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.     

Jatropha adoption: a statistical observational study of factors influencing Malian farmers’ decision to grow Jatropha

An accurate understanding of the factors that influence farmers’ adoption of a crop is critical for effective policy promotion and technical support. Agroforestry crop adoption is a complex topic involving many factors not often addressed by tradition crop adoption models. This complexity, when applied to Jatropha (Jatropha curcas L.), an often widely promoted yet poorly understood biofuel feedstock crop, requires a detailed analysis across diverse topics. Such an analysis was carried out through applying rigorous statistical tools to the data acquired from an interview-based household survey among Malian farmers and was combined with relevant geospatial datasets. The results showed that though farmers’ adoption is based on a wide variety of factors from household preferences, resource endowments, bio-physical factors, and market incentives, factors related to risk and uncertainty appear to provide the strongest correlation. Specifically, the number of visits that an agriculture extension agent makes with a farmer was found to be the most significant factor influencing adoption.     

Adoption of improved fallow technology for soil fertility management in Zambia: Empirical studies and emerging issues

In the subsistence-agricultural region of eastern Zambia, less than 10% of the households have adequate supply of maize (Zea mays L.), the staple food, throughout the year. A major constraint to increasing crop production in the region is poor fertility status of the soil. In order to address this problem, improved fallow has been introduced as a technology for improving soil fertility within a short span of two to three years. Farmers have been testing the technology and a number of empirical studies have been undertaken over the years to identify the factors influencing farmers' decision to adopt the technology. This paper presents a synthesis of the results of adoption studies and highlights generic issues on the adoption of improved fallows in Zambia. The synthesis indicates that farmers' decision on technology adoption does not have a simple directed relationship of some technological characteristics only, but constitutes a matrix of factors including household characteristics, community level factors, socioeconomic constraints and incentives that farmers face, access to information, local institutional arrangements and macro policies on agriculture. The adoption of improved fallows is not strictly speaking a binary choice problem but a continuous process in which farmers occupy a position along a continuum in the adoption path. Further, adoption of improved fallows may not take place in a policy vacuum but needs to be facilitated by appropriate and conducive policy and institutional incentives. Several questions and issues that require further study emerge from the synthesis. These include determination of the relative importance of the factors in the adoption matrix, identification of the conditions under which farmers use a combination of inputs and their profitability under changing price scenarios, exact definition to delineate between `non-adopters', `testers' and `adopters' of agroforestry technologies, and understanding the impact of cash crop farming in farmers' adoption decisions of improved fallows (where off farm opportunities exist). Further, there is a need to determine the inter-relationship between household poverty, labor availability and the adoption of improved fallows and, to evaluate a combination of policy interventions at both national and local level to promote the adoption of agroforestry-based soil fertility management. This revised version was published online in June 2006 with corrections to the Cover Date.     

Agroforestry,attitude towards risk and nutrient availability: a case study of south Indian farming systems

Introduction of two systems of agroforestry to the farmers portfolio is evaluated for their changes in cropping pattern, input use, income generation, farmers attitude towards risk and nutrient availability. Two different types of farmers are studied under both irrigated and dryland farming systems. Farm survey data collected from south Indian villages have been used with a mean-variance framework to identify the risk aversion levels of farmers. The results indicate that the risk-taking preferences of farmers should be given consideration in evaluating the impact of agroforestry systems. Among the two agroforestry systems analyzed, the one with drumstick is shown to increase the risk of crop production while the one with leucaena reduces the risk and enables farmers to invest in more risky cash crops. The impact of agroforestry on crop allocation, input use and income differs due to the differences in resource availability of farmers. The influence of agroforestry on nutrient availability of the farm households also differs based on the components of agroforestry, orientation of farming and the nature of farming systems. It is argued that design of agroforestry systems should consider differences in resource constraints in farming systems and risk attitudes of farmers towards their allocation decisions and that such considerations would largely enhance the successful adoption of agroforestry in developing countries.     

