnel are needed to carry out this work and advise on the control practice to be adopted. Where necessary, assistance with the implementation of that practice may be needed also. As a soil conservation plan has to be based on factual information, collection of that information relies on investigation and research. As rainfall, soils and slope of landforms will differ over relatively short distances, the direct and pertinent involvement of local farmers’ groups with that research is relevant. Carefully consulted and selected farmers’ groups from small-scale as well as from subsistence farmers should undertake field work on say, a picked test plot, or (where at all possible) a whole arable field. During the course of that research, quantitative measurements should be carried out in the field to determine (a) the run-off of water in relation to rainfall, soil and slope; (b) the removal of soil in relation to precipitation and slope; and (c) gully development and extension.

Tillage operations The success of control practices, discussed above, will depend on tillage practices facilitating such control. In this regard the following tillage operations are appropriate.

• Contour tillage Tillage and cultivation practices are carried out along the contour in combination with contour strip cropping. When ridges and furrows are laid down along the contour, rainwater collected in those furrows will not be able to run down the slope. Crops, due to improved soil moisture holding capacity, may tend to develop more quickly. Once canopies have closed, the land will be better protected, with fewer gaps in the crop stand. The difficulty may be to design the ridges in such a way that the heaviest rainfall is blocked from running down the slope and water has the opportunity to infiltrate into the soil. If this is not the case ridges might break during a rainstorm, resulting in serious damage. Local knowledge with regard to the height of ridges and frequency of occurrence of such rainstorms will be vital.

• Minimum tillage As a stable soil structure is most important to counteract the erodibility of the soil, intensive tillage should be avoided as much as possible. If the socalled plough zone of the soil is sufficiently friable, it may be possible to adopt a plough-fertilizer applicationplant method, reducing work to a single pass of equipment. In this context the conservation of trash from a previous crop is relevant as this reduces the impact of rainfall on open soil. Vertically mounted discs can cut through the trash, the discs set at an interval to accommodate the plough-plant operation.

• Removal of rills When the first stage of erosion has occurred (see page 62), rills can be

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Chapter 4 The Need for a Participatory Approach removed by tillage operations. However, the aim of soil conservation tillage operations should be to minimize the chance of rill erosion occurring.

• Chiselling Chisel ploughs, rather than disc or mouldboard ploughs which turn the soil in the plough zone, burying trash (and weeds), should be used, perhaps especially on land susceptible to wind erosion. The activity leaves the surface of the land in a rough cloddy condition preventing wind erosion.

Soil conditioning When soil structure is not stable, slaking of aggregates (which may be the result of performing some land preparation activity under wet conditions) seals the soil pores in the soil surface layer. As a result runoff commences. The maintenance of structural stability is most important and for that purpose a good supply of organic matter is necessary. In that context the following is relevant.

• Mulching As indicated in Figure 4.11 (see page 66), trash may be left on the land after harvesting. When, on the other hand, there is only stubble, this can then be chopped up and spread over the surface of the field, protecting it against rainfall and wind. Decomposing mulch will tend to improve the soil structure. When mulch hampers seedbed preparation, a tool such as in Figure 4.11(a), or chisel ploughs can be helpful in preference to mouldboard ploughs. In small-scale or subsistence farming practice, farmers, as members of a farmers’ group, might be able to assist each other by spreading con-

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served trash manually and sometimes propagate crops simultaneously.

• Leys These are perennial, non-permanent pastures comprising grass mixtures, grass-legume mixtures or legumes. They can be incorporated in the crop rotation: a very useful practice as soils under grassland tend to promote the development of a root mat, leading to a granular structure. If, in the overall management of crop rotation, leys can be kept in position for a period of some four years, the organic matter content and related biological activity in the soil in the root zone may well have improved. Once the ley crop is ploughed under, it is likely to have a beneficial effect on the structural stability of the soil and its productive capacity for a number of years. Furthermore leys provide a good ground cover during the time they are in place. They can be grazed or harvested, providing good fresh or preserved cattle fodder.

• Fertility improvement A useful practice to achieve an improvement in soil fertility (see Glossary) constitutes the adding of farmyard manure. This, due to its organic compounds, promotes biological activity and soil structure, whilst its mineral composition improves the fertility status of the soil. Another useful practice can be the addition of lime. Due to its calcium content, it can have a favourable effect on the stability of soil structure. However, as the calcium ion will tend to remove magnesium, sodium and potassium from their exchange sites in

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability

Land degradation

Vegetation degradation

Water resources degradation

Soil degradation

Climate change

Land alienation

COMPONENTS

CHEMICAL

PHYSICAL

BIOLOGICAL

PROCESSES

Leaching Volatilization

Compaction Erosion

Loss of organic matter (oxidation) Loss of biodiversity

Acidification Low nutrient levels Pollution Salinization Sodification Alkalinization

Crusting Ponding Poor water retention Loss of topsoil Pan formation

Reduced faunal activity Delayed decomposition Lower cation exchange capacity Soil structural weakening

SYMPTOMS Specific

SYMPTOMS General

Low or declining yields Poor responses to inputs

FIGURE 4.12. Components, processes and symptoms of land degradation, with details with respect to soil degradation. Source: http://www.fao.org/AG/AGL/agII/madssea. © Food and Agriculture Organization of the United Nations.

the soil matrix, which may have a quick but temporary effect on soil fertility, liming needs to be accompanied by an application of N P K fertilizer to compensate for these potential losses. This type of action may well be beyond the financial ‘carrying’ capacity of the small-scale and subsistence farmer.

Land degradation - general observation Land degradation is a function of the degradation of vegetation, water resources and soils. Climate change plays an important role, as does a lack of human interest in the correct and productive use of land. Rapid deforestation, causing changes in the global water cycle, is an example of this. Amongst these factors, soil degradation is one of the most important as degrada-

tion of vegetation and water resources could be seen as its consequence. The components of soil degradation are (a) chemical processes of leaching and volatilization, (b) physical processes of compaction and erosion, (c) biological processes of oxidation of organic matter and a loss of biodiversity (see Figure 4.12). Declining yields and poor responses to inputs are important factors of consequence. Land degradation can play a most important if not vital role in the context of food security. 4.4.3 Root definition and conceptual model

Root definition Section 4.4.2 provided information regarding a number of issues and practices in the context of maintaining landscape stability. As these also influence the degradation of water resources and vegeta-

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Chapter 4 The Need for a Participatory Approach tion, soil patterns are of particular importance. Agricultural practices, overgrazing and deforestation can induce wind and/or water erosion, which, as discussed

above, can lead to a serious change of landform ‘patches’ and soil patterns.

Box 5 Root definition regarding achieving/maintaining a stable landscape. A system to assess the susceptibility of the landscape to deterioration/degradation (P) by looking for signs of degradation of vegetation and water courses and wind and water erosion as demonstrated by soil and slope and deposition and accumulation of soil materials (Y) to determine action to maintain/achieve a stable landform (Z), thereby raising the agricultural productivity. This activity requires the setting up of a soil conservation plan. TABLE 4.5 Revised CATWOE elements regarding the achievement of a relatively stable landscape.

Stakeholders

Revised CATWOE elements for root definition achievement of stable landscape

C - ‘Customers’

Local small-scale and subsistence farmers, local and international institutions, local and national governments.

A - ‘Actors’

Those who do T, here the local small-scale and subsistence farmers, local and international agencies (local and foreign specialists, donors).

T - ‘Transformation’

Unstable (rural) landscape landscape protected against deterioration through mobilization of farmer-led research and learning from it by all parties concerned, leading to the implementation of a soil conservation plan.

W - ‘Weltanschauung’ world view

Motivation through learning is necessary, if the three Es (see above) are to be achieved, that is to say if sustainable and equitable, morally justifiable soil conservation is to be achieved.

O - ‘Owners’

T could be stopped by local farmers, donors withdrawing support and NGOs, specializing in soil conservation, if the environment is found to be unsuitable.

E - ‘Environment’

Natural resources (reasonable state factors). Social system, that is to say the continuously changing interaction between role (the social position recognized as important by the people in the problem situation), norms (characterized by expected behaviours) and values (beliefs of what is ‘good’ or ‘bad’ performance by role holders). The active support by national and local government will be necessary. A reasonable infrastructure is a requirement. Political system. An active understanding of the mutual interest, converting different interests, represented by groups with power (commercial farmers) and groups with no power (middle and poor small-scale and subsistence farmer households) in joined support, is needed if the intervention is to be successful and sustainable.

Therefore the root definition concerning achieving a stable landscape should

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express the need for assessment of the landscape with regard to its soil, vegeta-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Relevant to landscape stability tion, slope and water courses. Signs of overgrazing, wind, rill and gully erosion should be given attention. All this requires input of skilled observers.

community to be decisive in this way, the process will be ‘owned’ by them, an aspect regarded as vital for its longterm success. If this cannot be done, a more prescriptive approach should be adopted.

The CATWOE elements on which this root definition set out in Box 5 is based are stated in Table 4.5. The important element here is involvement of local smallscale and subsistence farmers and soil conservation specialists, working together to develop a soil conservation plan. The drivers for that plan are the conclusions derived from the farmer-led applied research regarding soil water holding capacity, run-off and the deposition of soil materials.

Conceptual model constructed. A conceptual model regarding the achievement of a potentially stable landscape is shown in Figure 4.13. With respect to the validity of this model (see page 53), we comment as follows: 1.

Can this model, as a simplified description of the overall problem situation work? Very similar to what has been stated regarding the model for the improvement of agricultural performance (see page 56), much effort will have to be devoted to finding specialists in terrestrial ecology, land and soil survey and perhaps above all, soil conservation practices (see Figure 4.8 on page 57). These people would have to ‘pool’ their insight into the problem situation and be prepared to bring the active participation of the rural (and small farming) population into the preparation of any field research, and have this led by representatives of the local population. This depends on a participatory learning and action (PLA) approach. By empowering the local

A potential point of stress is a possible conflict between the interests of the technical people in the field who may wish to bring about the implementation of a successful project and that of the donor agencies. The former, working under PLA have downward accountability to (their) small-scale and subsistence farmers and upward accountability to supervisory staff. The latter perform under upward accountability to agencies supplying or lending resources, such as money and technical supervisory staff. The wish to deliver a successful intervention should be an adequate driver to overcome potential problems arising out of such conflict. 2. The model therefore requires input from all, that is on a local, national and international level. If successful, all will benefit. 3.

As it involves all in the process, it aims at making the achievement of landscape stability more likely.

4.

The question of whether the learning process adopted for the model works as a basis for the design of the intervention is answered by analysis E2 as defined in point 12 (see Figure 4.13 on page 72). This demands that a measure of performance effectiveness be defined.

These deliberations form the basis to define strategies for small-scale agricultural development, guided by a research process, presened in Chapter 5.

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Chapter 4 The Need for a Participatory Approach

1. Find suitable farmer population

Donor community

Accountability 2. Select ‘patches’ 1. Based on their expertise and insight, select suitable ‘specialists’

NGOs

3. Decide type erosion

4. Mobilize/ enhance local knowledge 3. Specialist to define ‘purposeful action’

2. Specialist to assess ‘real world’ constraints

5. use farmer-led research

6. use learning process as basis for project

7. Design and implement four-step project 10. Take control action

9. Monitor 1-7

8. Define performance indicators

13. Monitor 1-10

12. Define measure of performance effectiveness (E2)

14. Take control action

11. Appreciate the model builders’ aspirations for the system (E1)

FIGURE 4.13. Conceptual model regarding the achievement of landscape stability.

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Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Researching the Situation to Define Strategies

CHAPTER 5

5.1 Introduction

Urban population

Continuous interchange

We argue that combining a blueprint approach with a learning process approach to a problem situation, can open an opportunity for learning by all, potentially leading to effective participation over time. The conceptual diagramme of Figure 4.13 (see page 72) expresses this.

Rural population Strategy level

Commissioning and delivering agricultural productivity, landscape stability, reduced poverty

Small farmers’ households

National and local institutions

Farmers’ organizations

International institutions Consultants and financiers

NGOs

SMALL FARMERS’ ORGANIZATIONS

LOCAL

INSTITUTIONS

SETTING STANDARDS AND NORMS

National governments and international institutions intervention under special circumstances

FIGURE 5.1. The core concept. Adapted from Checkland and

Scholes, Soft Systems Methodology in Action, Figure A3, p. A17. © 1999 John Wiley and Sons. Used with permission.

For the discussion in this chapter Figure 5.1 (repeated from Figure 1.2, see page 7), which represents the core concept, is useful. It leads to the conclusion that local and international agencies, such as governments, NGOs and farmers’ extension services, in conjunction with small-scale and subsistence farmers (here, more specifically subsistence farmers’ groups) have the potential to affect rural livelihoods. In the process of delivering the aims of improved agricultural productivity and landscape stability, there is an ongoing interchange between rural and urban populations instrumental in setting strategy. In this regard strategic questions about

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 73

Chapter 5 Researching the Situation to Define Strategies • • • •

what is important, what are the available choices, what needs to be changed and how this can be achieved,

need to be considered. NGOs operating in the ‘expert environment’ (see Figure 3.4 on page 41), may have to carry out a feasibility study, in order to decide a strategy on which further progress would be based. This chapter endeavours to follow the ‘doing’ points in Figures 4.7 (see page 55) and 4.13 (see page 72) in order to come to a practicable project.

5.2 Finding out what changes are needed The aim is to define the most significant changes, necessary if the model given in Figures 4.7 and 4.13 is to work in a socio-political environment. 5.2.1 Research questions When comparing the systems developed in Chapters 1 and 3, and their conceptual models with the ‘real world situation’, the focus of inquiry would be on the viability of the activities, or projects, by fully involving local small and especially subsistence farmers. The stated aim is to achieve landscape stability and increased agricultural production, leading to food security for these farmers. Action in this regard would need to be based on the results of research about the policy area, which is the promotion and use of PLA in the intervention of increasing food production and improving landscape stability. The research process pathway, leading to conclusions, is summarized broadly in Figure 5.2. The research questions, and 74

hypotheses on which they are based, are summarized in Table 5.1. They depend on the specific aims of the project, which lead to the information needed to find an answer to the questions. The definitions of the central and subsidiary questions have to relate to the readiness of the ‘user-stakeholders’ to take part in the intervention. This is so because small-scale farmers in the WDRs under consideration, live under vulnerable conditions. They are exposed to an environment with unreliable, or unstable natural resources, such as rainfall, soils and topography. Frequently, also, this environment is politically and/or economically unstable, as a result of which especially the small-scale subsistence farmers will have an overriding interest in firstly protecting their own livelihoods. The question to what extent these subsistence farmers would regard participation as important in the context of a commitment from outside agencies to bring in something new, technical or otherwise, forms the background. It may become apparent that subsistence farmers may wish to take part only in membership groups, defined as “people’s associations which undertake voluntary collective action and self help” (Uphoff, 1995, p. 17). From this it follows that the project, or intervention, cannot be defined clearly without first having insight, or understanding, the socio-economic and sociopolitical conditions of the rural area(s) in which the project is to take place. In other words is it possible to form these membership organizations in these low-income and underdeveloped areas? The research questions and hypotheses, stated in Table 5.1 refer to the central research question and subsidiary questions. The central question relates to the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Finding out what changes are needed

Policy area

Research topic

Specific project aim

The promotion of PLA

The use and viability of a process approach to the design of agricultural development projects, in the context of accountability; making a case for PLA.

Investigate acceptance of the concept of PLA by the designers of agricultural development projects to increase food production and improve landscape stability.

Central question: To what extent can PLA be used for the design and implementation of these agricultural development projects?

Question to address aim

Subsidiary questions: 1. What would the effect of PLA be on the economic viability of an agric. dev. project? 2. How would the people affected in the project area react to the opportunity of PLA? 3. What if the people affected were given the opportunity to effect/change the policy by themselves?

Information needed

Methodology

Central question: Do 'experts' consider this participatory cooperation and adaptive management viable? From questionnaires and semi-structured interviews. Subsidiary questions: Q1. How is sustainability affected? From semi-structured interviews, and key papers. Q2. Would this be regarded as valuable progress? Questionnaires addressed to NGOs? Participatory surveys. Key papers. Q3. Is the capacity and infrastructure needed for this available? Focused interviews.

Questionnaires and focused interviews supported by evidence from key papers. Determine quality standards of accountability and ownership. Make good summary notes of the information obtained. Search using key words (Boolean). Organize notes in one reference system.

Results

State findings. Always related to central question.

Analysis

See literature study, questionnaires and interviews, in the light of the central question.

Conclusions

These must provide a concise answer to the central question.

Legend: PLA: participatory learning and action (Chambers, 1994).

FIGURE 5.2. The research process. Based on Thomas, et al., 1998, pp. 20-22, Finding Out

Fast, Sage Publications, in association with the Open University, London, Milton Keynes.

field of policy, which aims at the promotion of PLA and understanding of factors influencing that effort. The first subsidiary question also relates to the field of policy. The hypotheses for these questions aim at

obtaining some insight in causality. The questions are descriptive and intend to collect basic information (Potter and Subrahmanian, 1988, pp. 21, 22).

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Chapter 5 Researching the Situation to Define Strategies The respective hypotheses are considered to provide some framework in this regard (ibid., p. 23). The second and third subsidiary questions also relate to the field of policy, and aim at finding an TABLE 5.1.

answer to the question of what would happen if the causal factor of the support of the people in the field to the project, changed.

The research questions and hypotheses. The questions

The hypotheses

Central

To what extent are PLA and PM&E taken into account in the design of agricultural development projects specifically aimed at improving food security?

The sustainability of an agricultural development project will be enhanced by attention to downward accountability to and participation by the people directly affected by it.

Subsidiary 1

What would the effect of PM&E be on the economic viability of such agricultural development projects?

The economic and social viability of a project will be enhanced if PLA and PM&E are adopted at the design stage.

Subsidiary 2

How would the subsistence farmers in the project area react to the policy of using PLA?

Given the opportunity to participate, the local people affected by the intervention will support it.

Subsidiary 3

What if the subsistence farmers affected by the intervention were given the opportunity to effect/change the policy by themselves, using PM&E?

The people affected by the intervention will wish to participate in the design of the project, provided they see the opportunity for capacity building.

PLA: participatory learning and action; PM&E: participatory monitoring and evaluation.

What is important? From the above it is concluded that it is important to establish that small-scale subsistence farmer groups indeed want to take part in the effort, initiated by ‘outside agencies’, to achieve a (more) stable landscape, whilst adopting techniques aimed at protecting the soil and landform and increasing food production.

What are the available choices? If the enquiry leads to the conclusion that this is so, the collaborative effort should be set in motion. If the situation is uncertain, work should continue in the realization that failure is possible. The subsidiary questions 1-2 and their hypotheses (see Table 5.1 above) centre on these possibilities. On the other hand the subsidiary question 3 entertains the situation (perhaps unlikely) where subsistence 76

farmer groups firmly oppose collaboration from outside, whilst being prepared to use PM&E. In that case the matter should be left with them, after they have participated in the design of the project. This potentially more difficult situation should be based on an agreement between the ‘owner shareholders’ (see Table 1.2 on page 11 and Table 1.3 on page 14), about what is feasible. 5.2.2 The questionnaire suggested for the research As indicated in Figure 5.2, the information needed may be collected from ‘experts’ by means of questionnaires and focused interviews. These are used to confirm that the world view that ‘bottom-up’ control and participatory management is essential for success, is shared by the ‘experts’ initiating the project.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Finding out what changes are needed

Example of a questionnaire directed towards assessing the likelihood of obtaining the participation of subsistence farmers in the development project.

TABLE 5.2.

Blueprint

PLA

1

How would you regard your approach to the design of agricultural development projects?

Yes

No

Yes

No

2

Would you request information from the subsistence farmers affected by the programme?

Yes

No

Yes

No

Technical

Social

Verbal

Written

3

What type of information would this be?

Yes

No

Yes

No

Yes

No

Yes

No

4

Would you explain and discuss the project with subsistence farmers at location?

Yes

No

Yes

No

Yes

No

Yes

No

5

Would you call public meetings for this purpose?

Yes

No

Yes

No

6

Would you use relatively small groups for focused interviews?

Yes

No

Yes

No

7

Do you regard the concept of accountability to subsistence farmers important?

Yes

No

Yes

No

8

Would you keep the subsistence farmers affected by the project informed about progress and performance?

Yes

No

Yes

No

Yes

No

Yes

No

9

Would you aim at obtaining their participation in the project?

Yes

No

10

To what extent do you consider that their participation is important? Please rank in scale 1 to 5; 1 = low; 5 = high. 1

3

4

5

Important to take part in design

2

4

4

Important to take part in implementation

4

Important to participate in design and implementation

2

An indicative example of a structured questionnaire, based on this approach is shown in Table 5.2. It attempts to find some answers to ‘what’ questions, basically by ticking boxes. However, as quan-

2

6 2

4

tification is involved in answering questions about policy (the ‘how’ and ‘what-if’ subsidiary questions), a semistructured interview-schedule may be useful as an adjunct. This schedule might

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Chapter 5 Researching the Situation to Define Strategies contain some standard or open-ended questions. Answers to such questions could provide the interviewer with lines of enquiry that could not have been foreseen (Thomas et al., 1998, p. 133). TABLE 5.3.

The answers given in the example questionnaire above are fictitious only. Unforeseen lines of enquiry might be useful in this overall context.

Activities and indicative timings. a Activity

Start

Finish

Weeks 9

Expert environment 1

Do feasibility study

02/02/11

04/04/11

2

Assess socio-economic environment

02/02/11

07/03/11

5

3

Assess economic resources

07/03/11

04/04/11

4

4

Decide strategy

30/03/11

04/04/11

1 3

Socio-political environment 5

Assess rural population involved in subsistence agriculture

13/04/11

02/05/11

6

Do stakeholder analysis to mobilize local know-how

20/04/11

02/05/11

2

7

Use farmer-led research to contribute to policy, strategy and design

04/05/11

03/10/11

22

26

Economic environment 8

Use learning process approach

04/05/11

31/10/11

9

Design and implement four-step project

04/05/11

31/10/11

Contribute to economic growth

17/10/11

10

26 NA

System control environment 11

Appreciate model builders’ aspirations for the system

02/02/11

07/02/11

1

12

Define measures of performance

09/02/11

21/02/11

2

13

Monitor activities 1-10

02/02/11

14

Take control action

02/02/11

a. The dates in this table are entirely fictitious. They are stated to contribute to the thinking. Based on this table a Gantt Chart could be developed. This can be useful for the purpose of comparing projected timings and progress against actually achieved progress.

The first two questions in Table 5.2 (see page 77) consider the alternatives of a blueprint method, e.g. an intervention and implementation model to achieve change, or alternatively a learning process approach. The conceptual model shown in Figure 3.4 (see page 41), could act as an aid to compare the concept with conditions pertaining in the ‘real world’. The questions 3 to 10 in Table 5.2 concern the involvement of local stakeholders in the design and implementation of the project and relate to the second and third 78

subsidiary questions of Table 5.1 (see page 76). Answers to the first two questions may be found from the discussions based on the questionnaire and interviews. The usefulness of the outcome, referred to in the subsidiary questions in Table 5.1, depends on the reaction of the subsistence farmer communities. The times for ‘start’ and ‘finish’ indicated in Table 5.3 are fictitious only.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The activities to be carried out to implement changes 5.3 The activities to be carried out to implement changes

project aiming at improved food security and landscape stability.

5.3.1 Introduction

Following the conceptual model of Figure 2.4 (see page 41), the various activities to be carried out are indicated in Table 5.3 (see page 78).

As has been mentioned above, when seeing the two approaches of blueprint and PLA respectively as ‘ideal type’ concepts, it seems unlikely that agricultural projects, aimed at achieving sustainable landscape stability and increased agricultural production, following those individual ‘ideal’ concepts, will succeed. This is largely due to the socio-political environment, which may not promote effective participation. ‘Effective participation’ refers to the power and the right of people to use that power to shape decisions which affect their lives. When they cannot exercise this right, women and men are disempowered (Eade, 2000, p. 4). This therefore means that in the socio-political environment (see Figure 3.4 on page 41), the state, as represented by government institutions and civil society, in which “social movements become organized” (Eade, 2000, p. 5), must promote conditions in which this empowerment can take place. An effective market, which small-scale and subsistence farmers can access to use their endowment of exchange entitlement for the purpose of trading (see Sen and Drèze, 1999, p. 7) their produce, is an essential part of this. In fact the three spheres of state, market, and civil society interface to evolve towards a democratic society. For our purpose however, subsistence farmers must have access to an effective market, if they are to be motivated to ‘grow’ from their direct entitlement (producing for their own needs only) towards having an exchange entitlement available. Once such open markets are available, small farmers may be motivated to take part in this

5.3.2 Activities

Expert environment The process is initiated in the ‘expert environment’, where firstly a feasibility study is conducted. This study concentrates on the socio-economic environment, endeavouring to assess variables such as the trends of per capita income and human development indices (HDI) in the area or region under observation. Economic resources, affecting economic development or economic stagnation in the long term are an important part of this study. However, economic development is not considered on the bases of such economic factors alone. In order to arrive at some strategy factors, on which the approach to the project is to be based, historical, cultural, demographic, political and social factors should be included. Furthermore, ecological factors are of great importance when considering the potential for a successful implementation of a development project.

Socio-political environment The historical, cultural, demographic, political and social factors come into play when assessing the population involved in subsistence farming and small-scale agriculture. Based on the information generated by a feasibility study and by their assessment of the socio-economic environment, ‘experts’ draw up an outline draft-project. This, at some stage during the process of

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Chapter 5 Researching the Situation to Define Strategies setting up the project, will have to be discussed with small-scale and subsistence farmers (groups) to obtain their willingness to lead research. In that context an open and direct discussion between stakeholders, that is between the initiating outsiders and local farmers will have to take place. With Guijt (1998, p.13) important factors to be taken into account are:

• Fluctuating intensity of involvement It is likely that there will be a fluctuating intensity of involvement by different groups over time in a range of monitoring tasks, such as data collection, analysis and dissemination.

• The distinction between outsiders and local farmers Some in the same group may offer a high level of participation, others in that group may offer none at all, thus remaining ‘outsiders’. Differences in power and influence exist between landed and landless farmers, female and male farmers. For instance it is most important that women farmers be involved in the monitoring process (see Figure 3.4 on page 41).

• The levels of participation The local political context is likely to strongly influence what may be regarded as a feasible intensity and the manner in which local subsistence and small-scale farmers take part. As the local small-scale and subsistence farmers will be the people managing ongoing innovation and change, they must be involved in the process of technological development and implementation of the project. As not all farmers will be interested to the same degree or able to participate in all aspects of the process

80

laid out in Figure 4.13 (see page 72), the discussions referred to here need to establish the levels at which participation would occur. The following presents an example (Guijt, 1998, p. 14).

• A core of, for example, 10 farmers These come from farmer groups and have volunteered to become involved in strategic planning, data analysis of farmer-based experimentation, and designing/implementing the monitoring and evaluation process.

• Some 80 farmers These comprise women and men, including community leaders and individual subsistence farmers. They are involved in joint experimentation, for instance regarding minimum soil tillage for soil conservation purposes, and/or intercropping crop production practices. Important aspects of their work is to be involved in key times of monitoring, evaluation and planning.

• General farming ‘public’ and community associations. Activity-specific collaboration with these groups is undertaken. This general farming ‘public’ and community associations should entail at least some 30 communities and 400 to 500 small-scale and subsistence farmers, ready to adopt participatory measures. The monitoring/evaluation findings of the experimental work will be shared with them as a spring board towards the wider community.

Farmer-led research and experimentation. A model on which a combined approach could be based is shown in Figure 5.3 below. In the context of agricultural development to achieve food security and landscape stability, this looks

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The activities to be carried out to implement changes

ECONOMIC GROWTH ECONOMIC EMPOWERMENT Expert know-how

Funders Socio-economic environment

SOCIAL POLITICAL EMPOWERMENT

Project Local knowledge

Identified

Farmers' organizations

Pilot scheme

Agricultural extension work

Farmer-led participatory research

Design

Training Small farmers

Prepared Demonstration plot

Experiment

Appraised Monitor and control Implemented

Increased local knowledge

Performance

Monitor and control

Increased influence project design

Ability to change project identification and design

Increased pressure towards good governance and economic development More stable small-scale farming community

Improved sustainability

Increased economic growth

FIGURE 5.3. Worked out model for the combined approach. Adapted

from Figure 7, page 31. Final Report OU Course TU874. © 2002, The Open University. Used with permission.

at socio-political and economic empowerment, regarded essential for economic growth. Agricultural extension workers, selected for their ability to work according to a ‘people-first’ and ‘farmers-first’ approach (Burkey, 1993; Chambers et al.,1998), get involved with local subsistence and smallscale farmers along the lines indicated in the previous paragraph. They work with these selected people, and learn from and

with them from the farmer-led research, through its monitoring/evaluation process (see below). As the extension workers train a core of small local farmers, for instance in the use of soil conservation practices, these small farmers, and their farmer organizations, which are funds of local knowledge, strengthen their ability to change project identification and design. This then is applied to the farmerled research in which say some 80 farmers

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Chapter 5 Researching the Situation to Define Strategies (women and men) take part. This increases the local knowledge underlying the research. In the socio-political environment this increases pressure towards good governance and allied economic development. If this repeated circular process is successful, potentially it could lead to a more stable small-scale farming community, by means of farmers discussing results of their work with the wider community. Evaluation of the experiment (involvement of the 80 farmers) may point to a desirability to set up a pilot scheme, involving a wider community of some 500 farmers, including the 80 farmers. Once approved by funders, such a scheme might be set up by that, approximately 500 members strong, farming community. Their specific monitoring and evaluation of the pilot scheme might lead to the design, again with their involvement, of a demonstration plot, which they would monitor, evaluate and control. This produces increased local knowledge and increased influence in project design and therefore economic empowerment. This means that if the demonstration plot, upon evaluation by the farmers, is found to yield unsatisfactory results, the process can start again. Training by extension workers of ten local farmers would make use of their increased understanding and know-how, leading to a new experiment, pilot scheme and demonstration plot. If the demonstration plot is successful, funders, local institutions and farmer organizations, with ongoing monitoring, evaluation and control by farmer representatives (where possible the ten ‘original’ farmers) and extension workers, would enlarge the area under the revised production model, which should promote 82

a stable landscape, as well as increase and sustain food security. This would have a chance of contributing to economic growth.

5.4 The monitoring system An effective participatory indicatorbased monitoring system lies at the core of a successful PLA agricultural project. 5.4.1 Introduction From the above may follow that activityspecific monitoring, evaluation and the taking of control action by stakeholder user-owners, is vital if the sustainability of the agricultural process is to be ensured. Once user-owners, as designers of the project (and therefore model builders) are fully committed to the project, and a decision has been made to undertake it, measures of performance indicators (see Glossary), central to the monitoring process have to be defined (see Figure 3.4 on page 41). In this context, a clear definition of the aspiration, or expectations of participants should be regarded as essential. 5.4.2 The fundamental strategic steps Following Guijt, 1998, the fundamental steps needed to set up a participatory indicator-based monitoring system are discussed below. It is noted that these steps are not necessarily taken in the stated sequence. For example the selection of ‘indicators’ follows from the formulation of ‘objectives’, whereas clear indicators assist in the formulation of objectives. 1. Decide to undertake a participatory monitoring system. As this participatory process involves a fairly sizeable group of people with

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The monitoring system different interests and views, it will take time to come to agreement. As long as project staff are prepared to accommodate small-scale and subsistence farmers’ views, it should be possible to arrive at workable compromises. If, however, local people convince the ‘expert initiators’, that this is against their interest and a waste of their time, the project should not be started. 2.

Identify participants. List the people who are involved with the agricultural project aiming at achievement of a stable landscape and increased production. Invite all relevant groups/farmers to take part in the monitoring and find out who has the essential knowledge/understanding of reading/writing and/or crop production technology.

3.

Identify expectations. Find out what people hope to get out of the monitoring system. This might elucidate the extent to which people or groups are willing and able to take part in the different tasks. It might bring out who would like to be partners in the project and motivate people to work systematically. As equal interests in the different tasks to be performed cannot be assumed, it will be necessary to re-assess who participates in the process on an ongoing basis.

4.

Clarify (or identify) objectives. During the earlier planning phase clear objectives (see Glossary) of the work to be monitored must have been formulated, such as for instance “increased overall yield level of a Pigeon pea and Pearl millet intercropping system, under a given moisture availability regime” or for an irrigated

rice crop farming system “improved water use efficiency of irrigated rice production”. Such objectives must be available to all in written form. Time should be given to discuss these and ensure that they are understood and agreed by the different groups and people involved in the monitoring process. In that context objective criteria should be brought to the fore, such as for instance 4.1 On what basis would you find improvement acceptable? Local participants may consider the effort and costs to achieve the improvement is beyond the capacity of the community. 4.2 What specific standards of care (landform, soil, water and crop management) are needed to ensure that the improvement is achieved? This relates to the capacity of the people involved with the project to do the work needed. 4.3 By what standards do we assess whether our operation is environmentally acceptable? During the monitoring process objectives (and criteria) may change, but involvement by all concerned will tend to strengthen commitment (and morale). 5. Identify and select indicators. Objectives can be measured with different indicators (see Glossary). As the setting up of too many, ambiguous or irrelevant indicators should be avoided, their identification requires attention. Their choice will depend for instance on the availability of relevant data. To make sure that the indicator

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Chapter 5 Researching the Situation to Define Strategies can be used is to see to it that it is ‘SMART’ (Specific, Measurable, Attainable, Relevant, Timely). See ‘Indicators’ (page 85). 6.

Selection of method. The method used to collect and register the information, depends on the indicators, the time available, skills of the collectors, the technology and resources. The important point here is that monitoring requires that assessing and recording of information takes place for each indicator used. See ‘Methods’ (page 90).

7.

Determine frequency, timing responsibility of monitoring.

• when will this happen (frequency, day / week / month). 8.

To ensure that they are relevant and practical, test the methods and tools to be used. They must be feasible to apply. The people who will do the monitoring may require training to enable them to be confident that they can do their work to the standards needed. 9. Systematic implementation of the monitoring calendar. To understand what changes are occurring when and where, it is important to be methodical in the collection of data. If one is to obtain an understanding of cause and effect, systematic monitoring work is essential. At the same time, flexibility is required in that it may be necessary to adjust methods or indicators if they do not provide accurate and reliable information. External factors may change. This means that ongoing scrutiny of the information and validity of methods should take place during the process of monitoring.

and

Guijt, 1998, further highlights that the frequency of measurement depends on the rate of change of the indicator. For instance, if weather is to be measured, daily measurements will be needed. On the other hand, if changes in attitude towards the use of pesticides are to be assessed, once every 6 months might do. If soil loss is to be measured, frequency will depend on the frequency and timing of rains and wind. It is essential to clarify the following questions and compile the answers in an ‘annual monitoring calendar’:

10.

which data;

findings, how will this be done and with whom is the information to be shared;

• where is the information to be col-

What to do with the data. Once collected, data need to be collated, analysed and shared with all relevant people or groups. This includes those who collect them and those who are to use the information, so that misinterpretation of the data and findings is avoided.

• who is going to collect and register • who is going to collate the data; • who is going to analyse the data; • who is going to disseminate the final

Prepare the methods.

11.

Documentation of the findings. The end users of the information may require the findings to be documented in a manner or format useful to them. As groups of end users may be differ-

lected (community group, field, what is the sample size); 84

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Indicators ent, different formats of presentation may have to be used. 12.

Using the information.

Each relevant group should use the data to solve problems for the planning of future activities. The findings of the monitoring process may be used to revise the objectives/plans/projects of the farmer-led research. This involves the taking of control action (see Figure 3.4 on page 41). (Source: Guijt, 1998, pp. 22-26.)

5.5 Indicators 5.5.1 General Due to the complexity of identifying indicators, the process of doing this merits attention. In the context of our project of achieving some form of a stable landscape and food security, indicators may suggest changes in:

• the presence of something; For instance, the presence of seed banks or farmer-led field trials, rill and/or gully erosion (see page 62), the type of soil conservation methods used, the number of trees, might be indicators.

• the type of access to an innovation or new service; The people doing the monitoring might ask: “Are the worse-off taking part, or are the better-off and more powerful dominating the work connected with the intervention?” And record the answers.

• the level of use; For instance we would wish to record on an ongoing basis to what extent (how many times) a crop rotation system, a farming system (see Glossary),

water use management, or minimum soil tillage method is used. This would concern established as well as recommended (by small-scale and subsistence farmers themselves) changes in such systems/methods.

• the extent of an activity; The number of people involved with experimentation, pilot schemes and observation plots would be noted (see Figure 5.3 on page 81).

• the relevance of the change; Does this change (such as a different method of land preparation) assist in resolving our problem (say of declining yield, or ongoing water erosion)? The answer in a case like this would be: “Yes”, it does; or “No”, it does not.

• the quality of the change; The quality, or effectiveness of a change in say land preparation or water management, or in terms of seedbed specifics, the extent to which erosion is prevented, would need to be recorded by say using some system of ranking by numbers.

• the effort required to achieve some change; Say people doing the monitoring would record the amount of manual labour and/or machinery, required for a new (or changed) soil conservation method, such as land preparation based on ploughing along the contour. The aspect of the changes (as per this bulleted list) and the time period over which the changes are being recorded (short, middle and/or long term) determines a range of different indicators to be used. The indicators chosen may well alter over time with changes in environment and relevant adjustment of project objec-

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Chapter 5 Researching the Situation to Define Strategies tives and related activities. Also, bringing different people together in such a participatory monitoring process with a view of selecting indicators, brings out their different needs and expectations of the monitoring. The indicator selection work needs to be well conducted to provoke discussion of what participants consider as trustworthy information. Reaching a consensus about objectives and indicators may require negotiation among participants. They will be affected by different experiences, social contexts and needs for information. The choice of indicators will be influenced by differences in gender, age and social status of participants. It follows that the more communities or groups are involved, the wider the variety of identified (agreed) indica-

tors. Hence the need to ‘start small’ (source: Guijt, 1998, pp. 27-28). 5.5.2 The subjectivity of indicators As we are dealing with a ‘problem situation’ (see page 6), negotiated indicators, rather than pre-defined and so-called ‘objective’ indicators, should be used in this process of participatory monitoring. The reason is that participants may look at the project from different standpoints. Monitoring the data will show no more than a partial view of the ‘problem situation’. Therefore an indicator is a means of assisting the communication of complex changes to the wider audience of smallscale or subsistence farmer groups and local (and national) institutions and national government.

TABLE 5.4. Four levels of objectives and related indicators for a workshop to train the (ten) trainers. a

Hierarchy of objectives

Indicators

Input

hold a training course (venue, materials, knowledge, participants)

the extent to which all the inputs were provided as planned if the training course took place

Outputs

trained farmers

number of farmers trained

Outcomes

participants may apply their (new) knowledge to their own field and teach other (selected) farmers who adopt the (new) technology

the number of people who, after attending the training, do use the (new) technology, as well as the number of people who adopt the technology without having attended the course

Impacts

changes to livelihoods arising from improved crop production standards

• •

decreased water and/or wind erosion

•

(increased) income from subsistence crops

increased yields and production of subsistence crops

a. Source: From Guijt, p. 31. Participatory monitoring and impact assessment of sustainable agriculture initiatives, SARL Discussion Paper No. 1, July 1998.

In selecting indicators it is therefore important to understand who the endusers of the information are. To quote Guijt, 1998: “Will this indicator enable us to find information that can help us to solve the problems we have identified and

86

to give those we want to communicate with credible and relevant information?” (Guijt, 1998; pp. 28-29). 5.5.3 Type of indicators Indicators might be selected for four different types of impact:

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Indicators 1.

inputs: the resources used in the activity, such as labour, mechanical equipment, land, seeds, planting material;

2.

outputs: the immediate product after using the inputs;

3.

outcomes: the consequences of the outputs afterwards;

4.

impacts: the broader and longer term aims.

time should be devoted to this activity. A so-called objective tree, linking immediate to longer term objectives, and showing indicators for these levels of objectives is shown in Table 5.4 above. In this example we refer to ‘a’ training course. As the intervention under consideration involves for instance crop production techniques and land and water management, a series of different training courses may be required. In our context, this activity refers to ‘training’ the trainers, as deliberated on page 79 and Figure 5.3.

To clarify this, we use (for example) the activity of the training of the first selected group of ten farmers (see page 80), as shown in Figure 5.3 on page 81. Adequate TABLE 5.5. a

Four levels of objectives and related indicators regarding landscape

stability.

Hierarchy of objectives

Indicators

Inputs

do minimum tillage and/or ploughing along the contour

the number of rill and/or gully erosion spots

Outputs

‘properly’ prepared seedbeds, free of rill erosion

the area of land (ha) prepared under minimum tillage and/or ploughing along the contour

Outcomes

participants notice reduced water erosion in their own field and teach other (selected) farmers to adopt the (new) technology

the number of people who, after due observation, do use the (new) technology, as well as the number of people who adopt the technology without having attended the course. This leads to a reduction of water erosion spots by 50% in three years

Impacts

changes to livelihoods arising from improved crop production standards

• •

decreased water and/or wind erosion

• •

(increased) income from subsistence crops

•

increased pressure on the suitability of infrastructure, such as the availability of open markets

the size of these spots or locations

increased yields and production of subsistence crops increased pressure towards the availability of suitable, competitively priced machinery

a. Source: From Guijt, I. pp. 30, 31. Participatory monitoring and impact assessment of sustainable agriculture initiatives, SARL Discussion Paper No. 1, July 1998.

To prevent problems arising at a later date, indicators should be as specific as possible and ‘SMART’ (see page 84). In our case the indicators ‘improved’ and ‘increased’ as used in various sections (see for instance ‘Activities’ on page 79)

are not precise. We therefore now set two SMART objectives with respect to a stable landscape and food security, for which definable indicators can be used.

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Chapter 5 Researching the Situation to Define Strategies Objective regarding a stable landscape

6.

Within 3 years the number of locations showing rill erosion in each agricultural field in the area worked with, has been reduced by 50%.

In all cases the indicator can be recorded. Using it, say by farmer groups and/or local agencies, such as extension workers, to increase the use of these practices will tend to create environmental pressures. An example of this is pressure on the state, or local authority to improve infrastructure, indicated by an increasing number of open markets.

