Participatory technology development in agroforestry: methods from a pilot project in Zimbabwe

An on-farm agroforestry pilot project was initiated by the Zimbabwe Forestry Commission in 1988. The main objective of the project is to investigate a range of options to solve problems of woodland depletion faced by small-scale farmers. This paper describes the first two years of on-farm experimentation. The first season's trials are described, and the rationale for moving towards an approach of greater farmer participation in the research process is given. Steps taken to promote experimental tree planting on farms are described, and methods used are illustrated by examples from the project. Critical awareness-raising techniques, steamming from Freirian philosophy, have been central to the methods. The need for a partnership between formal and informal farmer-based research is discussed, as is a model for agroforestry research and development. The latter is proposed in a way that formal research develops the components of agroforestry practices, whilst farmers are encouraged to experiment with a combination of these components in order to develop practices appropriate to local conditions.     

Farmer-augmented designs for participatory agroforestry research

Two factors suggest that experimental designs used in on-station research are not appropriate for on-farm agroforestry research. First, successful technology development and validation requires farmer participation, which in turn requires more flexible experimental designs for on-farm experimentation. Second, the advent of widely available statistical computer packages and computing power allows the experimenter to deviate from ‘standard’ design restrictions of complete blocks and full replication. Farmer involvement in the research process should include the opportunity for farmers to ask questions and to define treatments along-side those of the researcher. To make inferences about farmer-defined augmented treatments that may only appear on one farm requires estimates of farm-by-treatment effects. This estimate can be obtained from the associated researcher's treatments that are applied to all of the farms participating in the trial. The use of augmented designs minimises plot number, while still enabling the researcher's and farmer's questions to be answered. The proposed design fills a methodological gap between informal farmer observation trials (where no statistical analysis is attempted) and larger scale extension trials (composed of simple treatment comparisons tested over a large number of farms).     

Surveying farmers' agroforestry plots: experiences in evaluating alley-cropping and tree border technologies in Western Kenya

Evaluation of existing on-farm agroforestry plots should provide useful supplementary information for the design of improved agroforestry systems, in both research and development projects. Such evaluation has been little used, however, largely due to the methodological difficulties of surveying highly variable on-farm plots, and difficulties in identifying key variables for measurement. This paper describes a set of methods and tools used in evaluating plots of alley-cropping and tree borders around crop fields established by farmers working with the CARE Agroforestry Extension Project in western Kenya. Details of survey design, sampling, and implementation are discussed, and suggestions made for carrying out agroforestry surveys in other projects. A condensed version of the questionnaire is appended.     

Implementing on-farm agroforestry research: lessons learned in Talamanca,Costa Rica

The rapid appraisal and farmer selection procedures, preceding the establishment of over fifty agroforestry research trials on farms in Talamanca, Costa Rica are described. The highest probability of success and impact of these long-term collaborative trials is obtained by selecting innovative, experienced, motivated and locally respected farmers. The methodological lessons learned from implementing three types of researcher managed trials (shade-cacao; black pepper on living support posts; timber production in boundary lines) are discussed. The importance of fitting farmer selection criteria to project objectives, experimental designs to on-farm limitations, and project goals to farmers' goals, are emphasized.     

Agroforestry experimentation: Separating the wood from the trees?

ICRAF has evolved and evaluated experimental approaches to agroforestry problems which will help resercchers reach practical conclusions most cost-effectively in the shortest possible time, and with only limited resources. This has meant looking into the experimental phases needed, developing the conceptual background to research problems which involve the complex spatial/temporal features of agroforestry systems, suggesting and initiating simplified field experimental designs and/or assessment methodologies, and establishing source and reference design materials about agroforestry research for distribution.These four sets of activities are outlined and briefly discussed in relation to some of the key research issues which have emerged.Suitable methods for many areas of experimental agroforestry are rapidly being defined, although some of the more complex issues (e.g. multistrata systems, on-farm research with multipurpose trees and tree/crop mixtures) still need a focused attempt to develop appropriate research methodologies.Head, Research Development Division, ICRAF     

The CATIE experience in agroforestry teaching and training in Latin America

CATIE has been involved in agroforestry training at the MS level, short courses for professionals, and in-service training since 1976. Approximately one hundred MS degrees with theses in agroforestry subjects have been awarded during this period, and well over one hundred professionals have participated in short courses. Almost all of these activities have been funded by various short-term projects. Although CATIE has maintained a staff with experience in agroforestry research and training throughout this period, the dependence on short-term funding has resulted in changes in the personnel available to give courses. These changes have, however, to some degree reflected changes in the concepts of what areas within agroforestry should receive the greatest emphasis. The training program at CATIE has always maintained a strong on-farm orientation, but long-term experiments established at CATIE over the past twenty years are employed to give more basic training in research methodology.     