Adequate design of control treatments in long term agroforeestry experiments with multiple objectives

Agroforestry experiments usually include control plots of either pure crop or pure tree stands. A clear distinction should be made between intensively managed biophysical controls and farming system controls with realistic labour input and management regimes. Trying to draw biophysical conclusions from farming system controls (or the reverse) is often not justifiable. The design and management of these elusive control plots is a complicated issue which is often overlooked. Many factors beyond the control of the experiment manager can disturb long term field agroforestry experiments. Some examples from French agroforestry experiments illustrate how uncontrolled factors may bias the results, including the proportion of harvested to planted trees, the weeding regimes, and the use of tree- shelters. The analysis of agroforestry data could be more efficient when considering a continuum of tree – crop mixture management options between the agroforestry plot and the non agroforestry plot. The concept of biophysical control plots becomes then less essential. A relevant modelling approach of interactions between trees and crops should 1) perform correctly for any tree/crop proportion and even for pure stands, when setting the parameters of the other component to zero, 2) provide for the inclusion of new, uncontrolled factors that could emerge through time. The biological efficiency of agroforestry systems may however be a subordinate criterion for agroforestry adoption, as observed at the moment in France. Agroforestry systems with poor biological outcomes can even be very attractive in some ecological or sociological conditions, and only farming system controls may bring this aspect to light. This revised version was published online in June 2006 with corrections to the Cover Date.     

Determinants of farmers' adoption and adaptation of alley farming technology in Nigeria

Understanding the factors affecting framers' adoption of improvedtechnologies is critical to success of implementing agroforestry developmentprograms. This paper evaluated the determinants of farmers' decisions to adoptand adapt alley farming technology and its variants in the farming systems ofNigeria, using econometric Logit models. Eleven variables were significant inexplaining farmers' adoption decisions. The model results show that farmercharacteristics that influenced adoption included the gender of the farmer,contact with extension agents, years of experience with agroforestry and tenancystatus in the village. Economic factors, proxied by village-levelcharacteristics that condition resource use incentives, were also significant.These variables include the extent of village land pressure, extent of erosionintensity, village fuel wood pressure, importance of livestock as an economicactivity in the village and the distance of the village locations from urbancenters. The paper showed that farmers are already making significantmodifications to the conventional alley farming technology introduced byscientists. The two most important modifications were the introduction of fallowperiods into the conventional system and changes in the pruning regime of thesystem. Model results showed that human capital variables were significant inexplaining farmers' decisions to adapt and modify the technology. Farmereducation and family size significantly influence the choice of pruning regime.Farmers' age, education, intensity of erosion in the farmers' village, andfarmers' land availability significantly influence whether or not fallowperiod is introduced into the conventional system. To promote greater adoptionof agroforestry alternatives to slash-and-burn agriculture, particular attentionshould be placed on the use of appropriate socioeconomic characterization, tobetter target technologies to areas with higher adoption potential. This revised version was published online in June 2006 with corrections to the Cover Date.     

Implications of local policies and institutions on the adoption of improved fallows in eastern Zambia

Planted-tree fallows (syn. improved fallows) have demonstrated great biophysical potential for improving soil fertility on smallholders' farms but efforts to scale up their adoption to more farming households are constrained by lack of permanent ownership rights over land, incidence of bush fires and browsing of tree biomass by livestock. To resolve these institutional bottlenecks, some traditional authorities in Zambia enacted bylaws to prohibit these incursions. Using a combination of village workshops, expert opinion surveys and structured questionnaires, this study assessed the effectiveness of the bylaws across the major cultural communities in eastern Zambia, identified factors that influence the effectiveness of the bylaws and the lessons emanating from the bylaws in the scaling up of improved fallows. The results indicate that fire poses greater risks to the scaling up of agroforestry than does grazing in terms of the risk of occurrence and the extent of damage. Respondents identified mice hunters and `jealous' neighbors as main causes of fire outbreaks. The effectiveness of the bylaws is influenced by many factors such as ambiguous interpretation of the bylaws, relying exclusively on moral persuasion to enforce the bylaws and lack of well defined responsibilities for enforcing the bylaws, conflict of economic interests among different stakeholders within the communities. Formal documentation of the bylaws will be helpful, but that would not be an exclusive panacea to solve all the constraints. The pattern of distribution of benefits (or costs) of an agricultural technology among various sectors of a community may be important factors that affect widespread adoption of a technology. Technological characteristics are important but not exclusive condition for sustained widespread adoption of soil fertility management options. Privatizing seasonal commons is an important issue in the development of institutional regulations within communities. Policy dialogue among community members, increased awareness and diversification of options appear to be the way forward to improve the effectiveness of the bylaws. This revised version was published online in June 2006 with corrections to the Cover Date.     

Factors affecting the adoption of agroforestry practices by farmers in Cameroon

This paper presents empirical evidence on the impact of socio-economic factors on the adoption of agroforestry practices in Cameroon. The analysis uses primary farm-level data collected from June to December 1996. Three major provinces of the country were covered, namely Centre, Southwest and Northwest Several agroforestry technologies have been promoted among farmers in the zone, including alley farming, improved fallow, live fencing, cut-and-carry fodder and apiculture. The status of adoption of each agroforestry practice is described and factors that affect adoption identified. These are gender of farmer, household family size, level of education, farmer’s experience, membership within farmers’ associations, contact with research and extension, security of land tenure, agroecological zone, distance of the village from nearest town, village accessibility and income from livestock. Research findings indicate that since factors affecting farmers’ adoption of agroforestry practices differ across techniques, generalisation is to be avoided.     