This objective is

• specific in its wording; • measurable in that the in-field locations showing rill erosion can be identified;

• attainable. After discussion between all concerned it has been agreed by the small-scale and subsistence farmers that this can be done, for instance (on soils and slopes where this is appropriate) by means of rapid adoption of minimum tillage and soil conservation practices. The latter two practices are inputs, creating output, outcomes and impact (see Table 5.5 above);

• relevant. If water and/or wind erosion are not dealt with, higher yields and increased agricultural production may not be achieved;

• timely. The level of productivity points to the need for action. The indicators state what will be measured: 1. 2. 3.

4. 5.

88

the number of rill erosion spots (still) occurring; the number of gully erosion spots (still) occurring; the area (expressed in number of ha) prepared under the practice of minimum tillage; the number of farmers employing this soil management practice; the number of fields ploughed along the contour;

the number of farmers using these soil conservation practices.

A positive response by these ‘authorities’ to that pressure will be needed, if the intervention is to be successful in the long term (Guijt, 1998, pp. 27-31). This relates to the response of the state to these pressures. A negative and non-participatory response might occur from small-scale or subsistence farmers who have kept on the side line. They may notice an increase in social differentiation, in that some benefit more than others. Agricultural extension workers would have an important task in attempting to alleviate these problems.

Objective regarding agricultural productivity Within 3 years the number of farmers applying the farm and/or cropping system(s) shown in the demonstration plots produced by the participatory farmer-led research, has increased by 50%. This objective is

• specific in its wording; • measurable in that the number of farmers using the evidence of the demonstration plots can be counted;

• attainable. After discussion between all concerned it has been agreed by the small-scale and subsistence farmers that this can be applied by a number of farming systems.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Indicators The practices are inputs, creating output, outcomes and impact (see Table 5.6);

Increasing population pressures would contribute to that;

• timely. The level of agricultural pro-

• relevant. As discussed in previous sec-

ductivity, and increasing population pressure, indicate that action is needed.

tions, if (local) agricultural outputs are not increased, the number of people suffering food shortages will increase.

Four levels of objectives and related indicators regarding improved agricultural productivity. a

TABLE 5.6.

Hierarchy of objectives

Indicators

Inputs

do use the evidence produced by the demonstration plots, resulting from the participatory farmer-led research

the number of the ten farmers who have been involved with the farmer-led research and are now applying the results from the demonstration plots

Outputs

cultivation and land management methods in accordance with the demonstration plots

the area of arable land (ha) prepared as per the demonstration plots

Outcomes

participants benefit from an increase in their agricultural production

the number of people who, after due observation, do use the (new) technology, as well as the number of people who adopt the technology without having attended the course. This leads to an increase in the number of farmers using the ‘new’ technology by 50% in 3 years

Impacts

changes to livelihoods arising from improved crop production standards

•

increased yields and production of subsistence crops

• •

(increased) income from subsistence crops

•

increased pressure on the suitability of infrastructure, such as the availability of open markets

increased pressure towards the availability of suitable, competitively priced machinery

a. From Guijt, I. p. 31. Participatory monitoring and impact assessment of sustainable agriculture initiatives, SARL Discussion Paper No. 1, July 1998.

The indicators state that the following will be measured: 1.

2.

the number of farmers among the initial group of ten who have accepted the evidence from the experiment(s) and demonstration plot(s) and are applying it to their own farms; the area of land, measured in ha, that is cultivated in accordance with the farm and/or cropping system shown by the demonstration plot(s);

3.

the number of fields, cultivated in accordance with the (recommended) system(s);

4.

the yields of the cultivated crops, expressed in tonnes per ha;

5.

the rainfall in mm per week, month and year received on the plots cultivated by the first participating ten farmers;

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

89

Chapter 5 Researching the Situation to Define Strategies 6.

the number of farmers who have accepted the farm and/or cropping system, demonstrated by the first group of (ten) participating farmers.

5.6 Methods used to collect and register

Method(s) to monitor indicators regarding water and/or wind erosion The following is indicative only. Different methods could be used, but the example below illustrates that strict discipline is required if this work is to be of use.

The following points are relevant for the process of finding appropriate methods.

• The method(s) used must be appropriate and feasible, in other words it must make it possible to assess, register, compile and analyse or disseminate information.

• The key is simplicity of method, meaning that each method should deal with a limited number of indicators (preferably one indicator only).

• The collection of data, analysis and use of the results should be undertaken by the same people, who should understand the method and agree that it is appropriate.

• To minimize the use of time, and generate the necessary motivation for this collaborative effort, ways should be looked for to incorporate the method(s) into daily work. 5.6.1 To monitor the stability of the landscape As pointed out previously (see Table 5.5 on page 87) we are concerned with the number of spots or locations showing rill and/or gully erosion, as well as with the extent to which soil conservation methods have been, or are being, adopted. These indicators are examples. Other examples could relate for instance to the number of trees found in a given unit area.

FIGURE 5.4. The use of culverts and

gabions in St Kitts. Photo HB.

To observe the occurrence of erosion locations, their number (or frequency) and change in appearance (level of severity), a group of five of the ten farmers walks around the farms, or fields, of each of them, on a transect chosen by the farmer who farms that particular field or farm. The transect represents a structured walk through the area to be monitored with a view to observe the selected indicators. This means that two groups of five farmers each, would be looking at a total of ten transects in accordance with an established and agreed sequence.

• The transect is set out on a map of the field, prepared by the farmer himself.

90

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Methods used to collect and register • The location of the erosion ‘spots’ occurring along the transect are indicated by the group of five farmers on that map and their number or frequency is recorded on a form dedicated to that indicator (frequency) only.

• The severity, in terms of size measured of the rill erosion spots, as well as of the gully erosion spots. This indicator could comprise two different symbols, that is one for the rill erosion (such as a small square) and a different one for the gully erosion ‘spots’ (such as a small triangle). Sizes could be indicated by average length (L) x width (W) in cm and average LxWxD(epth) respectively.

5.6.2 To monitor agricultural productivity As indicated in Table 5.6 (see page 89) we are concerned with the improvement of agricultural productivity leading to increased income for small-scale and subistence farmers and a related increased pressure on infrastructure. The indicators state what will be measured: 1.

the number of the farmers involved with the farmer-led research, who have accepted the results and are now applying these to their farms;

2.

the area of land, measured in ha, applying the cultivation method(s) as per the result(s) from the demonstration plots;

3.

the number of farmers who have observed the (new) technology in the demonstration plots and are now trying this on their own farms;

4.

the number of farmers who have decided to farm according to this ‘new’ technology, having observed the results achieved by themselves and their colleagues;

5.

the yields and production from the crops under observation;

6.

the income, in money terms, derived from these crops;

7.

the response of dealers in agricultural machinery by counting the number of various machines actually purchased and used by the small farmers;

8.

the response of the state and local authorities to the pressure from the small farming and subsistence communities for open markets, by counting the number of markets within (say) 10 km from the centres of a farming community and measuring the distance in km of usable roads needed for

• The times when the transect(s) are monitored are set out on an agreed calendar. This calendar specifies the specific times when the transects are to be inspected, such as the critical times of end of dry season(s) or beginning of rainy season(s) and the end of the rainy season(s) or beginning of dry season(s). After an especially heavy rainstorm a special inspection might be appropriate.

• The sizes of the spots are indicated on fresh maps for each time the transect is followed.

• The number for each of the rill erosion and the gully erosion spots are noted on the form, with separate columns for each date of the monitoring activity.

• To meet the objective stated above (see page 88), the monitoring activity is to be carried out over a period of 3 years.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

91

Chapter 5 Researching the Situation to Define Strategies access to such agricultural commodity markets. These indicators can be recorded. If progress is made, environmental pressures will be created, requiring a positive response from the authorities to bring the infrastructure to the standards needed if farmers are to be able to effectively use their exchange endowments. Social differentiation might create a negative and nonparticipatory response from farmers who considered themselves as being sidelined.

Proposed methods to monitor indicators concerning agricultural productivity An agreed sequence will have to be followed • To determine how many farmers, amongst the initial group of ten who have adopted the results from the demonstration plots, it is necessary for that group of farmers to visit each of their farms at critical intervals to observe their cultivation methods and record the number on an appropriate chart. • The area under these cultivation methods accounted for in ha is recorded on the same chart at the same intervals. • At agreed intervals the ten farmers (‘inspectors’) visit their rural area in accordance with an agreed route indicative for a representative group of a given number of farmers. They determine the number amongst those farmers who have adopted the ‘new’ methods, or a recommended changed farm system. • At the same time the area of land under these ‘new’ methods or changed

92

farm system are recorded by the ‘inspectors’. • On the farms of this pre-selected and representative group of farmers, raingauges are installed and the rainfall is recorded by those farmers on a weekly and if necessary a daily basis. The data are collected by the inspectors when visiting the area for the purpose of their regular inspection indicated above. They are recorded on appropriate rainfall sheets. • At critical times the inspectors visit the representative farms and record production and yields of various crops on appropriate sheets. • During these inspection tours the number of farmers and area of land in ha which in fact have adopted the ‘new’ method(s) is recorded on appropriate sheets. This process is carried out over a period of 3 years. 5.6.3 Control action By the end of the 3-year period results are compared with the aims set by the two objectives specified above (see page 88) and the level to which those aims have been achieved determined. This work is done by the group of inspectors with the participation of the local institutions, represented by agricultural extension workers. The lessons learnt during this monitoring process may indicate that different objectives and different measures of performance are needed. In that case the conceptual model of Figure 3.4 (see page 41) may need to be changed or modified.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Challenges Presented by Natural and Man-made Factors

CHAPTER 6

6.1 Introduction Ecosystem processes Food security not induced

Improved land and soil management

Population growth

Ecosystem processes Food security promoted

Improved landscape stability

Improved agricultural productivity Agricultural and rural development

Increased pressures on state and local institutions

Improved infrastructure Political stability Improved food security

FIGURE 6.1. Processes in summary

A process to achieve a stable landscape and food security will be affected by trends or changes in ecosystem processes (see Glossary). This will be looked at in Section 6.2 The human element in the sense of population growth, socio-economic development and good governance has a major impact on the sustainability of development processes needed to promote food security. In this context health and education are important factors also. Trends regarding population pressure will be given attention in Section 6.3. The potential for increasing agricultural production will be considered in Section 6.4. This is done against the background of the ‘problem situation’ as described in Chapter 1. Internal political instability could, potentially, put any achievement of food security beyond reach of any agricultural effort. This will be considered in Section 6.5. The general relationship between these concepts is depicted in Figure 6.1. Apart from the limitations which may be set by state factors (see Glossary), the achievement of a reasonable level of food security may be seen as depending on the ‘hard’ (or manageable) effects of land and soil management and the ‘soft’ (or variable) factors of population growth, agricultural and

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 93

Chapter 6 Challenges Presented by Natural and Man-made Factors rural development and political stability. These ‘soft’ factors are at the core of the discussion in this chapter.

6.2 Trends of ecosystems The extent to which the performance of ecosystems can be optimized is a crucial factor in the achievement of food security. The properties of ecosystems are of major importance. In our context the management of ecosystems (see Glossary) is directed towards the production of food. The ecosystem functions needed for that purpose, such as the porosity of soils, the depth of the soil profile and the rate of plant growth, must be protected and biological diversity conserved. Action should aim at reducing rates of land conversion (that is deforestation) and improving the planning for (soil and land) conservation. This is regarded as essential because of continuous human development (population pressure), climate and other global changes following on from that, such as unreliable rainfall and global temperature changes. Concepts and principles of ecosystem ecology, important in the context of promoting sustainable management, are discussed below. 6.2.1 Natural and spatial variability The driving forces that determine the structure and functioning of ecosystems, such as variations in climatic, soil and landform characteristics, affect (collective and participatory) decisions regarding for instance the location of demonstration plots (see Figure 5.3 on page 81). Such local and regional factors affect managerial decisions for example with respect to the choice of farming systems to be used in specific areas (see Chapter

9). Past patterns of ecosystem variability are not necessarily a good indicator on which to base predictions of future change. For instance climate change may result in temperature and rainfall patterns which differ from the past. Water running downhill will affect a soil profile in the upper regions differently to those in the lower (downhill) regions. Consulting and involving the local farming community can be of considerable value in this regard. 6.2.2 Resilience and resistance The aspects of resilience and stability of ecosystems are important perhaps especially in view of human-induced change. When considering this from a landscape perspective a series of such changes could occur, simultaneously or in a sequence of some kind. This means that ecosystem properties might undergo some change, for instance as a consequence of soil conservation techniques. Such techniques will aim at strengthening properties such as soil organic matter or microbial community. Ecosystem resilience (see Glossary) may help to maximize the beneficial effects of such actions, whereas its resistance to change may make it more difficult for actions to produce a positive effect. 6.2.3 State factors and interactive controls To manage agricultural crop production in some sustainable manner it will be necessary to observe state factors and their interactive controls (see Glossary). State factors are largely beyond the control of those promoting food security, but interactive controls can be important tools. Interactive controls (see Glossary) which can be managed are resources, such as irrigation and fertilizers, times of soil and land management and crop produc-

94 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of ecosystems tion practices. Management practices aiming at retaining soil organic matter, which

TABLE 6.1.

provides a buffered supply of water and nutrients, are important in this regard.

Growth of world population as from 1850. a

Year

World population estimate (millions)

Average annual growth rate%

Population developing countries estimate (millions)

1850

1,200

0.44

1900

1,680

0.68

1950

2,519

0.81

1,706

1970

3,691

1.93

2,683

2.29

1975

4,066

1.95

3,017

2.38

1985

4,825

1.73

3,710

2.09

1990

5,255

1.72

4,106

2.05

1995

5,662

1.50

4,488

1.79

2000

6,057

1.36

4,865

1.63

2005

6,441

1.24

5,240

1.49

2010

6,826

1.17

5,617

1.40

2015

7,207

1.09

5,994

1.30

2020

7,579

1.01

6,362

1.20

2025

7,937

0.93

6,718

1.10

2030

8,270

0.83

7,054

0.98

2050

9,322

0.60

8,141

0.72

2075

9,751

0.18

8,654

0.24

2100

9,898

0.06

8,839

0.08

2125

10,017

0.05

8,962

0.06

2150

10,198

0.07

9,125

0.07

Average annual growth rate%

a. Source: From 1200 AD to 1900 from Durand (1977); to 1950: Cipolla (1978); 1950-2050: United Nations Population Division, World Population Prospects, Population Data Base, http://esa.un.org/unpp copyright United Nations (medium variant); 2050-2150 extrapolated with growth rate (medium variant) United Nations Population Division, Long-Range World Population Projections; Based on the 1998 Revision; Dataset in Digital Form: http:\\www.un.org/esapopulation/publications/longrange/longrage.htm. From Szirmai, Table 5.1, p. 144. The Dynamics of Socio-Economic Development, © Cambridge University Press 2005, reproduced with permission.

Biological control of pests, by means of predators, can have a positive effect on the consuming predators, but on the other hand have a negative effect on the insect population causing pests. This interactive

negative feedback (see ‘Feedback’ in Glossary) prevents uncontrolled growth of the population of predators, stabilizing the population sizes of both predators and insects causing pests. A balance between

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 95

Chapter 6 Challenges Presented by Natural and Man-made Factors these populations is probably promoted by crop stands with active leaf canopies, TABLE 6.2.

Region

requiring active root systems, in turn depending on good soil management.

Actual population 1970-2005. a 1970

1975

1980

1985

1990

1995

2000

2005

Population in millions Africa Asia

357

408

470

542

622

707

796

887

2,143

2,398

2,632

2,888

3,168

3,330

6,679

3,918

Europe

656

676

692

706

722

727

728

725

Latin Am. and Caribbean

285

322

361

401

442

481

520

558

N. America

24

243

256

269

284

299

316

332

Oceania

19

22

23

25

27

29

31

33

3,692

4,068

4,435

4,831

5,264

5,674

6,071

6,454

World total

Population by region (percentages of world total) Africa

9.7

10.0

10.6

11.2

11.8

12.5

13.1

13.8

Asia

64.9

58.0

59.4

59.8

60.2

60.4

60.6

60.7

Europe

18.3

16.6

15.6

14.6

13.7

12.8

12.0

11.2

8.7

7.9

8.1

8.3

8.4

8.5

8.6

8.7

6.6

6.0

5.8

5.6

5.4

5.3

5.2

5.1

Latin Am. and Caribbean Northern America Oceania World total

0.6

0.5

0.5

0.5

0.5

0.5

0.5

0.5

100

100

100

100

100

100

100

100

Increase in population by percentage from base year 1970 for region over time Africa

100

114.24

131.44

151.65

174.22

198.01

222.70

248.53

Asia

100

111.87

122.83

134.74

147.81

160.05

171.70

182.79

Europe

100

103.00

105.58

107.65

110.02

110.91

111.00

110.50

Latin Am. and

100

113.01

126.87

140.94

155.00

168.90

182.63

195.99

100

104.95

110.40

116.18

122.25

129.10

136.21

143.21

100

110.91

117.41

126.92

137.26

148.76

159.66

169.72

100

110.17

120.10

130.83

142.55

153.67

164.40

174.78

Caribbean Northern America Oceania World total

a. Source: United Nations Population Division, Data base http://esa.un.org/unpp

96 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of population growth and density 6.3.1 Population growth

An important example of interactive positive feedback is the exchange of carbohydrates provided by plant roots to mycorrhizal fungi in return for plant nutrients. This is seen as an exchange of growth limiting factors promoting the growth of both the plant roots and the fungi (Chapin III et al., 2002, p. 13).

The increase in total populations and that for the rural and agricultural sectors has been shown in Table 2.1 (see page 23). In this section the subject will be discussed by looking at demographic characteristics and socio-economic consequences with regard to small-scale and subsistence farmer family households.

6.3 Trends of population growth and density

Table 6.1 (see page 95) indicates that in the year 2000 some 80% of the world population lived in developing countries. By the year 2050 the projected world population may be as much as 9.3 billion people, of which some 87% would be in developing countries. This is expected to increase.

Population pressure is an important factor affecting development. Population pressure and poverty affect the sustainability of the natural resource base and in that regard, land. The manner in which that land is used is of primary importance.

Table 6.2 (see page 96) shows that the total world population has increased by some 74% from 3.7 billion to 6.5 billion over the 35 year period from 1970 to

World historical and predicted populations

6,000

5,000

Millions

4,000

3,000

2,000

1,000

0 1750

1800

1850

1900

1950

1999

2050

2150

Year Africa

As ia

Europe

Lat. Am . And Carib.

Northern Am erica

Oceania

FIGURE 6.2. World historical and predicted populations. Source: From United Nations

Population Division.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 97

Chapter 6 Challenges Presented by Natural and Man-made Factors 2005. On the continent of Africa the population increased virtually 2.5 times over that period. The massive population in Asia increased by 80% plus during that same period. This is a trend which set in during the 20th century and continued especially during the second half of the 20th century. These increases emphasize the need for food security. In our context especially the increases in Africa and Asia are important. Historical and predicted populations Figure 6.2 (page 97) shows that the population growth of Europe and Northern America are declining, but the steepest increases continue in Africa and Asia, with an acceleration of growth after 1950. A useful analysis can be found in Szirmai, 2005 (see Bibliography). As long as the industrial capacity of most developing countries (here especially in AFR) remains low, one would not expect a shortage of agricultural workers in rural areas to be a potential problem. As development proceeds, the demand for industrial workers will increase. The requirement for competent and efficient workers in the field of food production highlights the need for productive agricultural practices. so that labour productivity and rewards for those workers become sufficiently attractive when seen in the light of (future) industrial productivity and rewards. Population pressure in poor countries with a low level of industrialization results in a requirement for more agricultural land, which can put pressure on deforestation in order to produce that arable land. The need for fuel wood and logging can lead to deforestation, contributing to increased CO2 emissions

and declining biodiversity. Also forest clearing in areas of high altitude can lead to land erosion and downstream flooding. To keep this in hand, soil and land management is essential. On a global scale, such clearing of land for agricultural purposes has resulted in a reduction in regional albedo (see Glossary) and evapotranspiration. This leads to a greater sensible heat flux (Chase et al., 2000), involving the atmospheric transfer of heat and water vapour between ecosystems, thereby affecting ecosystem processes in down-wind ecosystems (Chapin III et al., 2002, p. 320). From a global point of view therefore it is important that in advanced countries forest coverage is increasing, which, to some extent may be a result of a declining demand for crop lands in those areas. 6.3.2 Population densities Appendices 1 and 2 (pages 218 and 219) indicate the population densities and the PPP$ income per capita by the year 2003 for the countries in the WDRs of AFR and SAS respectively. Some main data are summarized in Table 6.3 (page 99). The population density, as well as the PPP$ income per capita in SAS are significantly higher than in AFR. The variation between countries, especially in AFR is considerable. The general position in SAS is more balanced than in AFR. In SAS there is a higher per capita PPP$ income as well as a much higher population density, leading to more favourable conditions for infrastructure development. However, this aspect of infrastructure remains pressing in these areas. If small-scale and subsistence farmers are to have the opportunity to promote small-scale agricultural development

98 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of population growth and density leading to increasing food production, growth and use natural resources in a susTABLE 6.3.

tainable manner, national governments will have to provide adequate services.

Density and PPP$ per capita for the year 2003. a

Country

Population per sq km

PPP$ per capita

Rank as per 05 WDI

AFR - highest and lowest rank and average for region of all 39 countries Mauritius Sierra Leone Average for the region

602

11,280

68

Highest

75

530

208

Lowest

29

1,765

SAS - highest and lowest rank and average for region of 5 out of 8 countries Sri Lanka

298

Nepal Average for the region

3,777

136

Highest

171

1,391

179

Lowest

294

2,748

a. Source International Bank for Reconstruction and Development / The World Bank: World Development Indicators, 2005, and FAOSTAT.

Government agencies, such as agricultural extension services will have to function efficiently. This is essential if hunger and poverty in these areas are to be reduced to a level within the boundaries of human dignity.

The human impact on the environment The debate on this is lively and important. It falls outside the scope of this volume (and the competence of the author) to contribute to it. However, following Szirmai, 2005, it appears that “there are ever stronger indications that the growth of world population and the associated growth of world production are beginning to form a threat to the environment at a global level with consequences which may be irreversible” (Szirmai, 2005, p. 161). As this is important for the achievement of stable landscapes and food security, and

again following Szirmai, 2005, the following indicators merit comment.

Deforestation. The expansion of the cultivated area of land (one important factor for the increase of food production) reduces the amount of land available for pasture, housing, roads and urbanization and particularly that available for forest and woodland. In the context of the value of forests (including various types of woodland) as a carbon sink, during the decade from 19902000 as much as 5.3 million ha of forests were lost each year in the WDR of AFR, amounting to 0.76% as compared to worldwide 0.24%. For SAS this came to 98 thousand ha/yr or 0.12%. Particularly rapid deforestation occurs in Niger, Nigeria, Rwanda, Sierra Leone, Sudan, Togo, Uganda, Zambia, Zimbabwe in AFR and in Nepal, Pakistan and Sri Lanka in SAS (see Appendix 3, page 219). A reduction of the regional albedo and the increased heat flux are important con-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 99

Chapter 6 Challenges Presented by Natural and Man-made Factors sequences. A reduction of the total leaf area from forests, adversely affect evapotranspiration, cloud formation and local rainfall patterns. Fewer active deep rootsystems make soils more susceptible to erosion.

TABLE 6.4.

Although there is some increase in forest area in the more advanced countries of Europe with further good signs from the USA, it is important that the rapid reduction in primary forest areas in countries indicated above as well as those in South America (Brazil) and South East Asia (Indonesia), comes to a halt.

Means to expand agricultural production.

Description 1

Expand cultivated area

2

Intensify land use by: shortening the period of fallowing multicropping (more than one crop per year from the same piece of land)

3

Increase yield (the return per harvest per ha). This may be achieved by intercropping - the practice of growing two or more crops at the same time in the same field increased mechanization when labour is scarce land substitution investments, such as investment in irrigation, organic and chemical fertilizers, development of high productivity seeds. Such investments tend to be land saving and labour intensive

The presence of tropical forest, due to its beneficial effect on overall soil conditions would promote a stable landscape regarded essential for the achievement of yield improvement and sustained agricultural production. This is discussed below.

6.4 Trends of agricultural production and food security1 Agricultural and rural development is necessary if sufficient agricultural production is to be sustained in the face of increasing populations.

1. This section is based on Chapter 10 ‘Agricultural development and rural development’ of A. Szirmai, 2005, The Dynamics of Socia-Economic Development, Cambridge University Press, pp. 354-425.

Agricultural production can be increased in three different ways (van der Meer, 1983), summarized in Table 6.4. 6.4.1 Expand the cultivated area Land use in the WDRs of AFR and SAS has been discussed in Chapter 2 (see Table 2.4 on page 28 and Figure 2.4 on page 29). From Table 2.4 it is apparent that the amount of pasture land in AFR (53% of the land areas in year 2002) is relatively substantial. Such pasture land could (to an extent) be used for agricultural crops and secondly potentially for the planting of crops for bio-fuels, such as oil palm and appropriate types of grasses. This will need regulation by governments, prohibiting the use of any forest or arable land for the purpose of producing crops for biofuels (see Chapter 7).

100 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security From Table 2.4 it is also apparent that this potential possibility of expanding the cultivated area is not available in SAS, there being just some 10% of the total land area in pasture in 2002. 6.4.2 The intensity of land use

Shortening the period of fallowing Some 200-300 million people practise slash-and-burn agriculture on around 30% of exploitable soils worldwide. This important practice is fallow-based (Crutzen and Andrea, 1990). Slash-and-burn agriculture is a good practice in areas where there is relatively abundant land and low population density, allowing for long fallow periods (Kleinman et al., 1995). However, increasing population densities lead to shorter fallow periods and the cutting down of primary forest. These factors tend to promote a decline in agricultural productivity (Thiele, 1993). Therefore in the long term a slash-andburn practice potentially is counter-productive from a food security point of view. Encouraging the natural regeneration of plant species that assist the land to recover quickly, such as leguminous nitrogen fixers, and by actively planting those species, small-scale farmers would manage their fallow better. However, in the short term farmers need to consider the costs and benefits of changing their current method of fallowing to this ‘improved fallowing’.

Total land use. A main factor is the need for land. Less land for crop production would be needed under the conditions given below:

• the less time land must be left in fallow to achieve restoration of soil fertility, the earlier the farmer can return to that land to cultivate food crops;

• the longer a farmer can cultivate an area before passing on to another area, the more time the fallow area has to recover its fertility. Agronomic research is needed in AFR to compare the costs and benefits between types of fallow. Following Angelsen and Kaimowitz (2001, p. 212) one might distinguish the following types: 1.

high secondary forest fallow; land under vegetation higher than say 5 m, which is to be cleared;

2.

low secondary forest fallow; land under vegetation to be cleared which is less than 5 m high;

the so-called improved fallowing (see above). A comparative analysis of the following variables for each of the types of fallow could throw some light on the issue: 3.

• average years of fallow; • average years of cultivation; • total land clearing. One has to consider the crop system used in the farm system (see Chapter 9). An annual crop in that system might need say 0.5 ha in subsistence farming;

• comparative land use. The land use (ha) under the ‘improved fallowing’ should be the base comparison at 100%. The result of such analysis might indicate the percentage of the amount of less land needed by farmers who use the improved fallow method as compared to those who use the low and high secondary forest clearing methods. This is based on 0.5 ha of annual crops. The results would differ under perennial crops or with a different area under cultivation. Those other circumstances should undergo a similar type of analysis. As this could indicate the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 101

Chapter 6 Challenges Presented by Natural and Man-made Factors instance leguminous nitrogen fixers, such as kudzu (Pueraria lobata), may reduce the amount of trees and shrubs in the fallow, reducing the need for labour, which can be beneficial in view of the pressure on time (which may be needed for carrying water) in subsistence farmer households (Table 6.5).

potential for a reduction and intensification of land use, this is important to be followed up.

Labour use. Generally

speaking the clearing of primary forest as well as high and low secondary forest fallow types require more labour than an improved fallow type does. The latter, when using, for TABLE 6.5.

Use of labour for clearing land (days per ha). a

Fallow type

Average use labour days

Comparative use kudzu fallow 100%

Primary forest

26.5

323%

High forest fallow

21.8

266%

Low forest fallow

13.0

159%

8.2

100%

Kudzu-improved fallow

a. From A. Angelsen and D. Kaimowitz, Table 12.2, p. 218. Agricultural Technologies and Tropical Deforestation, © 2001 CAB International. Used with permission.

The kudzu plant is an aggressive cover crop requiring relatively little labour as it tends to smother herbaceous weeds which invade fallow area. Some wetting of the soil and minimal cultivation is needed to plant kudzu. It is advisable to use 1 cm thick cuttings from kudzu young stalks, cut just below the oldest node. TABLE 6.6.

The cutting should contain some 2 to 3 nodes and after drying for 24 hours planted at some 3 m intervals. The plant may cover the soil within one year without further need to cultivate the soil (Angelsen and Kaimowitz, 2001, pp. 218, 219).

Use of labour for weeding. a Rice weeding

Comparative use (kudzu fallow 100%)

Maize weeding

Comparative use (kudzu fallow 100%)

3.6

37%

3.1

24%

High secondary forest fallow

39.7

409%

20.2

158%

Low secondary forest fallow

31.6

326%

23.2

181%

9.7

100%

12.8

100%

Primary forest

Kudzu-improved fallow

a. From A. Angelsen and D. Kaimowitz , Table 12.3, p. 219. Agricultural Technologies and Tropical Deforestation, © 2001 CAB International. Used with permission.

Thickened roots of kudzu, which tend to enter the soil at some 45 degrees, can be

harvested after 1 year. One should take care not to uproot the plant entirely, ena-

102 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security bling it to continue producing new shoots and ground cover. After some 11 months such roots may be 7 cm thick at a length of 70 cm. They are edible after having been boiled. The green leaves of this plant can be used as feed for cattle (Heyne, 1950). Although it may be argued that this needs labour, the advantages of growing this cover crop on fallow land are considerable in that the growth of herbaceous weeds is suppressed. When bringing this improved fallow back under cultivation the area requires less weeding than those from other forest fallows (Table 6.7). Forest clearing and weeding are critical labour requirements limiting production (Thiele, 1993). Improved fallow could reduce the labour requirements as compared to high and low secondary forest fallow. As a result the farmer would have more time and could put more land into cultivation. As in AFR just some 13% of agricultural land was used for arable and permanent crops (see Appendix 4, TABLE 6.7.

page 222) as opposed to some 81% in SAS (see Appendix 5, page 224), the small-scale or subsistence farmer in AFR may have the land resource to do this. In SAS an increase in deforestation might be the result of the farmer looking for more land, having more time due to needing less time for weeding activities.

Yields. Although forest burning produces a nutrient flush, with high secondary forest generally providing the best biomass burn, kudzu fallow fixes nitrogen and makes other nutrients available that accelerate soil fertility recovery. Moreover, kudzu effectively reduces weed competition. Weeds, if not controlled sufficiently, can have a disastrous effect on crop plant growth. These two factors of nitrogen fixation and weed control combine to produce an increase in yield after kudzu fallow, as compared to primary as well as secondary forest fallows [see Table 6.7 (Angelsen and Kaimowitz, 2001, p. 219)].

Comparative yields (kudzu fallow = base 100%). a Rice (t per ha)

Comparison

Maize (t per ha)

Comparison

Primary forest

1.6

76%

1.3

76%

High secondary forest fallow

1.9

90%

1.5

88%

Low secondary forest fallow

1.0

48%

1.4

82%

Kudzu-improved fallow

2.1

100%

1.7

100%

a. From A. Angelsen and D. Kaimowitz, Table 12.4, p. 219. Agricultural Technologies and Tropical Deforestation, © 2001 CAB International. Used with permission.

Kudzu fallows and deforestation. Continuing to follow Angelsen and Kaimowitz, 2001, who discuss the technology of kudzu-improved fallow in the lowland Amazon surrounding Pucalpa, Peru (see their pages 214-227), the technology reduces fallow periods and labour

costs and increases yields. They point out that this leads to two different hypotheses: 1.

due to shorter fallows, the total amount of land needed in a slash-and-burn agricultural system is reduced, leading to reduced deforestation;

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 103

Chapter 6 Challenges Presented by Natural and Man-made Factors 2.

the relieving of labour constraints by the kudzu-improved fallow system in a slash-and-burn agricultural system, increases deforestation as farmers now have more time to put land under cultivation.

These hypotheses contradict each other with respect to their effect on deforestation. However, it appears likely that 3.

changes in the relative cost and benefits of secondary versus primary forest clearing due to kudzu fallows, may well reduce the amount of primary forest cleared, whilst increasing clearing of secondary forest (Angelsen and Kaimowitz. 2001, p. 220).

The implications for AFR and SAS The above looks at agricultural aspects only. But, as pointed out by Angelsen and Kaimowitz, 2001, p. 224, quite apart from land and its fertility, the farmer depends on labour and capital. Sandy soils, labour constraints and lack of credit tend to promote the technique of kudzu-improved fallow. Infrastructure, the availability of and distance (transport) to markets play an important role. Education plays a role too in that more educated farmers may adopt the kudzu-improved fallow technique, because the saving of time (less weeding and so on) may offer the opportunity to maximize their exchange entitlement by looking for paid work off-farm.

• AFR The kudzu-improved fallow technique could be beneficial in AFR in that land availability is less of a limiting factor than in SAS (see Appendices 4 and 5). Due to relatively longer fallow periods, farmers might have more time to convert pasture land into agricultural land without further deforestation. Also the frequently shallow

and sandy soils occurring in this WDR might stimulate the technique. Also, as in the Amazon lowland (Angelsen and Kaimowitz, 2001, p. 224) good examples might promote it spreading among farmers, without extension services being involved. As the technique does not demand capital, a lack of credit might not be a hindrance. Any such increase of productive farmland, without any significant deforestation, could begin to combat poverty and hunger so prevalent in the region. Seen from an optimistic point of view, the relative ease with which grasses such as Rotboellia exaltata, Cynodon dactylon and Panicum maximum can be grown on these sunny lands, the technology (at the time of writing, in 2009, under research) of converting cellulose from these plants into bioethanol, holds some promise as a source of income for these small-scale and subsistence farmers.

• SAS In SAS, on the other hand, population pressure and land availability for agriculture (see Appendix 5, page 224), may lead to more deforestation. Kudzu-improved fallow could promote a reduction in the clearing of primary forest. Accessible markets would play an important role. An improving level of education in this densely populated region and infrastructure might help to promote kudzu-improved fallow. In general, the advantages and disadvantages of the kudzu-improved fallow method appear to be well worth examining. Applied research regarding the method of fallow should be located in

104 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security areas where the availability of markets and roads are not limiting factors. Once advantages of a specified fallow method has been demonstrated, they could serve as a driving factor for the reduction of primary forest deforestation and improvement of infrastructure. Full participation of the farming community will be needed regarding the series of variables affecting improved fallow results. Examples of these variables are farm size, soil type, years of farming the specific lot, education, family labour, off-farm income, distance to social services, availability of credit, distance to markets, other deforestation fallow methods (see Angelsen and Kaimowitz, 2001, pp. 220-224).

Cropping intensity

or total arable land area in use. A cropping intensity of 1 indicates that a cultivated area is harvested once per year. There is a significant difference in cropping intensity between irrigated and non-irrigated land (see Table 6.8). With the exception of South Asia and East Asia and the Pacific, amongst which India and China stand out, the cropping intensity hitherto is low. However, it has increased over the years, pointing to a reduction in fallow periods and associated pressure on the maintenance of soil fertility. However, land use is still relatively low, especially in AFR (see Table 2.4 on page 28), which might alleviate this potential problem. The figures for 2030 are indicative of a potential increase in cropping intensity, which however may remain marginal in AFR.

This can be defined as the ratio of total cropped area x 100 / total cultivated area TABLE 6.8.

Cropping intensity in developing countriesa Non-irrigated

Irrigated

Total

WDR

1974 -76

1982 -84

1997 -99

2030

1974 -76

1982 -84

1997 -99

2030

1997 -99

AFR

0.51

0.54

0.67

0.75

1.03

0.84

0.86

1.02

0.68

0.76

MNA

0.56

0.62

0.72

0.78

0.82

0.98

1.02

1.12

0.81

0.90

LAC

0.59

0.59

0.92

1.02

SAS India EAP China Total Developing Countries excl. China Total Developing Countries

0.70

0.71

2030

0.60

0.68

0.86

1.00

0.63

0.71

1.03

1.09

1.24

1.37

1.11

1.21

1.06

1.06

1.29

1.40

1.14

1.21

1.20

1.22

1.54

1.69

1.30

1.39

1.40

1.58

1.65

1.83

1.54

1.67

0.76

0.81

1.14

1.27

0.83

0.90

0.83

0.87

1.27

1.41

0.93

0.99

1.07

1.18

a. Sources: For 1974-6 FAO (1981), annex table 9 ( 90 developing countries excluding China; for 1982-4 Alexandratos (1988), p. 130: 90 developing countries excluding China; 19972030: Bruinsma (2003), p. 136, table 4.8, including projections for 2030. Adapted from Szirmai, The Dynamics of Socio-Economic Development, 2005, Table 10.6, p. 372. © Cambridge University Press 2005, reproduced with permission.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 105

Chapter 6 Challenges Presented by Natural and Man-made Factors As for future availability of food in the context of the growing world population, one should consider increasing crop intensities against the background of land use in specific areas (Bruinsma, 2003, p. 135). 6.4.3 The increase of yield

Intercropping Introduction. The practice of growing two or more crops at the same time has been followed by local small-scale and subsistence farmers since ages gone by. They managed to maintain soil fertility without the use of non-renewable resources This should be seen as a major cultural achievement by so-called Third World peoples. Research, quoted by Innis (1997) shows that intercropping, apart from financial benefits, offers agronomic and ecological advantages over monocropping (Innis, 1997, p. ix).

The nature of intercropping.

The growing of more than one crop at the same time on the same plot of land has been found by indigenous people to maximize yield and maintain soil fertility. The main grain and legume crops, derived from local plants and adapted to local environments, usable for the purpose of intercropping, are maize and beans in the Americas, millet and cowpeas in Africa, wheat and chickpeas in the Middle East, sorghum and amongst other vegetables, pigeon peas in India, rice and soybeans in China and oats, peas, beans and barley in Europe (Innis, 1997, p. 1). The system of intercropping is concerned with small-scale and subsistence farmers fitting crop plants, suitable for a given environment, into intercropping combinations. By doing this effectively

these small farmers have been able to keep soil fertility at usable levels.

Ecological advantages of intercropping. Innis (1997, p. 2) compares the use of intercropping to selective cutting of trees in woodland. If managed correctly, several kinds of trees will grow in a natural forest in a temperate climate in a given area of that forest. As under these conditions debris and other detritus material collects on the surface faster than it is removed by decomposition, leaching and surface erosion, soil tends to build up. This is because most of the sunlight will be intercepted by several layers of leaves, whilst at the same time the soil profile is better explored by plant roots at different depths. In contrast to this aspect of growing different crops (trees) at the same time, monocrop (the same type of trees), will tend to produce leaves at the same level, intercepting less solar energy and thus producing less organic matter. Furthermore, with a monocrop, sunlight not intercepted by leaves will hit the ground surface causing more evaporation than is the case in an intercropping system where the soil surface remains protected by a layer of protective detritus (dead organic matter). In a monocropping system, due to a comparative lack of detritus on the soil surface, less water will be held by that material on the ground and by the pore spaces of a soil with adequate organic matter content, as tends to be promoted by an intercropping system. This is because considerable vegetation remains after a partial harvest in an intercropping system. In traditional agriculture intercropping is common and sophisticated within traditional cultures. Experimental work at agricultural stations in the developing world recognizes this and endeavours to meas-

106 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security ure the efficiency of intercropping farming practices in utilizing resources. Experiments have shown that intercropping produces greater growth than monocropping with given amounts of water and light and where all other factors are the same (Innis, 1997, p. 3). As we are concerned with valuable traditional farming methods, such experimentation should involve the traditional farming community. Participatory, farmerled research might be the approach to carry this forward at a greater (urgent) speed.

Effect of intercropping on yield. To show this effect, controlled participatory farmer-led research should be carried out. To underpin the advice (and wishes) of small-scale farmers to match crops to inherent fertility and physical characteristics of each soil unit, the FAO-UNESCO legend of the soil map of the world could be of assistance. Useful examples of showing the greater effect on yield by intercropping over monocropping have been given by Innis, 1997, pp. 3-33. To give context to methods of intercropping, Innis, 1997, p. 3 gives the example of comparing three equally sized plots, the first with a monocrop of beans, the second with a monocrop of maize and the third with intercropped maize and beans. The fast growing young bean plants provide a soil cover and use solar energy earlier than the maize plants. The different growth habits of these two plants come to the fore in the intercropped plot. The rather vertical leaves of the maize plant trap only part of the sunlight whilst the remaining part of the solar energy largely is absorbed by the horizontal leaves of the beans. When comparing yields, the yield of the individual crops, harvested from the monocrop plots,

are higher than the yield from the same crops in the intercropped plot. Also, when harvesting a monocrop from a bigger plot than normally would be the case from an experimental plot, monocrops might be suitable to be harvested mechanically, such as might be practised on commercial farms. However, from a food security point of view, one should consider conventional small-scale farming, such as carried out by middle income small-scale farmers involved in simple commodity production (see Chapter 2 and Figure 2.2 on page 21). Such family households would be able to pick a few beans almost daily for weeks as individual pods become sufficiently large for consumption. This stands in sharp contrast to mechanical harvesting of green beans, which tends to damage plants to the extent that no more can be harvested from the same stock. In small-scale farming plots, beans, grown as monocrops would be harvested manually in a manner similar to that employed for intercropping, producing a higher yield than that for the individual crop in the intercropped plot. The same would be the case when harvesting and counting the number of maize cobs yielded. Importantly however, the total harvest, per unit area, obtained in total from the two crops in the intercropped field or plot is likely to be higher than that of monocropped yields. A means of putting these comparisons on a sound basis has been developed as the land equivalent ratio (LER) by the International Rice Research Institute (IRRI) of the Philippines. With respect to the example given, Innis, 1997, p. 4 reports that the intercropped beans produced 0.69% of the yield of the monocrop beans and the intercropped maize produced 0.66% of the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 107

Chapter 6 Challenges Presented by Natural and Man-made Factors monocrop maize. The total LER came to 1.35. One sees therefore that under the same resources of sunlight, water, nutrients and space, the two intercropped crops produce 35% more than when each was monocropped. Appendix 1 of Innis, 1997, lists hundreds of LERs obtained from many countries, showing that intercropping is not an untested method of producing crops. Interestingly, although most of the experiments cited in that appendix compare the yields of monocrops and intercrops of two crops, Innes reports that when the yields of three or four intercropped mixtures are measured, following the traditional harvesting methods, the yields from the same resources can indicate LERs some three times that from monocropping The promotion of intercropping methods, by creating infrastructure and accessible markets for produce on a scale accessible to small-scale and subsistence farmers (largely achieved in Taiwan) could go some way to alleviate world hunger (Innis, 1997, p. 4). This shows that it would be beneficial to concentrate applied farmer-led participatory research work, such as described by Figure 5.3 (see page 81) on intercropping practices on small-scale plots, versus those of monocropping on such plots. For this reason, factors involved in intercropping will be described below, again following Innis, 1997.