Directions in tropical agroforestry research: past, present, and future

Reflections on the past two decades of organized research in tropical agroforestry raise several issues. Research efforts started with an inductive and experiential approach but have subsequently followed a deductive and experimental approach that includes hypothesis testing and the development of predictive capability; agroforestry research is thus being transformed into a rigorous scientific activity. The research agenda, so far, has given high priority to soil fertility and other biophysical interactions, less priority to anthropological and sociological aspects, and little priority to evaluating costs and returns, pests and diseases, and the so-called non-timber forest (tree) products. Moreover, larger-spatial-scale issues, such as carbon sequestration, water quality, and biodiversity conservation, have been neglected because of the emphasis on field- and farm-scale studies. Overall, the high expectations that were raised about the role and potential of agroforestry as a development vehicle have not been fulfilled. In order to overcome this, it is imperative that research be focused on the generation of appropriate, science-based technologies of wide applicability, especially under resource-poor conditions and in smallholder farming systems. Future research agendas should entail a judicious blending of science and technology. Applied research should build upon the findings of basic research to generate technologies for application at the farm, regional and global levels. Such research should place increased focus on previously neglected subjects, for example, the exploitation of indigenous fruit-producing trees, the agronomic components of agroforestry systems, and the global issues mentioned above. Furthermore, an appropriate methodology that embodies economic, social, and environmental costs and benefits needs to be developed to realistically assess the impacts of agroforestry, and an enabling policy environment that will facilitate agroforestry adoption needs to be made available. Agroforestry research of the 21st century should strive to build bridges from the inductive phase of the past, through the deductive phase of the present, to the future phase of harnessing science and generating technologies for the benefit of the land and its present and future users. This revised version was published online in June 2006 with corrections to the Cover Date.     

Agroforestry research in India: a brief review

India's long tradition of agroforestry has been influenced by numerous religious, social, and economic factors. Several indigenous agroforestry systems, based on peoples' needs and site-specific characteristics, have developed over the years. Agroforestry research was initiated in the country about two decades ago; since then, considerable progress has been achieved. The interactions between and among the tree, crop, grass, and animal components have been studied, and several agroforestry technologies have been developed and tried on farmers' lands. Agroforestry research is now conducted under the auspices of the All India Coordinated Agroforestry Research Project of the Indian Council of Agricultural Research at 31 centers distributed over India's tropical and temperate regions. In addition to research, the program includes agroforestry training of farmers, technicians, and scientists at 28 centers throughout the country. Expectations from agroforestry are high in India in both rural and urban areas; these expectations include production benefits that are in harmony with the ecology, environment, traditions, and heritage of the country.     

Identifying important biophysical and social determinants of on-farm tree growing in subsistence-based traditional agroforestry systems

Many expert-designed agroforestry projects enunciated in 1970s around the world, particularly in the developing countries, had uneven success due to inadequate adoption or abandonment after adoption. There are many empirical studies on factors affecting on-farm tree cultivation mainly where expert-designed agroforestry programmes were introduced but lacking in case of traditional agroforestry. Moreover, the concern to identify key factors influencing on-farm tree growing is gaining importance. The present study identifies key factors in on-farm tree growing based on investigation of traditional agroforestry using logistic regression approach. The study is based on household survey of 401 households located in Indian Western Himalaya. The factors affecting on-farm tree growing were grouped into: biophysical (included land use and infrastructural aspects) and social. Models predicting on-farm tree growing for each category were developed and key factors affecting on-farm tree growing in the respective category were identified. A composite model was also developed by combining biophysical and social factors. In the present study, farm size, agroclimatic zone, soil fertility, mobility and importance of tree for future generations respectively were the key factors which influenced tree growing. In contrast to many previous studies which considered either biophysical or social factors, the composite model in the present study reveals that both biophysical and social factors are simultaneously important in motivating the farmers to grow trees on their farms in traditional agroforestry. Moreover, the present study open vistas for using farmers’ experience and knowledge of adoption of agroforestry to stimulate on-farm tree growing. The wider implication of the study is that biophysical as well as social variables should be considered together in designing suitable agroforestry systems in various parts of the world.     