What do farmers think? Farmer evaluations of hedgerow intercropping under semi-arid conditions

Results from farmer evaluations of exploratory on-farm trials with hedgerow inter-cropping in a semi-arid region of Kenya (the Yatta Plateau of Machakos District) are presented. Hedgerows ofCassia siamea, Gliricidia sepium andLeucaena leucocephala, which were managed by eight farmers to enhance soil fertility, were established in the mid-1980s. Although trial farmers appear convinced of the ability of the technology to increase crop yields, reduce erosion and provide firewood, most did not feel that the short-term risks (i.e. reduction in crop productivity) and the extra labour required were worth the long-term benefits. Hence, few of the eight farmers were willing to extend their hedges. The discussion suggests that in the risky production environment of the Yatta Plateau, where crop yields fluctuate constantly with the amount of rainfall, soil fertility is not of urgent concern to farmers. A participatory case study approach, which emphasizes farmers' opinions, preferences and ideas elicited through regular farmer evaluation exercises, as distinct from on-farm technology testing for validation, is recommended for on-farm research on new and complex agroforestry technologies. This approach permits between understanding of some of the complex socio-economic factors affecting the adoption of hedgerow intercropping and is the most cost-effective way to gather in-depth and contextual information on farmer decision-making and management of externally introduced agroforestry technologies.     

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.     

Indigenous market-oriented agroforestry: dissecting local diversity in western Amazonia

This paper reports on a study of local diversity and variation in indigenous agroforestry practices among Amazonian peasants in a traditional community near Iquitos, Peru. Data were gathered through in-depth interviews with agroforestry-reliant households n = 36) on farming practices, demographic characteristics, income-expenditures and household wealth. Visits to crop fields and forest fallows n = 329) allowed the reconstruction of extensive cropping histories. More in-depth assessments of crop occurrence, density and diversity were conducted on 83 fields. Our results indicate considerable variation in field characteristics, agroforestry-cycles, and household agroforestry portfolios. Agroforestry practice is found to be strongly related to access to land within the community: households holding more land use both potentially more sustainable and more lucrative swidden-fallow agroforestry systems. Our results question the view of indigenous agroforestry systems as intrinsically ‘stable, equitable, and sustainable’, and underscore the importance of studying local variation in indigenous agroforestry practices. Promising avenues are discussed for future research on the factors related to the successful adoption of sustainable agroforestry systems. This revised version was published online in June 2006 with corrections to the Cover Date.     

Psychological Factors Influencing Farmers’ Intention to Adopt Agroforestry: A Structural Equation Modeling Approach

ABSTRACT

The biophysical characteristics of the farm and farmers’ socioeconomic factors have been used to explain adoption of technologies in Africa. However, agricultural technology adoption requires that we also understand the psychological factors that can encourage or discourage farmer adoption of technologies. The aim of this article is to assess the psychological drivers of farmers’ intentions to adopt agroforestry technologies on their farms. We obtained data from 400 smallholder farmers in the Mt. Elgon region of Uganda. The Theory of Planned Behavior was used as the main framework. Quantitative data were analyzed using structural equation modeling to assess the impact of a set of psychological factors on farmers’ intention to integrate trees in coffee. The intention of farmers to integrate trees in coffee plantations was mainly driven by their evaluation of the benefits of shaded coffee (attitude) followed by beliefs about their own capability (perceived behavioral control). However, social pressure (subjective norm) was insignificant, implying that smallholder farmers tend to deny the influence of other people’s behavior on their actions. Therefore, farmers’ positive evaluation of shading coffee and the perceived capability to overcome tree planting barriers reinforced their intention to integrate trees in coffee. This renders attitude and perceived behavioral control as reliable predictors of farmer tree planting behavior, especially in the context of developing countries.     