Factors involved in intercropping. • Growth of biomass For a pot experiment in Wales, with 36 plants per pot, the above-ground parts of the plants were weighed at 4, 8 and 16 weeks after planting. The plants used were barley, mustard and poppy. When the 36 plants were of the same species, the biomass weight was less

than when 18 plants each of two species were grown and more so when 12 plants each of the same species were harvested. This showed that different leaf and root systems grown in conjunction in the same space can absorb more solar energy and more water and nutrients than if one grew one species only. In the latter case the roots have to compete with each other, being similar in their orientation and below-surface depth. The leaves of plants of the same species are opposite each other and grow at the same rate. Roots and leaves of different species do not compete in that direct manner with each other for water, nutrients and sunlight (Innis, 1997, p. 5). It is worthwhile including something along these lines in the experimental work considered in Figure 5.3 (see page 81). It can show interested parties in some direct manner the potential benefit of intercropping as compared to monocropping.

• Spacing In Illinois an experiment with oats and soybeans planted in alternate rows with different spacing between them showed that in studies regarding intercropping actual yields by weight from the crops should be recorded and not just the LER. The reason is that optimum LER may disguise the fact that optimum yield of one crop, such as soybeans at a spacing of 81 cm and oats at 81 cm, may be achieved at the expense of the other crop. The spacing for soybeans may be optimal at 81 cm, but oats can give better yields per ha at a closer spacing, such as 21 cm. This complicates the issue to an extent. This is the case especially when intercrop-

108 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security ping trials use varieties, say from maize and soybeans, bred for highest yields as monocrops. A crop such as hybrid maize has become so productive that a reduction in the number of maize plants, or for that matter a reduction in maize yield through competition with another crop, may be difficult to compensate for by extra yield

Monocultures Maize (M) and Soybeans (S)

5 Leaf area index

from a second or third crop. This shows that in trials on intercropping at a given area, the same area must be grown under monocrops at the same time. The monocrops should always be planted at their optimum spacing. The intercrop trials should compare a number of different spacings and keep in mind which crop is

4

S

3 M

2

LER 1.00

1

150

175

200

225

250

275

300

Day of the year Intercrop Maize (M) and Soybeans (S)

Leaf area index

5

4 M+S 3 M

2

LER 1.73

1

S

125

150

175

200

225

250

275

300

Day of the year

FIGURE 6.3. Leaf area index of monocrops and intercrops combined. Source:

From Innis, D.Q., 1997, Intercropping and the Scientific Basis of Traditional Agriculture, Figs 11, 12, Intermediate Technology Publications, p. 11. © Wendy H. Innis, 1997. Used with permission.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 109

Chapter 6 Challenges Presented by Natural and Man-made Factors the most important for the production of food at the time when the experiments are conducted.

• Nitrogen A difficulty may arise out of the fact that legumes, which can fix atmospheric nitrogen and make it available to other plants, tend to stop doing this when mineral nitrogen fertilizer has been added. Nevertheless, as the total weight of grain, in intercropping with maize and soybeans, tends to be much higher when nitrogen is added, it is worthwhile adding the nutrient, accepting the competition for the mineral nitrogen by the soybeans, thus reducing the benefits of intercropping. The high cost of mineral nitrogen has reduced the economic optimum of using this fertilizer. In cases where this use is too expensive, or where the material is not available, as may be the case in isolated rural areas, intercropping continues to be cost effective. Innis, 1997, p. 8 gives, amongst others, an example for Sri Lanka. Here, intercropping was 51% more profitable than monocropping when 25 kg/ha of N was added, but when no N was added the net yield was 81% more for intercropping than for monocropping (Gunasena, 1980). As pointed out above the height and manner in which leaves grow between plants competing for light is important in intercropping. It therefore seems that the development of cultivated varieties, especially suitable for intercropping, is important.

• Water As mentioned above, plants growing in an intercropping system can absorb more water than a plant under a

monocrop. The reason is a higher interception of sunlight, whilst at the same time different root system growing alongside each other may explore the soil moisture reservoir at different depths. In dry areas ‘modern’ farmers tend to rely on taking water from groundwater supplies by means of costly pumping. Instead of potentially lowering the watertable and making it more inaccessible to many people, one should ensure that the soil water reservoir is fully explored. In this regard, a system of using intercrops may be more cost effective than monocrops (Innis, 1997, pp. 8-10).

• Light Depending on latitude it is important to grow plants together which use the optimum amount of solar energy during the period of the growing season. This can be achieved if one is aware of the leaf area index (LAI, see Glossary) of each of the (two) crops to be grown together. Innis, 1997, p. 11 gives an example where, in North Carolina, maize uses sunlight mainly during the early part of the growing season, whilst the late-season sunlight tends to be wasted. On the other hand, soybeans, being small and slow growing at first, uses the maximum amount of sunlight in the late part of the growing season. This is shown by the development of the LAI of the two crops and hence the amount of energy used by them (Figure 6.3, page 109). In this experimental example the LER for the combined yield by weight for the two monocrops is taken at 1.00. When grown in an intercropping system, the soybeans have a smaller leaf area at a comparative time, than when grown as a monocrop. However, once

110 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security maize has been harvested (at day 250), and the beans are in the pod-forming stage, the total yield is encouraging, an LER of 1.73, or an increase of 73% in yield by weight for the same resources having been calculated (Cordero and McCollum, 1979). This shows that the increased use of light by plants growing under a system of intercropping can be advantageous. Provided the lower leaves are adapted to lower light conditions, multi-storey plants harvested in sequence can make use of the sunlight’s energy on a year-round basis (Sebastiani, 1981, Osiru and Kibira, 1979). Innis, 1997, pp. 11-13 presents a number of examples of this important aspect. Innes points out also (1997, p.13) that apart from growing multi-storey plants, the technique of growing plants that develop at different rates is useful. The example illustrated in Figure 6.3 shows this. He gives a number of further examples on his pp. 13-14.

• Time The above is further emphasized by Innis, 1997, pp. 15-17, highlighting the potential benefit of bringing shortand long-term plants together in a field. This highlights the technique of planting three crops together at different times and harvesting them at different times. Examples of this can be found in Nigeria, where millet, cowpeas and sorghum are planted together. The 80-day millet may grow to a height of 1.5 m by which time it is harvested, leaving more resources for the slow growing sorghum, which takes some 168 days to reach maturity. Cowpeas are worked into this traditional system of intercropping (that is millet and sorghum planted at the same

time, but harvested on a different time schedule) by planting them, after the millet has been harvested, in the spaces left by the millet. This so-called relay cropping gives the small cowpea plants the opportunity to utilize nutrients and water still available alongside the developing stand of sorghum. A most important aspect of this form of relay cropping is the long-term protection against soil erosion, practised successfully by Nigerian farmers, rather in contrast to ‘modern’ agricultural methods (Andrews, 1972). Relay planting is widely used for instance in Indonesia, thereby maximizing demands on resources at different times during the growing season. An example is the planting of cassava in the same fields where rice and maize are intercropped. To prevent the cassava competing with the two grain crops at an undue time, it is planted some 30 to 40 days after the planting of the rice and maize (relay planting); thus harvest dates are spread, maize being harvested after 80 days, rice at 140 days and cassava after about a year (Effendi, n.d.). The above shows that under conditions where a household is involved in agriculture, such as occurs in many parts of low income countries, forms of interplanting crops by hand can lead to considerable benefits, both financially and in terms of (food) production by weight. When it comes to working out how to proceed with farmer-led participatory research and experimentation, and working out the factors to be included in the model for the combined approach, a thorough understanding of traditional forms of intercropping and relay planting is a prerequisite. The small-scale and subsistence

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 111

Chapter 6 Challenges Presented by Natural and Man-made Factors farmers in regions where these agricultural systems are practised should be consulted and involved with the design of experiments. Improving agricultural performance in this way, that is by the small-scale farmer exploiting his knowledge and understanding of local circumstance, is not expensive and might be fully supported by the rural community as it could lead to increased food security through increased land equivalent ratios (see ‘Effects of intercropping on yield’on page 107).

• Nutrients Innis, 1997, pp. 17-21, contemplates the advantage of intercropping in conserving nutrients. In that context Agboola and Fayemi (1971) are referred to. The results of their work are summarized as follows. 1.

When maize (a tall plant) is planted in rows adjacent to a short legume crop, here greengram, the competition for light with other tall maize plants is reduced. The short legume plant next door mobilizes sufficient nutrients for a high LER of 2.08 being achieved, without addition of any mineral fertilizer. When maize is the only crop, or when maize is intercropped with cowpea and with greengram, the nutrient loss was highest when maize was produced as a monocrop. The reduced nitrogen loss with intercropping with legumes is attributed to the presence of the legumes, mobilizing the nitrogen. The reduced losses of P and K may be due to root systems being present at different depths, preventing leaching and erosion. This may be due to the detritus of dying legume plants having been deposited on the soil surface. The

aspect of root systems at different depths is an important potential benefit of intercropping as compared to monocrops. 2.

When mineral nutrients have been added intercropping can also be useful. Maize production in the fertilized intercropped plot was higher than that of the unfertilized maize. This is attributed to the greengram providing little competition to the quickly and tall-growing maize, depriving the greengram from essential solar energy. However the non-development of the greengram resulted in a lower LER, here 1.42 as compared to 2.08. The higher LER stated Example 1 was due to the greengram having been able to develop in the company of the lower non-fertilized maize. Cowpea and greengram do not fix atmospheric nitrogen when mineral nitrogen is added to the soil. These legumes, under the conditions of artificial fertilizer having been added, removed twice as much nitrogen from the soil as maize alone (no legumes).

The conclusion is that intercropping in circulating nutrients has a beneficial effect. The roots lower down in the horizon collect soluble nutrients leached from the upper part of the soil profile, which have not been collected by shallow-rooting crops, or, for that matter, the soil matrix. Two crops grown together tend to leave the soil in better condition in the long term than a system producing a monocrop (Agboola and Fayemi, 1971). This is a point of significant importance to consider when, together with local and traditional farmers, designing the approach to farmer-led research (see Figure 5.3 on page 81). In the face of the ever-more pressing need for food security,

112 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security the maintenance of soil fertility in the long term is of major importance. The contribution already made to this over centuries by traditional small-scale farming should be recognized. When endeavouring to increase yield by adding fertilizers, crops grown in intercropping systems should be such that leaf canopies as well as root systems of the crops concerned can compete for the available resources at the appropriate time during the growing season.

• Labour Under conditions where some family members of a ‘middle-income smallscale farmer household’ (see Figure 2.2 on page 21) have no other employment, it can be beneficial for the family to grow a third, or even a fourth intercrop. Family labour would be working their endowment, using their direct entitlement, that is they own the food produced. The principle is that the family will be interested in maximizing production rather than profit. To achieve this, the family members would devote their time and effort to three or even four appropriate crops grown on the same piece of land at the same time. Provided the correct balance of crops and timing is used, the use of available solar energy and moisture would be maximized. Innis, 1997, p. 23 states that this can be achieved for example by intercropping maize and beans (T. Anderson, 1976; Hasselbach and Ndegwa, 1980) and cassava in intercropped mixtures (Porto et al., 1979). The spreading of the work involved over the time available, maximizes the effect of using the direct entitlement (see page 20).

This stands in contrast to the ‘rich small-scale farmer household’ (see page 20), which, being commercially oriented, will tend to work towards maximizing profit. Such households tend to grow only the most profitable cash crop for sale, as quantity and transport are main factors to consider. Small quantities of secondary and tertiary food crops generally would be too expensive to produce. The ‘rich small-scale farmer household’ therefore is involved in petty commodity production by mobilizing its trade entitlement, contrasting with the ‘direct entitlement’ of the ‘middleincome small-scale farmer household’, involved in ‘simple reproduction’. The availability of labour in the form of household members is a major asset for the middle income small-scale farmer household. Depending on circumstance these members may be working for lodging and board. Some cash may come available as the crops develop. Although it may be argued that the effective wage per hour of such labour is very low, it guarantees constant employment on the family farm, in contrast to the rich small-scale farmer household or (small) commercial farmer. The latter will use labour only as and when needed and simply not grow a second intercrop if the cost of doing so is higher than the commercial value of that crop. Another point is energy. When considering the two contrasting households from the point of view of energy balance, the ‘middle’ household is more effective than the ‘rich’ household. The former will work with manual labour as much as possible and use animal traction where needed. The latter, being commercial, may use tractors to plough the land on time.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 113

Chapter 6 Challenges Presented by Natural and Man-made Factors

D is e a s e In d e x

0

2

4

8

M o n o c r o p p e d G r e e n g r a m , w ith a n d w ith o u t fu n g ic id e

N o fu n g ic id e

2 w eeks 4 w eeks 6 w eeks

N o rm a l d o s e fu n g ic id e - M o n o c ro p 2 w eeks 4 w eeks 6 w eeks D o u b le d o s e fu n g ic id e - M o n o c ro p 2 w eeks 4 w eeks 6 w eeks

In te r c r o p p in g a n d n o fu n g ic id e G re e n g ra m in te rc ro p p e d w ith S o rg h u m 2 w eeks 4 w eeks 6 w eeks G re e n g ra m in te rc ro p p e d w ith B a jri 2 w eeks 4 w eeks 6 w eeks

FIGURE 6.4. Disease control by fungicide in monocrops and by intercropping in Tanzania. Source: Keswani and Meta, 1980. Adapted from Innis, D.Q., 1997, Intercropping and the Scientific Basis of Traditional Agriculture, IT Publications, page 30. © Wendy H. Innis, 1997. Used with permission.

Innis, 1997, p. 23 calls attention to the fact that a buffalo may expend some 800 calories per hour of work, while a tractor expends some 90,000 calories per hour. A tractor may take two hours to complete the same amount of work a pair of buffalos does in two eight-hour days, however using seven times as much energy (Ter-

hune, 1976). There is a relationship between the size of the farm to be worked and the need to get the crop in the ground on time. The bigger the farm the higher the need for motive power. However with rising fuel prices, fewer farmers will be able to afford tractors using a non-renewable resource. The availability of manual

114 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security labour plays an important role in this (Innis, 1997, p. 23).

• Insects Innis, 1997, pp. 23-28 presents a number of examples showing a reduction of insects as a result of intercropping. This was particularly the case with crop combinations producing the most shade (Moreno, n.d.). As some insects attack more than one crop, some intercropping combinations (if such insects affect all crops), do not reduce the number of insects (Wiley, 1979a). Innis gives the example of Pyrilla increasing in number when the grains jowar and bajri were grown together, but coming down in number when jowar was intercropped with the legumes pigeon pea or blackgram (De and Singh, 1979). Insecticides, which tend to kill nearly all insects, disable biological control. This can give rise to problems caused by some insects immune to the insecticide. Innis, 1997 (p. 24) quotes the example of the immune fruit-tree red spider (Dempster and Coaker, 1972). This highlights the importance of natural (or biological) pest control and of intercropping of appropriate crops. The importance of the careful selection of crops to be used in intercropping is apparent. With the appropriate selection of plants and the use of (when opportune the introduction, or use of appropriate insects) natural pest control, the effects of pests can be minimized.

• Disease As insects may spread disease, pest control generally will depress the occurrence of plant disease. The control of diseases can be promoted further by intercropping as shown by the

result of an experiment in Tanzania, demonstrated by Figure 6.4 (see page 114). This effect might be explained by the circumstance that in monocrops leaves of the same plants of the same age touch each other, thus providing a pathway for the disease to spread across the field, whilst with intercrops this is not the case. The shorter crop, planted in rows adjacent to the longer crop, could be seen as providing a barrier to this effect (Innis, 1997, p. 29). When traditional farmers, working with intercrops, select seeds, which have survived and therefore have not been affected by disease, for next year’s planting, they select for disease resistance (Innis, 1997, p. 31). Once again this shows the benefit of intercropping as practised by traditional small farmers. The aspect of the occurrence of diseases in intercrops should be seen as an important factor when working out experimental procedures in the farmer-led participatory applied research referred to in Chapter 5.

• Weeds Weeds tend to be less of a problem in intercropping systems than in monocrops. In the former, the second (and sometimes third) crop tend to provide ground cover at a relatively early stage, suppressing weed growth (Waddell, 1972). Herbicides in monocrops can be effective, but remain expensive and subject the open spaces between rows to erosion. Innis, 1997, p. 32 reports that at ICRISAT (see List of Abbreviations) to discover the effect of weeds on yields, density of planting was varied. The beneficial effect of the density of

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 115

Chapter 6 Challenges Presented by Natural and Man-made Factors useful crops on suppressing weed growth, as achieved under controlled TABLE 6.9. a

experimental conditions, is reported in Table 6.9.

Effect of intercropping and crop density on weeds and yields

(India).

Weeds in IC fields as % of weeds in MC fields (by wt)

LER

0.5 NS and 0.5 NPP

36

0.99

0.5 NS and 1.0 NPP

32

1.17

0.5 NS and 2.0 NPP

25

1.22

1.0 NS and 0.5 NPP

23

1.19

1.0 NS and 1.0 NPP

15

1.27

1.0 NS and 2.0 NPP

18

1.53

2.0 NS and 0.5 NPP

10

1.05

2.0 NS and 1.0 NPP

10

1.54

2.0 NS and 2.0 NPP

9

1.40

Population

a. IC - Intercropped; MC - monocropped; N = Normal population density (180,000 plants/ha for sorghum and 40,000 plants/ha for pigeon peas); S = sorghum; PP = pigeon peas. Source: Shetty and Rao, 1979, from Innis, D.Q., 1997, Intercropping and the Scientific Basis of Traditional Agriculture, IT Publications, page 33. © Wendy H. Innis, 1997. Used with permission.

The control of weeds in all crops is most important, given a chance that weeds will tend to establish themselves more quickly than the crop in its early stage. This can be so severe that producing a viable crop is no longer possible (Bakker, 1999, p. 179). In monocrops the farmer needs the (expensive) resources to prevent this occurring. In contrast, in traditional (small-scale and subsistence farms) intercropping systems, weed control is facilitated, whilst at the same time higher yields may be produced (Innis, 1997, p. 32).

• Erosion As under intercropping conditions a soil cover is provided at an early stage, the mechanical impact of falling raindrops on open soil is minimized, thus

preventing soil surface erosion (see Figure 4.11 on page 66). Furthermore root systems of crops in the intercrop system, being at different depths, will tend to hold the soil particles and aggregates together better than under monocrop conditions. The higher amount of decaying detritus on the soil surface plays a further and beneficial role in protecting the soil surface against erosion. A similar effect can be achieved in monocrop systems by adopting minimum tillage, strip cropping or trash farming (Figure 4.12 on page 69). This entails the direct planting of the new crop in the interrow of the harvested crop, or planting and harvesting crops in strips on hillsides (Bakker, 1999, pp. 152-154).

116 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security All this points to the need to protect the soil against erosion, wind and water-borne erosion being capable of doing considerable damage (see Figure 4.10 on page 61). It should be remembered that soil formation is a very slow and precious process, whilst erosion can remove topsoil very quickly. Modern farming practices, taking place in sizeable fields and tending to leave the soil unprotected for a (short) time between harvesting and establishment of the new crop, promote conditions for removal of topsoil, especially during that period. Commercial farmers are well aware of this, but sometimes pressure towards profits prevents them from investing in soil protective procedures, such as various methods of soil conservation. Minimum tillage, trash conservation and contour furrowing are examples of this. When considering how to proceed with the participatory farmer-led applied research, discussed in Chapter 5, soil conservation methods are important factors to be incorporated, especially on individual (small) plots on hilly sites.

Increase mechanization when labour is scarce This may be viable for the commercial small-scale farmer, but the subsistence farmer is likely to continue employing family labour (see page 113). Under conditions when labour is scarce, the subsistence farmer may see an opportunity to use his exchange entitlement (see Glossary, Entitlement) to greater effect.

Land substitution investments Under conditions where land is scarce, whilst labour is not a production limiting factor, the following land substitution investments can be of use (van der Meer, 1983).

Seed and variety selection. As indicated above the selection of seeds from home-grown crops in intercropping system may lead to less disease susceptible crops (see page 115). Purchasing seeds, especially produced for disease resistance and relatively high yielding varieties, can be beneficial, as shown by the ‘green revolution’. This form of intensification of petty commodity production in Asia increased opportunities for the ‘rich small-scale farmer household’, running a family enterprise farm (see Figure 2.2 on page 21). However, it increased risks for the ‘middle-income small-scale farmer household’, running a family subsistence farm, as new inputs in the form of seeds, fertilizer and irrigation water had to be purchased to achieve that potential increase in yield (Bernstein et al., 1992 p. 33). Such HYV (high-yielding variety) seed packages are scale neutral (see Glossary), which means that one could argue that such packages would compensate for persisting inequities in land distribution, which have long been a potential cause of social unrest. However, although in India the green revolution achieved an important national self-sufficiency in food grains by 1985, it achieved an uneven impact on regions, crops and rural livelihoods. The reason for this uneven impact is the water (irrigation) requirement of HYVs. Buying HYV seed packages, let alone affording the cost of irrigation, is beyond the budget of the family subsistence farm, involved in ‘simple reproduction’ (see page 20). On the other hand, and subject to a physical irrigation potential (see below) being available, the ‘family enterprise farm’ may be able to benefit. Gov-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 117

Chapter 6 Challenges Presented by Natural and Man-made Factors ernment strategy to make HYV seed packages and fertilizer available, for the production of high-yielding wheat and rice, has led to a level of social differentiation, due to commercial small-scale farms striving and family subsistence farming households lagging further Soil res ources

behind. The gap in resources [exchange value (see page 20)] between the ‘rich small-scale farmer family household’ and the ‘middle-income small-scale farmer household’ increased as a result. Another, and perhaps worse consequence of the strategy to concentrate on

C lim ate

E To

C ropping patterns

R ainfall

C alendar

W ater resources

Intensity

Irrigation efficiency Land suitable for irrigation

Irrigation w ater requirem ents

W ater res ources for agriculture

P HY S IC A L IR RIG A TIO N P O TE N TIA L

International agreem ents

IR RIG A TIO N D E VE LO PM EN T P O S SIB ILITIE S

N ational and regional policies

Ec onom ic considerations Environm ental considerations e. g. E cosystem s

Cost of irrigation developm ent

Investm ent capacity

S oc iological c onsiderations

FIGURE 6.5. Factors affecting irrigation development possibilities. Source: www.fao.org/

docrep/W4347E. © Food and Agriculture Organization of the United Nations. Used with permission. ETo (see above) stands for evapotranspiration.

118 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Trends of agricultural production and food security these HYV seed packages, was that attention to pulses and the traditional coarse grains of millet, sorghum and maize, on which the poor rely more, fell behind. The effect of this on the nutritional balance of the relatively poor people was adverse (Bernstein et al.,1992, p. 57). From this it follows that from a food security point of view it is necessary to pay attention to traditional crops which can be cultivated and are within the budget [‘use value’ (see page 20)] of the ‘middle-income small-scale farmer’. The availability of water resources is an important aspect of this.

Irrigation. Due to the considerable variation in rainfall (and therefore in water resources for irrigation) in AFR as well as in SAS, applied research aiming at establishing or improving farm and farming systems by means of irrigation (see Chapter 9) should take place over as wide an area as possible. Feasibility studies should be set up in categories guided by an assessment of soil and water resources at basin and not at national level. This is because rivers, rainfall, soil patterns, landforms and landscapes ignore borders between countries. This means that the complexity of the relationship between the areas covered by water basins and the use of water for agricultural purposes will have to be taken into account when planning the landscape layout. An estimate of the number of these water resources which would be available for agriculture should be accompanied by an assessment of the amount of land suitable for arable agriculture and, as part of that, the land suitable for irrigation. Together with the irrigation water requirements, as determined by climate and cropping pat-

terns, the physical irrigation potential, as a means to intensify, that is increase yields and therefore production per unit area, could be assessed (see Figure 6.5). When considering the ever-increasing population pressure, irrigation, as a type of agricultural development could be seen as helping towards improving food security. However, the not inconsiderable danger of waterlogging and salinity over the long term, especially of terrain in the semi-arid and arid tropics, with annual rainfall of less than 1,000 mm, points to its limitations. Including irrigation in the applied farmer-led research, therefore, should be considered only for zones with at least 1,000 mm of annual rainfall and where the suitability of land for irrigation and water resources for irrigation are assessed as at least sufficient. To ensure that a gradual build-up of mineral elements in the irrigation water is avoided, the installation and cost of efficient drainage systems should be seen as an indispensable aspect of agricultural development based on irrigation. As this kind of development entails interference with the natural hydrological cycle of an area, the monitoring of the salt balance in the irrigation and drainage systems will require careful application of scientific knowledge by soil scientists, agronomists and irrigation engineers (Donnan and Houston, 1961, pp. 975-978). Realization that considerable losses occur during the conveyance of irrigation water to the sites where it is needed and avoidance of overirrigation, at the same time maintaining the correct salt balance in the root zones of the standing and growing crops [which may require the application of excess water to leach harmful elements out of that root zone (Hill, 1961)], is a most

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 119

Chapter 6 Challenges Presented by Natural and Man-made Factors important aspect of this need for the application of scientific knowledge. A further aspect is the need for infrastructure in connection with the layout of drainage systems. National and regional policies will have to be concerned with the cost of irrigation and drainage development against the background of regional and national investment capacities. When considering these aspects, the benefit of small farmers using available water resources by irrigating their plots using hand-driven devices or small fuel combustion engines, may be a positive factor. The possibility to develop this physical irrigation potential therefore is a function of a composite of international agreements (regarding the use/distribution of water in the basin resources), national and regional policies, economic considerations relevant to the cost of irrigation and drainage development and capacity to invest. Sociological and environmental considerations, such as the effects of changing stream flows on human populations and downstream ecosystems, should play an important part in this. Examples of this are the construction of the Kariba and Cahora Bassa dams in the Zambezi river, constructed for the supply of energy. The man-made Kariba Lake extends upstream for some 280 km through the Kariba Gorge with a maximum width of 40 km. When this lake was filled, it required the resettlement of some 50,000 people and many animals. The Cahora Bassa lake and dam further changed the ecological system downstream of the Zambezi river, regular flooding of the Zambezi delta becoming a thing of the past, affecting the livelihoods of the riverine peoples.

All this points to the need for a serious undertaking to improve food security to be internationally driven, perhaps guided by organizations such as the ICRISAT and the FAO. A careful selection of so-called experts will be necessary. These experts must have the insight, or understanding of the problem situation, which ensures that the applied research is farmer-led. Were this not to be the case, the most valuable expertise and knowledge held about their own environment and ecological systems by the small-scale and subsistence farmers, might be lost. If this happens the undertaking would be doomed to failure, the motivation of the small-scale and subsistence farmer towards ownership of any (modified) farm and farming system being the most important driver towards its long-term success. The value of this local resource of knowledge and insight can hardly be over-estimated.

Organic and chemical fertilizers. As far as chemical fertilizers are concerned, the cost of obtaining these has an aspect quite similar to that for the use of machinery, in that the subsistence farmer may not be able to afford it. However, especially in SAS where land availability is more limited than in AFR, the use of fertilizer to maintain productivity may be pressing. This points to the value of organic fertilizers. In that context effective compost making techniques, converting waste materials (detrital biomass) into compost, are of significant importance to the smallscale and subsistence farmer. In this context also, the availability of microfinance, making it possible for these farmers to borrow money needed for the purchase of small quantities of chemical fertilizer, applied in conjunction with organic fertilizer, under a strictly managed regime by that farmer, could be of signifi-

120 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The impact of internal political instability cant use to the non-commercial farmer. In this regard the availability of microfinance seems essential.

6.5 The impact of internal political instability If resources are to be available to small-scale and subsistence farmers, an equitable availability of such resources is essential. This sounds naive and too optimistic in the context of the frequent occurrence of internal political instability. However, let us remember that the state factors of climate, time, potential biota, soil parent material and topography hold the future well-being of all living things, amongst which, we, as consumers of resources play a decisive role. Population pressure (see Table 6.2 on page 96) plays an all-important part in this, as does economic and social circumstance. However, the environment as expressed by its ecosystems sets the limitations within which human-made changes occur. When assessing a farming system with a view to increasing its productivity, understanding that ecosystems are linked and that production processes use these links, is essential. The links between solar energy, soil patterns, topography, moisture, nutrient flows and plant growth, form a continuum between atmosphere and biosphere. This continuum sets the boundaries inside which changes with respect to food security and landscape stability will have to take place. Human activities affecting this continuum will have to take note that this functions in a sensitive balance which must be respected. The link of all this to human activities in the context of food security and landscape

stability can be expected to function in a sustainable manner only if such activities take place in a secure working environment which is aware of this delicate link between atmosphere and biosphere. To make this work, a stable and active civil society will have to operate in an environment where adequate markets are available and which functions under good governance. In this context therefore it is of concern that in many developing countries ethnic conflict prevents civil society from functioning, threatening national unity. Examples of political instability being a source of economic stagnation are many. The famines in Ethiopia and Somalia in the aftermath of Ethiopian-Somalian wars, the collapse of the Ugandan economy and presently (2010) the collapse of the economy in Zimbabwe, come to mind (Szirmai, 2005, p. 473). Szirmai reports that researchers in quantitative studies of indicators of political instability and economic growth per capita established a negative correlation between these factors in 39 (!) countries in AFR (McGowan and Johnson, 1984) that is, at that time (1984), out of the total of 48 countries in this World Development Region. De Haan and Siermann (1993) point to the negative effect of frequent changes of government on economic growth in AFR. Ethnically polarized societies may have more difficulty in coping with competitive rent seeking (see Glossary for ‘Rent seeking’) by different groups, when regulators and their clients involve themselves in plans of mutual accommodation, or corruption (Easterly and Levine, 1997). If human activity is to have a chance to achieve the stated objectives of food security and a stable landscape, it appears

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 121

Chapter 6 Challenges Presented by Natural and Man-made Factors essential for political instability, still occurring in some WDRs, to be curbed. Otherwise this political instability may lead to economic stagnation. It is high time that the leaders involved realize that time is not on their side. Pressures on ecosystem productivity, on which we all depend, will continue to rise.

the destruction of these invaluable forests. Where logging can be justified a controlled and monitored system should be set up which regulates this clearly. All this may sound naive, but time is running out. Our international institutions and agencies should act before it is too late.

In this context of pressure on ecosystem productivity, it is essential to take account of the value of forests, which not only are carbon sinks but strongly influence rainfall patterns in so many tropical areas. Governments must use their power to stop

122 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 7

The Competition for Resources for Food Production

7.1 The question of producing crops for food or bio-fuel In the long term the availability of food as well as bio-energy will have to be ensured. Because there appears to be abundant solar radiation in the WDRs of AFR and SAS it seems possible that at some time in the not too distant future the supply of materials in the form of cellulose for bio-fuels, could be a source of income for small-scale and subsistence farming communities in these regions.

FIGURE 7.1. Grasses in the Zambezi Valley.

Photo HB.

At present (2009) the subject of bioenergy is controversial and due to conflicting interests, complicated. If there is to be a sustainable (and growing) market for bio-energy which does not conflict with the pressing need to achieve food security, regulation, in the form of sound and binding international agreement, combined with appropriate costing of impact on ecosystem processes, will be necessary (Mol, 2008). The following notes, based on an article by Arthur Mol (Wageningen Update 1/08, pp. 16-21) attempt to put this into context. 7.1.1 Competition between crops for food and energy Newspaper articles and radio and television commentators sometimes allege that the drive for bio-fuels works against the need to achieve

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 123

Chapter 7 The Competition for Resources for Food Production food security. There are examples supporting this (see below). However, we should ask whether the conversion of biomass into ethanol is wrong in principle, that is whether it will inevitably undermine the production of food. By 2007 the competition between the production of biomass for food and that for bio-fuels has been quite limited. In that year worldwide some 3.5% of the world food production was transformed into bio-fuel. In the European Union, where, due to the ruling that by 2015 25% of the fuel at fuel stations will have to be bio-fuel, the demand for bio-fuel has been increasing rapidly, the competition is still limited. In 2007 four and a half million tonnes of grain (cereals) were transformed into bio-fuels, or 1.8% of the total European consumption of cereals. However, at the same time grain stocks have reduced significantly, partly due to increased use in India and China (improving living standards) and due to unfavourable weather conditions (droughts) in Europe and Australia (Mol, 2008). 7.1.2 Market disturbance The market attraction for bio-fuels has in some cases produced an adverse effect on the availability of food. Some examples are as follows.

• Mexico As a result of the NAFTA free-trade arrangements, USA firms exported cheap maize to Mexico, mainly for use as cattle feed. This put small maize producers in Mexico out of business, resulting in a rise in local market prices for tortilla (small maize cakes). When the USA government began to subsidize the production of bioenergy, to support American farmers and to become less dependent on oil

imports from the Middle East, much of the maize, previously exported to Mexico, was used for the production of bio-fuels in the USA. As in the meantime Mexico had become dependent on those cheap maize imports from the USA, this development resulted in steep rises for maize (and tortillas) at the local markets in Mexico. By 2007 some recovery of local maize production had started (Mol, 2008).

• USA As it appears that the production of bio-ethanol from maize is more lucrative for the big firms than the production of cattle feed and therefore meat, the impact of this switch to bio-fuels is felt in the food sector (Mol, 2008).

• Europe The reaction to the scarcity of maize, in part due to the increase in consumption in China and India, to drought and the (as yet quantitatively low) switch to ethanol production, is to discontinue the compulsory allocation of arable land into fallow land. This might produce an additional 10 to 15 million tonnes of maize (Mol, 2008). 7.1.3 Crops for the production of ethanol Examples of where the production of crops for bio-fuels undermine food production are as follows.

• In the year 2006 some 14 million ha of Jatropa was planted in Mozambique. This crop is suitable for the production of bio-energy, using marginal land. Companies located in the western world buy this land for this purpose of producing bio-energy, at relatively low cost. As the crop is not suitable for

124 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The question of producing crops for food or bio-fuel human consumption, it is debatable whether the loss of this marginal land for the local farming community will adversely affect food production in this area in the longer term.

to government control. In this regard the protection of the farmer, working on a sustainable basis, such as can be found in the cane sugar industry in Brazil, is of considerable importance.

• Oil palm is an important supplier of

• With reference to the above examples,

vegetable oil for the food industry, but also a producer of bio-energy. Indonesia is rapidly becoming the biggest producer of palm oil in the world with a production of 17.4 million tonnes. To make plantations available for this purpose, tropical rainforest is deforested, thereby releasing enormous quantities of so-called hothouse gases. This is not sustainable.

a sustainable approach can be found in Brazil. Here an increasing demand for bio-fuels did not affect food supply. Sugar cane (an effective energy producing plant) factories are able to produce bio-fuels on a massive scale. Due to an advanced infrastructure and advanced technology and techniques, factories can change from bio-fuel to sugar production in accordance with market demand, virtually on a daily basis.

Oil palm trees can be cultivated successfully on marginal land. This can be found in AFR where some 50% of the land area consists of pasture land. Instead of allowing big powerful organizations to deforest land in the densely populated regions of SAS and East Asia and Pacific (EAP), smallscale and subsistence farmers’ communities in AFR and Latin America and Caribbean (LAC) should be assisted to put their resource of marginal pasture land to good use, that is to produce oil palm [or tree plantations, or grasses (see Figure 7.1 on page 123)]. This could be done by following the model of small farmers producing sugar cane as outgrowers, for delivery to a centrally located factory. An example is Mumias in Kenya, or for that matter Pelwatta in Sri Lanka. The agricultural production of the biomass as well as the industrially produced end product, would take place on a contractual basis, specifying quantities and delivery times as well as a price agreed between farmers’ representatives and manufacturers, subject

Also, and most importantly from a sustainability point of view, the Brazilian Government (in response to pressures from small farmer organizations) ensures that contracts protect the interest of the small farmers (outgrowers of sugar cane) to prevent them from being adversely affected by this large production. This can be done because there is the physical space for all, as there could be in (selected) areas of AFR.

• As far as the relatively short term future is concerned, the new technology under development (for instance at Wageningen and Utrecht universities) which converts cellulose from wood and grasses (see Figure 7.1 on page 123) to bio-ethanol, looks promising. Provided there is a stable climate for investment (good governance), this could be useful for Eastern Europe, AFR and LAC (Mol, 2008).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 125

Chapter 7 The Competition for Resources for Food Production Comment 1.

Due to the pressure on the supply of food by the growing world population, the use of good arable land for the production of bio-fuels is not sustainable.

2.

As indicated in Appendix 4 (see page 222), there is land in the form of pasture land available in AFR. Potentially some of that land might be suitaTABLE 7.1.

ble to grow oil palm. Other areas in that region and in LAC might be suitable more specifically for the production of grasses such as Rotboellia exaltata, Cynodon dactylon and Panicum maximum. This is in connection with the potential conversion of cellulose in grasses into bio-ethanol, mentioned above.

Population density - year 2003. a

Population millions

Surface area thousand sq km

Population density people per sq km

AFR

705

24,265

30

SAS

1,425

5,140

298

EAP

1,855

16,302

117

LAC

533

20,418

27

Region

a. Source: International Bank for Reconstruction and Development / The World Bank: World Development Indicators, 2005.

The densely populated WDRs of SAS and EAP may not have sufficient nonused land for any such enterprise, in contrast to the relatively sparsely populated regions of AFR and Latin America (see Table 7.1). This low population density however means that organizations capable of creating and maintaining the land in cultivation on a sustainable basis would have to be commercially oriented and equipped with the capital tools (factories, agricultural machinery) to meet market demand. 4. As there is ongoing and increasing population pressure (a major factor in the problem-situation of food supply and landscape stability), reasonably

(and potentially) fertile soils should be used for the production of food only. Marginal and non-forest land, such as available in AFR and Latin America, should be seen as a resource for the production of oil palm and later, once the technology of converting cellulose into bio-ethanol has been developed, the cultivation of grasses efficient in producing cellulose.

3.

5.

Where there is space, that is where open pasture can be used without adversely affecting small-scale and subsistence farming communities [(such as in Brazil - see above (due to low population density)], or where these communities can benefit from a new market, such as in Mumias,

126 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The question of producing crops for food or bio-fuel Kenya, sizeable plantation-like organizations might be able to exploit an opportunity for commercial agricultural production in the region of AFR without deforestation. Under those circumstances, the production of bio-fuels could assist in combating poverty. As a result the relatively closed small-scale and subsistence farming economy might become more open with more opportunities for economic development.

In this context it is noted that it might be possible to use surface irrigation. The data given in Table 7.2 refer to AFR as a whole. This region (as is the case too for other regions) includes several major basin groups, each of which might be exploitable by a number of countries. If big organizations intend to use surface (and where possible drip) irrigation to intensify the production of crops for biofuels, and are asked to do so, this can be done in a sustainable manner only if it recognizes that the water used comes from a common source (major) basin group.

Suitability of land for surface irrigation in AFR in thousand ha. a

TABLE 7.2.

Land area thousands ha

Soil suitable for irrigation of rice

Soil suitable for irrigation of upland crops

2,359,442.0

479,679.5

51,030.9

Total area suitable for surface irrigation

As a percentage of land area

530,710.4

22.5

a. Source for land area: International Bank for Reconstruction and Development / The World Bank: World Development Indicators, 2005; for irrigation suitability: FAO Corporate Document Repository: http://www.fao.org/docrep/W4347E

To protect the ecosystems depending on these rivers (and groundwater), the irrigation water used for the purpose of producing crops for bio-fuels should be costed, which would promote the use of efficient irrigation systems such as drip irrigation.

TABLE 7.3.

An internationally coordinated study to determine this cost should be carried out. This activity should be motivated by the proposition that sustained functioning of bio-systems is of paramount importance if life is to be preserved.

Some major basin groups in AFR and in some countries covered. a

Basin group

Total area of the group (thousands of ha)

Some of the countries supplied by the group

Congo/Zaire River

378,905.3

Congo; Democratic Republic of the Congo

Zambezi

135,136.5

Zambia; Zimbabwe; Tanzania; Mozambique

Limpopo

40,186.4

RSA; Zimbabwe; Mozambique

Okavango

32,319.2

Angola; Namibia; Botswana

a. Source FAO Corporate Document Repository: http://www.fao.org/docrep/W4347; Philips Atlas of the World, tenth Edition (2000) in association with the Royal Geographic Society, London.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 127

Chapter 7 The Competition for Resources for Food Production If these ecosystem processes in the basin groups are to be protected, the use of irrigation water for the production of crops for bio-fuel may be viable only in exceptional circumstances. Also, any crop used for this purpose should have a high level of drought resistance. The costing of river stream and groundwater for the purpose of using it for the production of commercial crops for the production of bio-fuels, brings this water resource into the market. From the point of view of small-scale and subsistence farmers the advantages and disadvantages of any such market aspect should be given careful consideration. To protect their interests, the use of this common resource will require international agreements between the countries TABLE 7.4.

concerned and common management of that basin group with regard to main drainage and transport infrastructure matters. If this is not put in place, failure of the common use for food and bio-fuel crops of this invaluable natural resource, which, due to the ever varying state factor of climate, is unreliable, will occur. In that case the set-back for growing and advancing rural and urban communities in these regions would be such that they might have been better off without having to compete for water with organizations using it for the production of bio-energy. Some examples of major basin groups are given in Table 7.3, above. Details for some of the countries mentioned in that table are presented in Table 7.4.