Methods of on-farm,diagnostic research on adoption potential of alley cropping

An approach to on-farm diagnostic research on alley cropping is described. The objective of economic assessment was to evaluate the adoption potential of the technology. Three activities were included. In the first research activity, cost-route surveys and field measurements were carried out for a small sample of farmers with recently established alleys. Although research-resource intensive, the cost-route studies and field measurements were necessary to develop a framework for analyzing alley cropping on-farm because rapid methods of assessing intrinsically dynamic technologies are not yet available. Administration of a focused, formal single visit survey to a large sample of farmers who have participated in alley farming trials at several locations was the second activity. Intensive data collection with a small sample continued in order to quantify factors identified as key in the first activity. Although still developmental, it is hoped that the combination of methods will contribute to development of more rapid and readily accessible methods of evaluating agroforestry technologies on-farm. IITA Journal Article No. IITA/90.JA/23.     

Status of agroforestry education in India

India is perhaps the world leader in development of agroforestry education, training and research. The Indian Council of Agricultural Research sanctioned an All-India Coordinated Research Project on agroforestry in 1983, to be headquartered in Delhi but with research centers in 20 other locations countrywide. The agricultural universities in India have a major role to play, with all institutions having agroforestry teaching programs by 1990. At this point there is a great shortage of faculty trained in agroforestry. Demand for qualified graduates with this training is only going to increase.     

Multipurpose leguminous trees and shrubs for agroforestry

These are various ways in which farmers deliberately incorporate trees and shrubs on farm production fields. Many of the species so incorporated are legumes. The role of such woody perennials in agroforestry systems can be productive and/or protective. Legumes offer by far the maximum range of choice of woody species for agroforestry in terms of their economic uses as well as ecological adaptibility. In addition to the several leguminous woody species that are well known in agroforestry, there are many more whose potentials have not yet been fully understood. An evaluation is presented of the agroforestry potentials of a few leguminous species from the point of view of their growth characteristics, ecological adaptability, combining ability with other species and uses/functions. The science of agroforestry is still in its infancy. There exists no research data on the various management aspects of these potentially promising group of plants. ICRAF, in its capacity as an international research council, has assembled several multipurpose leguminous trees and shrubs of agroforestry potential at the Council's recently-established Field Station in Machakos, Kenya, primarily for demonstration and training purposes. Initial results from these trials are presented in the paper.Adapted from a paper presented at the International Symposium on Nitrogen Fixing trees in the Tropics, 19–24 September, 1983 Rio-de-Janeiro, Brazil.     

Use of the iterative diagnosis and design approach in the development of suitable agroforestry systems for a target area

The process of iterative diagnosis and design with the active participation of farmers and extension agents was found effective in identifying appropriate agroforestry systems for farmers in the Bugesera and Gisaka-Migongo (BGM) regions of Rwanda. Periodic re-evaluation of research assumptions and technology designs was based on feedback from farmers and extentionists through regular visits to station trials, early initiation of on-farm testing, and interaction with farmer cooperators through informal discussions and formal surveys focused on specific agroforestry technologies. Statistical analysis is valuable for comparison between regions or periods. However, valid conclusions can be drawn without statistics, by employing several farmer-participatory approaches and pooling and properly interpreting the data obtained from them. Farmers' preferred uses of tree biomass in the BGM regions and appropriate agroforestry systems are discussed. If researchers and development agents do not consider the farmers' real needs, circumstances, available resources and management capacity with regard to tree planting, they will fail in identifying and extending suitable agroforestry systems for any region. This study was a part of the ISAR/IITA/World Bank FSR Project, implemented in the BGM regions of Rwanda during 1983–1988.     

Role of social aspects in extent of on-farm tree growing in subsistence agroforestry systems of Western Himalaya

Many so-called society-oriented agroforestry programs, mainly in developing countries, fail because they do not take account of the social structure in their design. This study provides empirical evidence of the impact of social structure on the extent of on-farm tree growing. The study has been carried out in Mandi district of Himachal Pradesh, in Indian Western Himalaya. Analysis of survey data reveals significant relationships between extent of on-farm tree growing and caste, education of the head of household, family literacy, primary occupation, government employment, mobility of the household head, importance of tree growing for future generations, and holy tree worship practices. Households with concrete houses had more trees than households with mixed, mud and wooden houses. The study implies a need to consider social factors to encourage the level of on-farm tree growing and to design socially acceptable agroforestry programs. The study also emphasises the need for a holistic approach to agroforestry development by integrating other continuing rural development programs with that of agroforestry to increase the level of on-farm tree growing.     