Terrain suitable for surface irrigation in some countries in AFR. a

Country Angola

Land area thousands ha

Soils suitable for irrigation of rice

Soils suitable for irrigation of upland crops

Total area suitable for surface irrigation

Percentage of land area

124,670

22,796.6

4,187.5

26,984.1

21.6

Botswana

56,673

13,489.4

5.4

13,494.8

25.8

The DR of Congo

34,150

9,257.6

45.6

9,302.2

27.2

Mozambique

78,409

17,432.0

983.7

18,415.7

23.5

Namibia

82,329

11,111.7

2,133.9

13,245.6

16.1

RSA

121,447

21,434.6

1,163.6

22,598.2

18.6

Tanzania

88,359

23,344.7

908.7

24,253.4

27.4

Zaire

226,705

78,728.1

9.7

78,737.8

34.7

Zambia

74,339

26,540.7

24.0

26,564.7

35.7

Zimbabwe

38,685

10,382.6

782.2

11,164.8

28.9

2,359,442

479,680.5

51,030.9

530,681.4

22.5

TOTAL

a. Source: Appendix 7 (see page 225) - also for details of other AFR countries. 6.

Potentially agricultural and rural development could be stimulated in AFR by producing agricultural crops for the production of bio-fuels. Solar

energy is abundant and (some) pasture land could be used to produce sustainable crops of grasses for the purpose of conversion into bio-ethanol.

128 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The potential to achieve objectives 7.

It appears that in the long term agricultural production of crops for food and/ or energy cannot be separated. Regulation will become more diverse, shifting from the direct involvement of

TABLE 7.5.

national governments to international partnerships which protect forests and use suitable open land for crops appropriate for the production of sustainable energy.

Prevalence of undernourishment and progress towards the WFS target. a

Total population (baseline millions)

Number of people undernourished (current - millions)

WFS target = 0.5

199092

Region

1990-92

20012003

EAP (incl. China)

1,689.9

1,910.7

279.3

225.5

0.8

17

12

443.4

528.9

59.4

52.4

0.9

13

10

1,125.3

1,386.7

290.4

298.5

1.0

26

22

MNA

322.8

407.4

25.0

37.6

1.5

8

9

AFR

477.3

635.0

169.0

206.2

1.2

35

32

4,058.7

4,868.9

823.1

820.2

1.0

20

17

36

56

LAC SAS (incl. India)

Developing World

1990-92

20012003

Ratio current/ baseline

Proportion (%) of people undernourished in total population 20012003

SUB-AREAS FOR SUB-SAHARAN AFRICA (AFR) C. Afr

63.4

84.1

22.7

44.8

2.1

E. Afr

167.8

223.0

75.1

86.9

1.2

45

39

S. Afr

71.0

91.8

34.1

34.0

1.1

48

37

W. Afr

175.1

236.3

37.2

34.5

1.0

21

15

Total AFR

477.3

635.3

169.0

206.2

1.2

35

32

a. Source: The State of Food Insecurity in the World, 2008, Table 1. © 2008 Food and Agriculture Organization of the United Nations. Used with permission.

7.2 The potential to achieve objectives The achievement of food security in the long term depends on insight into the problem and international political will directed towards alleviating undernourishment worldwide.

7.2.1 The World Food Summit A useful benchmark with regard to the achievement of food security is provided by the World Food Summit (WFS). In 1996 world leaders met in Rome, and drew up an Action Plan. This related to the base year period 1990-1992 and stated that the number of undernourished people

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 129

Chapter 7 The Competition for Resources for Food Production would be reduced by half by 2015, that is from 823 million worldwide by 19901992 to some 419 million by 2015. However as shown in Table 7.5, progress has TABLE 7.6.

been disappointing, a mere 3 million people having come out of the state of undernourishment by 2003, to a total of 820 million people worldwide.

Progress towards the WFS target for two sub-regions of AFR. a

Sub-region

Country

Total population (baseline millions) 199092

200103

Number of people undernourished (current millions)

1990-92

2001-03

Ratio current/ baseline

Proportion (%) of undernourished in total population

WFS target = 0.5

199092

2001-03

Central Africa Cameroon

12.0

15.7

4.0

4.0

1.0

33

25

C. Afr. Rep.

3.0

3.8

1.5

1.7

1.1

50

45

Chad

6.0

8.3

3.5

2.7

0.8

58

33

Congo, The

2.6

3.6

1.4

1.2

0.9

54

34

Dem. Rep. of the Congo

38.8

51.3

12.2

37.0

3.0

31

72

1.0

1.3

0.1

0.1

0.7

10

5

63.4

84.1

22.7

44.8

2.1

36

54

Gabon Total

East Africa Burundi

5.7

6.6

2.7

4.5

1.6

48

67

Eritrea

3.2

4.0

2.2

2.9

1.3

45

73

Ethiopia

55.6

69.0

38.2

31.5

0.0

61

46

Kenya

24.4

31.5

9.5

9.7

1.0

39

31

6.4

8.2

2.8

3.0

1.1

43

36

Sudan

25.5

32.9

7.9

8.8

1.1

31

27

Uganda

17.9

25.0

4.2

4.4

1.1

24

19

United Rep. of Tanzania

27.0

36.3

9.9

16.1

1.6

37

44

167.8

223.0

75.1

84.9

1.2

45

39

Rwanda

Total

a. Source: The State of Food Insecurity in the World, 2008, Table 1. © 2008 Food and Agriculture Organization of the United Nations. Used with permission.

In AFR the number of undernourished people increased by 37 million during the

period from 1990-92 to 2001-03. To this day more than 30% of people in this

130 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The potential to achieve objectives

Climate

Political environment

Infrastructure

Soil management

Ecosystem processes

Land management

GPP

Human resources

Crop production management

Natural biosphere

International institutions

National institutions

FIGURE 7.2. The overall connection between factors influencing food security.

region continue to live under this condition, with a disturbing increase by some 22 million people in Central Africa alone. In SAS, the number of undernourished people increased by some eight million during that time span. On the whole the percentage data, to which the World Development Goals refer, give a more favourable picture. From our point of view, however, those data are skewed under the influence of the rapid economic development in China.

The absolute number of undernourished people requires our attention. As shown in Table 7.5 (see page 129) the WFS target of halving this (target ratio = 0.5) by 2015 seems beyond reach. This quite appalling situation may well continue unless there is a radical change in the international political will and drive towards achieving sustainable food security. It is argued in this writing that small-scale agricultural development should play a major role in this endeavour.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 131

Chapter 7 The Competition for Resources for Food Production 7.2.2 The effects of human activities - some examples

Democratic Republic of the Congo As indicated in Table 7.5, progress for the sub-region of Central Africa has been falling behind all other sub-regions of AFR. Table 7.6 (see page 130) shows that this is largely due to the number of undernourished people in the Democratic Republic of the Congo having increased from 12.2 million by 1990-92 to 37.0 million by 2001-03. Internal conflict in that country, which began in August 1998, lasted until late 2002 with the withdrawal of invading foreign troops. This conflict significantly reduced national output and government revenue. As a result external debt increased, and more than 3.5 million people died from violence, famine, and disease. Due to the adverse operating environment, lack of infrastructure, uncertainties about the outcome of the conflict, foreign businesses curtailed operations. From early 2003 recovery has been slow and hampered by an uncertain legal system, corruption and lack of clarity in government policy (CIA, The World Fact Book - https://www.cia.gov/library/publications/the-world-factbook).

General comment When considering that food security relies on ecosystem processes, which require efficient soil and land management, which in turn require institutions such as agricultural services to perform effectively, situations, such as those referred to above, cry out for institutional reform. The situation which occurred in 2008 in Zimbabwe is another such example, promoting food insecurity, rather than food security.

In 2009 there are still some 800 million plus people suffering from chronic hunger, compromising health and productivity and therefore their efforts to escape poverty. It has a serious negative effect on the potential economic and social development of society (see Figure 4.3 on page 47). AFR is the most seriously affected WDR, some 33% of its population (some 200 million people) living under this burden by 2001-03. For Asia and the Pacific, that is including China and the SAS area with India, these figures were some 16% and 510 million. The primary responsibility to bring these figures down rests with individual governments. They are responsible for the essential stability of civil society by preventing this kind of serious political instability. 7.2.3 Independent control variables and agricultural production The regime imposed by state factors demands specific techniques for specific areas if the need for a secure supply of food is to be ensured. The overall connection between factors driving food supply is depicted in Figure 7.2 (see page 131). This shows various factors affecting both landscape stability and food security. With respect to the ongoing and rapid increase of world population, especially in the developing world, nations carry a heavy responsibility to ensure that the Millennium Development Goals (MDGs, see Appendix 8 on page 227) be met. This is a challenge of historical importance, facing especially the rich and developed world. In the longer term priority should be given to assisting the developing world to bring infrastructure, schooling and health facili-

132 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

The potential to achieve objectives ties up to minimum standards. Due to the new world of virtually unlimited and rapid communication now upon us, this is seen TABLE 7.7.

as in the vital interest of all, including the developed part of the world.

Official development assistance in 2005. a Aid as a % of GNI

Country

Aid as a % of GNI

Australia (*)

0.25

Japan (*)

0.28

Austria

0.52

Luxembourg

0.87

Belgium

0.53

Netherlands

0.82

Canada (*)

0.34

New Zealand

0.27

Denmark

0.81

Norway

0.93

Finland

0.47

Portugal

0.21

France

0.47

Spain

0.29

Germany

0.35

Sweden

0.92

Greece

0.24

Switzerland (*)

0.44

Ireland

0.41

United Kingdom

0.48

Italy

0.29

United Sates (*)

0.22

Country

a. Source: OECD pdf. (*) indicates countries that have not set a timetable for 0.7%.

Political will is needed in the developed rich nations to at last meet the commitment of 0.7% of GDP to official development assistance. This was pledged in a 1970 General Assembly Resolution and affirmed in many international agreements since, of which the March 2002 International Conference on Financing for Development in Monterrey, Mexico and the World Summit on Sustainable Development held in Johnannesburg later that year, are examples. Especially when taking into account that the developed world has become richer since 1970, it is disappointing that so little progress towards this objective has been made (see Table 7.7).

Although due to progress made by some of the ‘poor’ nations, it might be argued that less than 0.7% of GDP might suffice to meet the MDGs, for national and international stability, the matter needs urgent and positive action. International and national agencies must work together towards the eradication of hunger and poverty. The technology and resources are available. In the interest of motivating rural people to stay on the land, stopping the trend of ‘disappearing small-scale and subsistence farmers’ [Bryceson et al., 2000 (increasing urbanization)], it is high time that this intolerable

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 133

Chapter 7 The Competition for Resources for Food Production

International donor community Needs and requirements

Small-scale farming community Participation

Village and household micro-planning

Policies and resources Regional planning

National planning

Ecosystem processes

STATE FACTORS FIGURE 7.3. The relationship between state factors and planning for small-scale

agricultural development.

situation is turned around. At the same time political will and insight are needed in the developing world to place the interests of the general population ahead of personal interests of the most advanced groups in society.

In overall context. The availability of resources, suitable for use by humans, depend on the sustainability of ecosystem processes (see Figure 7.2). This means that in the long term human activities will be futile unless ecosystem processes are

protected. Amongst these processes are the formation of soils, microbial activity and moisture resources in soils, sustaining their suitability for food production. As indicated in Figure 7.3 above, the state factors of climate, topography, soil parent material, potential biota and time play a decisive role in this ecosystem ecology on which all depend. The greatest respect in protecting these ecosystem processes when competing for resources therefore is vitally important.

134 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 8

Monitoring Intervention Strategies in Different Farming Systems 8.1 Introduction For the effective production of food, farming systems are pivotal. In Chapter 2 some of the economic aspects of small-scale and subsistence farmers’ households were considered (see Figure 2.2 on page 21). However, whether this is a ‘family subsistence farm’, a ‘family subsistence household’ or a ‘family enterprise farm’, people on the farm will regard their activities as forming a system in its own right. This will be affected by a variety of resources, such as availability of workers in the household, soil types and rainfall patterns, which will determine the crop plants which can be produced with a reasonable chance of success. The concepts of ‘farm system’ and ‘farming system’ as set out by Hall et al., 2001 will be used as a guide to describe major categories of farming systems for AFR and SAS.

FIGURE 8.1. Coconut palm in Mozambique.

Photo HB.

8.2 Definitions described 8.2.1 Farm system The interrelationship between the components of a small-scale farm is complex. The performance of the unit depends on natural resources such as land, water and common property, such as ponds, grazing areas and forest. Climate, bio-diversity and human, social and financial capital play roles of major importance (Hall et al. 2001, p. 7). They define a ‘farm system’ as the aggregate of “the household, its

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 135

Chapter 8 Monitoring Intervention Strategies in Farming Systems resources, and the resource flow and interactions at individual farm level” (my italics). The variation in resource endowments and family circumstances drive the performance of the individual household. The resource endowment of the farm is affected by the density of the local population, the distribution of resources among households and the effectiveness of agencies in establishing access to assets. The farm system is organized to manage the available resources with a view to producing food whilst also satisfying other household goals. Under low income (LI) to extremely low income conditions, such as occur in the World Development Regions AFR and SAS, a range of different activities may be undertaken. Cropping, the keeping of livestock, fishing, hunting, agro-forestry and gathering activities are examples. However, the household must be settled on land and manage it, whether owned, rented or managed jointly, to fall under the definition of ‘farm system’ (Hall et al., 2001, pp. 7-9). The external environment, comprising governance, policies and institutions, markets, infrastructure (such as distance to markets and roads to access them) and information linkages, affect the functioning of a farm. The off-farm economy links farms via commodity and labour markets. Perhaps above all the fact that rural and urban economies are interdependent is significant. Not only that this opens the possibility to ‘go out and work’ (see Figure 2.2 on page 21), adding to the small farm household income through offfarm activities, it opens the possibility for individuals of the household to establish contact with industry. This may be of particular relevance in densely populated areas, such as SAS (see Table 2.5 on page 30) (Hall et al., 2001, p. 9).

8.2.2 Farming system Hall et al. (2001, p. 9) define a ‘farming system’ as “a population of individual farm systems that have broadly similar resource bases, enterprise patterns, household livelihoods and constraints, and for which development strategies and interventions would be appropriate” (my italics). A farming system, following this definition can encompass many households. To avoid losing one’s way in this multitude and as a result of micro-analysis of farming systems in many developing countries, Hall et al. (2001, p. 11) decided to accept some degree of heterogeneity within any single system. Although significant sub-types occur, each broad system is characterized by a typical farm type. They base their classification on criteria comprising: 1.

The natural resource base available to the farm system under consideration. This includes:

• land grazing areas and forests as well as water;

• climate, determined to a large extent by altitude (temperature and rainfall) and latitude;

• landscape, in which soil type, slope and vegetation pattern play an important role;

• size of the farm, tenure and organization. 2.

The dominant pattern of farm activities and household livelihoods. Taking into account the main technologies employed when ‘doing’, which affect the intensity of production and the extent to which crops, livestock and activities are integrated, this includes:

• field crops; • livestock;

136 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Definitions described • • • •

trees;

4.

Rainfed farming systems in steep and highland areas. Often these comprise mixed crop-livestock systems.

5.

Rainfed farming in cold or dry lowpotential areas. Comprising mixed crop-livestock and pastoral systems. These merge into sparse and frequently dispersed systems. Due to excessively dry or cold conditions, such systems are of low current productivity or potential.

6.

Dualistic, that is mixed large commercial and smallholder farming systems. These occur across a range of ecological conditions and have dispersed production patterns.

7.

Coastal artisanal fishing. Often these are mixed farming systems.

8.

Urban based farming systems. Usually these concentrate on horticultural and livestock production.

aquaculture; hunting and gathering; processing and off-farm activities.

Based on these criteria they distinguish eight categories of farming system as follows: 1.

Irrigated farming systems. This involves food and cash crop production.

2.

Wetland rice based farming systems. These depend quite heavily on monsoon rains, supplemented by irrigation.

3.

Rainfed farming systems in humid areas of high resource potential. These are based on crops, or on a mixed crop-livestock system. The crops may be root-crops, cereals, industrial tree crops (small scale or plantation) and commercial horticulture. TABLE 8.1.

AFR - Land area and population. a

Land area, ha in millions for year 2002 ha

%

Land area total

2,127

100

Agricultural land

1,283

60

Agric. and permanent

164

8

Pasture and permanent

1,119

53

Non-arable and non-permanent

1,963

92

Population in millions for year 2003 people

%

Total

700

100

Rural

449

64

Agricultural

415

59

a. Source: FAOSTAT - see Table 2.4 on page 28 for land areas and Table 2.1 on page 23 for populations. See Glossary for definition of ‘Land area’ and ‘Annual and permanent crop land / cultivated area’.

As indicated in Chapter 2 (see Table 2.2 on page 25), AFR and SAS had the lowest

level GNI per capita in 2003, at 89.3% and 98.2% of their total populations respec-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 137

Chapter 8 Monitoring Intervention Strategies in Farming Systems A total of 164 million ha, or 8% of the total land area of 2,127 million ha in 2002, were under annual cultivation or permanent crops (see Glossary). If pasture land, at 1,119 million ha, or 53% of the total land area, is regarded as potential arable land, some 13% (164 million ha) of the potentially total arable land (1,119 + 164 = 1,283 million ha) would have been under annual cultivation in 2002.

tively. It seems reasonable to assume that, as many (if not most) of the people in this low income group live on incomes of less than $1 per day, their food security is under constant threat. The viability of the farming system under which these households function therefore is of crucial importance.

8.3 Sub-Saharan Africa

It would appear that the region is well endowed with pasture land and that it ought to be possible to increase the agricultural land in cultivation at its expense. The agro-ecological zones are looked at in this context.

8.3.1 Characteristics of the region The 46 countries included in this region are listed in Appendix 6 (see page 225). The basic data presented in Table 8.1 are indicative for the region as a whole. TABLE 8.2.

Agro-ecological zones of AFR. a

Zone Arid tropical Semi-arid tropics

Sub-humid tropical uplands

Humid lowlands Tropical and subtropical highlands

Annual rainfall mm

Growing period length in months

Vegetation and principal agricultural production

less than 300

2.5

Sparse grassland - Nomadic or transhumant pastoralism (sheep, goats, camels) - Date palm.

300-1000

2.5 to 4.5

Savannah (‘Sahel’ and ‘Sudan’ zones of West Africa) Cereal crops (millet, sorghum) pulses, groundnuts. Pastoralism (sheep, goats, cattle). Many indigenous tree crops.

10001500

4.5 to 8

Moist savannah, dry woodland (‘Guinea savannah’ in West Africa, ‘Miambo’ woodland in eastern and southern Africa). - Cereals (millet, sorghum, maize), pulses, groundnuts, cotton, root crops (yams, cassava), small livestock (goats, pigs). Coconut, cashew, and indigenous tree crops.

more than 1500

more than 8

variable

variable

Forest - Food crops (roots, tubers and plantains). Tree crops (cocoa, oil palm, rubber). Forest - Tea, coffee, temperate fruit, vegetables, cereals (maize, sorghum, wheat), roots (potatoes, sweet potatoes), bananas, livestock (cattle, goats, sheep).

a. From H. Bernstein, B. Crow, H. Johnson, Rural Livelihoods, Crises and Responses, Table 8.1, (part) page 167. © 1992, The Open University. Reprinted with permission..

Agro-ecological zones in AFR with their vegetation and principal agricultural production are indicated in Table 8.2. This is

stated in broad terms only and should not be regarded as complete. The zones (Figure 8.2) are differentiated by the amount

138 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa of rainfall received, which, in turn affects the lengths of the growing season. As rainfall tends to decrease along some continuous line from the rainforest near the

equator to the desert areas of the tropics of Cancer (Sahara) and Capricorn (Kalahari and Namibia) the zone boundaries are arbitrary.

FIGURE 8.2. Agro-ecological zones in Sub-Saharan Africa. From H. Bernstein, B. Crow, H. Johnson, Rural Livelihoods, Crises and Responses, Figure 8.1, (part) page 168. © 1992, The Open University. Used with permission.

They are helpful when considering farming systems in the context of rainfall and lengths of growing seasons. In general, rainfall intensity and distribution are more important to the farmer than total rainfall data. The rainfall pattern, that is its distri-

bution and intensity, is seasonal and uncertain in the semi-arid tropics and subhumid tropical uplands. This uncertainty limits agricultural productivity in these areas. Farmers have to concentrate their activity into short periods of considerable

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 139

Chapter 8 Monitoring Intervention Strategies in Farming Systems activity, with a relatively high demand for labour, often leading to shortages in its supply. In these areas the family subsistence household (see Figure 2.2 on page 21) has difficulty in competing with the family enterprise farm in the labour market. This uncertainty places these farmers in a high risk situation of losing their crops in these regions of uncertain rainfall. Local variations in the moisture regime, as established by the varying rainfall pattern are understood by these farmers and exploited as far as feasible. Variations are relevant. Examples (given by Bernstein et al., 1992, p. 169) are those in:

• Altitude The highland areas of Ethiopia, Rwanda and Burundi and to an extent in Kenya and Tanzania, record higher rainfall and lower temperatures than the adjacent lowlands. This creates a longer growing period for crops and pasture and a greater diversity of crop choice in the sub-humid and semi-arid areas.

• Relief As water will accumulate in swamps and river flood-plains, the effect of rainfall is strongly influenced by relief. Such moisture reservoirs can be used for the production of crops once the rainy season has come to an end.

• Soil type The so-called ‘heavy’ soils have a higher moisture holding capacity than sandy soils, due to their relatively smaller particle size (clay content). Such soils generally occur more frequently in low lying areas, reinforcing the relief effect referred to above. From this it follows that local knowledge of these variations, which determine

a mosaic of soil patterns, varying over relatively short distances, is of considerable importance if successful farming is to take place. Such local knowledge is fundamental to farming strategies, which can vary widely. Examples of such ecological management in African farming, thereby minimizing the risk of sometimes drastic variations in rainfall patterns, are given by Bernstein et al., 1992, pp.166-169, 170, 171. In West Africa some 70% of the total population live in the moist sub-humid and humid zones (see Figure 8.2 on page 139). In contrast in East and Southern Africa this amounts to about half of the total population (Hall et al., 2001, p. 29). In the latter areas a greater percentage of the population, potentially, is subjected to droughts than is the case in sub-humid and humid regions of West Africa. The people involved in agricultural activities (in 2000 about 67% of the total population) accounted for some 20% of total GDP of the region. Hall et al., 2001, p. 30 report that this share of GDP is declining in more than one third of the regional countries, examples being Angola, Côte d’Ivoire, Eritrea, Lesotho, Ghana, Mauritania, Mozambique and Uganda. Increases occurred in Benin, Central African Republic, Cameroon, the Congo Republic, Mali, Niger, Namibia, Rwanda, Togo and Zimbabwe. In West Africa, expansion of the oil industry contributed to the decline over the last 30 years. In Southern Africa expansion of non-agricultural sectors contributed to this decline (Hall et al., 2001, p. 30). The vulnerable situation under which people in AFR live with respect to gross national income on the basis of PPP$ per capita is shown in Appendix 1 (see page 218).

140 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa

TABLE 8.3.

Major farming systems of Sub-Saharan Africa. a Land area % of region

Agric. pop. % of region

Irrigated

1

2

Rice, cotton, vegetables, rainfed crops, cattle, poultry

Limited

Tree crops

3

6

Cocoa, coffee, oil palm, rubber, yams, maize, off-farm work

Limited to moderate

11

7

Cassava, maize, beans, coco-yams

Extensive

Rice-tree crops

1

2

Rice, banana, coffee, maize, cassava, legumes, livestock, poultry, off-farm work

Moderate

Highland perennials

1

8

Banana, plantain, enset, coffee, cassava, sweet potato, beans, cereals, livestock, poultry, off-farm work.

Extensive

Highland temperate mixed

2

7

Wheat, barley, tef, peas, lentils, broadbeans, rape, potatoes, sheep, goats, livestock, poultry, off-farm work

Moderateextensive

Root crops

11

11

Yams, cassava, legumes, off-farm work

Limited-moderate

Cereal-root crop mixed

13

15

Maize, sorghum, millet, cassava, yams, legumes, cattle

Limited

Maize mixed

10

15

Maize, tobacco, cotton, cattle, goats, poultry, off-farm work

Moderate

Large commercial and smallholder

5

4

Maize, pulses, sunflower, cattle, sheep, goats, remittances

Moderate

Agro-pastoral millet/ sorghum

8

4

Sorghum, pearl, millet, pulses, sesame, cattle, sheep, goats, poultry, off-farm work

Extensive

Farming system

Forest based

Principal livelihoods

Prevalence of poverty

Pastoral

14

7

Cattle, camels, sheep, goats, remittances

Extensive

Sparse agriculture (arid)

17

1

Irrigated maize, vegetables, date palms, cattle, off-farm work

Extensive

Coastal artisanal fishing

2

3

Marine fish, coconuts, cashew, banana, yams, fruit, goats, poultry, off-farm work

Moderate

little

3

Fruit, vegetables, dairy, cattle, goats, poultry, off-farm work

Moderate

Urban based

a. Source: From Hall, M. (Principal Editor), Dixon, J., Gulliver, A., Gibbon, D., (2001), Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World. FAO and World Bank, Rome and Washington p. 34. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 141

Chapter 8 Monitoring Intervention Strategies in Farming Systems 8.3.2 Farming systems in AFR Hall et al., 2001, p. 34 identify fifteen farming systems, with their main characteristics and prevalence of poverty for this region (see Table 8.3). Due to their potential for poverty reduction and agricultural growth - main factors of importance if food security is to be achieved - they selected the following five systems:

• • • • •

Maize mixed system Tree crop system Irrigated system Cereal-root crop mixed system Agro-pastoral millet/sorghum system

Prior to referring to these in some detail (guided by Hall et al., 2001), it is necessary to look at the region-wide trends in AFR.

Region-wide trends in AFR • Population hunger and poverty Under the prevailing conditions of so much poverty (see Appendix 1), the projected increase in population by 78% in the next thirty years (Hall et al., 2001, p. 41) gives rise to concern. The urban population now reported as standing at 33%, is anticipated to rise to 50% of the overall total by 2030, notwithstanding economic contraction in the region. The HIV/AIDS pandemic is reducing the labour force in the prime working age group, but the net growth in population continues. The loss of productive labour and rises in medical and orphan care costs, result in a cost to the economy, which the region is unable to meet. Hall et al., 2001, p. 42 report that by 2001 the most affected farming systems had been the highland perennial and the maize mixed

systems, whilst the large-scale and commercial and smallholder system also had lost much of its skilled supervisory labour force. In the highland perennial system neglect of banana and coffee was due partly to HIV/ AIDS related labour shortages. In addition to this Hall reports that this disease is affecting government staff and private agricultural service providers resulting in a very high staff turnover and loss of investment and time in capacity building. During the final three decades of the 20th century the number of undernourished people in the region increased to an estimated 180 million people by 1995-97 (Hall et al., 2001, p. 42). It was reported that the average daily food supplies in Sub-Saharan Africa for human consumption by 1997-99 contained 2,195 calories per person, compared with 2,681 calories per person in the developing countries as a whole. This compares with 3,380 calories per day per person in the industrialized countries. For the period 2000-02 some 30% of the population (about 210 million people) of the region was undernourished [Human Development Report, 2005, Table 7, page 243 (UNDP)]. Although the energy intake is projected to increase by 18% by 2030, about 165 million people will still be undernourished. It is of concern that the region has a higher proportion of people living in dollar poverty than any other region of the world. Rural poverty accounts for some 90% of total poverty and 80% of the poor depend on agriculture or farm labour to support their livelihood. The total number of poor people in this

142 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa region of AFR is still increasing (Hall et al., 2001, p. 42).

the accelerating global warming phenomenon. In particular, the farming systems in arid, semi-arid and dry subhumid areas are in danger of having to experience increasing frequency and severity of droughts. These are likely to give rise to crop failure, high and rising cereal prices, distress sale of animals, decapitalization, impoverishment, hunger and in the end, famine. These factors will be an incentive for households thus affected to try to cope with their cash and food shortages by cutting and selling firewood. This will make land degradation more incisive and accelerate the onset of desertification. Also, households might move temporarily, or permanently, to ‘better’, or less arid areas, creating conflicts between sedentary farmers and pastoralists.

• Natural resources and climate By 2001 some 400 million ha (nearly 17% of the total regional land area of 2,359 million ha) was covered by forest. In the context of maintaining the forest ecosystem intact, the current rate of deforestation stood at 0.7% (16.5 million ha) per year and the decline of this most valuable resource is expected to continue. The area under land degradation is increasing. The causes are complex, but aspects such as soil erosion, soil compaction, reduced soil organic matter, declining soil fertility and soil bio-diversity are linked with agro-ecosystems and local environments. Forest biomes are important with regard to global temperature balances and rainfall distribution and frequency in the context of TABLE 8.4.

1997/99

Overall land use in AFR. a

2030

Gain over 32 years

Gain per year for 32 years

% Gain per year for 32 years

Arable land use in millions of ha 228

288

60

1.87

0.81

a. Source: From Bruinsma, J. (ed.) World Agriculture: Towards 2015/ 2030, An FAO Perspective. Earthscan, 2003, Table 4.8, page 135. © 2003 Food and Agriculture Organization of the United Nations. Used with permission.

The cultivated area, as represented by arable land, is estimated to increase from 228 million ha, or 9.7% of the total land area in 1999, to 288 million ha, or 12.2% of the total land area for the region by 2030 (Table 8.4). This slow annual expansion of 0.81% is attributed mainly to conversion of forests and grassland and shortening fallow, resulting in reduction of the

natural fertility of the soil. Due to population pressure the increase of arable land in use is projected to continue (Bruinsma, 2003: Table 4.7 page 133). If rotation periods and fallows continue to be shortened the end result may well be a reduction of yield. The farming systems, most closely linked with deforestation are the forest

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 143

Chapter 8 Monitoring Intervention Strategies in Farming Systems based system, the tree crop system, the root crop system and the cereal-root crop mixed system. The maize mixed, the highland perennial and the highland temperate mixed systems experience fuel wood shortages. In one way the forest based system might benefit from a reduction of excess moisture. Under these (improved) conditions, a population influx from areas next to the forest frontier areas, might be tempted to move closer to the forest. As such new settlers clear forests to plant their crops, the important resource base for carbon storage and energy creation, represented by forests, is affected adversely. A further increase of population and associated pressures in these areas would produce declining fallow periods, resulting in TABLE 8.5.

downward pressure on yields and increasing weed populations.

• Science and technology The FAO perspective on world agriculture towards 2015/2030 (Bruinsma, 2003) indicates data on crop production stated in Table 8.4 above. This shows that this substantial increase in overall production would be obtained through significant land expansion. Bruinsma, 2003, p. 133 indicates that empirical evidence for developing countries shows that such increases in output are achieved mainly through land expansion, when the potential for doing so exists. Set against the performance of the last 30 years (shown in Table 8.5) this projected doubling of overall production seems quite optimistic.

Trends in crop area, yield and output in AFR for 1970-2000. a

Crop Rice

Harvested area 2000 (m ha) 7

Yield 2000 (t/ha)

Production 2000 (m tons)

1.6

11

Average annual change 1970-2000 Area %

Yield %

Production %

2.4

0.6

2.9

Maize

26

1.5

38

1.5

1.2

2.7

Millet

20

0.7

14

1.4

0.4

1.8

Sorghum

21

0.8

18

1.2

0.5

1.6

Oilcrops

24

0.3

6

0.9

0.7

1.6

Roots and tubers

18

8.4

154

1.7

1.0

2.6

Pulses

16

0.4

7

1.6

0.2

1.9

Vegetables

3

6.6

22

1.9

0.8

2.6

Fruits

8

6.2

47

1.6

0.0

1.6

a. Source: FAOSTAT; Hall et al., 2001, Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World p. 44. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

Table 8.5 shows that only the production levels of rice, maize, roots and tubers and vegetables, increasing at a rate of 2.9%, 2.7%, 2.6% and 2.6% respectively come anywhere near the

rate of 2.72% that would be required. The disturbing point however is that such a production increase would have to come from a yearly increase in cultivated land of 2.35%, which is

144 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa doubful when seen against the data of Table 8.4 (see page 143). As most agricultural production in Sub-Saharan Africa may well continue to come from rainfed farming, farmers continue to be subject to the uncertainties of rainfall and day and night temperatures, which depending on agricultural ecological zones, delineate suitable growing seasons. Although increased production on heavy lowland soils, in humid and sub-humid tropics and on irrigated land may be expected, daily and yearly fluctuations in climate will continue to set decisive boundaries of production potential. Therefore, application of technologies suitable for the various areas and developed with (and by) the full participation of the farmer-communities in those areas, by means of exchange of ideas and demonstration of results (pilot projects, designed and managed by the farmers themselves), will become ever more important. This is a difficult task for well-trained (communication and social skills in addition to agricultural insight) and locally elected farmers’ representatives and extension workers. The animal and husbandry stock situation and production is shown in Table 8.6. The threat from tsetse infection usually is concentrated in the moist and sub-humid lowlands. Increasing numbers of cattle tend to be raised in the moist and sub-humid zones, where the root crop and cereal-root crop mixed systems occur. Although this might continue, farming systems in dry areas tend to have higher numbers of cattle than those in moist areas (Hall et al., 2001, p. 45).

During the time-span 2000-2030, livestock and poultry numbers are expected to grow moderately, consumer demand from urban areas being the driving factor (Hall et al., 2001, pp. 43-45). TABLE 8.6. Trends in livestock populations and output in AFR for the period 1970-2000. a

Million head 2000

Average annual change 1970-2000

Cattle

219

1.5

Sheep

189

1.4

Goats

194

2.3

19

3.2

809

2.9

Product

Output 2000 (million tons)

Average annual change (%)

Total meat

8

2.0

Total milk

19

1.8

Total eggs

1

3.7

Cattle hides

0.5

1.7

Species

Pigs Poultry

a. Source: FAOSTAT; Hall et al., 2001, Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World, p. 45. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

• Trade liberalization and market development The share of the region in world agricultural trade has fallen quite significantly since 1961, even though the absolute value of agricultural exports has risen. The sharpest fall occurred in Southern Africa, where the share in

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 145

Chapter 8 Monitoring Intervention Strategies in Farming Systems world agricultural trade fell from 9% in 1961 to 3% in 1998. In this connection Bruinsma (2003, pp. 235, 236) reports that the structure of world agricultural trade has changed markedly. As far as the developing countries as a whole are concerned, in 1961/63 these countries recorded an overall agricultural trade surplus of US$6.7 billion. This disappeared during the next four decades until the end of the century, so that by the end of the 1990s trade was virtually in balance. Projections to 2030 suggest that this agricultural trade deficit for developing countries will widen markedly, reaching an overall net import level of US$31 billion by that year. The 49 LDCs (34 of which in 2003 reported a GNI per capita per year income of PPP US$765 or less are located in the WDR of AFR (see World Bank, World Development Indicators, 2005, Table 1.1) have been prominent in this respect. Their agricultural trade balance changed rapidly so that by the end of the 1990s imports were more than double the size of their exports. This trade deficit is expected to widen further, to the extent that (expressed in constant international dollars) by 2030 it will reach four-fold the level of the year 2000 (Bruinsma, 2003, p. 235). As far as AFR is concerned this trend reflects a significant fall in the share of agricultural exports in the total exports from the main areas of AFR. In some areas, such as West Africa, this may reflect a rapid increase in the export of other commodities, such as petroleum exports from Nigeria. In this context it is of interest that in Southern Africa, wine and fruit,

mainly from the Republic of South Africa, are important components. By 1998 cocoa was at 22% of total agricultural exports from Central Africa and between 12 and 25% from West and East Africa respectively. Cotton amounted to 5% in East Africa and 26% in Central Africa. Share of agricultural exports of total exports from the main areas of AFR. a

TABLE 8.7.

Area

1961

1998

East Africa

70

47

West Africa

90

10

Central Africa

90

10

Southern Africa

59

14

a. From Hall et al., 2001, pp. 45, 46.

Cocoa and coffee are produced by the tree crop and rice-tree crop farming systems (see Table 8.3 on page 141) with a limited and moderate prevalence of poverty. Although the declining contribution of (some) agricultural exports from AFR for the period quoted is an important aspect for the future of rural livelihoods, cocoa, cotton and coffee are valuable agricultural commodities. Provided a good quality product is delivered, at a sustainable price, these commodities could find a valuable place on the world market. However the declining terms of trade (see Glossary) for these agricultural primary commodities have occurred at least as from 1980 and do not give rise to much optimism in this regard. This decline in primary commodity prices appears to be linked to changes in patterns in demand, production and trade in the high income countries. One rea-

146 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa son may be that the consumption of services has been growing so rapidly during recent years. Some relevant points regarding the shift in the agricultural balance of trade, experienced by low income countries, are discussed in the following section.

• Policies, institutions and public goods The difficulty developing countries experience in trying to compete with subsidized surpluses disposed of by the OECD countries, is real. Subsidies by countries such as those of the European Union and the United States, led to agricultural overproduction. Subsequent disposal of surpluses put downward pressure on world market prices. This depressed export volumes and earnings from temperate zone commodities such as cereals and sugar. Although at the last (prior to 2005) round of WTO negotiations, the rich nations promised to reduce agricultural subsidies, they have increased them. These nations now spend over $1 billion a year on aid for agriculture in poor countries and just under $1 billion a day subsidizing agricultural overproduction at home (Human Development Report, UNDP, 2005, p. 10). These subsidies and the resulting overproduction drive down the world market prices for the primary commodities. As this reduces the income from excess production and the chance to improve one’s situation, the possibility for these subsistence farmers to get out of the poverty trap is severely limited. In addition, tax payments will be very low or altogether absent, leading to a zero public investment budget and absence of infrastructure building (Figure 4.3 on page 47).

In addition, developing countries added to this growing deficit in trade by taxing their agriculture directly through low procurement prices and quotas and indirectly through overvalued exchange rates and high protection rates for non-agricultural goods. Also, with higher incomes and more people needing food, the demand for temperate-zone products in developing countries increases at a rate at which domestic production could not keep pace. This rapid rise in demand for these temperate zone products occurred especially during the 1970s and early 1980s. During these years the oil boom afforded developing countries in North Africa and the Near East with the foreign exchange needed to increase imports of cereals, meat and dairy products, for which local production was low. With the decline in oil prices, food imports slowed down considerably in following years (Bruinsma, 2003, p. 237). Due to a variety of reasons, discussed in Bruinsma, 2003, pp. 236-240, the details of which fall outside the scope of this volume, producers and markets for tropical products continue to be beset by general problems. Where a rapidly rising supply is exported to saturated and fluctuating markets (such as have tended to occur with the commodities of sugar and coffee), prices tend to decline rapidly, often without a corresponding contraction in production. This imbalance between market demand and supply is due to many tropical agricultural crops being perennials. They are grown on a multi-year basis with a relatively large share of the total investment requirement spent in the early phase of the growing cycle

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 147

Chapter 8 Monitoring Intervention Strategies in Farming Systems or investment period. To increase the return on such fixed investments producers, such as the family enterprise farm, or larger commercial entities, reduce variable costs, meaning lower wages for rural workers, such as coffee or tea pickers or cane cutters. In smallholder systems, involved in petty commodity, or for that matter elementary household production, a considerable decline in family income follows (Bruinsma, 2003, p. 241). Small-scale farmers in the developing world continue to be faced with rising costs of agro-chemicals, spraying equipment, tractor tyres, improved seeds, and so on. These costs still tend to rise more quickly than local (and international market) prices for primary agricultural products. This squeeze to which the smallholder farmer in the developing world is subjected, was illustrated quite vividly to the author when asked by a small coffee farmer in Vietnam how he was supposed to deal with the increased prices (he called this exported inflation) of needed investments such as his tractor tyres. In addition to the uncertainties of climate in dry and arid areas, as well as in more humid areas, and the impact of HIV/AIDS, TB and perhaps most importantly malaria in moist environments, unfavourable terms of trade are a factor of importance in preventing so many subsistence farmers in AFR to reach the first step on the ladder to development and economic growth.

Structural adjustment programmes (SAPs). The above rather depressing picture occurred notwithstanding financial assistance introduced in many countries

of the region under the conditions of SAPs. These programmes were driven by neo-liberal thinking, based on the thesis that the same rules of development can be applied from the most to the least developed country. The emphasis is on the individual and free play of market forces. According to this thesis economic decisions should be made by private individuals, the state providing only those goods and services (infrastructure) which could not be provided by the private sector (Jenkins, 1992). The main elements of SAPs are summarized below: 1.

Price distortions produce inefficiencies. When markets set prices, inefficiency is reduced through the removal of price controls. The programme assumes that this would achieve financial liberalization and less intervention in labour markets.

2.

A more efficient economy is achieved through trade liberalization, which means reducing protective tariffs. This is accomplished by removing import quotas, reducing tariffs and introducing realistic exchange rates.

3.

Reduction of the direct role of the state in the economy. This is done by means of privatization and cutting government expenditure.

Although many low income countries had fallen into economic crisis by the early 1980s as a result of economic mismanagement, which the SAPs were intended to address, the fact that policies and problems of governance in these countries were only part of the problems, was not (sufficiently) taken into account. Micro-effects, such as malaria, HIV/ AIDS, mountain geography and inadequate rainfall in many locations in these

148 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa countries, have a more severe direct impact than for instance excessive nationalization of industry. Isolated small villages, where impoverished people live under harsh conditions without sanitation, clean water, potable water, and reasonable access to roads and markets, are other aspects. By the end of the 1980s there was some realization that liberalization alone was not an adequate response to the economic and social complexity of developing counTABLE 8.8.

tries. However, it appeared that the Millennium Assembly of the United Nations, which took place in September 2000, gave some impetus to the hope that the Millennium Development Goals (MDGs; see Appendix 8 on page 227) would finally begin to turn this situation round to better prospects. Unfortunately, as shown in Appendices 1 and 2 and by the Human Development Report, UNDP, 2005, it appears that by now (2010) these hopes have been dashed.

A selection of main farming systems in Sub-Saharan Africa. a Total pop. (m)

Agric. pop. (m)

Total area ha (m)

Maize mixed system

95

60

246

Tree crop system

50

25

Irrigated system

14

Cereal-root crop mixed system

85

Agro-pastoral millet / sorghum system

54

.33

Farming system

Cult. area ha (m)

% Cult. / total area

Irrig. area ha (m)

Cattle pop. (m)

Dry subhumid

32

13.0

0.4

36

73

Humid

10

13.7

7

35

Various

3

8.6

2

59

312

Dry subhumid

31

9.9

0.4

43

198

Dry subhumid

32

16.2

0.6

25

AEZ

0.1

2 3

a. Source: From Hall et al., 2001, Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World. pp. 47-123. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

Hall et al., 2001, p. 46 report that the effects of SAPs are seen for instance in the roles of Ministries of Agriculture on which governments focused. Decentralization produced a situation in many countries, in which local government structures suffered progressively reduced budgets, resulting in cuts in staff and reduction in capacity, to deliver the services needed. They report that the immediate effect of

reduced public expenditure has been a crisis in the maintenance of infrastructure (e.g., roads and health facilities) and a reduction in the essential services to rural populations. Due to reduced budgets, imports were limited. Harvests without replenishment of nutrients, have depleted soils over a long period of time, specifically in the interior lowlands and coast,

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 149

Chapter 8 Monitoring Intervention Strategies in Farming Systems but also in the more humid highland regions, such as Ethiopia and Rwanda.

Maize mixed farming system in AFR

By 2008-09, the vicious sequence of poverty-hunger-disease had deepened for many people in the low income countries, who continue to be in the poverty trap (see Figure 4.3 on page 47), (Human Development Report, UNDP, 2005).

Characteristics. This

• Information and human capital One aspect of SAPs has been a reduction in government spending on agricultural extension and training, reducing access for farmers to technology and market information. Hopefully, the internet will open channels of communication to farmers and their organizations. There is however a danger that due to a shortfall in education and facilities the poorest sections of communities will be left behind. This seems all the more important because if yield levels are to be increased to the levels needed if food security is to have a chance to succeed, relevant technologies need to be used. Human capital, as expressed in a reservoir of know-how, health and communication skills, may need to be strengthened quite significantly. 8.3.3 A closer look at a selection of farming systems in AFR The following observations are based on Hall et al., 2001, pp. 47-123. Due to their potential agricultural growth and poverty reduction, five farming system in AFR were selected for examination of strategic preferences. Main points are summarized in Table 8.8. By far the most important, in terms of agricultural population and cultivated areas amongst these five systems are the three mixed systems, located in the dry-subhumid agro-ecological zone (AEZ).

system comprises the main source of food for the East and Southern African region. Hall et al., 2001, p. 48 report that local and hybrid maize are grown for the dual purpose of subsistence and cash crops, often accompanied by minor crops such as pulses and oil seeds. Crops produced purely for their exchange value (see ‘Rich small-scale farmers’ households’ on page 20), are coffee, groundnuts and sunflower. As far as livestock is concerned, cattle are the most important, whilst crop-livestock integration (power to pull ploughs, dung to fertilize land) is very relevant. The main sources of poverty in these areas are landlessness, very small farm size, lack of oxen, low off-farm income and deteriorating terms of trade for maize producers. As shown in Figure 2.2 (see page 21), families involved in progressive reproduction on the family enterprise farm, as compared to those involved in subsistence farming, tend to have more resources in the form of more and better farmland (typically some 1.6 ha), more crossbred dairy cattle (some 2 or 3 head) and larger areas of cash crops. They tend to use more agro-chemicals, fertilizer and hybrid seed. Average yield would be 1.2 t/ ha for maize, 900 kg/ha for sorghum, 800 kg/ha for millet and 500 kg/ha for pulses. School fees and expenditure for clothes would be supported by the remittance from a son, working off-farm for cash income. These endowments would set up the family and enable them to have access to credit. In average to good years the family could feed itself. In years of drought, something would be available from some reserve.

150 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa On the other hand the subsistence household farm is left behind. These are marginal farmers. Some forty percent of these households have no cattle, no regular offfarm earnings and no high value crops. Whilst producing local maize for home consumption, they are not in a position to buy agro-chemicals, fertilizers or hybrid seeds. During times of scarcity local differentiation intensifies (Hall et al., 2001, pp. 48, 49).

Trends and issues. In years prior to the introduction of structural adjustment programmes, agricultural extension work in the arid tropical zone of Kenya and Tanzania and in the sub-humid tropical uplands of Zambia and Malawi, concentrated on increasing maize production through the use of inorganic fertilizer and hybrid seed. This important work was specialist oriented and not much self-reliant farmer participation was involved. In an effort to stimulate competition, the introduction of SAPs cut subsidies on inputs and removed guaranteed market prices. Currency devaluation resulted in high-cost inputs of the resources of inorganic fertilizers and hybrid seed. They became uneconomical. Farmers now reverted to growing traditional varieties where available, or, for that matter replacing maize with sorghum and sweet potatoes. The use of purchased seed and fertilizers in areas which formerly exported maize, such as the Highlands of Tanzania and the Central Province of Zambia, has fallen due to smallholder maize growers reverting to low-input/low-output strategies. An apparent increase in poverty followed. Terms of trade for maize, as expressed by the input/output price ratio, deteriorated due to this trade and price liberation policy. The removal of input subsidies and

price supports and the discontinuation of the state purchasing maize, worsened this situation. Input supply services collapsed. whilst the response of the private sector was minimal. As per the neo-liberal policy, governments were advised to withdraw from seed production. But private companies were interested only in selling hybrid maize. Seed from open pollinated varieties can be saved by farmers for as much as three seasons before it has to be renewed. Due to lack of interest from private companies, finding good-quality open-pollinated seed became a problem, as was the case with access to credit and farm inputs. Hall et al., 2001, pp. 49-51 report that the rapid population increase meant that farm sizes fell to an average of 0.5 ha in many areas, which under adverse conditions is not viable without off-farm earnings. This reducing farm size induced shorter fallows resulting in loss of soil fertility (see Glossary). A prolonged use of inorganic fertilizers, without a balancing input of organic matter increased soil acidity. Feed shortage results in less livestock to produce manure. Less oxen on the farm for the supply of power, is a further adverse result of these worsening terms of trade. It seems likely that, at least in the short term, land degradation will spread, producing further downward pressure on crop yields. As a result the incidence and severity of chronic poverty is likely to increase. The declining stocks of maize surpluses and supplies by farmers to markets, threaten national and local food security.

Tree crop farming system in AFR Characteristics. The system is based on tree crop production, amongst which robusta coffee, oil palm and rubber are the

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 151

Chapter 8 Monitoring Intervention Strategies in Farming Systems most important. These crops, together with off-farm activities are sources for cash income. Food crops, often interplanted with the trees, are the main staples. Amongst these, cassava, yam and coco-yam are prominent. Some basic data are presented in Table 8.8 (see page 149). As indicated in that table, livestock, being subjected to heavy tsetse infestation in many areas, is limited. As a result most land preparation takes place by hand. With respect to ‘domestic’ animals, pigs and poultry are the main species kept, whilst fish-farming is popular in some areas. Hall et al., 2001, pp. 55-56 report that industrial tree crops were first established by indigenous farmers by means of annual forest clearance. The amount of land cleared from forests depended on the availability of family labour to clear the forest, plant coffee or cocoa and grow food crops, consisting of a mix of cassava, coco-yam, cereals, pulses, all between the immature trees. After some 2 years, with the farm expanding, families would no longer be able to manage the newly cleared land as well as the plots created during the preceding 2 years. To solve this difficulty, farmers would contract the care of their second and third year coffee gardens to migrant workers in exchange for the right to inter-plant food crops among the trees. In due time the tree canopy would close, preventing the successful growing of such food crops on the forest floor. By that stage the coffee trees would bear enough fruit as an exchange value to pay for hired labour. The typical household in this farming system owns 5 ha of land, all of which would be under coffee in various stages of development. Cassava, coco-yam and cereal are inter-planted as food crops

between immature trees. The household also has a multi-storey homestead garden with fruit trees and vegetables. The wife may own some twenty free ranging, scavenging chickens. Each of the sons may own one or two goats and the husband may run a shop. This is a typical ‘family enterprise farm’ (see Figure 2.2 on page 21). Generally the family is food self-sufficient with a per capita income well above the poverty line (Hall et al., 2001, p. 56). In contrast to this relatively favourable situation, a poor migrant worker in this farming system and therefore working for the family who own the land, may have a wife and family back in the savannah, often working for the man’s father. This family depends on the migrant worker to cover its food and income deficit, even though it may be able to feed itself for 4 to 6 months per year. Even then the income derived from tending other people’s tree crops and growing food between the immature trees, is insufficient to lift the income of this migrant family above the poverty line. Commercial outgrower (estate) schemes tend to set the minimum plot size to 5 ha per grower. As farmers are expected to establish that area in one single year, this differs from the indigenous scheme, the short time span forcing some farmers into debt. Also, because there is no staggered planting, the vulnerability to pest and disease attack increases. This is another and important reason why so many farmers, working in these estate schemes, experience difficulty (Hall et al., 2001, pp. 55, 56).

Trends and issues. Population pressure on natural resources, declining terms of trade as well as of market share, the

152 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa discontinuation of parastatal input supply and marketing services, and the withdrawal of agricultural extension and research work, are the main trends affecting the tree crop farming system in AFR. This shows in increasing poverty and growing social differentiation and conflict between the tree crop owners and migrant workers (Hall et al., 2001, p. 56). Strong international competition, putting a downward pressure on product prices, made this situation worse. Most tree crops in this region undergo a declining market share. The failure of the private sector to provide the services indicated above previously made available by the parastatals, as well as the take-over of state-owned agro-processing plants by large-scale private investors, contributed to the breakdown of services to smallholders. As a result of the inability of governments to support the cost of public extension services, the services to smallholder farmers had been significantly reduced by the year 2001. As a result of this policy reform the research on export crops is carried out by the private sector. This sector tends to concentrate on export commodities, largely ignoring other parts of tree crop farming and livelihood systems. Farmers’ problems to do with food crops and soil management (fertility) by 2001 were not being addressed (Hall et al., 2001, pp. 56, 57).

The irrigated farming system in AFR Characteristics. Some basic data are presented in Table 8.8 (see page 149). Fully mechanized and centrally managed schemes and the larger farmer-managed schemes, such as the traditional riverine and flood-recession based cropping

schemes are included. The latter may be found in small pockets along major rivers. Dug well-based irrigation in West African wetland also are included. The 2 million ha covered by these schemes support an agricultural population of some 7 million. It would appear that production from irrigated land in the region might increase quite substantially as a result of increases in yields (Hall et al., 2001, p. 58).

Trends and issues. Results from big public sector irrigation schemes in the region have been disappointing. Production increases have been below expectations, while low output prices, combined with high operation and maintenance costs have tended to make these projects unsustainable. Hall et al., 2001, p. 59 point to the Gezira Scheme in the Sudan, the Office du Niger in Mali, the Awash Valley Scheme in Ethiopia and the Jahali/Pacharr scheme in the Gambia. Efforts to restructure parastatal schemes on a commercial basis, or to hand over management to farmers in the expectation that operation and maintenance costs would become less, have largely failed. They report that on the whole smallscale farmer managed irrigation (SSFMI) has been more successful on the basis of high-value crops, such as vegetables. The difficulty is the lack of infrastructure, resulting in suitable markets being out of reach. Efforts are being concentrated on the existing schemes, but this, even with donor financing, mostly is beyond the farmers’ economic means. Hall et al., 2001, p. 60 report that the thematic evaluation of the IFAD (see List of Abbreviations) Special Programme for Africa concluded that the problem in SSFMI is a lack of “adequate social organization and cohesion”.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 153

Chapter 8 Monitoring Intervention Strategies in Farming Systems The example given by the experiment in farmer organization for self-managed development in the run down and conflict ridden irrigation system of Gal Oya in Sri Lanka, highlight the value of capacity building and participatory management in SSFMI. An environment enabling smallholder development was put in place through the introduction of durable organizations, based on farmer participation and bottom-up initiatives. The encouraging aspect of this intervention is that farmer initiatives were the driving factor for its success, to the extent that their commitment to their project was sustained in the long term (Uphoff, 1996). Examples in Mali indicate that, again subject to an ‘enabling environment’ having been put in place, farmers will strive for progress. Other encouraging work has taken place in Niger and Guinea Bissau (Hall et al., 2001, pp. 59, 60).

Cereal-rootcrop mixed farming system in AFR Characteristics. Similar to the maizemixed farming system, this system experiences 120-150 growing days per year close to the border in the north with the Sahel (semi-arid tropics) to 180 growing days in the south. Some basic data are presented in Table 8.8 (see page 149). Similar to the irrigated system, this points to a relatively low percentage of cultivated area of the agricultural land available. However, the agricultural population density, as expressed by the agricultural population over the total area available to the system, is approximately at the same level as for the irrigated system. Communications are poor, low altitudes and high temperatures predominate. The tsetse fly constitutes a pest which limits livestock, preventing the use of animal

traction in much of the area. Cereals, such as maize, sorghum and millet are important, but due to the lack of animal traction for land preparation, root crops, such as yam and cassava are more important than cereals. A wide range of crops is marketed. Intercropping is significant (Hall et al., 2001, p 62). A typical smallholder household active in this farming system would farm some 2 ha entirely manually. Maize, sorghum, yams, cotton would represent the main crops. Minor crops would comprise groundnuts, pigeon pea, cowpea, beans, sweet potato and squash. Fertilization occurs through the use of animal manure where available. However, frequently, cattle are not owned by the household, which might be limited to keeping some chickens and goats. Where cotton is grown, the purchase of some mineral fertilizer could be justified and inputs for this crop could be raised further through the use of some hired labour. Neither inorganic fertilizer nor hired labour would be used for the cultivation of maize or other food crops. This household would be food self-sufficient and in fact would have some exchange value goods as cotton, yams, cassava and vegetables. Due to poor market access some surplus perishables would be lost. To an extent this household could be regarded as a family enterprise farm (see Figure 2.2 on page 21). Poor households (family subsistence farms) amongst these slightly better-off farmers, would not produce cotton as an exchange of cash to pay for inorganic fertilizers and hired labour could not be afforded. Food deficit, likely to occur during the rainy season would be covered by household working for meals in other farmers’ fields. Further cash support

154 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa would be earned by the husband when migrating to the forest area, working as casual labour for the industrial tree crop farmers.

Trends and issues. The difficulties confronting the people in this farming system, are exemplified by what occurs in the Guinea savannah. This covers large areas of the sub-humid tropical uplands, extending in a broad band through most West African countries (see Figure 8.2 on page 139). Due to low population density, lack of communications and labour shortages in the absence of animal traction, the area is relatively under-utilized, even though there is an abundance of agricultural land. The latter permits appreciable fallow in the crop rotation, yet a decline in fertility and an increase in the acidity level of some soils is apparent. Prolonged use of often acidifying inorganic fertilizers and a declining level of organic matter in these soils appears to be the cause of this. Declining terms of trade, due to declining input/output price ratios, present difficulties to farmers in the task of maintaining soil fertility. The decline of this vitally important soil property is demonstrated in this area by the increasing presence of Striga (witchweed). This is a much-branched scabrous herbaceous annual, parasitic on the roots of various grasses and often on the roots of maize, significantly reducing yield. The introduction and spread of improved and early maturing maize varieties in the 1980s and early 1990s resulted in an increase in the cultivation of maize and cotton, at the expense of food crops. Hall et al., 2001, report that this took place especially in the northern and drier part of the Guinea savannah. Government poli-

cies, which aimed at achieving national food self-sufficiency, facilitated this expansion by supporting fertilizer subsidies, seasonal production credit and parastatal marketing support. As the cost of this to governments was high and results disappointing, these policies proved unsustainable. The impact of SAPs, which introduced trade and price liberalization, led to a further deterioration of the balance of trade, as expressed in the fertilizer/maize price ratios. This made the production of maize less attractive to the small family enterprise farm. At the same time currency devaluation reduced urban demand for traditional foods like cassava and yams. This led to an expansion of the area under these traditional root crops, at the expense of maize. The increased production of these foods produced a reduction in prices. This meant that the impact of devaluation on the income of food crop growers was modest. The discontinuation of parastatal programmes that provided small farmers with seeds, fertilizers and chemicals at the start of the season whilst deducting the cost of these inputs from the marketing revenues, meant that the growing of cotton became less attractive to small farmers. They found it risky to buy fertilizers and agrochemicals in the absence of credit, rising fertilizer prices and stagnant or falling cotton prices. Reduced fertilizer application and attacks by pests and diseases resulted in a decline of productivity (Hall et al., 2001, pp. 62-63).

Agro-pastoral millet/sorghum farming system in AFR. Characteristics. Livestock is important to the people involved in this farming sys-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 155

Chapter 8 Monitoring Intervention Strategies in Farming Systems tem. Food crops grown are rainfed sorghum and pearl millet, which, however, are rarely sold. Sesame and pulses on the other hand, sometimes are delivered to the market. Table 8.8 (see page 149) lists some of the main characteristics of this system. The table indicates that this is one of the important farming systems in the region. Animal power is used for land preparation, employing oxen along river banks, or sometimes camels in drier areas. Livestock is used for multiple purposes, such as the supply of milk and milk products for home use, transportation (donkeys and camels), land preparation (oxen and camels), sale or exchange, savings, bridewealth and insurance against crop failure. Pack animals, or animal-drawn sledges, rather than carts are used to transport crops. Interaction between crops and livestock is limited. Hall et al., 2001, report that although animals are used in the fields for ploughing and crop residues are grazed, fodder crops are not grown, whilst kraal (enclosure) manure rarely is applied to fields. The population lives in enclosed villages throughout the year. Part of the herd may migrate seasonally in the care of herd boys. Livestock ownership in the household largely determines socio-economic differentiation between households in the community. With respect to food security, when drought occurs in this dry to subhumid agro-ecological zone, only the upper stream households are reasonably secure. Some of their livestock can be traded for the grain they need. In contrast to this, households in the lower stratum, which do not have the resources to grow enough grain to feed themselves and have few livestock or other assets to exchange for grain, are chronically insecure in good

as well as in bad years. Households in the middle stratum are grain self-sufficient in good years, but in deficit during bad years. In average years, they have some animals to exchange for grain, but in bad years they are likely to suffer from serious food shortage. Hall et al., 2001, report that typically a household would have some 1.5 ha of cultivated land, which, however, would provide food production of only 93 kg per capita per yr. Millet or sorghum would occupy some 1.1 ha, some 0.2 ha would be cultivated for pulses and the remaining 0.2 ha would be planted to minor crops, such as vegetables, sesame or cotton. Yields, averaging 400 kg/ha for sorghum, 350 kg/ha for millet and 230 kg/ha for pulses are at a low level. The former two cereal crops would be grown basically for home consumption only, including, however, the brewing of beer. As to livestock, the family would own some chickens, 2 or 3 head of cattle and 5 to 10 sheep and goats. These together with cotton and the seasonal migration to the forest zone, would be the main sources for cash income. Families in this farming system are highly susceptible to drought. Successive droughts result in crop failure and food shortages. As a result grain prices rise, and livestock prices decline to the point of collapse. Weak animals often die and distress sales lead to the decapitalization of herds. In the extreme, poverty sinks into destitution when the family have consumed their stock of seeds and lost all their breeding animals. When this happens, planting or, for that matter, the rebuilding of herds cannot be undertaken, once the drought ends. Such families then are in desperate trouble.

156 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Sub-Saharan Africa Quite apart from this constant threat of drought, problems specific to this farming system include:

• Acute shortage of water during the dry season, affecting people and animals alike.

• Shortage of seasonal grazing. • Physical isolation, due to lack of roads and access to markets.

• Disadvantageous terms of trade continue to affect the viability of crops and livestock.

• Lack of schools and local facilities. Bird and locust damage to crops, laborious de-hulling of grain, stock theft and encroachment of farming on riverine areas add to the complexity of life in these areas (Hall et al., 2001, pp. 66-67).

Trends and issues. A general reduction of rainfall during the past two decades, typified by erratic and insufficient precipitation, has resulted in low crop yields and the discontinuation of groundnuts and late-maturing sorghum. Some areas suffer from an acute shortage of drinking water and firewood. Shortened fallow intervals and long periods of continuous cultivation in the plains result in a reduced content of organic matter in the soil, demonstrated by soil fertility problems due to population pressure. Due to an expected further and rapid increase in population, this is an aspect which must be expected to become even more acute. The total population for the area, estimated at some 700 million for the year 2003, is expected to increase to some 883 million by 2015, 1,299 million by 2030 and 1,704 million by 2050. This represents 126%, 185% and 243% of the population of 2003 (Bruinsma, 2003, Appendix 3, Table A1). This projected

increase, as well as growing livestock populations will increase the pressure on resources in this farming system. If a breakthrough in technology related to soil fertility does not happen, soil fertility of the better crop land would be expected to decline. Furthermore, due to the lack of sound grazing management by communities, grazing resources (condition of pasture land) will decline in many areas. This means that under these circumstances, both chronic and transient poverty must be expected to increase. Drought, declining soil fertility, weed infestation (Striga) in cereals and cowpeas, pests and diseases in cowpeas and groundnuts and high cost and lack of credit to pay for inputs needed for the cultivation of cotton, may be listed as crop related constraints. Shortage of grazing during the dry season and the weak condition of draught animals at the time of the greatest need (to commence land preparation by the end of the dry season) are livestock related constraints. The seasonal ‘price scissors effect’ between grain and livestock further aggravates crop failure. This is demonstrated by the fact that in the (normal) ‘hungry season’, it takes three times as many animals to buy a bag of grain than in the harvest season. At the same time, when crops fail, grain prices increase rapidly, while livestock prices fall. Under those conditions more animals are needed to buy a bag of grain. Hall et al., 2001, state that this farming system has not been seriously affected by a withdrawal of the public sector (imposed by SAPs) from seed and fertillizer supply and crop marketing. The reason is that public extension services were quite unre-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 157

Chapter 8 Monitoring Intervention Strategies in Farming Systems sponsive to the need of resource-poor farmers, often promoting packages that were too risky and costly for the growing of crops under semi-arid (and therefore risky) conditions (Hall et al., 2001, p. 68).

of India, Pakistan and Afghanistan, with less than 120 growing days, contain large areas of desert and support a low population. TABLE 8.9. SAS - Land area and population. a

8.4 South Asia 8.4.1 Characteristics of the region The eight countries included in this region are stated in Appendix 6 (see page 225). The basic data stated in Table 8.9 below are indicative for the region as a whole for the year 2002. Here, 214 million ha, or 45% of the total land area of 478 million were under annual cultivation. This remained virtually constant at some 44-45% during the decade from 1991-2002. In this region, the pasture and permanent land amounts to some 49 million ha in 2002, or 10% of the total land area of 478 million ha. The total population of the region, at 1,436 million, is more than 25% of the population of the developing world. The density of the rural population at 2.16 persons per ha, is higher than in any other developing region. A large proportion of the land comprises inhospitable terrain, concentrating the high population on 45% of the land area. This situation leads to severe pressure on natural resources in many areas. Basic information regarding the agroecological zones for this region is presented in Table 8.10 (see page 159). The monsoon rains benefit the humid or moist-humid lowlands, providing a growing season of more than 180 days per year. These areas in India, Bangladesh and Sri Lanka contain much alluvial soil. A high proportion of this land in under intensive rice cultivation and supports a dense population. The semi-arid and arid lowlands

Land area, ha in millions for year 2002 ha

%

Land area total

478

100

Agricultural land

263

55

Agric. and permanent

214

45

Pasture and permanent Non-arable and np

49

10

264

55

Population in millions for year 2003 People

%

Total

1,436

100

Rural

1,033

72

760

53

Agricultural

a. Source FAOSTAT - see Table 2.1 on page 23 for populations and Table 2.4 on page 28 for land area. See Glossary for definitions of ‘Land area’ and ‘Annual and permanent crop land/cultivated area’. np = non permanent.

The region as a whole contains some 74 million ha of forest, or 15-16% of the total land area, and 49 million ha (10%) of grazing land and some 214 million ha (45%) of cultivated land and permanent crops. This total area of 263 million ha, support a rural population of 1,033 million, or 0.255 ha per capita. As the total population, standing at 1,436 million in 2003 (Table 8.9) is expected to increase to 1,672 million by 2015, and 1,969.5 million by 2030 and to 2,258 million by 2050, the situation is not encouraging. The area under forest is important for the maintenance of fresh water resources. Its reduction in regions, such as for example Burundi, is of concern.

158 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia The fact that the fresh water resources are relatively scarce, further aggravates TABLE 8.10.

the situation (Bruinsma, 2003, Appendix 3).

Agro-ecological zones in South Asia. a % of land area

% of total population

Steeply sloping hills and mountains

20

5

In all of the eight countries; mainly along the southern slopes of the Himalayan range, across India, Bhutan, Nepal, Pakistan and Afghanistan.

Humid or moist sub-humid lowland

19

43

Bangladesh and along the northeastern, eastern and southern fringes of India, as well as the centre, west and south of Sri Lanka; at least 180 growing days per year.

Dry sub-humid

29

33

Deccan Plateau in central India; 120-179 growing days per year.

Semi-arid and arid lowland

32

19

Northwest India, most of Pakistan and Afghanistan; less than 120 growing days per year.

Zone

Location

a. Source: From Hall et al., Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World, FAO and World Bank, Rome and Washington D.C., 2001, pages 169, 170. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

As indicated in Table 8.9, the majority of the population of the region live in rural areas (72%). Hall et al., 2001, point out that, although there has been an improvement in food security during the last 30 years, the FAO estimates that some 254 million people remain undernourished (Hall et al., 2001, p. 170). The HDI records an index of 0.628 for the region, compared with 0.774 for middle income countries (UNDP, 2005, Human Development Report, Table 1, p. 222). As shown in Appendix 2 (see page 219), only Sri Lanka (and the Maldives) have reached the level of lower middle income countries, at PPP$3,740 (in 2003), whilst the average for the region (eight countries) at that year stood at PPP$2,640. (World Bank, 2005, World Development Indicators, Table 1).

and development of other sectors of the economy. This is most evident in India and Pakistan, being 27 and 24.6% of GDP, respectively (Hall et al., 2001, pp. 169171). 8.4.2 Farming systems in SAS Hall et al., 2001, p. 124 identity eleven major farming systems, describing their main characteristics, including principal livelihoods and prevalence of poverty (see Table 8.11 on page 160). As most of the poor people in the region live in four of these systems, Hall et al., 2001, p. 186 selected those four systems for closer analysis. Criteria used by them are based on agricultural population, the incidence of poverty, and an apparent potential for agricultural growth and reduction of poverty in the three decades after 2001.

Farming in the area produced resources as surpluses which supported the growth

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 159

Chapter 8 Monitoring Intervention Strategies in Farming Systems

TABLE 8.11.

Major farming systems in South Asia. a Land area of specific region

Agric. pop. of specific region

%

ha m

Principal livelihoods

Prevalence of poverty

Rice

7

36

17

130

Wetland rice (both seasons), vegetables, legumes, off-farm activities

Extensive

Coastal artisanal fishing

1

5

2

18

Fishing, coconuts, rice, legumes, livestock

Moderate - extensive

Rice-wheat

19

97

33

254

Irrigated rice, wheat, vegetables, livestock including dairy, offfarm activities

Moderate - extensive

Highland mixed

12

65

7

53

Cereals, livestock, horticulture, seasonal migration

Moderate - extensive

Rainfed mixed

29

147

30

226

Cereals, legumes, fodder crops, livestock, offfarm activities

Extensive (severity varies seasonally)

4

18

4

30

Coarse cereals, irrigated cereals, legumes, off-farm activities

Moderate

Pastoral

11

55

3

21

Livestock, irrigated cropping, migration

Moderate - extensive (especially drought induced)

Sparse (arid)

11

57

1

9.6

Livestock where seasonal moisture permits

Moderate - extensive (especially drought induced)

7

34

0.4

2.8

Summer grazing of livestock

Moderate (especially in remote areas)

Dispersed

3

1

7

Export of agro-industrial crops, cereals, wage labour

Moderate (mainly of agricultural workers)

1

11

Horticulture, dairying, poultry, other activities

Moderate

Farming system

Dry rainfed

Sparse (mountain) Tree crop

Urban based

<1

%

m

a. Source: From Hall et al., Farming Systems and Poverty, Improving Farmers’Livelihoods in a Changing World, FAO and World Bank, Rome and Washington D.C., 2001, page 174. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

160 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia Region-wide trends in SAS

The selected systems are:

• • • •

Rice farming system

• Population

Rice-wheat farming system

According to Bruinsma, 2003, Table 1, page 385, the population of some 1,282.9 million (m) in 1997-99 is expected to increase to 1,672.0 million by 2015, and to 1,969.5 million and 2,258.0 million by 2030 and 2050 respectively. This represents an increase of 76% by 2050 over the base years 1997-99.

Rainfed mixed farming system Highland mixed farming system

However, again following Hall et al., 2001, it is necessary first to broadly discuss the region-wide trends in South Asia.

TABLE 8.12.

Undernourished people in SAS and AFR. a

Millions, as from 1999, based on the 1996 World Food Summit projections In South Asia Total population Incidence of undernourishment

In Sub-Saharan Africa

1990-92 1,111.5 289

1990-92

Total population Incidence of undernourishment

26%

480 168

1997-99 1,282.9 303

1997-99

194

2030

1,672.0 24%

574.2 35%

2015

195

12%

2015

205

6%

2030

882.7 34%

1,969.5 119

1,229.0 23%

183

15%

a. Source: From Bruinsma, J. (ed.) World Agriculture: Towards 2015/2030, An FAO Perspective. Earthscan, 2003, Table 2.3, page 33 and Appendix 3, Table AI, pp. 384-386. © 2003 Food and Agriculture Organization of the United Nations. Used with permission.

Hall et al., 2001, p. 178 state that rapid urbanization and off-farm employment is expected to be an important factor in this significant change. In connection with this mobility, on-farm more extensive production systems, requiring less labour, such as wet rice and paddy (see Figure 8.3 on page 169) cultivation, rather than the cultivation of cotton, may become necessary to make time available for more costeffective work off-farm. More mechanization may be another aspect, also reflecting an increased asset position on the (small) farms and an increased area of land per worker. Women,

already important for the maintenance of the household, which includes onfarm work, may assume increasing responsibility for the management and operation of farms.

• Hunger (also re AFR) Bruinsma in his Table 2.3 shows that South Asia (SAS) and Sub-Saharan Africa (AFR) are the two world development regions with the highest incidence of undernourishment expressed as a percentage of population. AFR registered an increase in absolute numbers affected for the period 1990/921997/99 (Table 8.12).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 161

Chapter 8 Monitoring Intervention Strategies in Farming Systems That the absolute number of undernourished people in both these WDRs

continued to increase for the time span from 1990 to 1999 is not encouraging.

Changes in the commodity composition of food consumption (kg/person/ year) in SAS and AFR. a TABLE 8.13.

SAS

Cereals, food

AFR

1997-99

2015

2030

1997-99

2015

2030

163

177

183

123

131

141

Roots and tubers

22

27

30

194

199

202

Sugar (raw sugar equivalent)

27

30

32

10

11

13

Pulses, dry

11

9

8

9

10

11

Vegetable oils, oilseeds and products (oil eq.)

8

12

14

9

11

12

Meat (carcass weight)

5

8

12

9

11

13

68

88

107

29

31

34

Milk and dairy, excl. butter (fresh milk eq.) Other food (kcal/person/day)

129

150

160

126

135

145

Total food (kcal/person/day)

2,403

2,700

2,900

2,195

2,360

2,540

a. Source: From Bruinsma, J. (ed.) World Agriculture: Towards 2015/2030, An FAO Perspective. Earthscan, 2003, Table 2.8, page 55. © 2003 Food and Agriculture Organization of the United Nations. Used with permission.

Due to the rapidly increasing total populations of both regions, it seems doubtful that the targets of reducing the absolute number of undernourished people, set by the World Food Summit in 1996 shown in Table 8.12 will be met (Bruinsma, 2003, pp. 32, 41). As far as SAS is concerned, the number of undernourished people stood at 303 million as an average for the period 1997-99, or 24% of the population. This is projected to decline to 195 million by 2015 and 119 million by 2030, or to 12 and 6% of the total population respectively. The average food intake per person per day in the SAS region was estimated to be 2,403 kcal per person per day for 1997-99. This is projected to increase to 2,700 and 2,900 kcal per person per day by 2015 and 2030

respectively. For AFR these numbers are 2,195 for 1997-99, 2,360 and 2,540 per person per day for 2015 and 2030 respectively (Bruinsma, 2003, Table 2.1, p. 30) (see Table 8.13). The data given in Table 8.14 below put this in a world context. This regional picture indicates that Sub-Saharan Africa, excluding Nigeria (where significant progress was made), failed to make progress in raising food consumption. Of the 12 countries with a population of over 15 million, the latest 5-year average (1995-1999) shows that the food consumption for most is lower than in the past. For some in fact much lower, namely the Democratic Republic of the Congo, Madagascar, Côte d’Ivoire, Kenya and the United Republic of Tanzania. Amongst these 12 larger countries, Nigeria, Ghana

162 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia and the Sudan achieved higher levels now than previous 5-year averages.

figures for Sri Lanka are better at 7.6% (<$1 per day) and 50.7% (<$2 per day), but in the same overall range Nepal records 37.7% and 82.5%, Pakistan 13.4% and 65.6% and Bangladesh 36.0 and 82.8% (World Bank, World Development Indicators, 2005, Table 2.5, page 67).

• Poverty (also re AFR) The poverty levels in both these regions are high. Some details are stated in Table 8.15 below. There is some indication of slow but reasonably encouraging progress in SAS. The TABLE 8.14.

Worldwide per capita food consumption (kcal/person/day). a,b

World

1964-66

1974-76

1984-86

1997-99

2,358

2,435

2,655

2,803

2015 2,940

2030 3,050

Developing countries

2,054

2,152

2,450

2,681

2,850

2,980

Developing countries (excluding China)

2,104

2,197

2,381

2,549

2,740

2,900

Sub-Saharan Africa

2,058

2,079

2,057

2,195

2,360

2,540

Sub-Saharan Africa (excluding Nigeria)

2,037

2,076

2,057

2,052

2 ,30

2,420

Near East/North Africa

2,290

2,591

2,953

3,006

3,090

3,170

Latin America and the Caribbean

2,393

2,546

2,689

2,824

2,980

3,140

South Asia

2,017

1,986

2,205

2,403

2,700

2,900

East Asia

1,957

2,105

2,559

2,921

3,060

3,190

East Asia (excluding China)

1,988

2,222

2,431

2,685

2,830

2,980

Industrial countries

2,947

3,065

3,206

3,380

3,440

3,500

a. Source: From Bruinsma, J. (ed.) World Agriculture: Towards 2015/2030, An FAO Perspective. Earthscan, 2003, Table 2.1, page 30. © FAO 2003 Food and Agriculture Organization of the United Nations. Used with permission. b. For a list of countries included in regions, see Appendix 6.

Natural resources and climate As shown in Table 8.9 (see page 158), the area under permanent cultivation and permanent crops in the region of SAS is estimated at 214 million ha, or 45% of the total land area. As shown in that table, additional land could come from the ‘nonarable and non-permanent’ section. However, this would involve considerable investment and forgo some production from forests.

In this situation of population pressure on available land, it is disturbing that soil erosion in highlands and rainfed watersheds, already widespread, is made worse by overgrazing and the loss of nutrients from crop land. Soil degradation, due to overgrazing has occurred in areas of mixed and pastoral farming systems (Hall et al., 2001, p. 179). Slowly increasing, or stagnating yields in the intensive rice and rice-wheat farming systems are attributable to deteriorating soil physical condi-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 163

Chapter 8 Monitoring Intervention Strategies in Farming Systems tions (structure and texture) and declining organic matter contents. Over-reliance on nitrogen fertilization and a relative neglect of other major nutrients (potassium and TABLE 8.15.

phosphates) is an important factor. Nonattention to micro-nutrients and a declining use of animal manure do not help (Tran and Nguyen, 2001).

Poverty levels in SAS and AFR. a,b

People living on less than $1 PPP a day (millions) Region

Percentages of total population

1993

1996

1999

2001

1993

1996

1999

2001

South Asia

476

461

429

431

40.1

36.6

32.2

31.3

Sub-Saharan Africa

242

271

294

313

44.0

45.6

45.7

46.4

People living on less than $2 PPP a day (millions)

Percentage of total population

Region

1993

1996

1999

2001

South Asia

1,005

1,029

1,039

1,064

84.5

81.7

78.1

77.2

410

447

489

516

74.6

75.1

76.1

76.6

Sub-Saharan Africa

1993

1996

1999

2001

a. Source: International Bank for Reconstruction and Development / The World Bank: World Development Indicators, © 2005. Table 2.5, page 67. b. Due to difficulty in data collection and variation in data qualtiy, the statistics in this table are indicative only.

The geographic distribution of rather scarce water resources has dominated the development of the farming systems in the region. More emphasis on improving irrigation schemes and water use efficiency may be necessary. To achieve this, users, through participatory management and/or transfer of ownership to them, may be encouraged to improve the design of operating systems, as well as the all important aspect of good drainage. Better conservation and use of rainfall by means of improved water storage, as well as conjunctive use of groundwater, appears to have considerable potential (Hall et al., 2001, p. 179). On-farm activities, such as mulching, can improve the conservation of water. It is quite alarming that groundwater in some locations of the intensive rice and rice-wheat farming systems is scarce to

the extent that tube wells can be used to a limited degree only. Due to overdraught it is estimated that as much as one third of the irrigation blocks in these farming systems will be over exploited by 2020, subject to present rates of increase of overdraught continuing (Hall et al., 2001, p. 179). Limited availability of ground as well as of surface water for crop and livestock production also will hinder the rainfed mixed and pastoral farming systems. Increased demand from urban and industrial users of water will put agriculture at a disadvantage, except perhaps for high value crops. This limited availability of good arable land and water under an overall picture of population pressure puts forest resources under threat throughout the region. There appears, however, to be growing realiza-

164 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia tion that forest communities have to be fully involved in forest management, if, potentially disastrous, deforestation is to be halted. Much effort will have to be devoted to making the local people more aware of the value of their local forests. TABLE 8.16.

Investment in this aspect will benefit not only local communities, but also society at large. The creation of village forest committees in parts of India is an encouraging example (Hall et al., 2001, pp. 179, 180).

Trends in outputs of main crops in South Asia, 1970-2000. a

Crops, area, yield and production, year 2000

Average annual change 1997-2000 (%)

Harvested ( m ha)

Yield (t/ha)

Production (m tons)

Area

Yield

Production

Rice

60

3.1

184

0.5

2.0

2.5

Wheat

39

2.5

98

1.4

2.8

4.3

Millet

13

0.8

10

-1.7

0.7

-1.0

Sorghum

11

0.9

10

-1.6

0.7

0.5

Crops

Maize

8

1.7

14

0.4

1.0

4.6

Pulses

27

0.6

15

0.3

0.2

0.5

Oil crops

42

0.2

10

1.3

1.4

2.6

Vegetables

8

10.7

71

1.7

1.2

3.0

Fruits

3

1.3

40

3.0

1.2

3.0

a. Source: FAOSTAT.

Science and technology Although agricultural research has been strengthened much as a result of the organization of the National Agricultural Research Systems (NARS), increasing demand, coupled with changing consumer preferences and degrading resources in the region, continue to bring new challenges to the NARS. They say that, in order to meet these challenges, increasingly complex and diversified technologies will be required. The resource-poor small farmer is expected to remain the focus of publicfunded agricultural research. Many topics of specific interest to such farmers, such as how to improve low-input crop husbandry practices (minimum tillage, cost effectiveness) and how to minimize pro-

duction risks, need to be an integral part of that research focus. Partly as a result of the green revolution yields of paddy (wet) rice has increased by an average of almost 2% per year during the period 1997-2000. This has led to a production increase of some 2.5% over the last three decades to 184 million tonnes. This trend is expected to continue to 2030 (Hall et al., 2001, p. 181, 182). Wheat production in the past few decades has demonstrated the strongest increase amongst the cereals, with increases in yield of almost three percent per year, whilst land area under this crop increased by as much as 1.4% per year. This resulted in an overall increase in production of more than 250% to almost 100 million tonnes. This trend is also expected

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 165

Chapter 8 Monitoring Intervention Strategies in Farming Systems to continue to 2030. However, areas harvested for coarse grains, such as millet and sorghum have declined in the past few decades. Small increases in yield have prevented absolute reduction in outputs for these crops. Fruits and vegetables, due to diversification of traditional cultivation patterns, similar to oil crops and wheat, have succeeded in achieving considerable production increases. Expansion in harvested areas has contributed to this to a significant extent. When considering growing demand from urban areas, in conjunction with improved infrastructure as demonstrated in better marketing and processing facilities, the potential of further increases in these fields is encouraging (Hall et al., 2001, pp. 181, 182). See also Table 8.16. In contrast to this generally encouraging picture for food crops, livestock production and consumption showed only moderate changes. Cultural factors influence livestock production and consumption and this has resulted in no more than moderate changes in the number of cattle, from some 230 million head in 1970 to 277 million head in 2000, representing an annual growth rate of about 0.6% over that time-span. Buffalo numbers have increased faster, to the annual rate of 1.9% over that period (Hall et al., 2001, p. 183). However, to meet urban demand intensive and large scale production of poultry has developed and this showed a strong increase at some 3.8% per year throughout the region, to reach about 742 million head by 2000. As a result of apparent improved production efficiency in recent decades, dairy output, as expressed in meat and milk, rose rapidly, the former by about 3.2% and the latter by an average of 4.2%

throughout that period of time, notwithstanding the moderate increases in numbers of cattle and buffalo. Increasing standards of living, expressed in rising incomes, the consumption of poultry meat and eggs, as well as sheep and goat meat, are expected to continue driving this rapid expansion (Hall et al., 2001, pp. 180-183).

Trade liberalization and market development Potentially this shows an encouraging picture for agriculture in the region and rural development in general. Some aspects are given below.

• Competition Intensified external competition for markets in basic staples such as rice, which, to an extent results from increasing opportunities for export, tends to promote diversification in almost all farming systems. SAS, having a dominant position in niche markets such as that for mango and cashew products, could develop a range of other competitive fruits. Due to markets overseas, created by the popularity of regional cuisine among expatriate South Asians, there is a potential for growth in processed foods. Advances in packaging and transport facilities are likely to stimulate exports to western markets of perishables, such as fresh breads and curries at competitive prices.

• Markets Expanding urban markets are likely to promote urban agriculture. The consumption of dairy produce, poultry products and lamb and goat consumption, is expected to increase quite rapidly. Vegetable and vegetable oil production also will expand. Remit-

166 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia tances from overseas work may well flow into agriculture and rural investment (Hall et al., 2001, p. 184).