Soil productivity,soil conservation and land evaluation

ICRAF's main contributions to research related to soils have been a symposium, Soils Research in Agroforestry; a review of soil productivity aspects of agroforestry; a further review of the potential of agroforestry for soil conservation, covering both erosion control and maintenance of fertility; the construction of a computerized model to predict soil changes under agroforestry systems; and a handbook of practical methods of agroforestry for soil and water conservation in dryland Africa. In research on land evaluation, an environmental data base has been established, leading to a capacity to obtain information, for environmental conditions similar to those of a given site or area, on publications, multipurpose trees, crops, existing agroforestry systems and current experimental work. Land evaluation for agroforestry cannot be achieved merely by synthesis of methods from agriculture and forestry, but will require more data on the performance of agroforestry land utilization types. Recognition of problems of environmental degradation has become an integral part of planning for agroforestry research. By means of a partial synthesis between land evaluation and diagnosis and design, a procedure of site selection for agroforestry research and development has been established.Principal Scientist, ICRAF     

Managing native and non-native plants in agroforestry systems

Indigenous knowledge has influenced native species selection in agroforestry systems worldwide. However, scientific advancements in plant sciences, agroforestry technologies and trade have accelerated species movements and establishment beyond their native range. Managing native and non-native species is an important area of research in agroforestry and this thematic issue includes 13 papers that cover a range of topics from the role of non-native species in agroforestry to management interventions to improve yield. As evident from these papers, non-native plants are still an important component of agroforestry in many parts of the world. Whether native or non-native, management interventions can increase the economic, environmental and social values of these species and that of agroforestry. Collectively, these papers attest to the increasing body of foundational knowledge in agroforestry.     

Cajanus cajan (L.) Millsp. as a potential agroforestry component in the Eastern Province of Zambia

Farmers in the Eastern Province of Zambia are faced with problems common to other parts of the tropics: increased pressure to expand food production leading to accelerated forest clearing, decrease in traditional fallow periods, increased soil erosion, and reductions in soil fertility. Of special concern are shortages of labor during their growing season, a shortage of staple foods during January through March, pest (termite) problems, and seasonal fires. Alleycropping appears able to solve some of the farmers' problems. Both on-farm and experiment station trials were initiated to screen potential agroforestry species. Perennial pigeonpea, Cajanus cajan (L.) Millsp., a species indigenous to the Province, showed particular promise. Cultivars grew over 3 m tall and produced up to 4.8 tons/ha dry matter (in 7 months after pruning) for green manure. Farmers reacted favorably to their experience with the on-farm trials. Ease of establishment and production of food (green pod and grain) make perennial pigeonpea a special agroforestry option in the Province, deserving additional research.     

Agroforestry adoption in the Calakmul Biosphere Reserve,Campeche, Mexico

Since farmers engage in a complex, dynamic process of learning-by-doing, evaluating economic incentives, and assessing risks in deciding whether to adopt agroforestry systems, a multi-pronged research approach is required for a complete analysis of adoption potential and to develop effective technological and institutional interventions. A case study is presented for using multiple approaches to analyse the potential for reforestation and improving livelihoods of small farmers through the adoption of agroforestry systems in the Calakmul Biosphere Reserve in Campeche, Mexico. Specifically, the results from a participatory research project are combined with revealed preference analysis of a household survey to analyse past adoption decisions and preferences, identify limitations, test and evaluate alternatives, and evaluate methods for risk reduction. The participatory research trials suggest that continuous intercropping and line cleaning are equally effective for tree growth, while continuous cropping during the first years offers the additional advantage of early returns to investments through crop production. Farmer participation in the research process, planning of production systems, and annual evaluations, assisted farmers and researchers in identifying limitations, testing and evaluating alternatives, and improving the viability and sustainability of systems. The revealed preference analysis provides insights as to which households are most likely to initially adopt agroforestry systems developed through the participatory research trials. In general, households that originated from the Yucatan Peninsula with more education, more experience both in age of the head of household and technical and project experience, higher incomes, and those that had cleared more forestland were more likely to have experimented with agroforestry systems in the past.