Policies, institutions and public goods The quite optimistic picture painted in the foregoing paragraphs is constrained by the lack of infrastructure, especially the lack of roads in remote and sparsely populated areas. This increases the transport costs for needed resources (input) as well as for marketed products (output). Also the lack of health and educational services affect labour productivity adversely. From a poverty alleviation point of view, as most of the poor live in rural areas, it seems necessary to promote institutions (see Glossary), which value and indeed favour the rural and agricultural sectors, rather than the often politically more powerful urban areas and the manufacturing sector. In this context the accessibility of health and educational institutions to people who live in often (as yet) isolated areas, requires specific attention. The empowerment of rural communities, through decentralization, might assist in enabling them to ensure that such local institutions perform effectively. This is a change which appears under way, but will take time. Given the often close relationship between local communities and politicians, implementation of any such change needs to be monitored closely by the local community. The growing role of women in local council and district-level decision making is an important result of this decentralization. Due to inadequate land records in some areas, larger farmers have found ways to consolidate their holdings and this has limited the impact of the changes (Hall et al., 2001, pp. 184, 185).

Information and human capital To achieve the transformation required by the Millennium Development Goals (see page 227) by 2030, not only that the majority of farm households will have to be literate (seems achievable), but ongoing investment in education, as an institution of major relevance, will be needed. This is essential to equip workers with the skills to move to the off-farm economy, but most importantly, to ensure that those remaining in agriculture (so necessary from the food security point of view), will be ready to manage the emerging knowledge-based farming systems. Efficiency and productivity will have to be raised. Hall et al., 2001, p. 185, suggest that this kind of raised human capital would underpin the development of small-scale rural industry. An improved flow of information to farmers will be needed if knowledgebased commercial farming is to be successful. Support services involved with new technologies and markets will form an essential part in this. Conditions appear to be set for an information revolution to occur in this region, underpinned by the general availability of market information. Hopefully dissemination of technical information through multiple channels, such as cellular telephone communications, will redefine the role of agricultural extension (Hall et al., 2001, pp. 185-186). 8.4.3 A closer look at a selection of farming systems in SAS The following observations are based on Hall et al., 2001, pp. 187-204. Based on criteria for agricultural population, incidence of poverty, potential for agricultural growth and poverty reduction up to 2030, they selected four farming systems in this WDR of SAS for examination of strategic

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 167

Chapter 8 Monitoring Intervention Strategies in Farming Systems preferences. Main points are summarized in Table 8.17. TABLE 8.17.

A selection of main farming systems in South Asia. a

AEZ

Cult. area (m ha)

% Cult. / total area

Irrig. area (m ha )

Cattle pop. (m)

Humid

22

61.1

10

51

97

Dry subhumid

62

63.9

48

119

53

65

Moist subhumid

19

29.2

3

45

226

147

Dry subhumid

87

59.2

14

126

Total pop. (m)

Agric pop. (m)

Total area (m ha)

Rice farming system

263

130

36

Rice-wheat farming system

484

254

Highland mixed farming system

82

Rainfed mixed farming system

371

Farming system

a. Source: From Hall et al., Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World, FAO and World Bank, Rome and Washington D.C., 2001, pp. 187-204. © 2001 Food and Agriculture Organization of the United Nations. Used with permission

In terms of cultivated area, the most important are the rice-wheat farming system and the rainfed mixed farming system, both located in the dry sub-humid agro-ecological zone (also see Table 8.8 on page 149).

Rice farming system in SAS Characteristics. At 36 million ha, this farming system covers some 7.5% of the land area of 478 million ha (Table 8.17). At 22 million ha, some 61% of the area under this system is cultivated. Hall et al., 2001, pp. 186-188 explain that this system covers much of the wetland rice area. In this paddi system farmers or sharecroppers tend to cultivate their own land. Tenants and sharecroppers farm small areas, of 0.3 to 1 ha, with a limited number of medium to relatively large owner-operated farms, which may be 4 to 10 ha or more.

Supplementary irrigation may be required in the monsoon season, whilst full irrigation is necessary in the dry season. As most of these areas are close to urban areas (markets), off-farm employment, induced by the limited resource base of these farms, is common. As rice, as a food staple is very important, whilst access to these farms may be relatively easy, extension services are well developed. As much as three harvests per year require almost continuous paddy cropping. This labour intensive work leaves limited fodder resources to support ruminants, except for paddy straw. These ruminants include milk and draught animals, buffalo and in the drier areas, oxen. Notwithstanding these limitations, the system contains a significant proportion of the region’s cattle. Close to large urban

168 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia

FIGURE 8.3. Rice paddies in valleys on Java (Photo HB).

areas, the sale of milk supports dairy cattle. The wetland rice areas (black) occur in southern Bangladesh and South Punjab, as well as in coastal zones of Tamil Nadu and Kerala, the wet zone and some irrigated parts of Sri Lanka (Figure 8.4). But much diversity occurs, with a transition to the rice-wheat system in northern areas of Bangladesh and in the Bihar State.

Households are inclined to depend on a limited crop income. This, however, is vulnerable to fluctuating yields. Failure to find work in the neighbourhood is a major source of insecurity. Institutions such as health care and employment guarantee schemes generally do not function with sufficient effectiveness, adding to this overall insecurity for the small farmer community (Hall et al., 2001, pp. 186188).

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 169

Chapter 8 Monitoring Intervention Strategies in Farming Systems

1. Rice. 2. Coastal artisanal fishing. 3. Rice-wheat. 4. Highland mixed. 5. Rainfed mixed. 6. Dry rainfed. 7. Pastoral. 8. Sparse (arid). 9. Sparse (mountain). FIGURE 8.4. Major farming systems in SAS. From Hall et al., 2001, p. 171 © 2001 Food and

Agricultural Organization of the United Nations. Used with permission

Trends and issues in the rice farming system. Hall et al., 2001, pp.188, 189 report that due to population increase and the loss of land to urban expansion

land availability is expected to decrease. Land degradation, soil erosion and salinization add seriously to the problem of lack of food security, made even worse

170 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia due to increasing water scarcity in agriculture. The latter is due to ever increasing demands from domestic and industrial sectors. It is encouraging that the education level of both men and women is expected to increase with a more widespread use of existing and new hybrid rice varieties. Parallel to this, intensive pressure on land will reduce the availability of fodder for draught animals and promote the use of two wheel tractors, also for local transportation. Increasing labour costs will further tend to promote mechanization of farm operations such as sowing, weeding and threshing, which, however, points to declining profitability of rice production on these small-scale farms. Declining terms of trade will tend to bring about diversification to include dairying and aquaculture. This, together with population pressure, tends to force male farm household members to seek to increase their income from off-farm sources. This in turn involves an increased burden of farm work for the women in the household. There is a chance that on average there may be some slow improvement in household food security and some reduction in poverty. This could follow some improvement in public infrastructure and other institutional empowerment. Especially transport, educational and health facilities may well improve. Decentralization of decision-making to the district and local levels will play a significant part in this. Stronger farmer organizations and the empowerment of women are important in this regard. With respect to the latter, the enforcement of the one-third quota of women in local office, will increasingly

take note of the need for women. Due to declining budgets for agricultural research and extension in the public sector, the private sector, farmers’ organizations and technology sharing are expected to play an increasingly important role.

Micro-finance. The introduction of the instrument of micro-finance (see Glossary) has played a successful role in many cases in supporting farmers’ communities with the acquisition of finance to support their activities. It seems likely that there will be more seasonal and permanent outmigration, accompanied by some growth in the off-farm rural economy. In summary one might say that the evolution of the system is driven by low and declining paddy prices, the effect of which is enforced by increasing labour costs. This results in lower use of fertillizer and declining yields and rice production. Sometimes this aspect is made worse by governments to keep rice prices low to meet the demands of urban populations. Price controls and monopoly purchases were then used as means to achieve this. Subsidies on fertilizers, irrigation and other inputs offset these effects to a degree (Hall et al., 2001, pp. 188, 189).

Rice-wheat farming system in SAS Characteristics. At 97 million ha, this farming system covers some 20% of the land area of 478 million ha (see Table 8.17 on page 168). At 62 million ha, some 64% of the area under this system is cultivated. As shown in Figure 8.4, this system (3) occupies a swathe of land from northern Pakistan through the Indo-Gangetic plain, including the Terai of Nepal and the Gangetic plain in Uttar Pradesh, Bihar and West Bengal, to end in northwest Bangladesh. Hall et al. 2001, pp. 192, 193, state

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 171

Chapter 8 Monitoring Intervention Strategies in Farming Systems that characteristic for the system is a ‘summer’ (monsoon-season) wetland rice crop and a ‘winter’ (cool, dry season) wheat crop, sometimes followed by a ‘spring’ vegetable crop. In this farming system, the occurrence of poverty and food insecurity among sharecroppers and landless agricultural workers is widespread. Some form of irrigation tends to support the system. Livestock, although more common than in the rice farming system, often are made up of large cattle herds, owned by landlords or business men. The cattle feed on stubble after harvest, to return to wastelands or uplands during the crop season. Technical progress, such as is evident in improved varieties of rice as well as of wheat, combined with the use of irrigation and fertilizer, resulted in increased production. Unfortunately recently stagnant or declining yields of the system have occurred. These are the subject of a research programme by the Rice-Wheat Consortium (RWC) for the Indo-Gangetic Plains. As a result of that work, introduction of minimum tillage has enabled the small farmer to minimize the time from rice harvest to wheat sowing, thereby enabling him (her) to benefit more from the soil moisture remaining after the monsoon rains, resulting in production increases. In addition the reduction in the use of fuel lessens the (financial) burden on the farm household (RWC report 1995). However, the western areas of the system in Pakistan usually have fewer animals and more use of machinery. Hall et al., 2001, p. 193, report that the system in these areas, which are not located in flood-prone districts, vulnerability is due to price variation, crop pests and inability to earn sufficient off-farm income.

The difficulty for this farming system is that wheat sowing must follow immediately after the rice harvest if wheat yields are to be at all satisfactory. This problem has become more pronounced with the expansion of the system into areas where groundwater is more difficult to obtain. This means that farmers have to wait and transplant at the onset of the monsoon, thereby losing the advantage of the ‘cool, dry’ season. Traditional varieties are more adaptable to drier conditions, but these are slow maturing. As a result, too often wheat is sown late, thus depressing yield due to the by that time high temperatures affecting plants as they set seed (Hall et al., 2001, pp. 192, 193).

Trends and issues in the rice-wheat farming system in SAS. Due to permanent and seasonal out-migration of young people, it is likely that the average farm size will not decrease. The pattern of producing rice and wheat on the same farm may become more important, as, through its diversity it provides some protection against crop failure. Due to urban growth, land close to the urban centres will increase further in value and it may well be that absentee ownership will increase. The practice of sharecropping, which is based on a traditional and largely invariable operating system, within which it is difficult, if not impossible, to promote innovation, will come under pressure. The decline in soil productivity, due to excessive reliance on faulty application of mineral fertilizer, may have been halted to an extent as a result of improved methods of soil preparation, e.g. minimum tillage. The build-up of soil salinity and sodicity in the dry, western areas of this farming system, has been caused by poor water management.

172 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia

FIGURE 8.5. Accessible but hilly area near Kandi, Sri Lanka, with intensive use for the

production of vegetables. Photo HB.

Rapid expansion of the number of tube wells in some areas such as western and central Uttar Pradesh to millions of private well owners, has contributed to this. Conventional regulation through licensing and monitoring were shown to be ineffective. As exploited aquifers are depleted and degraded, groundwater dependent irrigation farmers have to convert, sometimes to the full extent, to rainfed farming, with an increase in mechanization (primary tillage) and a disappearance of draught oxen. The enterprise pattern is shifting to more dairy, feed grains, crop by-products and where major urban markets are near, large scale. industrial poultry production. Notwithstanding these difficulties, food security and higher household incomes are expected to be achieved by most farmers by the year 2030. Improved infrastructure as seen by better roads may become evi-

dent. Decentralization may lead to better governance with women obtaining an improved role in local governance. Farmers’ organizations may be strengthened and a modest growth in the off-farm rural economy is foreseen (Hall et al., 2001, pp. 194, 195).

Highland mixed farming system Characteristics. At 65 million ha, this farming system covers some 13-14% of the land area of 478 million ha (see Table 8.17 on page 168). At 19 million ha, some 29% of the area under this system is cultivated. Hall et al., 2001, pp. 197, 198 report that this system is concerned with the cultivation of a number of cereals, legumes, tubers, fodder, fodder trees and livestock. With regard to the latter, the bovine population amounts to some 45 million head.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 173

Chapter 8 Monitoring Intervention Strategies in Farming Systems As indicated in Figure 8.4 (see page 170), the system (4) stretches in a long narrow band over upland areas of Pakistan, India, Nepal and Bangladesh and a small area in central Sri Lanka. Mineral fertilizers are costly, or unavailable in the remote areas, the flow of nutrients to cultivated land is limited to a supply from grazing cattle, or from the cutting of fodder trees from woodland areas, located higher up. In more accessible areas, successful vegetable production, such as potatoes, can result in an intensive system of commercial production. The area in central Sri Lanka, near Kandi (see page 173) with good infrastructure in the form of roads leading to urban demand, is a good example of this. Another example is in the hills of Himachal Pradesh, where sizeable apple orchards can be found. Ruminant livestock, providing milk, draught power, manure and cash income, have an important place in this farming system. The communities living in these areas, tended to practise shifting agriculture, mostly as tribal societies, which now, however, have adopted a more permanent form of agriculture. Hall et al., 2001, p. 198 report that “the most important issue overall is the ever-increasing population pressure, caused both by reduced mortality rates and by immigration by ‘lowlanders’, which can make the already fragile system unsustainable”.

Trends and issues in the highland mixed farming system in SAS. Here population pressure and the need to cultivate land have led to continuous cultivation on steep slopes, often with thin or poor soils. A lack of agricultural extension assistance had meant that agriculture

has not improved. Impoverishment has been the result, aggravated by poor soil and water conservation. Women have to walk ever further for their water and firewood; “erosion and the decline of soil fertility can pose grave threats to household survival” (Hall et al., 2001, p. 198). Young people often leave to find work, resulting in an ageing local population. The move from shifting to sedentary cultivation has brought the issue of land tenure to the fore, most families having settled on common land or within forest boundaries. Families become a law unto themselves, social cohesion being absent or poor, as is the normal hierarchy of village councils or headmen. Individual land ownership disputes are difficult to resolve, whilst agreement on the use and management of common land often cannot be found. This lack of social capital stands in the way of development, essential if improved technology, land use guidelines and the application of soil and water conservation methods are to be accepted and used. Small areas of cash crop or livestock production have provided a basis for improvement in the whole of the farming system. The fruit areas near Kandi in Sri Lanka, the apple orchards in Himachal Pradesh, citrus in eastern Nepal, virus-free potato planting material in Pakistan and vegetable seed in Nepal are quoted as examples. Production in these examples was associated with well-organized collection and marketing, founded on sound technical and marketing information. Milk production has expanded, often as a result of improved access. The private sector often is involved (Hall et al., 2001, pp. 198, 199).

174 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

South Asia Rainfed mixed farming system Characteristics. At 147 million ha, this farming system covers some 30% of the land area of 478 million ha (see Table 8.17 on page 168). At 87 million ha, some 59% of the area under this system is cultivated. The system is located virtually entirely in central and southern India with a small area in Sri Lanka (see Figure 8.4 on page 170). The system (5) in many small areas is supported by irrigation from (storage) ‘tanks’, reducing vulnerability to drought. This has been further enlarged by the use of tube-wells. As the system is mostly dependent on rainfall, it is exposed to a relatively high level of risk, making the introduction of new technology difficult. In the cooler northern areas of the system, wheat, barley, vegetables and fodder crops are produced. In the warmer areas of southern India, maize, sorghum, finger millet, vegetables, chickpea, pigeon pea, green and black gram and groundnuts are more the custom. Some small areas may produce soybean, rapeseed, chilli, onions and sesTABLE 8.18.

ame, mainly as cash crops. Where irrigation is available, double cropping may be practised. The largest share of cattle, sheep and goats is supported by the farming system, generally providing the main part of the family’s cash income. As most areas are too remote for commercial milk production, this income derives from the sale of adult animals or young stock. With improving infrastructure in some areas, dairy production is taking on a bigger role. The area covered by the system is larger than that covered by the rice-wheat farming system (see Table 8.17 on page 168), but because of its heavy reliance on rainfed cropping, a much lower population density is supported (Table 8.18). Chronic poverty, of which seasonal vulnerability is critical to livelihoods, results in subsistence agriculture. In addition to this, infrastructure in the area is poor, aggravated by remoteness from markets. Agricultural extension services tend to be weak and farmers employ traditional production methods.

Population densities compared. a Total pop. (m)

Total area ha (m)

Pop. density

Rice-wheat

484

97

4.99

Rainfed mixed

371

147

2.52

Farming system

a. From Hall et al., Farming Systems and Poverty, Improving Farmers’ Livelihoods in a Changing World, FAO and World Bank, Rome and Washington D.C., pp. 192, 201. © 2001 Food and Agriculture Organization of the United Nations. Used with permission.

Additionally, land tenure is often an issue, putting farmers in a position of disadvantage when it comes to acquiring credit on money markets.

Trends and issues in the rainfed mixed farming system in SAS. Even though access to markets is difficult, enterprise patterns in the system have been changing. Market forces drive the system to become more commercial, with

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 175

Chapter 8 Monitoring Intervention Strategies in Farming Systems some increase in the use of external inputs and mechanization. Vegetable and dairy production may expand further. Oil seed production benefits from subsidies. However as agriculture and urban demands expand, pressure on water resources will increase. Soil fertility may decline and land degradation, again due to population pressure, may well increase further. Owing to improved access to markets, livestock productivity, aided by stall feeding, is expected to increase. On balance household food security may improve, although in drought years there is likely to be a shortage of food.

Some improvement in transport facilities and social services is likely. In the face of reducing public agricultural research and extension services, farmer organizations will take on more of these services. The role of women may be strengthened in some areas.

176 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 9

Small-scale and Subsistence Farmers’ Households and Selected Farming Systems 9.1 Typical households 9.1.1 Some households in SubSaharan Africa (AFR) The following describes households in some of the farming systems discussed in Chapter 8.

A middle stream farm household in the maize mixed farming system in AFR

FIGURE 9.1. Rubber tree in Vietnam. Photo

HB.

A middle stream household would comprise husband, wife, four children, an older relative, and orphans. They would live on a dispersed homestead. They would have an area of some 1.6 ha under cultivation, comprising 1 ha of maize, yielding about 1.2 t/ha, and sorghum, yielding some 900 kg/ha, 0.1 ha of cotton, and the remainder under other crops. The household would own two to three head of cattle and use oxen for ploughing the land. They would benefit from off-farm income earned by one son working offfarm and contributing to household income. Their food sufficiency would be adequate in average to good years, but in deficit during drought years. They would live mostly above the poverty line. A poor household in this farming system often would have a (widowed) woman, heading the household. That household would crop less than 0.5 ha. This household would own no cattle, but perhaps a goat and some chickens. Its income would come from casual labour for other farmers. Food sufficiency would be inadequate and the household would

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 177

Chapter 9 Small Farmers’ Households and Selected Farming Systems live mostly below the poverty line (Hall et al., 2001, p. 49).

A typical farm household in the tree crop farming system in AFR A typical family in this farming system comprises a husband, wife and sons. They cultivate some 5 ha under coffee in various stages of development. Their food crops are cassava, coco-yams and cereals inter-planted between the immature trees. Also it has a multi-storey homestead garden with fruit trees and vegetables. Young sons and the wife might each own some goats. They would benefit from off-farm earnings made by the husband owning a shop or some other form of business. A farmer may have a fishpond. Generally the household is food self-sufficient and earns a per capita income above the poverty line. A poor migrant worker in this tree crop farming system would have a family left behind in the savannah. That family would live with and work for the man’s father. They would be able to support themselves for some 4 to 6 months per year and deal with the deficit by means of migration. Yet, the overall income is below the poverty line (Hall et al., 2001, p. 56).

A typical farm household in the cereal-root crop mixed farming system in AFR In this system a typical household would farm some 2 ha, growing maize, sorghum, cassava, yams, cotton and some minor crops. Cultivation would be by hand. A significant part of organic manure would be provided by Fulani herds passing through the area to graze on crop stubble. Quite frequently the household would not own cattle, but a few chickens and goats

would be kept. Notwithstanding their high cost some minimal amounts of fertilizer and pesticides would be used, but no mineral fertilizer would be applied to food crops. The household would be food selfsufficient and some surplus might be available for sale on the market. The main sources for this cash income would be cotton, yams, cassava and vegetables. Unfortunately some of this would rot due to perishability and poor access to markets. Because of lack of cash needed for the purchase of inputs, a typical poor household in this system would not produce cotton but devote their available land to the production of food. It would meet its food deficit during the rainy season by means of working for food on other farmers’ fields. During the dry season the husband would earn some cash by migrating to the forest zone, doing casual work for industrial tree crop farmers (Hall et al., 2001, p. 63).

A typical farm household in the agro-pastoral millet/sorghum farming system in AFR In this system a typical household would have just about 1.5 ha to cultivate, limiting the level of food production to some 93 kg per capita per year. This means that even in years when crops do not fail, the household is in a food deficit position. The cultivated crops would be some 1.1 ha of millet or sorghum and 0.2 ha of pulses, the remainder being used for vegetables, sesame or cotton. Yields, at 400 kg/ha for sorghum, 350 kg/ha for millet and 230 kg/ha for pulses, are low. With regard to livestock, the household would own a few chickens, and two or three cattle, or five to ten sheep and goats. Cash sources would be this livestock, cotton

178 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Typical households and, perhaps most importantly, seasonal migration to the forest zone.

season, retains two thirds of the production.

Socio-economic differentiation is driven by ownership of livestock, whilst some 40% of households, apart from a donkey, have no livestock at all.

In addition to this sharecropping, the household may own two goats and some ducks and chickens. Together with a relative (kinship being important) they may share the purchase and ownership of a milking buffalo. Both husband and wife work for some 120 days per year on large farms in their area, as well as (if possible) in a local factory.

A poor household in this system would produce sufficient food for just 2 to 6 months, depending on the rains. In these cases household income would derive for 40% from casual labour on other farms, or the sale of beer and firewood. When the rain fails reliance on casual labour would be more pronounced (Hall et al., 2001, p. 67). 9.1.2 Some households in South Asia (SAS) The following describes some of the households in some of the farming systems discussed in the section on some selected farming systems in South Asia (see ‘A closer look at a selection of farming systems in SAS’ on page 168). That text dwells on the environment in which so many of the people concerned live and work.

A sharecropping farm household of the rice farming system in SAS A typical poor sharecropping family household in this system would comprise five family members, cultivating 0.4 ha of irrigated land in West Bengal, India. The monsoon rice crop would be followed by a second irrigated rice crop and by a short vegetable crop. Modern rice varieties would be transplanted in both seasons, yielding some 1.9 and 2.4 t/ha. Of this the sharecropper retains one third. The landowner, having provided the land, a draught buffalo and inputs, which include fertilizer to some 150 kg/ha of nutrients and chemicals for about four sprays per

This household has a low annual income, is vulnerable to low crop yields and a lack of earnings as a result of lack of work opportunity or sometimes sickness (Hall et al., 2001, p. 187).

A typical poor sharecropping farm household of the rice-wheat farming system This sharecropping household, comprising two adults and three children may cultivate 0.8 ha of irrigated land in Uttar Pradesh, India. Here the monsoon rice crop is followed by a wheat crop and sometimes a short vegetable crop. The modern rice variety may produce 1.9 t/ha, the sharecropper retaining two thirds. The wheat crop averages some 2.5 t/ha. The family owns a share in a milking cow, the milk being delivered daily to a village milk collection centre. Apart from effort and time, the cow is relatively cheap to own in that it is fed straw, weeds and other herbage cut from the field and path perimeters. Both adults work as labourers, for some 160 days per year, on large farms which are nearby and in a local factory. The combined average income for this household falls just beneath the international poverty line (see Glossary). It is vulnerable to low crop yields, loss of the milk

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 179

Chapter 9 Small Farmers’ Households and Selected Farming Systems cow and lack of income from labour (Hall et al., 2001, p. 193).

A typical poor farm household of the rainfed mixed farming system The family may comprise six members, cultivating, in Madhya Pradesh, India, some 3 ha of land. They grow 1 ha of sorghum as a post rainy season crop, yielding 1.3 t/ha and some 0.5 ha of chickpea, yielding 0.85 t/ ha, 0.2 ha of pigeon pea, yielding 0.5 t/ha, 0.3 ha of groundnuts at 0.6 t/ha and 0.2 ha of rapeseed yielding 0.7 t/ha. They own two head of cattle and several goats and poultry. The household has a combined average income just beneath the international poverty line. It is vulnerable to crop failure (Hall et al., 2001, p. 204).

9.2 Strategic priorities The potential of meeting the international development goals of halving hunger and poverty by 2030 depends on sustainable strategies for small-scale agricultural development. 9.2.1 Sub-Saharan Africa Hunger and poverty in this WDR still increase, which is distressing perhaps especially as the majority of poor people depend on farming for their livelihood. It appears that the Millennium Development Goals (see page 227) will not be met. Agricultural production, meeting the pressing needs of the rural poor, is insufficient. This, in part is due to policy, economic and institutional environments not being conducive to creating the incentives needed to get this agricultural production off the ground. This is evident in too many areas in there being an urban bias in development, agriculture being over-

taxed, the supply of rural public goods being less than in other regions. Investment in agricultural research and extension has been unsatisfactory. At the same time terms of trade have been declining. Other worrying aspects are poor governance, civil strife and degenerating law and order in some areas of the region. In too many places this is aggravated by gender inequality, low levels of schooling and HIV/AIDS. However, a relative abundance of natural resources in substantial areas of the region could provide the basis for agricultural development in favour of the poor. To create the incentives for this, an adjustment of national policies, reorientation of institutions and provision of goods and services in a reasonably secure environment, would be necessary. Based on their analyses of the major farming systems, Hall et al., 2001 provide a scheme for the strengthening of strategic priorities regarding policies, markets, information, technology and natural resources. An indication of five major household strategies, aimed at getting away from poverty are included (see Table 9.1). The achievement of this ‘goal’ is all the more important in view of a high population growth rate, while the number of poor increases. Rural poverty accounts for 90% of total poverty and some 80% of the poor continue to depend on agriculture, which, once again highlights the need for small-scale agricultural development (Hall et al., 2001, p. 72). From the above it follows that a reduction of household vulnerability is not enough by itself to meet the need to eradicate extreme hunger and poverty in the region (MDG No. 1; see page 227). Apart from the other seven development goals stated in the MDGs, five important

180 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Strategic priorities interlinked initiatives, useful for building small-scale agricultural development

strategies, are required (Hall et al., 2001, p. 80).

Potential and relative importance of household strategies for poverty reduction in AFR. a

TABLE 9.1.

Strategies for poverty reduction Potential for agricultural growth

Potential for poverty reduction

Irrigated

High

Low

3.5

2

2.5

1.5

Tree crops

Medium-high Medium

4

1.5

1.5

2

1

Forest based

Low-medium Low

2.5

2

4

0

1.5

Rice-tree crops

Intensific- Diveration sification

Increased Increased off-farm farm size income

Exit from agriculture

0.5

Low

Low

1

3

2

2

2

Highland perennials Low

Low

1

2

1

2

4

Highland temperate Medium mixed

Medium

1

3

2

1

3

Root crops

Medium

Medium

2.5

3

2

1.5

1

Cereal-root crop mixed

High

Medium

3.5

2

3

1

0.5

Maize mixed

Medium-high High

2

3

2

2

1

Large commercial and smallholder

Medium

Lowmedium

2

2

3

1

2

Agro-pastoral millet/sorghum

Low-medium Medium

2

2

2

1

3

Pastoral

Low-medium Low

1

1

1

2

5

Sparse agriculture (arid)

Low

Low

0

1

0

3

6

Coastal artisanal fishing

Low-medium Low

1

3

0

4

2

Urban based

Medium

Low

Average for region

1

3

3

3

0

2.1

2.3

2.1

1.5

1.9

a. Source: From Hall et al., 2001, p. 71. © 2001. Food and Agriculture Organization of the United Nations. Used with permission. Notes: (1) Total score for each farming system equals 10. (2) Assessments refer to poor farmers only. (3) Agricultural population weightings by system are derived from Table 8.3.

These are: 1.

Sustainable resource management This should aim to deal with land degradation, declining soil fertility and low crop yields, with the objective of achieving soil recovery and improved productivity. The work concerned involves

• farmer-centred

agricultural knowledge and information systems to document and share success (see Chapter 1), • resource enhancements, for instance small-scale irrigation and water harvesting, • participatory applied research, centred on technologies which bring indige-

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 181

Chapter 9 Small Farmers’ Households and Selected Farming Systems nous and scientist knowledge about conservation agriculture, agroforestry, integrated pest management, and croplivestock integration together (see Chapter 5), • strengthening of resource user groups. 2.

Improved resource management

•

If a viable resource base for small family farms is to be created, access to agricultural resources should be improved. The concept of ‘good governance’ is relevant here too. This concerns market-based land reform, adjustment of legislation, strengthened public land administration, functional community land tenure.

3.

Increased small farm competitiveness

• • •

• • • • • •

This should strengthen the capacity of small-scale farmers to exploit market opportunities. This comprises improved production technology, diversification, processing, improved production quality, production for niche markets, strengthening support services, which includes also market agencies based on public-private partnerships.

4.

Reduced household vulnerability

•

This entails household risk management and aims to reduce its exposure to natural and economic shocks, prevalent in Sub-Saharan African agriculture. This includes drought resistant and early maturing varieties and hardy breeds, improved soil moisture management, insurance mechanisms strengthening traditional risk spreading mechanisms.

• • •

5.

• • • •

• •

Responding to HIV/AIDS The impact of HIV/AIDS is severe. To bring this under control action is required which includes information campaigns, supply of cheap but reliable condoms, affordable treatment, land tenure reform which results in preventing widows from losing access to and control over land and household property when their husbands die, agricultural training for AIDS orphans, safety nets strengthening the efforts of rural communities to support AIDs orphans.

9.2.2 South Asia The region’s economies are undergoing rapid and generally beneficial change. By 2003 the size of the economy, as expressed in GDP, was rising at a rate of 7.5%, compared to 3.9% in AFR. The per cent growth per capita for 2002-03 stood at 5.7% and 1.9% respectively (World Bank, 2005, World Development Indicators, p. 24). This has affected farm systems in the area profoundly. Population density (298 persons per sq. km, versus 30 persons per sq. km in AFR) and relatively little fertile soils with a good moisture regime potential, has led to intensive agriculture. The considerable length of time during which this intensive agriculture has been practised, has resulted in substantial resource degradation in some areas. Even so, the rapid economic growth has enabled agricultural research and support systems to generate growth in food production faster than population growth. The result, during the past decade or two, has been a reduction of the number of people living in poverty and undernourishment.

182 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Strategic priorities Although, driven by changing technologies, improved access to markets and more effective institutions, this positive pace of change may increase, it seems unlikely that the MDG 1 goal of halving the incidence of hunger and poverty by 2015 will be met. Note that here we consider US$ and not PPP$. In 2002-03 the

average GNI per capita for the region stood at US$510 (World Bank, 2005, World Development Indicators, p. 24). If the MDGs are to be met, further effort by farm communities as well as by public and private organizations is required (Hall et al., 2001, p. 205).

Potential and relative importance of household strategies for poverty reduction in SAS. a

TABLE 9.2.

Strategies for poverty reduction Farming system Potential for agric. growth

Potential for poverty reduction

Intensification

Diversification

Increased farm size

Increased off-farm income

Exit from agriculture

Rice

Moderate

Moderate

2

3

0.5

2.5

2

Coastal artisanal fishing

Low

Moderate

0

3

0

3

4

Rice-wheat

Moderatehigh

High

2

3.5

1

2.5

1

Highland mixed Moderate

Moderate

1

3

0

2

4

Rainfed mixed

Moderate

Moderate

2

3

1

2

2

Dry rainfed

Moderatehigh

Moderate

2

4

1

2

1

Pastoral

Low

Low

1

1

1

2.5

4.5

Sparse (arid)

Low

Low

0

1

0

2

7

Sparse (mountain)

Low

Low

0.5

1.5

0

3

5 1

Tree crop

High

Moderate

2

3

1.5

2.5

Urban based

Low

Low

1

3

2

4

0

1.8

3.1

0,8

2.3

1.9

Average for region

a. Source: From Hall et al., 2001, p. 71. © 2001. Food and Agriculture Organization of the United Nations. Used with permission. Notes: (1) Total score for each farming system equals 10. (2) Assessments refer to poor farmers only. (3) Agricultural population weightings by system are derived from Table 8.3.

The potential for poverty reduction within this WDR is indicated in Table 9.2 for each farming system. Although the potential for growth due to its high value products may be highest in the tree crop farming system, the overall impact of this on poverty reduction for the region is likely to be small, the system involving just 1% of the agricultural population of

the region. Improvement in the rice-wheat farming system, which involves some 33% of the agricultural population, and where poverty is widespread and severe, would have a significantly higher impact. From the relative importance of the five household strategies indicated in Table 9.2, diversification to high value enterprises, including local processing of farm

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 183

Chapter 9 Small Farmers’ Households and Selected Farming Systems produce, would be a main source for the reduction of hunger and poverty. The next important factors appear to be increased off-farm income and intensification of existing production patterns and then exit from agriculture. There is not much potential in increasing farm sizes. However, when considering the importance of food production in this most densely populated region [(298 persons per sq. km (World Bank, 2005, World Development Indicators, p. 24)] where by 2003, 72% of the total population lived in rural areas, one sees that, at least for the foreseeable future, agricultural development will remain an important driver in programmes to reduce hunger and poverty. In this process important resource degradation challenges progress. Linkages to the off-farm economy need to be taken into account. Four strategic objectives could promote activities towards achieving MDG target 1 [(see page 227), (Hall et al., 2001, p. 214)]: 1.

Improved water resource management

•

If the intensification and diversification of production and the depletion of resources for the surface as well as the underground water schemes, are to be supported, improved water resource management must be regarded as essential. Elements which come into play here are efficient technologies of resource management, conjunctive use, regulatory measures such as water charges, water users’ association, watershed protection by means of soil conservation works.

• • • • 2.

Strengthened resource user groups

Extensive water and land degradation in plains and hills to protect water resources must be corrected. The strengthening of resource (land and water) user groups would be one way of attempting to achieve this. Elements concerned include • resource management groups for watershed management in hill and mountain areas, • range of management groups in pastoral areas, • policies encouraging effective common property resource management. See Uphoff (1996). 3.

• • •

•

4.

• • • • •

Re-oriented agricultural services Agricultural research, education, information and extension systems must involve small-scale and subsistence farmers fully on a PLA (participatory learning and action) basis. Elements include models for joint public-private service provision, pluralistic advisory services, delivery, where appropriate via the internet, of market and technical information, incorporation in higher education systems of interdisciplinary learning and approaches. Improved rural infrastructure Especially in the low potential and highland areas in this region transport and health investments are of high return and beneficial to the poor. Elements include roads, drinking water, schools, health facilities, effective models for private sector participation.

184 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

CHAPTER 10

Liaison of International, National and Local Agencies Conclusion

Elected representatives Political and social power

Rural participation and empowerment of participants

Responsibility: Ownership; Cooperation; Collective endeavour

10.1 Introduction Rural people-centred development project

Clear administrative arrangements

Find out, coordinate, participate, inform, deliver.

Project implementation by staff and donor representatives

Dual tension

Project delivery

Project impact

Approaches to technology: Marketing possibilities Quality of soil and water conservation Effectiveness of seed distribution and storage Links to national and international research

Monitoring by project staff and donors

FIGURE 10.1. Dual tension in projects for rural development.

A participatory or peoplecentred approach to development may be faced with problems in addition to those discussed in previous chapters. An example of this is the tension between the logic of the agency considering an agenda, based on upward accountability and planning, whilst delivering a sustainable project, and the logic of the staff working on the ground facing potentially conflicting demands for participation from local and donor interests. Such a ‘dual logic’ tension (David Mosse in Cooke and Kothari, 2001, p. 25) may occur. Some factors which may play a role in this are indicated in Figure 10.1. In that context this final chapter attempts to set out some broad outlines of which those involved with processes aimed at achieving food security in a stable landscape, must be aware. In the situation of a changing world and the enormous demands population pressure places on the need for food security, political will

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 185

Chapter 10 International, National and Local Agencies - Conclusion should be mobilized to initiate and sustain action. Flexibility and willingness to learn is an essential attribute for all actors in this process.

10.2 Tensions What do donors and recipients respectively mean by participation? 10.2.1 Cultural environment and participation If a participatory process with rural small farmers in low income countries is to have a chance of success, the potential impact of the local cultural environment on such processes should be understood by those involved in the intervention. Cohesive group relations may be most important in environments, where culture as defined by local history is a driving factor. Personal relationships, kinship and connections form the bases from which the power of main decision makers derives. Less powerful members in that society may be inclined to accept an unequal distribution of decision-making power. Participation in such communities may mean that people (participants) with less local power are quite happy to leave decisions to those with more local power. The local political context is likely to play an important role here and will influence what form participation by smallscale and subsistence farmers takes. Because these cultural environments may differ over relatively short distances, donor staff employees working in the field must demonstrate a willingness to learn and listen. In this respect personal contact and trust between development staff and small farmers is most important. Staff may find that the level of participation by various groups will vary over time. This may be the case when it comes to moni-

toring the effectiveness of the project. Time will be needed to determine (with flexible boundaries) who is going to do what. That the situation will be fluid must be accepted. In view of all this it is likely to be difficult to set out appropriate levels of participation. Starting small with a core of farmers involved in experimentation (see Figure 5.3 on page 81) and expanding this to a limited number of farmers to be involved in planning, joint experimentation and the designing and implementation of an appropriate monitoring process, may be an approach promising some result. Based on such results, collaboration with the general farming public who appear to be prepared to adopt defined measures on the basis of sharing monitoring and participatory findings, might be sought (Guijt, 1998, p. 14). The success of a development project is likely to depend on the project’s staff’s ability to incorporate their (long-term) findings into the design of the project (John Hailey in Cooke and Kothari, 2001, pp. 88-101). 10.2.2 Communication Project staff working for institutions (local and international) and donors, should get a firm feel of the impact of the traditional and cultural background under which farm systems (see ‘Farm system’ on page 135) function. The role of women in sustaining effective communication between small farmers is especially important. As women in WDRs often are instrumental in maintaining effective farming households, the availability of micro-finance, to be used directly by female small-scale and subsistence farmers (see ‘Micro-finance’ on page 171) may play a role (see ‘Poor subsistence farmers’ households’ on page 21).

186 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Tensions 1.

To get their views about family relationships and producing food on a small-scale farm, communicate with groups of women who work and live as small farmers.

2.

Ensure that these views are defined. It will be difficult to arrive at some form of consensus. Powerful and eloquent small farmers (female or male) may think they know what the project staff would like to hear. To strengthen their personal influence they may be inclined to try to influence others by pushing their assessment of the project aims forward. In this setting, a difficulty for the project staff will be to find out to what extent a sustainable participatory approach is feasible. As the emphasis of the project is on delivery, their may be tension between on the one hand the aim of the project agency to deliver a sustainable programme, with the operational procedures this requires, and on the other hand the participatory logic with its emphasis on local level and integrated planning and capacity building. Project staff will be faced with this duality (see Figure 10.1 on page 185).

3.

Demonstrate to local authorities that small farmers can be instrumental in the process of achieving food security. For this purpose successful small-scale farmers who live and work in the region might be asked to hold a series of open days. Local officials and international development project staff should ascertain what can be learnt from such local experience.

10.2.3 Higher education Assess the impact of higher education study programmes at national universities on local rural communities. Graduates of

such programmes should be able to find professional satisfaction and a good salary in working with (participate) local smallscale and subsistence farmers in being involved in small-scale agricultural development. 1.

Ensure that study programmes are directed towards working with local farming communities.

2.

Ensure that salary levels of graduates working in these communities are at least on the same level as those earned by colleagues working in governmental posts.

10.2.4 Terms of trade Update the present knowledge and insight into what the situation is in which communities find themselves in rural areas of WDRs. The local food prices as compared to world market prices should be central to this enquiry. 1.

The World Food Summit (see Table 10.1 on page 189) and the World Trade Organization (WTO) should put the industrialized nations under pressure to hasten the dismantling of their agricultural support programmes.

2.

More attention should be devoted to the circumstance that a new world is upon us. This means that low income countries may be left further behind in the not too distant future. Political will must be gathered to ensure that the terms of trade (see Glossary) become more favourable to such countries.

10.2.5 The physical infrastructure Assess the impact of infrastructure with respect to the availability and access to roads and markets for each area. 1.

Local governments and farmers’ organizations should open their doors

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 187

Chapter 10 International, National and Local Agencies - Conclusion for local and international civil engineering organizations to survey rural areas. Projects, supported by international financial institutions, should work towards improving accessibility to markets wherever appropriate. 2.

Consult with the local small-scale and subsistence farming community about the existence and ease of access to markets. This is a factor affecting the extent to which local farmers may wish to increase their production of crops for food.

3.

Where state factors (see Glossary) of climate, topography, parent material and potential biota point to favourable conditions to produce a specific crop(s), consider whether a market can be created to provide an outlet for such crops. The Mumias Outgrower Scheme is an example (Beevers, 1980).

Establish or update existing systems to ensure that the most recent information regarding population density, food production and consumption, is available on an ongoing basis. 1.

2.

Population density, population growth, and poverty may have a direct impact on the sustainability of livelihoods. Therefore, the effect of these factors on the livelihood of small-scale and subsistence farmers in low income countries should be monitored on an ongoing basis. The effects of projects to improve food security should be monitored against the background of population growth and poverty.

Find out how in the opinion of local small-scale and subsistence farmers food production can be increased. The use and efficiency of farm systems in the context

of intercropping and the social implications of agricultural practices are relevant in this regard. 1.

The extent to which intercropping (growing two or more crops at the same time in a field) is used in specific areas could be a useful indicator of food security in such areas. The frequency of intercropping, in terms of area and number of farms, should be monitored against the occurrence of food insecurity.

2.

Is there an awareness amongst smallscale and subsistence farmers of land equivalent ratios (see Glossary)? Can a monetary benefit be demonstrated?

3.

How can social differentiation be minimized? Some farmers may not have the resources to obtain materials.

4.

Can a consensus be found amongst small-scale and subsistence farmers that intercropping may be beneficial?

10.3 Work together The situation arising from population pressure and changing state factors affects everybody. 10.3.1 Introduction As a result of massive and ongoing changes in information and communication technologies, underpinning major changes in technological and social developments, humanity is facing a new world. The impact of these changes is apparent from people moving from less developed to more developed parts of the world. Increasing world population in the less developed world is an important driver for this phenomenon. As this evolves at an increasing pace, deteriorating food security and land degradation produce a high cost in human capital worldwide.

188 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Work together This is demonstrated by the persisting and increasing food insecurity in some of the World Development Regions, such as Sub-Saharan Africa (AFR) and South Asia (SAS). This situation is summarized in Table 10.1, showing trends related to World TABLE 10.1.

Food Summit (WFS) targets. Urgent international and coordinated action to address the desperate situation of too low a dietary energy supply in which so many people in the low income countries find themselves (see Table 10.2), is needed.

Undernourishment - progress towards the World Food Summit targets. a Number of people undernourished

WDR and sub-region

Population millions 2003-2005

1990-92 millions

1995-97 millions

2003-05 millions

Progress towards WFS Target = 0.5

WFS trend 1990-92 to 2003-05

World

6,406.0

841.9

331.8

848.0

1.0

Up

Developed countries

1,264.9

19.1

21.4

15.8

0.8

Down

Developing world

5,141.0

822.8

810.4

832.2

1.0

Up

698.3

168.8

194.0

212.2

1.3

Up

93.1

22.0

38.4

53.3

2.4

Up

242.4

77.1

86.1

86.0

1.1

Up

99.2

32.4

35.8

36.8

1.1

Up

263.7

37.3

33.8

36.0

1.0

Down

ASIA and the Pacific

3,478.5

582.4

535.0

541.9

0.9

Down

East Asia

1,386.1

183.5

152.0

131.8

0.7

Down

544.5

105.6

88.6

86.9

0.8

Down

1,468.4

282.5

284.8

313.6

1.1

Up

57.7

4.0

4.7

6.5

1.6

Up

Sub-Saharan Africa (AFR) Central Africa East Africa Southern Africa West Africa

Southeast Asia South Asia (SAS) Central Asia

15.9

6.1

4.4

2.2

0.4

Down

LATIN AMERICA AND THE CARIBBEAN

Western Asia

544.2

52.6

51.8

45.2

0.9

Down

North and Central America

141.9

9.3

10.2

8.8

0.9

Down

The Caribbean

33.7

7.5

8.6

7.6

1.0

Up

South America

368.6

35.8

33.0

28.8

0.8

Down

NEAR EAST AND NORTH AFRICA

420.0

19.1

29.6

33.0

1.7

Up

Near East

270.1

19.1

29.6

33.0

1.7

Up

North Africa

149.9

4.0

4.3

4.6

1.2

Up

a. Source: FAO, 2008, The State of Food Insecurity in the World, 2008, Table 1. © 2008 Food and Agriculture Organization of the United Nations. Used with permission.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 189

Chapter 10 International, National and Local Agencies - Conclusion

TABLE 10.2.

Number of undernourished people in the developing world (millions). a Number of undernourished people (UP)

Region

Population 2003-05

1990-92

1995-97

2003-05

Variance from 1990-92 to 2003-05

% of UP of the population by 2003-05

DEVELOPING WORLD

5,141.0

822.8

810.4

832.2

+ 9.4

16.19

Asia and Pacific

3,478.6

582.4

535.0

541.9

- 40.5

15.58

Latin America and the Caribbean

544.2

52.6

51.8

45.2

- 7.4

8.31

Sub-Saharan Africa (AFR)

498.3

168.8

194.0

212.1

+ 43.3

30.37

Illustrative details for some countries in AFR Democratic Rep. of the Congo

56.9

11.4

26.5

43.0

+ 31.6

75.57

7.6

2.6

3.6

4.8

+ 2.2

63.16

Zambia

11.3

3.3

3.9

5.1

+ 1.8

45,13

Zimbabwe

13.0

4.3

5.5

5.2

+ 0.9

40.00

26.64

Burundi

Illustrative details for some countries in South Asia (SAS) Bangladesh India Pakistan

150.5

41.6

51.4

40.1

- 1.5

1,117.0

206.6

199.9

230.5

+ 23.9

20.63

155.4

25.7

23.7

35.0

+ 9.3

22.52

a. Source: FAO, 2008, The State of Food Insecurity in the World, 2008, Table 1. © 2008 Food and Agriculture Organization of the United Nations. Used with permission.

We have the technologies and the resources required to implement urgent change. Political will should be mobilized by the international community, demanding sustainable action by governments of developing and developed countries alike. Governments should work together with donors, United Nations agencies, international, national and local agencies, civil society and the private sector. The vitally important objectives must be to achieve the WFS and WDG (see List of Abbreviations) targets and in fact go beyond that. The prevalence of undernourishment is still high, the trend of the number of undernourished people increasing (‘Up’)

in many areas (Table 10.1). Amongst these AFR, mainly as a result of poor performance in Central Africa, has shown further deterioration for the period from 1992 to 2005 (Table 10.2). The number of undernourished people in India (as yet) remains striking. This is disconcerting as an increase in the overall production of agricultural commodities by small-scale farmers in WDRs depends on their supply of energy, or the sufficient supply of food and clean drinking water. To get out of this circular argument it has been argued on these pages that the following factors are required.

190 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Work together • Stable national governance creating an environment in which farmers’ organizations and national agencies can work together implementing appropriate but already existing agricultural technologies. Participation by small-scale farmers’ organizations and subsistence farmers’ groups, supporting applied agricultural research by local universities and extension workers would be one aspect of this effort.

• Micro-finance being available in a manner attractive to small-scale and subsistence farmers. Examples of work done by NGOs in the field of micro-finance show that this can be done. Petty commodity production (see ‘Rich small-scale farmers’ households’ on page 20) should become more wide spread.

• Improved infrastructure leading to better and easier access to markets. International and national institutions should work together in this kind of massive civil engineering project.

• Improved and more stable terms of trade. These should be such that the small-scale and subsistence farmer is stimulated to produce agricultural commodities for international trade. This should be an aim for the World Trade Organization to achieve as soon as possible. All this could improve the standard of living of the small-scale and subsistence farming community, enabling them to purchase good seed material and perhaps above all, to begin farming suitable pasture land, such as that available in AFR (see Table 2.4 on page 28). A rise in the standard of living in rural areas could put less pressure on food prices to the benefit of urban populations. Increased invest-

ment in agricultural production would be to the benefit of society. Small-scale agricultural development should be given due attention as one of the main drivers for overall development. Efficient use of an increased land area suitable for agricultural development would be central to this. 10.3.2 The process of action The participatory approach has been central to this writing. The concepts of ‘reversal of learning’ and ‘people’s knowledge’ have been used in support of the argument that rural development programmes must be sustainable. Sustainability may be promoted if the people themselves have ownership of such programmes. This ownership might be acquired through the involvement mentioned above. Upon completion of a project, ‘ownership’, resulting from capacity building, might become an important tool of the management of such (agricultural) projects. It could lead to internal coherence and good relationships with donors (David Mosse in Cooke and Kothari, 2001, p. 30). This might happen after the project has been completed. However, projects need to go through a process of implementation through to delivery. The shaping of that process will, of necessity, require a dedicated input of donors and project staff. Tension between participatory processes and efficient implementation may make these ‘participatory processes’ during the implementation phase problematic if not impossible. If a project is well led, ongoing learning takes place by both the project staff and the rural people involved. If that occurs the sustainability of the project would be enhanced. This sustainability might be evident in the answers to questions such as

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 191

Chapter 10 International, National and Local Agencies - Conclusion • are new approaches to technology being created?

• are new marketing possibilities being opened up?

• is the quality of soil and water conservation improving?

• is the effectiveness of seed inputs, seed distribution and storage satisfactory?

• are good links with national and international agencies involved in applied agricultural research being maintained? The answers to such questions may depend less on the autonomous and independent inputs by villagers than on the presence of an extension service, offering technology and affordable inputs (David Mosse in Cooke and Kothari, 2001, p.34). This does not mean that the idea of participation as a means of involvement and empowerment of participants through a people-centred orientation in development should be dismissed as ineffectual. Rather, one should recognize that the outcome of a participatory approach is unpredictable. In conjunction with asserting the benefit of people-centred development, a rigorous critical analysis of the impact of rural development programmes remains essential. As this has to do with sustainability, relevance and empowerment, it is open to failure. How can it be avoided that valid decision making processes are ignored? How can it be avoided that the dynamics of powerful groups produce participatory decisions which promote the interests of the powerful? In which cases can participation not provide a solution (Cooke and Kothari, 2001, p. 8)? In those cases where a participatory approach appears too prob-

lematic, one must be prepared to abandon, or not use a participatory approach to solve the problem. It is necessary to think about these problems with an open mind. In that context one difficulty would be to establish what the local needs are, without the expression of these necessitating being influenced by expectations of development. The participation of the local agricultural extension services and agricultural learning institutions might be valuable.

10.4 Conclusion 10.4.1 Global problems affecting food security 1.

Population pressure An important driver which emphasizes the urgent need to achieve an acceptable level of food security in a stable landscape, is the pressure resulting from the increasing world population. By 1950, a year of birth of many people alive today, the world population amounted to some 2.5 billion. By the year 2050, when many people born during the first decade of this century will still be alive, it may well amount to 9 billion. For every person alive in 1950 there may be some 3.5 people alive in 2050. By year 2150 this is projected to nearly 4 people (see Appendix 9, page 229 and Appendix 10, page 230). As shown in Appendix 9, by the year 1999, nearly 75% of the world population lived in Asia and Africa. There was an absolute increase of 2.2 and 1.7 times for the time span from 1970 to 2000 for Africa and Asia respectively. The pressure on food security arising out of this is self evident.

192 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Conclusion 2.

Poverty Food security however cannot be achieved if the increase in the gap in wealth between rich and poor nations is not reduced to a more equitable level. The terms of trade (see page 187) are important in this respect. Some limited progress towards food security is being made (see ‘Down’ in Table 10.1 on page 189), and this can begin to alleviate poverty by reducing the pressure on basic needs (see Figure 4.3 on page 47).

3.

International trade This has been touched upon previously (see ‘Trade liberalization and market development’ on page 166; ‘Terms of trade’ on page 187). If small farmers in the WDRs are to be encouraged to increase their food production, something must be done to make the terms of trade more equitable.

4.

Consumption of resources If we continue using our global resources in the same way as at present (2010), by the early 2030s two planets would be needed to keep up with our demands. If modern western patterns of lifestyle were to be propagated into the developing world, as many as three planets Earth would be needed (see www.panda.org/livingplanet). As the level of available resources worldwide is limited on the globe with an increasing world population, it is clear that the consumption of resources must be sustainable (see Glossary). However, at its present level this consumption is not sustainable. Examples of this can be seen in the rate of deforestation (see Appendix 3, page 222). Global and regional leaf areas in forest biomes affect rainfall patterns and temperature. Rainfall

especially is important in that life cannot exist without adequate consumption of water. Deforestation seriously affects the ability of soils to retain nutrients. Erosion following deforestation brings about a loss of topsoil, irreplaceable, if not in the long term, certainly in the medium term. This can lead to desertification and a serious loss in production capacity of agricultural regions. 5. Loss of biodiversity Driven by population pressure, leading to increasing demands for food and water, energy and materials and the disposal of waste materials, natural habitat is changed through conversion for its employment as cultivated land, aquaculture and industrial or urban use. Ecosystems downstream of rivers, such as in delta plains, are changed by the building of dams for hydro-power, irrigation and flow regulation. Examples of this can be found for instance in the Zambezi delta as a result of the construction of the Cahora Bassa dam on the border between Zimbabwe and Mozambique. Over-harvesting of timber and wood for fuel has led to loss of forests and their plant and animal populations. The considerable flow of goods around the world has promoted the spread of invasive species from one part of the globe to another. They may compete for resources and cause the decline in native species populations. Pollution is another important cause of loss in biodiversity. Examples of this can be found in increasing use of nitrogen and phosphorus fertilizers in agriculture, causing excess nutrient loading producing eutrophication

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 193

Chapter 10 International, National and Local Agencies - Conclusion and oxygen depletion. Toxic chemical pollution may arise from the use of pesticides in farming or aquaculture, or for that matter from industry or the mining of wastes. The increasing concentration of carbon dioxide in the atmosphere causes acidification of the oceans, affecting this all important carbon sink and adversely affecting shell and reef-building organisms. 6.

2.

Liaise with small farmers, their local representatives and regional authorities to set up experimental work to determine optimum multicropping practice.

3.

Ensure that this experimental work takes place in the framework of applied research. Farmer organizations and individual farmers who are prepared to set up pilot plots should be fully involved with this to the extent that they come to ‘own’ the procedures and process (see Figure 5.3 on page 81).

4.

Make world markets in primary agricultural products attractive for small farmers from the so-called lowincome countries. In this regard binding agreement should be reached on the subject of terms of trade at the conference referred to under point 1 above (see ‘Terms of trade’ on page 187).

5.

Determine the basic measures to be taken towards improving access to local and world markets (see ‘The physical infrastructure’ on page 187).

Climate change As shown by polar, montane, coastal and marine ecosystems, climate change has a global impact. As far as local areas are concerned, during the last few years (up to 2009) more extreme variations in temperature and rainfall appear to occur at shorter intervals during the last 20 years than as in earlier times (Houghton, 2009, pp. 70-79). Flooding in Bangladesh and Mozambique and prolonged droughts in parts of Sub-Saharan Africa are examples of this.

A thread running through this writing has been the effect of state factors (see Glossary) on all forms of life. Changing state factors affect phototrophs and chemotrophs. We, the human race, as chemotrophs, depend on energy produced by phototrophs, the effectiveness of which depends on climatic conditions. If these become adverse to the ability of phototrophs to produce this energy, all will be seriously affected, but people already living under marginal conditions, more so than others. Food security and landscape stability are important aspects of this ‘problem situation’ (see page 5). 10.4.2 Summary of main points 1.

specifically the feasibility of a coordinated and participatory approach to combat hunger and land degradation.

Hold a conference of international agencies, donor-nations and lowincome countries aiming to establish

Much civil engineering work at high financial cost would be needed to get this done ‘on the ground’. We have the technical ability to do this. A process to make the finance available could be set up and monitored through the offices of the United Nations. It will require political will and stability on all sides to undertake this over a number of years. 6.

Invest in education. This is essential if those farmers who remain in agriculture (necessary from the food security point of view) are to be equipped to

194 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Conclusion manage the emerging knowledgebased farming systems. An important target is raising the efficiency of production methods in World Development Regions. The flow of information regarding farmers needs to be improved if knowledge-based commercial farming is to be successful. Support for services involved with new technologies and markets will be part of this. Effective communication between farmers (organizations), scientists and markets (organizations) will be essential for this. 10.4.3 Final paragraph We refer to Figure 7.2 (see page 131) and Figure 7.3 (see page 134). State factors (see Glossary) and associated ecosystem processes determine the potential of agricultural development. Furthermore the level of success and therefore the effectiveness of agricultural development programmes turns on participation by the local farming community. As regional inequalities are inevitable much detailed and careful work in the ‘finding out’ process (see Chapter 5) will have to be done. This requires community participation to determine the needs of the local population. These requirements form the basis for an ongoing process of coordinated planning by local rural communities and multiple agencies. In this overall environment, political and policy stability are essential and important prerequisites. These will be affected by the population densities, making this one of the most important factors affecting development. In this regard the need for much improved international development assistance working with the underdeveloped nations to achieve an acceptable level of education, health and infrastruc-

ture is pressing. It is vital that low-income countries be given the opportunity to make faster progress towards a better standard of living of their populations, if a dangerous imbalance in this new and now (2010) ever more interacting world is to be avoided. Coordinated effort, guided by international agencies with insight in these most important problems, can no longer be put on the back burner.

Planning The basic needs and requirements of the local population, based on their village and household planning, will have to be assessed with their participation. National and regional planning, guided by the availability of resources, should aim at determining policies which aim to meet the needs of village and household planning. The international donor community and finance institutions, such as the IMF, as well as national governments should place the core of their activities on supporting small-scale and subsistence farmers to achieve self sufficiency. The emphasis on high-value export crops and the development of non-agricultural activities, promoted by the World Bank and IMF under structural adjustment programmes, does not appear to produce the results required to achieve a reasonable level of food security (see Table 7.6 on page 130). The reasoning in this volume is that essential adevelopment should be guided by a bottom-up process, starting with, and based on, information supplied by the rural smallholding farming community. This is important especially in view of the considerable variations in soil fertility and stands of crops over short distances.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 195

Chapter 10 International, National and Local Agencies - Conclusion Top-down planning, as represented by national and regional planning, should aim at setting up policies which give space to bottom-up regional and local planning, aiming at improving agricultural smallholder production and productivity. Partnership with that smallholder community is essential as from this initial stage. Policies will be determined by the availability of resources. In that context the following seems relevant.

Subsidies Quite apart from plant growing techniques such as intercropping, the use of appropriate fertilizers and good quality seeds can be instrumental in a drive to improve productivity and production. The conflict between the need to keep urban consumer food prices reasonably low and to pay food-producing farmers at a level high enough to stimulate production, for instance by purchasing good quality seed material, gives rise to a potential revenue deficit for the farmer, which would need to be funded by government. This points to a delicate balance between food supply and demand.

With regard to credit, micro-finance, such as made available by the Grameen Foundation across four continents,1 can be helpful in providing the poor with a means to get out of poverty. Affordable prices for fertilizers and quality seeds can lead to a significant rise in yield [for an example see Africa Renewal (United Nations Department of Public Information) Vol. 22, No. 3 October 2008, page 3].

Consumer subsidies. These reduce or stabilize food prices. The aim would be to reduce poverty or maintain income among the urban poor. However, this could have a negative effect on food prices paid at the farm door, or alternatively such subsidies need to be financed by the state from taxation. Inefficient food markets could be the result. The drive should be towards increasing efficiency which does not appear to support the concept of consumer subsidies.

Finally It is hoped that the overall thrust laid down on these pages may be of some assistance to international and national agencies involved in this vitally important work of achieving food security.

Producer subsidies.

This represents cheap inputs for materials and equipment such as fertilizers, quality seeds and vegetative planting materials, irrigation pumps, or credit, or supported produce output prices. 1. http://www.grameenfoundation.org

196 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

List of Tables Page No.

No.

Title

1.1

The CATWOE code

1.2

CATWOE elements regarding the improvement of agricultural performance

11

1.3

CATWOE elements regarding the achievement of landscape stability

14

1.4

CATWOE elements regarding the achievement of common insight and purpose for the achievement of landscape stability

17

2.1

Population distribution of AFR and SAS

23

2.2

GNI level per capita per year

25

2.3

Average yearly population increase for the 5-year period 1999-2003

27

2.4

Land use classes for AFR and SAS

28

2.5

Estimates of population densities for WDRs, year 2003

30

3.1

The focal benefits and problems of a learning process approach

34

3.2

Stakeholder table for an agricultural investment project; design based on a learning process approach

35

3.3

The Feyerherm framework

36

3.4

CATWOE elements for the building of root definitions

38

4.1

Revised CATWOE elements regarding the improvement of agricultural performance

52

4.2

Land-use capability classes

58

4.3

Soil cover and water erosion

60

4.4

SCS land capability classification

64

4.5

Revised CATWOE elements regarding the achievement of a relatively stable landscape

70

5.1

The research questions and hypotheses

76

5.2

Example of a questionnaire

77

5.3

Activities and indicative timings

78

5.4

Four levels of objectives and related indicators for a workshop to train the trainers

86

5.5

Four levels of objectives and related indicators regarding landscape stability

87

8

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 197

List of Tables

Page No.

No.

Title

5.6

Four levels of objectives and related indicators regarding agricultural productivity

89

6.1

Growth of world population as from 1850

95

6.2

Actual population 1970-2005

96

6.3

Density and PPP$ per capita for the year 2003

99

6.4

Means to expand agricultural production

100

6.5

Use of labour for clearing land (days per ha)

102

6.6

Use of labour for weeding

102

6.7

Comparative yields (kudzu fallow = base 100%)

103

6.8

Cropping intensities in developing countries

105

6.9

Effect of intercopping and crop density on weeds and yields (India)

116

7.1

Population density - year 2003

126

7.2

Suitability of land for surface irrigation in AFR in thousand ha

127

7.3

Some major basin groups in AFR and some countries covered by them

127

7.4

Soils and terrain suitable for surface irrigation in some countries in AFR

128

7.5

Prevalence of undernourishment and progress towards the WFS target

129

7.6

Progress towards the WFS target for two sub-regions of AFR

130

7.7

Official development assistance in 2005

133

8.1

AFR - Land area and population

137

8.2

Agro-ecological zones of AFR

138

8.3

Major farming systems of Sub-Saharan Africa

141

8.4

Overall land use and crop production trends in AFR

143

8.5

Trends in crop area, yield and output in AFR for 1970-2000

144

8.6

Trends in livestock populations and output in AFR for the period 1970-2000

145

8.7

Share of agricultural exports of total exports from the main areas of AFR

146

8.8

A selection of main farming systems in Sub-Saharan Africa

149

8.9

SAS - Land area and population

158

198

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

List of Tables

No.

Title

Page No.

8.10

Agro-ecological zones in South Asia

159

8.11

Major farming systems in South Asia

160

8.12

Undernourished people in SAS and AFR

161

8.13

Changes in the commodity composition of food consumption in SAS and AFR

162

8.14

Worldwide per capita food consumption (kcal/person/day)

163

8.15

Poverty levels in SAS and AFR

164

8.16

Trends in outputs of main crops in South Asia, 1970-2000

165

8.17

A selection of main farming systems in South Asia

168

8.18

Population densities compared

175

9.1

Potential and relative importance of household strategies for poverty reduction in AFR

181

9.2

Potential and relative importance of household strategies for poverty reduction in SAS

183

10.1

Undernourishment and progress towards the World Food Summit targets

189

10.2

Number of undernourished people in the developing world (millions)

190

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 199

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List of Figures No.

Title

Page No.

The overall concept

1

1.1

The problem tree

5

1.2

The core concept

7

1.3

A concept to guide activities for the achievement of sustainable agricultural production improvement

10

1.4

A concept to guide activities for the achievement of sustainable landscape stability

13

1.5

The concept of ongoing discussions between stakeholders regarding arriving at a firm insight into the importance of establishing landscape stability

16

2.1

A woman farmer in Fiji

19

2.2

The complexity of small-scale and subsistence farmer family households

21

2.3

Population in millions over time for three population sections in AFR and SAS

24

2.4

Land use for AFR and SAS in percentages

29

3.1

Small-scale coffee farm in St Kitts

33

3.2

Influence diagram, indicating factors affecting the choice of design approach

37

3.3

Conceptual models for ‘pure form’ blueprint and learning process approaches

39

3.4

Conceptual model for a participatory approach

41

4.1

The conventional seven-stage model of SSM

43

4.2

The soft systems methodology process

44

4.3

The poverty trap

47

4.4

The mutual relationships between ecosystem processes, landscape stability, plant growth, crop production farming systems and activities by local people and institutions

50

4.5

The general concept of the interventions regarding the increase in crop production and the achievement of landscape stability

51

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 201

List of Figures

Page No.

No.

Title

4.6

Influence diagram regarding the institutional landscape in connection with the achievement of food security

54

4.7

Conceptual model regarding the increase of agricultural production

55

4.8

Influence diagram regarding sustainable soil patterns

57

4.9

An example of the splash effect of rainfall on unprotected land

59

4.10

Gully erosion

61

4.11

A sequence in minimum tillage operations, here applied on a sugar cane farm

66

4.12

Components, processes and symptoms of land degradation, with details with respect to soil degradation

69

4.13

Conceptual model regarding the achievement of landscape stability

72

5.1

The core concept

73

5.2

The research process

75

5.3

Worked out model for the combined approach

81

5.4

The use of culverts and gabions in St Kitts

90

6.1

Processes in summary

93

6.2

World historical and predicted populations

97

6.3

Leaf area index of monocrops and intercrops combined

109

6.4

Disease control by fungicide in monocrops and by intercropping in Tanzania

114

6.5

Factors affecting irrigation development possibilities

118

7.1

Grasses in the Zambezi Valley

123

7.2

The overall connection between factors influencing food security

131

7.3

The relationship between state factors and planning for small-scale agricultural development

134

8.1

Coconut palm in Mozambique

135

8.2

Agro-ecological zones in Sub-Saharan Africa

139

8.3

Rice paddies in valleys on Java

169

8.4

Major farming systems in SAS

170

8.5

Accessible but hilly area near Kandi, Sri Lanka

173

9.1

Rubber tree in Vietnam

177

10.1

Dual tension in projects for rural development

185

202

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

Abbreviations, Acronyms and Organizations Term

Description

AEZ

Agro-ecological zone

AFR

Sub-Saharan Africa

EAP

East Asia and Pacific

GPP

Gross primary production

HDI

Human development index

HIPC

Heavily indebted development country

HYVs

High yielding varieties

ICRISAT

International Crops Research Institute for the Semi-Arid Tropics

IDG

International Development Goal

IFAD

International Fund for Agricultural Development

IPM

Integrated pest management

LAC

Latin America and Caribbean

LAI

Leaf area index

LCP

Leaf compensation point

LER

Land equivalent ratio

LI

Low income

MDG

Millennium Development Goal

NARS

National Agricultural Research Systems

ODA

Official development assistance

OECD

Organisation for Economic Co-operation and Development

PLA

Participatory learning and action

PM&E

Participatory monitoring and evaluation

PRA

Participatory Rural Appraisal

RD

Root definition

RWC

Rice-Wheat Consortium

SARL

Sustainable Agriculture and Rural Livelihoods Programme

SAS

South Asia

SSFMI

Small-scale farmer managed irrigation

SSM

Soft systems methodology

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 203

Abbreviations, Acronyms and Organizations

Term

Description

WB

World Bank

WDG

World Development Goal

WDI

World Development Indicators

WDRs

World Development Regions

WFS

World Food Summit

204 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Glossary Term

Definition and comment

Adaptation

The genetic adjustment by a population to maximize performance in a particular environment.

Adaptive management

This is management which involves experimentation in the design and implementation of policies, so subsequent management can be modified, based on learning from these experiments.

Agricultural population

This is defined as all persons depending for their livelihood on agriculture, hunting, fishing or forestry.

Agro-ecological zone

FAO delineates and defines these based on the average annual lengths of growing periods for crops. This depends on, among other things, rainfall and temperature. The lengths of growing periods for these AEZs have been set at for: humid greater than 270 days; moist to subhumid 180 to 269 days; dry sub-humid 120 to 179 days; semi-arid 60 to 119 days; arid 0 to 59 days.

Albedo

Fraction of the incident shortwave radiation reflected from a surface.

Annual and permanent crop land / cultivated area

Sum of land under temporary crops (double-cropped areas are counted once only), temporary meadows for mowing or pasture, land under market and kitchen gardens and land temporarily fallow (land abandoned for less than 5 years, or as a result of shifting cultivation, is not included), plus land cultivated with crops that occupy the land for long periods and do not need to be replanted after each harvest, such as cocoa, coffee and rubber (this category includes land under flowering shrubs, fruit trees, nut trees and vines, but excludes land under trees grown for wood or timber).

Climatic climax

End point of succession determined only by climate.

Climax

End point of succession where the structure and rates of ecosystem processes reach steady state and where resource consumption by vegetation is balanced by the rate of resource supply.

Civil society

The sphere in which social movement becomes organized (OU course T872, Part I, p. 43).

Economic externalities

In economics, an externality (or transaction spillover) is a cost or benefit, not transmitted through prices, incurred by a party who did not agree to the action causing the cost or benefit. A benefit in this case is called a positive externality or external benefit, while a cost is called a negative externality or external cost. (From Wikipedia.)

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 205

Glossary

Term

Definition and comment

Ecosystem

Ecological system comprising all the organisms in an area and physical environment with which they interact (from Stuart Chapin III et al., 2002).

Ecosystem management

Application of ecological science to resource management to promote long-term sustainability of ecosystems and the delivery of essential ecosystem goods and services to society (from Stuart Chapin III et al., 2002).

Ecosystem processes

Inputs or losses of materials and energy to and from the ecosystem and the transfer of these substances among components of the system (from Stuart Chapin III et al., 2002).

Ecosystem resilience

The ability of an ecosystem to return rapidly to its original properties despite disturbance. Such ecosystems exhibit more stable and predictable ecosystem properties.

Endowment

Resources owned by a small-scale farmer, comprising land, labour power, physical and mental skills and physical well-being.

Entitlement

Direct entitlement - through owning and production of food; exchange entitlement - through selling of labour power (e.g. going to work for somebody else); trade entitlement, through the sale of commodities produced, enabling him, her to buy food (Sen, 1981).

Evapotranspiration

Water loss from an ecosystem by transpiration and surface evaporation.

Externalities

Long-term incidental consequences of an industrial or technological development.

Farm system

Comprises the family household, its resources and the resource flow and interactions at the individual farm level (from Hall et al., 2001).

Farming system

Comprises a population of individual farm systems, with generally similar resource bases, enterprise patterns, household livelihoods and constraints, for which similar development strategies and interventions would be appropriate (from Hall et al., 2001).

Feedback

Response in which the product of one of the final steps in a chain of events affects one of the first steps in this chain; fluctuations in rate or concentration are minimized with negative feedbacks or amplified with positive feedbacks.

GPP

Gross primary production. Net carbon input to ecosystems - that is net photosynthesis expressed at the ecosystem scale (g/m 2 / yr).

Heat flux

Flow of heat from one pool to another.

206

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

Glossary Term

Definition and comment

Human development index (HDI)

This is a composite index measuring the average achievements in a country in three basic dimensions of human development: life expectancy at birth, knowledge as measured by the adult literacy rate and the combined gross enrolment for primary, secondary and tertiary schools; and the standard of living as measured in GDP per capita in purchasing power parity (PPP) US dollars (from Allen and Thomas, 2000, pp. 92, 288).

Impact

In the context of a project ‘impact’ refers to the effects of an intervention on its physical surroundings, the people involved, and/or organizational context (Guijt, 1998, p. 19).

Indicator

A quantitative or qualitative characteristic of a process or activity about which changes are to be measured.

Institutions

These can be seen as stable patterns of behaviour, recognized and valued by society. “Institutions whether organizations or not, are complexes of norms and behaviours that persist over time by serving collectively valued purposes. Institutions can be concrete like a nation’s central bank or quite diffuse and general such as the institution of money.” (Uphoff, 1996, emphasis in original. Quoted from OU course TU872.)

Interactive controls

Factors that control and respond to ecosystem characteristics, including resource supply, modulators, major functional types of organisms, disturbance regime and human activities (from Stuart Chapin III et al., 2002.)

Interactive participation

This is a type of participation in which “people participate in joint analysis, which leads to action plans and the formation of new local institutions or the strengthening of existing ones. Groups take over local decisions and so people have a stake in maintaining structures or practices.” (From PLA Notes 31, February 1998).

International poverty line / Dollar poverty

These are poverty reference lines set at US$1 and US$2 consumption per capita per day in 1993 PPP (purchasing power parity - the charge for an elementary food basket, converted on the basis of the exchange rate to US dollars in the countries concerned). The reference is used generally when discussing poverty, which, when set at this level, may be referred to as dollar poverty. Many countries also set national poverty lines, which, generally, differ from the international poverty line.

Land area

Total area of region within the farming system or region excluding areas under inland water bodies.

Land equivalent ratio

Expresses the total of intercropped yields (two or more crops produced at the same time) as a ratio of monocropped yield.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 207

Glossary

Term

Definition and comment

Landform

A single terrain feature.

Landscape

An assemblage of landforms.

Leaf area index

Leaf area per unit ground area. Projected LAI is the leaf area projected onto a horizontal plane. Total LAI is the total surface area of leaves, including the upper and lower surface of flat leaves and the cylindrical surface of conifer needles; it is approximately twice the value of projected LAI, except in the case of conifer needles, where the projected leaf area is multiplied by 3.1416, to get total leaf area.

Membership organization

People’s associations which undertake voluntary collective action and self help (Uphoff, 1995, p. 17).

Microfinance

Micro-finance, as practised by the Grameen Bank in Bangladesh, comprises the finding of substitutes for collateral, the latter being an asset, such as a piece of land, pledged by the borrower to provide security for a loan. Most lending is of this type. As poor people have few assets, this form of lending is not available to them. Mohammad Yunus (Bangladeshi university professor) and the North American NGO, ACCION, demonstrated that the problem could be met by lending to groups of poor people, rather than to individuals. Members of such a group, such as the Grameen Bank, would borrow finance to the extent they could manage to pay off on time, such as for instance $100 a year. Weekly instalments of $2 a week (plus interest), would be collected by a member of the bank’s staff in a public place in the home village of the borrowing group. Importantly, members of the group could have a further loan, only, if all group members were up to date with their repayments. This means that each member’s pressure on fellow members to repay loan instalments due on time, complements the pressure from the bank, thus acting as a substitute for collateral. In case of successful pressure leading to all repayments made on time, group members could qualify for another, larger loan (OU, TU 872, p. 63).

NPP

Net primary production. Quantity of new plant material produced annually (gross primary production minus plant respiration); includes new biomass, hydrocarbon emissions, root exudates and transfers to mycorrhizae.

Objective

An effectiveness standard which is as specific, as time bounded and as measurable as possible. Something towards which effort is devoted.

Performance indicator

A quantitative or qualitative characteristic of a process or activity about which changes are to be measured (Guijt, 1998, p. 17).

208

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

Glossary

Term

Definition and comment

Rent seeking

In economics the meaning of the term ‘rent’ relevant in our context is a payment of gain deriving from a position of special privilege, additional to what would be expected in a competitive market. An example is ‘monopoly’, under which buyers or suppliers are able to act as ‘price makers’. Political influence can play a role (Bernstein et al., 1992). The roots of corruption are here: “regulators and their clients develop patterns of mutual accommodation which run against the public interest” (Wuyts et al., 1992).

Resilience

Rate at which a system returns to its reference state after a perturbation.

Resistance

Tendency of a system to remain in its reference state in the face of a disturbance.

Rhizosphere

Zone of soil that is directly influenced by roots.

Scale neutrality

A term referring to technologies that do not have marked economies of scale, that is becoming economically viable only at a certain scale of operation, that is on farms of a certain size. Scale-neutral technologies in agriculture are biochemical, like HYV seed packages, rather than mechanical, like tractors, combine harvesters and some types of irrigation.

Secondary succession

Succession that occurs on previously vegetated sites after a disturbance in which there are residual effects of organisms and organic matter from organisms present before the disturbance.

Sensible heat flux

Energy transferred between a surface and the near-surface atmosphere by conduction and movement to the bulk atmosphere by convection (Chapin III et al., 2002).

Small-scale and subsistence farmers

Small family farmers. What is distinctive about contemporary smallscale farmers with capitalism is that they are petty commodity producers subject to processes of class and other social differentiation, which can be charted through pressures on simple reproduction (middleincome small-scale farmers) on the one hand, and opportunities for accumulation on the other (‘rich’ small-scale farmers). Subsistence or poor small-scale farmers on the other hand are subject to a simple reproduction squeeze on their endowment (from Wilson, 1997).

Soil fertility

Ability of a soil to deliver the nutrients required for productive plant growth and carbon gain.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 209

Glossary

Term

Definition and comment

Soil horizon

Layers termed soil horizon develop within soil profiles. The characteristics of these horizons are used to classify soil pedons into soil series. The boundaries between soil horizons may be either sharp or gradual, but most of them are roughly parallel to the soil surface. The most common horizons are designated as A and B horizons. Others are called C or D horizons.

Soil profile

A vertical section of the soil, that exposes soil horizons.

Soil series

All areas that have soil profile characteristics falling within certain defined limits are classified together as a soil series. Theoretically, any two areas that combine the same type and degree of each of the five factors of soil formation will have the same soil series, whether the two areas occur near each other or on separate continents.

Stable landscape

A landscape accommodating population pressure, by meeting their needs for food and leisure, without sliding into degradation as a result of deforestation and desertification.

State factors

Independent variables that control the characteristics of soils and ecosystems: climate, parent material, topography. potential biota and time (Chapin III et al., 2002, p. 11).

Strategy

The pattern of activities followed by an organization in pursuit of its long term purposes.

Strategy issues

These can be characterized as developments inside or outside an organization that are likely to have an important impact on its ability to meet or determine its purposes or objectives.

Sustainable development

Development which meets the requirements of the present without compromising the ability of future generations to meet their own necessities.

Terms of trade

The relative prices of one group of commodities (generally those being sold) compared with those of another (generally those being bought). The terms of trade for a country is an index calculated by dividing the index of export prices by the index of import prices. The terms of trade deteriorate if import prices increase faster than export prices, or export prices fall faster than import prices. Similarly the terms of trade for primary products (compared with manufacturing products) deteriorate if the prices of primary products fall relative to those of manufactured products. (From Allen and Thomas, 2000, p. 294.)

210

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Develop-

Bibliography Agboola, A.A. and A.A. Fayemi (1971) ‘Effect of Interplanted Legumes and Fertilizer Treatment on the Major Soil Nutrients’, International Symposium on Soil Fertility Evaluation and Proceedings, Vol. 1, pp. 529-40. Alexandratos, N. (1988) World Agriculture: Towards 2000. Belhaven for FAO London. Allen, T and A. Thomas (2000) Poverty and Development into the 21st Century. The Open University in association with Oxford University Press. Anderson, T. (1976) ‘Subsystems of Conuco Agriculture in the Basin of Lake Valencia, Venezuela: A Classification and Description’, Ohio Geographers: Recent Research Themes, Vol. 4, pp. 24-34. Andrews, D.J. (1972) ‘Intercropping with Sorghum’, International Symposium on Sorghum in the 1970s, Oxford & IBH Publishing Co., New Delhi, Vol. 6, pp. 546-55. Angelsen, A. and D. Kaimowitz (eds) (2001) Agricultural Technologies and Tropical Deforestation, CAB International in association with Centre for International Forestry Research (CIFOR), Wallingford, Oxfordshire. Bakker, H. (1999) Sugar Cane Cultivation and Management, Kluwer Academic/Plenum Publishers, New York. Barik, T., R.N. Mohapatra. P.L. Pradhan and B.P. Mohapatra (1996). Reflections from Farmer-led Trials in India. In PLA Notes, Participation, Policy and Institutionalisation, Number 27, October 1996, pp. 4-6. Beevers, A. (1980) ‘Mumias Outgrower Scheme: A Study in Self-sufficient Sugar Cane Production’, Proceedings ISSCT VII Conference 1980, ISSCT Executive Committee, Manila. Bennett, H.H. (1939) Soil Conservation, First Edition, McGraw-Hill Book Company, Inc., New York and London. Bernstein, H., B. Crow and H. Johnson (1992) Rural Livelihoods, Crises and Responses, Oxford University Press in association with the Open University, Oxford. Bruinsma, J. (ed) (2003) World Agriculture: Towards 2015 / 2030. An FAO Perspective. Earthscan Publications Ltd London. Bryceson, D., C. Kay and J. Mooij (eds) (2000) Disappearing Peasantries? Rural Labour in Africa, Asia and Latin America. ITDG Publishing, London. Burkey, S. (1993) People First - A Guide to Self-Reliant, Participatory Rural Development, Zed Books, London and New York. Chambers, R. (1983) Rural Development. Putting the Last First, Longman, Edinburgh. Chambers, R. (1994) ‘Participatory Rural Appraisal (PRA): Analysis of Experience’, World Development, vol. 22, no. 7, pp. 1253-1268. Chambers, R., A. Pacey and L.A. Thrupp (eds, 1998) Farmer First, Farmer Innovation and Agricultural Research. Intermediate Technology Publications, London. Chapin III, F.S., P.A. Matson and H.A. Mooney (2002) Principles of Terrestrial Ecosystem Ecology, Springer Science and Business Media, New York.

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Bibliography Chase, T.N., R.A. Pielke Sr., T.G.F. Kittel, R.R. Nemani and S.W. Running (2000). Simulated impacts of historical land cover changes on global climate in northern winter. Climate Dynamics 16,93-105. Checkland, P. and J. Scholes (2000) Soft Systems Methology in Action, John Wiley & Sons, Ltd. Chichester. Cipolla, C.M. (1978) An Economic History of World Polulation, 7th edn, Penguin, Harmondsworth. Cooke, B. and Uma Kothari (eds) (2001) Participation, The New Tyranny? Zed Books Ltd, New York. Cordero, A. and R.E. McCollum (1979) ‘Yield Potential of Interplanted Annual Food Crops in Southeastern US. Agronomy Journal, Vol . 71, Sept/Oct. pp. 834-42. Crutzen, P.J. and M.O. Andrea (1990) ‘Biomass burning in the tropics: Impact on atmospheric chemistry and biogeochemical cycles’. Science 250, pp. 1669-1678. De, Rajat and S.P. Singh (1979) ‘Management Practice for Intercropping Systems’, prepared for International Workshop, ICRISAT, Hyderabad, India, January. de Haan, J. and C.I.J. Siermann (1993) Political Instability and Economic Growth, Some Further Evidence, rev. version, Groningen, mimeograph, September Dempster, J.P. and T.H. Coaker (1972) ‘Diversification of Crop Ecosystems as a Means of Controlling Pests’, Biology in Pest and Disease Control (eds) J.D. Price and M.E. Solomon, John Wiley and Sons, New York, 13th Symposium of the British Ecological Society, 4-7 January. Dichter, T. (1989) ‘Development management: plain or fancy? Sorting out some muddles’. Public Administration and Development, Vol. 9, no. 4, pp. 171-181. Donnan, W.W. and C.F. Houston (1967) ‘Drainage Related to Irrigation Management’ in Hagan, R.M., H.R. Howard, T.W. Edminster and R.C. Dinauer (eds) Irrigation of Agricultural Lands, Number 11 in the series Agronomy, American Society of Agronomy, Madison, Wisconsin, pp. 974-987. Durand, J.D. (1997) ‘Historical Estimates of World Population: An Evaluation’. Population and Development Review, 3(3), pp. 253-95. Eade, D. (2000) Capacity Building, An Approach to People-Centred Development, Oxfam, Oxford, GB. Eade, D. and S. Williams (1995) ‘Principles of development and relief work’ in The Oxfam Handbook of Development and Relief, Volume I, Oxfam UK and Ireland, Oxfam GB, Oxford, pp. 9-23. Easterly, W. and R. Levine (1997) ‘Africa’s Growth Tragedy: Policies and Ethnic Divisions’, The Quarterly Journal of Economics, November, No. 4, pp. 1203-49. Effendi, S. (n.d.) ‘Cassava Intercropping Patterns and Management Practices in Indonesia’. Central Research Institute for Agriculture, Bogor, Indonesia. FAO (1981) Agriculture Towards 2000, FAO, Rome. FAO (2000) Agriculture Towards 2015/30. Technical Interim Report. Global Perspectives Unit. FAO, Rome.

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Bibliography FAO (2001) Global Forest Resources Assessment 2000: Main Report. FAO Forestry Paper No. 140. FAO, Rome. FAO (2006) The State of Food Insecurity in the World 2006. FAO, Rome. FAO (2008) The State of Food Insecurity in the World 2008. High Food Prices and Food Security - Threats and Opportunities. FAO, Rome. Feyerherm, A. (1994) ‘Multiple paths for inter-organizational journeys’, paper prepared for the Workshop on Multi-organizational Partnerships: Working Together across Organizational Boundaries, European Institure for Advanced Studies in Management, Brussels, September 19-20. Forbes, P. and P.B. Checkland (1987) Monitoring and Control in Systems Models, Internal Discussion Paper 3/87, Department of Systems and Information Management, University of Lancaster. Guijt, I. (1998) Participatory Monitoring and Impact Assessment of Sustainable Agriculture Initiatives: an Introduction to Key Elements. SARL Discussion Paper No. 1, July 1998. Gunasena, H.P.M. (1980) ‘Performance of Maize-Legume Intercrop Systems in Sri Lanka’, 2nd SISA Conference, Tanzania. Hall, M. (ed.), J. Dixon, A. Gulliver and D. Gibbon (2001) Farming Systems and Poverty; Improving Farmers’ Livelihoods in a Changing World, FAO, Rome and World Bank, Washington. Hasselbach, O.E and A.M.M. Ndegwa (1980) ‘Modifying the Competitive Relationship’ in Maize-Bean Mixture in Kenya. 2nd SISA Conference, August, Tanzania. Heyne, K. (1950) De Nuttige Planten van Indonesia, N.V. Uitgeverij W. van Hoeve, The Hague, Bandoeng, 3rd Impression. Hill, R.A. (1961) Leaching requirements in irrigation Amer. Soc. Civ. Eng. Irrig. Drainage Div. J. 87 (IRI), 1-5. Houghton, Sir J. (2009) Global Warming. The Complete Briefing (4th ed). Cambridge University Press, Cambridge. ILACO B.V. (1985) Agricultural Compendium for Rural Development in the Tropics and Subtropics. Elsevier, Amsterdam. Innis, D.Q. (1997) Intercropping and the Scientific Basis of Traditional Agriculture, Intermediate Technology Publications, London. Jenkins, R. (1992) ‘Theoretical perspectives’ in Hewitt, T., H. Johnson and D. Wield (eds) Industrialization and Development, Oxford University Press, Oxford/Open University, Milton Keynes. Keswani, C.L. and R.A.D. Meta (1980) Effect of Intercropping on the Severity of Powdery Mildew on Greengram, 2nd SISA Conference, August, Morogora, Tanzania. Kleinman, P.J.A., D. Pimentel and R.B. Bryant (1995) ‘The ecological sustainability of slash-and-burn agriculture’, Agriculture, Ecosystems and Environment 52, pp. 235249.

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Bibliography Korten, D.C. (1984) ‘Rural development programming, the learning process approach’ in Korten, D.C. and R. Klaus (eds) People-centred Development, Contributions Towards Theory and Planning Frameworks, Kumarian Press, West Hartford. McGowan, P.J. and T.H. Johnson (1984) ‘African Military Coups d’Etat and Underdevelopment: A Quantitative Historical Analysis’, Journal of Modern African Studies, 22(4), pp. 633-66. Mol, A. (2008) ‘Markt voor Bio-energie behoefte Regie’. In Wageningen Update 1/08, pp. 16-21. Moreno, R.A. (n.d.) ‘Crop Protection Implications of Cassava Intercropping’, Centro Agronomico Tropical de Investigacion y Ensananza, Turrialba, Costa Rica. Myint, H. (1958) ‘The classical theory of international trade and under developed countries’, Economic Journal, 68, pp. 317-337. Osiru, D.S.O. and G.R. Kabira (1979) ‘Sorghum/Pigeonpea and Millet/Groundnut Mixtures with Special Reference to Plant Population and Crop Arrangement’ prepared for International Intercropping Workshop, ICRISAT, Hyderabad, India, January. Porto, M.C.M., P.A. de Almeida, P.L.P De Mattos and R.F. Souza (1979) ‘Cassava Intercropping in Brazil’, Intercropping with Cassava, Weber and Campbell (eds) (1979) IDRC, Ottawa. Potter, S. and R. Subrahmanian (1988) ‘Information Needs and Policy Change’ in Thomas, A., J. Chataway and M. Wuyts (eds) Finding Out Fast, Investigative Skills for Policy and Development, Sage Publications Ltd, London. Robinson, D., Hewitt, T. and Harriss, J. (2000) ‘Key concepts and principles of co-operation’ in Robinson, D., Hewitt, T. and Harriss, J. (eds) Managing Development, Understanding Inter-organizational Relationships, Sage Publications in association with the Open University, London, Thousand Oaks, New Delhi. Rondinelli, P. (1993) ‘The problem of development administration: Coping with complexity and uncertainty’, in Development Projects as Policy Experiments, London, Routledge. Sachs, J.D. (2005) The End of Poverty; Economic Possibilities for Our Time, The Penguin Press, New York. Sebastiani, M. (1981) ‘The Conucis Laguneros of the Lake Valencia Basin of Venezuela: An Appropriate Technology’. Paper presented at I.G.U. meetings, Fresno, California. Sen, A. (1981) Poverty and Famines: an Essay on Entitlement and Deprivation, Oxford University Press, Oxford. Sen, A. and J. Drèze (1999) Omnibus, Poverty and Famines, Hunger and Public Action, India: Economic Development and Social Opportunity, Oxford University Press, New Delhi. Szirmai, A. (2005) The Dynamics of Socio-Economic Development, Cambridge University Press, Cambridge. Terhune, E.C. (1976) ‘Prospects for Increasing Food Production in Less Developed Countries Through Efficient Energy Utilization’, Energy and Agriculture Conference, St Louis.

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Bibliography Thiele, G. (1993) ‘The dynamics of farm development in the Amazon; the barbecho crisis model’, Agricultural Systems 42, pp. 179-197. Thomas, A., J. Chataway and M. Wuyts (eds) (1998) Finding Out Fast, Investigative Skills for Policy and Development, Sage Publications Ltd, London. Tran, D. and N. Nguyen (2001) ‘Case Study: Declining Productivity Gains and the Yield Gap in Rice’, in Dixon, J., A. Gulliver and D. Gibbon (eds) Global Farming System Study, Challenge and Priorities to 2030. Consultation Documents, World Bank / FAO, Rome, Italy. UNDP (2005) Human Development Report, 2005, UNDP, New York. Uphoff, N. (1995) ‘Why NGOs are not a Third Sector: a Sectoral Analysis with some Thoughts on Accountability, Sustainability and Evaluation’, in Edwards, M. and D. Hulme (eds) Non-Governmental Organizations - Performance and Accountability Beyond the Magic Bullet, Earthscan, London. Uphoff, N. (1996) Learning from Gal Oya; Possibilities for Participatory Development and Post-Newtonian Social Science. IT Publications, London. van der Meer, C.L.J. (1983) ‘Voedsel voorziening en agrarische ontwikkeling’ in C.L.J. van der Meer (ed.) Landbouw en ontwikkeling, Vuga, The Hague, pp. 177-205. Villarosa, F.N. di (1994) Blueprint and Process Approach to Institutional Development. A Case Study from a Health Project in India. Sussex University, Ph.D. thesis. Waddell, E. (1972) The Mound Builders. Univ. of Washington Press, Seattle, pp. 38-61. Wiley, R.W. (1979a) ‘Intercropping - Its Importance and Research Needs. Part I, Competition and Yield Advantages’. Common Wealth Bureau of Pastures and Field Crops, Field Crop Abstracts, Vol. 32 (1), January, ICRISAT, 1-11-256, Begumpet, Hyderabad 5000 16, AP India. Wiley, R.W. (1979b) ‘Intercropping - Its Importance and Research Needs. Part 2, Agronomy and Research Approaches’, Field Crop Abstracts, Vol. 32 (2), February, pp. 73-85. Wiley, R.W. (1979c) ‘A Scientific Approach to Intercropping Research’, prepared for International Intercropping Workshop, ICRISAT, Hyderabad, India. Wilson, G. (1997) Preparing for Development, The Open University, Milton Keynes. World Bank (2000) World Development Report, Washington, D.C., USA. World Bank (2005) World Development Indicators, Washington, D.C., USA. Wuyts, M., M. Mackintosh and T. Hewett (1992) Development Policy and Public Action. Oxford University Press, in association with the Open University.

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Appendices

No.

Title

1

Sub-Saharan Africa - 27 Countries of lowest PPP$ per capita

Page No. 218

2

South Asia - Five countries of lowest PPP$ per capita

219

3

Change in forest cover 1990-2000 in thousands of ha

219

4

Land use for Sub-Saharan Africa for 2002 in thousands of ha

222

5

Land use for South Asia for 2002 in thousands of ha

224

6

Countries listed per Development Region

225

7

Soils and terrain suitability for surface irrigation in AFR

225

8

Millennium Development Goals

227

9

Actual population 1970-2005

229

10

World historic and predicted populations (millions)

230

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 217

Appendices

APPENDIX 1.

Sudan Gambia, The Togo

Sub-Saharan Africa - 27 Countries of lowest PPP$ per capita. 1 Pop. millions

Surface area 1000 sq. km

34 1

People / sq. km

PPP GNI $billions

PPP $ / capita

PPP / capita rank

2,506

13

59

1,760

167

11

130

2

1,740

169

5

57

86

8

1,640

176

Senegal

10

197

51

17

1,620

177

Uganda

26

241

107

36

1,430

178

Côte d’Ivoire

17

322

52

24

1,400

180

8

26

323

11

1,200

182

Rwanda Burkina Faso

13

247

47

14

1,170

183

Benin

7

113

60

7

1,110

184

Central Afr. Rep.

4

623

6

4

1,080

185

Chad

9

1,284

7

9

1,080

185

Mozambique

19

802

24

20

1,060

187

Kenya

32

580

55

33

1,030

189

4

118

35

4

1,020

190

13

1,240

10

11

960

192

Eritrea Mali Nigeria

124

924

134

123

900

193

Zambia

11

753

14

9

850

194

Niger

12

1,267

9

10

830

195

Madagascar

17

587

30

13

800

199

Congo Rep. Ethiopia Guinea Bissau

4

342

11

3

730

200

71

1,104

64

48

710

201

1

36

41

1

680

202

53

2,345

23

35

660

204

Burundi

7

28

244

5

630

205

Tanzania

37

945

39

22

620

206

Malawi

12

118

103

6

590

207

5

72

69

3

530

208

555

16,915

33

537

968

Congo Dem. Rep.

Sierra Leone Totals / Means

1. Source: Data for year 2003. International Bank for Reconstruction and Development / The World Bank, 2005, World Development Indicators, Table 1.1 and FAOSTAT.

218 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices

APPENDIX 2.

South Asia - Five countries of lowest PPP$ per capita . 1 Pop. millions

Surface area 1000 sq. km

People/ sq. km

PPP GNI $billions

PPP $/ capita

PPP / capita rank

147

144

1,019

258

1,758

163

1,065

3,287

324

3,062

2,874

146

25

147

171

35

1,391

179

Pakistan

154

796

193

303

1,973

159

Sri Lanka

19

66

289

72

3,777

136

1,263

4,296

294

3,472

2,748

Bangladesh India Nepal

TOTAL

1. Source: Data for year 2003. International Bank for Reconstruction and Development / The World Bank, 2005, World Development Indicators, Table 1.1 and FAOSTAT.

APPENDIX 3.

Change in forest cover 1990-2000 in thousands of ha. 1 Total forest area in thousands of ha by year 1990 %

Total

Total %

AVG yr.

Yr. %

56

57

-1,242

-2

-124

0

3,349

24

30

-669

-21

-70

-2

12,427

13,611

22

24

-1,184

-9

-118

-1

27,360

7,089

7,241

26

26

-152

-2

-15

0

2,568

94

241

4

9

-147

-61

-15

-6

46,450

23,858

26,076

51

56

-2,218

-9

-222

-1

400

85

35

22

9

50

143

5

14

62,297

22,907

23,207

37

37

-300

-1

-30

0

125,920

12,692

13,509

10

10

-817

-6

-82

-1

186

8

12

4

6

-4

-33

0

-3

34,150

22,080

22,235

65

65

-175

-1

-18

0

Land area

2000

1990

124,670

69,756

70,998

Benin

11,063

2,650

Botswana

56,673

Burkina Faso Burundi

2000 %

Forest cover change 1990-2000

Sub-Saharan Africa Angola

Cameroon Cape Verde Cent. Afr. Rep. Chad Comoros Congo Rep.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 219

Appendices APPENDIX 3.

Change in forest cover 1990-2000 in thousands of ha. 1 Total forest area in thousands of ha by year

Forest cover change 1990-2000

Land area

2000

1990

2000 %

1990 %

Total

Total %

AVG yr.

Yr. %

226,705

135,207

140,531

60

62

-5,324

-4

-532

0

Côte d’Ivoire

31,800

7,117

9,766

22

31

-2,649

-27

-265

-3

Djibouti

2,317

6

6

0

0

0

0

0

0

Congo Dem. Rep.

Eritrea

11,759

1,585

1,639

13

14

-54

-3

-5

-0

110,430

4,593

4,996

4

5

-403

-8

-40

-1

Gabon

25,762

21,926

21,927

85

85

-1

0

0

0

Gambia

1,000

481

436

48

44

45

10

5

1

Ghana

22,754

6,335

7,536

28

33

-1,201

-16

-120

-2

Guinea

24,572

6,929

7,276

28

30

-347

-5

-35

-0

Guinea Bissau

3,612

2,187

2,403

61

67

-216

-9

-22

-1

Kenya

Ethiopia

56,915

17,096

18,027

30

32

-931

-5

-93

0

Lesotho

3,035

14

14

0

0

0

0

0

0

Liberia

11,137

3,481

4,241

32

39

-760

-18

-76

-2

Madagascar

58,154

11,727

12,901

20

22

-1,174

-9

-117

-1

9,409

2,562

3,269

27

35

-707

-22

-71

-2

Mali

122,019

13,186

14,179

11

12

-993

-7

-99

-1

Mauritania

102,522

317

415

0

0

-98

-24

-10

-2

202

16

17

8

8

-1

-6

0

-1

78,409

30,601

31,238

39

40

-637

-2

-64

0

Malawi

Mauritius Mozambique Namibia

82,329

8,040

8,774

10

11

-734

-8

-73

-1

126,670

1,328

1,945

1

2

-617

-31

-62

-3.

Nigeria

91,077

13,517

17,501

15

19

-3,984

-23

-398

-2

Rep. S. Africa

121,758

8,917

8,997

7

7

-80

-1

-8

0

Reunion

250

71

76

28

30

-5

-7

-1

-1

Rwanda

2,466

307

457

12

19

-150

-33

-15

-3

Niger

220 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices APPENDIX 3.

Change in forest cover 1990-2000 in thousands of ha. 1 Total forest area in thousands of ha by year

São Tomé - Principe Senegal Seychelles Sierra Leone Somalia

Forest cover change 1990-2000

Land area

2000

1990

2000 %

1990 %

Total

Total %

AVG yr.

Yr. %

95

27

27

28

28

0

0

0

0

19,252

6,205

6,655

32

35

-450

-7

-45

0

45

30

30

67

67

0

0

0

0

7,162

1,055

1,416

14

20

-361

-25

-36

-3

62,734

7,515

8,264

12

13

-769

-9

-77

-1

237,600

61,627

71,216

26

30

-9,589

-13

-959

-1

Swaziland

1,721

522

464

30

27

58

13

6

1

Tanzania

88,359

38,811

39,724

44

50

-913

-2

-91

0

Sudan

Togo

5,439

510

719

9

13

-209

-29

-21

-3

Uganda

19,964

4,190

5,103

21

26

-913

-18

-91

-2

Zambia

74,399

31,246

39,755

42

53

-8,509

-21

-851

-2

Zimbabwe

38,685

19,040

22,239

49

57

-3,199

-14

-320

-1

Total AFR

2,374,353

641,950

694,713

27

30

-52,763

-8

-5,276

-0.1

South Asia Afghanistan

64,958

1,351

1,351

2

2

0

0

0

0

Bangladesh

13,017

1,334

1,168

10

9

168

14

17

1

Bhutan

4,701

3,016

3,018

64

64

0

0

0

0

297,319

64,113

63,732

22

21

381

1

38

0

India Maldives

30

1

1

3

3

0

0

0

0

Nepal

14,300

3,900

4,683

27

33

-783

-16

-78

-2

Pakistan

77,087

2,361

2,755

3

4

-384

-14

-39

-1

Sri Lanka

6,463

1,940

2,288

30

35

-348

-15

-35

-2

Total SAS

477,875

78,016

78,994

16

17

-978

-1

-98

0

Africa

2,978,394

649,866

702,502

22

23.5 9

-52,636

-7

-5,264

-0.8

Asia

3,084,746

547,793.

551,448

18

18

-3,655

-1

-366

0

Oceania Europe

849,096

197,623

201,271

23

24

-3,648

-2

-365

0

2,259,957

1,039,251

1,030,475

46

46

8,778

1

878

0

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 221

Appendices APPENDIX 3.

Change in forest cover 1990-2000 in thousands of ha. 1 Total forest area in thousands of ha by year

Forest cover change 1990-2000

Land area

2000

1990

2000 %

1990 %

Total

Total %

N. and C. America

2,136,966

549,304

555,002

26

26

-5,698

-1

S. America

1,754,741

885,618

922,731

50

53

-37,113

-4

-3,711

0

13,063,900

3,869,455

3,963,429

30

30

-93,974

-2

-9,397

0

Total World

AVG yr.

0

1. Source: http:/www.fao.org/DOCREP/Y1997E.

APPENDIX 4.

Country Angola

Land use for Sub-Saharan Africa for 2002 in thousands of ha. 1 Arable and permanent crops

Pasture permanent

Non-arable and non-permanent

57,300

3,300

54,000

121,370

Land area

Agric. land

124,670

Benin

11,063

3,365

2,815

550

8,248

Botswana

56,673

25,980

380

25,600

56,293

Burkina Faso

27,360

10,400

4,400

6,000

23,230

Burundi

2,568

2,170

1,351

819

1,217

46,450

9,160

7,160

2,000

39,380

403

70

45

25

358

62,297

5,149

2,024

3,125

60,274

125,920

48,630

3,630

45,000

122,290

Cameroon Cape Verde Cent. Afr. Rep. Chad Comoros

223

147

132

15

91

34,150

10,240

240

10,000

33,910

226,705

22,600

7,800

15,000

218,905

Côte d’Ivoire

31,800

19,900

6,900

13,000

24,900

Djibouti

2,318

1,301

1

1,300

2,317

Congo Rep. Congo Dem. Rep.

Yr. %

222 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices APPENDIX 4.

Country Eritrea

Land use for Sub-Saharan Africa for 2002 in thousands of ha. 1

Land area

Agric. land

Arable and permanent crops

Pasture permanent

Non-arable and non-permanent

10,100

7,470

503

6,967

9,597

100,000

30,671

10,671

20,000

89,329

Gabon

25,767

6,160

495

4,665

25,272

Gambia

1,000

714

255

459

745

Ghana

22,754

14,681

6,331

8,350

16,423

Guinea

24,572

12,240

1,540

10,700

23,032

Guinea Bissau

2,812

1,628

548

1,080

2,264

Kenya

56,915

26,462

5,162

21,300

51,752

Lesotho

3,036

2,334

334

2,000

2,702

Liberia

9,632

2,600

600

2,000

9,032

58,154

27,550

3,550

24,000

54,604

9,409

4,290

244

4,046

9,164

Mali

122,019

34,700

4,700

30,000

117,319

Mauritania

102,522

39,750

500

39,260

102,022

Mozambique

78,409

48,435

4,435

44,000

73,974

Namibia

82,329

Ethiopia

Madagascar Malawi

Niger

126,670

16,500

4,508

12,000

122,170

Nigeria

91,077

72,200

33,000

39,200

58,077

Rep. S. Africa

121,447

99,640

15,712

83,928

105,735

Reunion

250

49

37

12

213

Rwanda

2,467

1,850

1,385

465

1,082

96

55

54

1

42

19,252

8,156

2,506

5,650

16,747

45

7

7

0

38

7,162

2,800

800

2,200

6,582

62,734

44,071

1,071

43,000

61,863

São Tomé - Principe Senegal Seychelles Sierra Leone Somalia

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 223

Appendices APPENDIX 4.

Country Sudan

Land use for Sub-Saharan Africa for 2002 in thousands of ha. 1

Land area

Agric. land

Arable and permanent crops

Pasture permanent

Non-arable and non-permanent

237,600

133,831

16,653

117,178

220,947

Swaziland

1,721

1,380

190

1,200

1,530

Tanzania

88,359

40,100

5,100

35,000

83,259

5,439

3,630

2,630

1,000

2,809

Uganda

19,710

12,312

7,200

5,112

12,510

Zambia

74,399

35,289

5,289

30,000

69,050

Zimbabwe

38,685

20,550

3,350

17,200

35,335

Total AFR

2,374,353

1,356,547

180,150

1,176,387

2,179,282

100

57

8

50

92

100

13

87

Togo

% of land area % of agric. land

1. Source: http/www.fao.org.DOCREP/Y1997E. APPENDIX 5.

Land use for South Asia for 2002 in thousands of ha. 1 Arable and permanent crops

Pasture permanent

Non-arable and non-permanent

Country

Land area

Agric. land

Afghanistan

65,209

38,054

8,054

30,000

57,155

Bangladesh

13,017

9,029

8,429

600

4,588

Bhutan

4,700

580

165

415

4,535

297,319

181,177

170,115

11,062

127,204

30

13

12

1

18

Nepal

14,300

5,031

3,294

1,737

11,008

Pakistan

77,088

27,120

22,120

5,000

54,968

India Maldives

Sri Lanka

6,463

2,356

1,916

440

4,547

Total SAS

478,126

263,360

214,105

49,255

264,021

% of land area

100

55

45

10

55

100

81

19

% of agric. land

1. Source: http/www.fao.org.DOCREP/Y1997E.

224 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices APPENDIX 6.

Countries listed per Development Region. 1

Sub-Saharan Africa (AFR) Angola, Benin, Botswana, Burkina Faso, Burundi, Cameroon, Cape Verde, Central African Republic, Chad, Comoros, Congo, Congo Democratic Republic, Côte d’Ivoire, Djibouti, Eritrea, Ethiopia, Gabon, Gambia, Ghana, Guinea, Guinea Bissau, Kenya, Lesotho, Liberia, Madagascar, Mauritius, Mozambique, Namibia, Niger, Nigeria, Republic of South Africa, Reunion, Rwanda, São Tomé and Principe, Senegal, Seychelles, Sierra Leone, Somalia, Sudan, Swaziland, Tanzania, Togo, Uganda, Zambia, Zimbabwe. South Asia (SAS) Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Pakistan, Sri Lanka. 1. From Hall et al. (2001) pp. 397, 398. © 2001. Food and Agriculture Organization of the United Nations. Used with permission.

APPENDIX 7.

Soils and terrain suitability for surface irrigation in AFR. 1

Country Angola

Land area thousands ha

Soils suitable for irrigation of rice

Soils suitable for irrigation of upland crops

124,670

22,796.6

4,187.5

Total area of soils suitable for surface irrigation

As a percentage of land area

26,984.1

21.6%

Benin

11,063

3,783.6

0.0

3,783.6

34.2%

Botswana

56,673

13,489.4

5.4

13,494.8

25.8%

Burkina Faso

27,630

5,438.0

0.0

5,438.0

19.7%

2,568

302.1

386.7

688.8

26.8%

Burundi

46,540

11,7840.6

26.8

11.811.4

25.4%

Cape Verde

Cameroon

403

9.9

39.0

48.9

12.1%

C. Afr. Rep.

62,298

7,704.5

0.0

7.704.5

12.4%

125,920

20,598.2

5,077.5

25,675.7

20.4%

Chad Comoros

223

163.9

0.0

16.9

7.5%

Congo Rep.

34,150

9,25706

45.6

9,302.2

27.2%

Côte d’Ivoire

31,800

4,545.3

1,050.7

5,596.0

17.6%

226,705

78,728.1

9.7

78,727.8

34.7%

2,318

246.1

50.6

296.7

12.8%

10,100

1,703.0

2,565.4

4,268.4

42.3%

100,000

20,918.1

9,418.3

30.336.4

30.3%

Dem. Republic of the Congo (Zaire) Djibouti Eritrea Ethiopia

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 225

Appendices APPENDIX 7.

Soils and terrain suitability for surface irrigation in AFR. 1 Soils suitable for irrigation of upland crops

Total area of soils suitable for surface irrigation

As a percentage of land area

Land area thousands ha

Soils suitable for irrigation of rice

25,767

5,186.0

0.0

5,186.0

20.1%

1,000

495.1

0.0

495.1

49.5%

Ghana

22,754

5,684.5

5.0

5,689.5

25.0%

Guinea

24,572

3,980.1

473.9

4,454.0

18.1%

2,812

603.7

0.0

603.7

21.5%

56,914

11,405.6

5,979.1

17,384.7

30.5%

3,036

652.0

0.0

652.0

21.5%

Country Gabon Gambia, The

Guinea Bissau Kenya Lesotho Liberia

9,632

1,129.2

1,036.2

2,165.4

22.9%

58,154

14,138.9

385.5

14,524.4

25.0%

9,408

2,467.2

0.0

2,467.2

26.2%

Mali

122,019

9,939.5

202.2

10,141.8

8.3%

Mauritania

Madagascar Malawi

102,552

2,462.0

6,325.3

8,787.3

8.6%

Mozambique

78,409

17,432.0

983.7

18,415.7

23.5%

Namibia

82,329

11,111.7

2,133.9

13,245.6

16.1%

126,670

3,476.0

86.1

3,562.1

2.8%

91,077

18,080.7

317.9

18,398.6

20.2%

121,447

21,434.6

1,163.6

22,598.2

18.6%

Niger Nigeria Rep. South Africa Reunion

250

Rwanda

2,467

220.6

80.3

300.9

12.2%

96

10.7

0.0

10.7

11.1%

19,253

2,742.5

290.2

3,032.7

15.6%

7,162

985.0

724.5

1,709.5

23.9%

62,734

8,361.5

4,427.6

12,789.1

20.4%

237,600

66,955.1

1,814.1

68,769.2

28.9%

São Tomé & Principe Senegal Seychelles Sierra Leone Somalia Sudan

45

Swaziland

1,720

339.5

0.0

339.5

19.7%

Tanzania

88,359

23,344.7

908.7

24,253.4

27.4%

5,439

1,114.7

0.0

1,114.7

20.5%

Togo

226 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices APPENDIX 7.

Soils and terrain suitability for surface irrigation in AFR. 1

Land area thousands ha

Soils suitable for irrigation of rice

Soils suitable for irrigation of upland crops

Uganda

19,710

7,652.0

23.7

7,675.7

38.9%

Zambia

74,339

26,540.7

24.0

26,564.7

35.7%

Country

Zimbabwe TOTAL

38,685 2,359,442

10,382.6 479,680.5

782.2 51,030.9

Total area of soils suitable for surface irrigation

As a percentage of land area

11,164.8 530.681.4

28.9% 22.5%

1. Source: For land area: International Bank for Reconstruction and Development / The World Bank, 2005 World Development Indicators. For irrigation suitability: FAO Corporate Document Repository: http://www.fao.org/docrep/W4347. APPENDIX 8. Millennium

Development Goals. 1

Goals 1

Eradicate extreme poverty and hunger

Targets 1

Halve, between 1990 and 2015, the proportion of people whose income is less than one dollar US per day.

2

Halve, between 1990 and 2015, the proportion of people who suffer from hunger.

2

Achieve universal primary education

3

Ensure that by 2015 children everywhere, boys and girls alike, will be able to complete a full course of primary schooling.

3

Promote gender equality and empower women

4

Eliminate gender disparity in primary and secondary education, preferably by 2005, and to all levels for education no later than by 2015.

4

Reduce child mortality

5

Reduce by two-thirds, between 1990 and 2015, the under-five mortality rate.

5

Improve maternal health

6

Reduce by three-quarters, between 1990 and 2015, the maternal mortality rate.

6

Combat HIV/AIDS, malaria and other diseases

7

By 2015 have halted and begun to reverse the spread of HIV/AIDS.

8

By 2015 have halted and begun to reverse the incidence of malaria and other major diseases.

9

Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources.

7

Ensure environmental sustainability

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 227

Appendices APPENDIX 8. Millennium

Development Goals. 1

Goals

8

Develop a global partnership for development

See also the 2005 UNDP Human Development Report pp. 39-48

Targets 10

Halve by 2015 the proportion of people without sustainable access to safe drinking water and basic sanitation

11

By 2020 have achieved a significant improvement in the lives of at least 100 million slum dwellers.

12

Develop further an open, rule-based, predictable, nondiscriminatory trading and financial system. Include a commitment to good governance, development and poverty reduction, both nationally and internationally.

13

Address the special need of the least developed countries. This includes tariff- and quota-free access for least developed countries’ exports; an enhanced programme of debt relief for HIPCs and cancellation of official bilateral debt; and more generous ODA for countries committed to poverty reduction.

14

Address the special needs of landlocked countries and small island developing states (through the programme of Action of Sustainable Development of Small Island Developing States and the outcome of the twenty-second special session of the General Assembly).

15

Deal comprehensively with the debt problem of developing countries through national and international measures in order to make debt sustainable in the long term.

16

In cooperation with developing countries, develop and implement strategies for decent and productive work for youth.

17

In cooperation with pharmaceutical companies, provide access to affordable, essential drugs in developing countries.

18

In cooperation with the private sector, make available the benefits of new technologies, especially information and communications.

1. Source: From Sachs, J.D. (2005) The End of Poverty; Economic Possibilities for Our Time, The Penguin Press, New York.

228 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Appendices APPENDIX 9.

Region Africa

Actual population in millions 1970-2005. 1

1970

1975

1980

1985

1990

1995

2000

2005

357

408

470

542

622

707

796

888

2,143

2,398

2,632

2,888

3,168

3,330

3,678

3,917

Europe

655

675

692

706

722

727

727

724

Latin Am. and Carib.

284

321

361

401

441

481

520

558

N. America

239

243

256

269

283

299

315

332

Asia

Oceania World

19

21

23

25

27

29

31

33

3,692

4,068

4,435

4,831

5,264

5,674

6,071

6,454

12.5

13.1

13.8

Population by regions (percentages) Africa

9.7

10.0

10.6

11.2

11.8

Asia

64.9

58.0

59.4

59.8

60.2

60.4

60.6

60.7

Europe

18.3

16.6

15.6

14.6

13.7

12.8

12.0

11.2

Latin Am. and Carib.

8.7

7.9

8.1

8.3

8.4

8.5

8.6

8.7

N. America

6.6

6.0

5.8

5.6

5.4

5.3

5.2

5.1

Oceania

0.6

0.5

0.5

0.5

0.5

0.5

0.5

0.5

World

100

100

100

100

100

100

100

100

Increase of population by percentage from base year 1970 for regions over time Africa

100

114.24

131.44

151.65

174.22

198.01

222.70

248.53

Asia Europe

100

111.87

122.83

134.74

147.81

160.05

171.70

182.79

100

103.00

105.58

107.65

110.02

110.91

111.00

110.50

Latin Am. and Carib.

100

113.01

126.87

140.94

155.00

168.90

182.63

195.99

Northern America

100

104.95

110.40

116.18

122.25

129.10

136.21

143.21

Oceania

100

110.91

117.41

126.92

137.26

148.76

159.66

169.72

World Total

100

110.17

120.10

130.83

142.55

153.67

164.40

174.78

1. Source: United Nations Population Division. Data base http://esa.un.org/unpp.

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 229

Appendices APPENDIX 10. World

historic and predicted populations (millions). 1

Region

1750

1800

1850

1900

1959

1999

2050

2150

Africa

106

107

111

133

221

767

1,766

2,308

Asia

502

635

809

947

1,402

3,634

5,268

5,561

Europe

163

203

276

408

547

729

628

517

16

24

38

74

167

511

809

912

Northern America

2

7

26

82

172

307

392

398

Oceania

2

2

2

6

13

30

46

51

791

978

1,262

1,650

2,522

5,978

8,909

9,747

Latin America and Caribbean

World Total

World historic and predicted populations by percentage distribution (%) Africa

13.4

10.9

8.8

8.1

8.8

12.8

19.8

23.7

Asia

63.5

64.9

64.1

57.4

55.6

60.8

59.1

57.1

Europe

20.6

20.8

21.9

24.7

21.7

12.2

7.0

5.3

Latin America and Caribbean

2.0

2.5

3.0

4.5

6.6

8.5

9.1

9.4

Northern America

0.3

0.7

2.1

5.0

6.8

5.1

4.4

4.1

Oceania

0.3

0.2

0.2

0.4

0.5

0.5

0.5

0.5

100.0

100.0

100.0

100.0

100.0

100.0

100.0

100.0

World Total

1. Source: From United Nations Population Division.

230 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Index A Adaptive management 9, 49, 50 AFR cattle 145 crop production 144 cultivated area, 143 farming system agropastoral 156 agro-pastoral millet/sorghum 156 cereal-rootcrop 154 irrigatied farming 153 maize mixed 150 selection of 150 tree crop 151 farming systems basic data 142 HIV/AIDS 142 hunger and poverty 142 natural resources and climate 143 policies, institutions and public goods 147 population increase 151, 157 region-wide trends 142 science and technology 144 soil fertility decline 155 trade liberalization and market development 145 Agricultural 184 Agricultural extension and training SAP 150 Agricultural extension workers 81 Agricultural land area AFR 138 Agricultural population decline 23 Agricultural production 22 increase means 100 need for 9 Agricultural productivity improvement methods to monitor progress 91 length of growing season 139 Agricultural services 184 Agricultural support programmes 187 Agro-ecological zones AFR 138 SAS 158

B Bio-energy 123 Bio-fuels crops 124 ecosystems markets 128 market attraction 124 poverty 127 Biomass conversion into ethanol 124 Blueprint and learning process approaches combinaiton of 42 Blueprint approach 38, 40 Bottom-up 196 C CATWOE elements landscape stability 71 CATWOE factors root definition balance arable, pasture, savannah land 14 Change dynamic managing of 40 urgent 190 Chemotrophs 12 Chiselling 67 Collaboration 80 Collaborative effort 76 Common purpose awareness 36 Communication role of women 186 Consumer 196 Contour 65 Contract as a record of partnership 36 Core 73 Core concept delivery of agricultural productivity, landscape stability, reduction of poverty 6 Cover crops kudzu plant 102 Criteria transormation 45 Cropping practices strip cropping 65

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 231

Index Crops industrial 26 Cultural environment 186 D Deforestation agricultural productivity 101 Democratic Republic of the Congo 132 Demonstration plot 82 Desertification 143 Development project its succes 186 Draft-project 79 E Economic development 79 Ecosystem resilience and stability importance of 94 Ecosystems 94 Effective cooperation defined 35 Empowerment conditions 79 Environment human impact 99 social and political systems 17 Erosion cover of vegetation 61 deposition and accumulaiton 62 precipitation intensity 60 protection reforestation 65 raindrops mechanical impact 59 slope of land 60 soil profile depth 60 types sheet 62 water-borne 59 wind-borne 61 Exchange entitlement use of 48 Expert environment 74, 79

F Fallow types of 101 Fallow periods population density 101 Family-enterprise farm 26 Farm resource endowment 136 Farm 135 Farm systems 188 Farmer groups discussions about landscape stability 15 Farmer-led participatory research understanding traditional forms of intercropping 111 Farming system categories 137 defined 136 Farming systems 22 AFR strategic priorities 180 improved resource management 182 reduced household vulnerability 182 response to HIV/AIDS 182 sustainable resource management 181 irrigation 119 SAS strategic priorities 182 changing economies 182 water resource management 184 systems selected 168 trends and issues 175 Fertility improvement 68 Feyerherm framework usefulness 36 Financiers 36 Finding out process ownership 48 Food security and landscape stability secure working environment 121 Forest biomes 143 Forest burning nutrient flush 103 Forest clearing 98 Forests their value 99

232 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Index G Governance 82 Green revolution 117 Gross national income countries in AFR 140 Gully 62 H Higher education study programmes 187 Households AFR agro-partoral millet sorghum 178 cereal rootcrop mixed 178 tree crops 178 Households SAS rainfed mixed farming 180 rice-wheat 179 sharecropping 179 Human behaviour 45 I Ideal forms blueprint approach 40 IMF 195 Indicators negotiation 86 Industrialization 26 Information end users of 84 Insight 15 Institutional landscape 56 Institutional reform 132 Intercropping 59 absorption of water 110 advantages 106 chemical fertilizers 120 compared to monocropping system 106 conservation of nutrietns 112 control fo diseases 115 criculating nutrients 112 erosion 116 growth of biomass 108 insects 115 labour 113 mineral nitrogen 110 seed and variety selection 117 short- and long-term plants 111 soil condition 112 soil fertility 106

solar energy 110 spacing 108 weeds 115 yield 107 Intervention control action 9 failure 36 learning process approach conceptualized model 11 root definition 11, 14 participatory action and learning 49 policy environment 39 political aspects 48 political decisions 48 process to achieve landscape stability conceptual model 12 two approaches trade-off 37 Interviews design 46 focused 76 Investigation frame of 48 Involvement intensity 80 K Kudzu-improved fallow 104 L Land the need for 101 Land availability 163 Land degradation 19, 69 Land equivalent ratio 107 Land use in AFR 28 Land use in SAS 29 Land use planning 58 Landscape stability 43, 48 conceptual model 71 root definition 70 soil conservation methods 90 Landscape stability and food security state factor regime 132 Land-use capability classes 58 Learn and listen 186 Learn flexibility and willingness 186

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 233

Index Learning process approach 40 Leys 68 Local farmers 80 Local knowledge importance 15 M Market effective 79 Micro-finance 171, 196 Middle-income small-scale farmer household availability of labour 113 use of energy 113 Minimum 67 Monitoring calendar 84 frequency 84 methods 84 requirements 84 Multiple cropping 58 N New and interacting world 195 New world 188 O Objective landscape stability 88 Objective tree 87 Objectives criteria 83 negotiation 86 P Participation ideal counter-balance 36 involvement and empowerment 192 small-scale and subsistence farmers 74 Participatory 185 Participatory applied farmer-led research irrigation 119 Participatory farmer-led applied research soil conservation 117 Participatory management 76 Participatory monitoring system 82 Participatory process local cultural environment 186

Participatory Rural Appraisal 46 Partnership arrangement complexity 34 Pasture 65 Pasture establishment 63 Perception 51 Permanent cropping single cropping 58 Petty commodity production 22 Phototrophs 12 Pilot scheme 82 PLA agricultural project control action 92 approach to landscape stability. 71 cooperation 49 improvement agricultural production 33 indicators subjectivity 86 types of impact 87 what will be measured 88 objective agricultural productivity 88 increase in agricultural productivity 88 PLA agricultural project activity-specific monitoring 82 data collection appropriate method used 90 indicators changes in factors 85 planning phase objectives 83 Planning national and regional 195 top-down 196 village and household planning 195 Political stability 195 Political instability population pressure 121 Population densities 98 Population density pressure on farming systems 30 Population levels AFR 27 Population pressure 22–27, 185 irrigation 119 sustainablility of the natural resource base 97

234 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development

Index Positive externalities defined 34 Positive feedback 94 Poverty trap 150 PPP$ income per capita 98 PRA social dynamics power relations 47 Price scissors effect 157 Problem situation 5, 44 core population pressure 45 factors affecting it 40 food security 45 Process ongoing participation 83 Professionals external 54 trust 50 Project effectiveness 186 leading 191 Purposeful action involvement by professionals 54, 55 Purposeful activity 8 Q Questionnaire structured 76 R Rainfall pattern AFR 139 Real world situation 74 Relations 48 Research farmer-led 80 Research process pathway 74 Research question central 74 Resource to be respected 53 Resource user groups 184 Resource user groups 184 Resources availability 196 Responsibililty of actors 84

Reversals power 48 Reverse learning definition 52 Rice food staple 168 technical progress 172 Rills 62, 67 Rondinelli four-stage model 38 Root definition blueprint approach 40 Rotational field 65 Rural infrastructure 184 Rural livelihoods rural aspect 22 urban aspect 26 S SAS 27, 130 crop land loss of nutrients 163 farming system highland mixed trends and issues 174 rainfed mixed characteristics 175 rice 168 trends and issues 171 rice-wheat difficulty 172 trends and issues 172 water management 172 farming systems households human capital 167 main characteristics 159 population pressure increasing 174 selected systems 161 food intake per person 162 fruits and vegetables 166 groundwater 164 health and educational institutions accessibility 167 land area 158 livestock production 166 natural resources and climate 163 population pressure 163

Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development 235

Index poverty alleviation 167 poverty levels 163 trade liberalization and market development 166 Self-actualizaton defined 36 Services 184 Shifting agriculture 174 Shifting cultivation defined 58 Simple reproduction 117 Slash-and-burn agriculture 101 Small farmers power relations 41 Small-scale and subsistence farmers 20–22 Social-political environment 79 Soft systems methodology analyses roles 6 basic terms and meanings 7 root definitions elements 8 Soil conditioning mulching 68 Soil conservation and reclamation measures control practices 63 Soil fertility the maintenance of 113 Soil productivity decline 172 SSM 43 methodology 45 Stakeholders local 78 State factors interactive controls negative feedback 94

Structural adjustment programmes 148, 195 Subsidiary 74 Subsidies producer 196 Subsistence farmer 19 Sustainability 191 T Tillage operations contour 67 Timing 84 Topsoil stability 60 Transformation changing inputs to outputs 45 criteria to judge success 9 Tree crops 65 Trust control mechanism 36 U Undernourishment AFR 130 Urban poverty 25 W Water resource management 184 Weed infestation Striga 157 Wind 65 Windbreaks 65 World Food Summit 129 World population its extent 97

236 Food Security in Africa and Asia: Strategies for Small-scale Agricultural Development