Adoption potential of fruit-tree-based agroforestry on small farms in the subtropical highlands

Worldwide, fruit-tree-based agroforestry systems have been only modestly studied, although they are common on smallholder farms. Such systems based on apple (Malus spp.), peach (Prunus spp.), and pear (Pyrus spp.) are common in northwest Guatemala as low intensity homegardens and are known to increase total farm productivity in communities where farm size is a limiting factor. This study investigated the potential for adoption of fruit-tree-based agroforestry by resource-limited farmers using ethnographic investigation and linear programming simulations of farm activities at the household level. Two communities with differing demographics, infrastructure, and access to regional markets were selected based on the presence of extensive fruit-tree-based agroforestry. The influences of family size, land holdings, and tree and crop yields on the optimal adoption levels of fruit trees were evaluated through a comparative study of the varying social and physical infrastructure present in the two communities. Fruit-tree-based agroforestry was potentially more attractive to relatively prosperous families or those with larger land holdings. Improvements in fruit-tree productivity and interspecies competition were of greater importance where family land holdings were smaller. The inability of families to produce sufficient food to meet annual needs, poor fruit quality, and lack of market infrastructure were identified as constraints that limit adoption. The complementarity of production with the dominant maize (Zea mays) crop, home consumption of fruit, and the potential to generate additional cash on limited land holdings were identified as factors promoting adoption of fruit-tree-based agroforestry.     

Indexing Soil Conservation

Abstract

Soil erosion poses economic and environmental concerns in many tropical uplands. Agroforestry has been proposed as a sustainable land use that can mitigate soil erosion and promote the economic welfare of small farmers. To evaluate such claims, we must (a) develop a composite measure of effectiveness, such as a soil conservation index, and (b) define it in terms understood by the farmers who ultimately choose to adopt and implement agroforestry. We construct an empirical soil conservation index as a weighted average of farmer perceptions of four soil attributes and develop a statistical model of soil conservation benefits of agroforestry by using survey data from the Philippines. Accounting for self-selection bias, we evaluate the soil conservation benefits by testing the correlation between the index and the level of agroforestry adoption. Our estimated model shows that agroforestry can generate 15-20 percent soil conservation for the typical small farmer. We offer several methodological, practical, and policy insights. Because many farmers in developing countries face informational and capital constraints, our study suggests that public policies should support smallholder agroforestry, a type of “natural investment” in soil capital, to generate private and public benefits.     

Agroforestry in the management of sloping lands in Asia and the Pacific

Steeply sloping lands are widespread in the tropics. An estimated 500 million people practice subsistence agriculture in these marginal areas. Continued population growth has led to the intensified cultivation of large areas of the sloping lands, exacerbating the problem of soil erosion. Although research shows that alley cropping and other contour agroforestry systems can stabilize the sloping lands, these systems have not been widely adopted by farmers. The Framework for Evaluating Sustainable Land Management (FESLM) has been tested in sloping land areas in the Philippines. Sustainable land management must be productive, stable, viable, and acceptable to farmers, while protecting soil and water resources. Farms on which contour hedgerow intercropping has been adopted meet the multifaceted requirements of FESLM, whereas the farmers' current practice does not. Appropriate land management measures for particular locations depend on a complex suite of social, economic, and biophysical factors, and need to be developed in participation with farmers. The role of agroforestry in sustainable management of sloping lands is the subject of networks coordinated by the International Board for Soil Research and Management (IBSRAM) in seven countries in Asia (ASIALAND) and four countries in the Pacific (PACIFICLAND). We review selected outcomes from a wealth of network data. From these results the following conclusions about the sustainability of various agroforestry systems for sloping lands can be drawn: • In the Pacific, soil loss from sloping lands due to water erosion under farmers' current practices is episodic, unpredictable, and possibly not severe; • Agroforestry systems that utilize legume shrubs, fruit trees, coffee (Coffea spp.) or rubber (Hevea brasiliensis) provide useful economic returns, but are not an essential component in terms of soil protection because grass or pineapple (Ananas comosus) planted on the contour are equally effective in reducing erosion; • Agricultural intensification will lead to nutrient mining, reduction of aboveground biomass, declining yields, and less soil protection unless external sources of nutrients are used; • nitrogen can be effectively supplied using legumes; • Cash derived from hedgerow trees and/or shrubs may providean incentive for their adoption by farmers, as well as funds to purchase external inputs such as fertilizers; • Labor may be a major constraint to the adoption of complex agroforestry systems. We also discuss the information management systems required to effectively manage and utilize the extensive sets of experimental and indigenous data being accumulated. We believe such information systems can facilitate technology transfer across and between regions, and improve the efficiency of research into agroforestry and other land-management approaches. This revised version was published online in June 2006 with corrections to the Cover Date.     

Understanding patterns of tree adoption on farms in semi-arid and sub-humid Ethiopia

Trees on farms are a widespread feature of landscapes across a large part of Ethiopia with an important role in enhancing the resilience of smallholder livelihoods through the provision of ecosystem services. Despite their importance, little is known about what trees are planted or retained from natural regeneration by different types of farmers that results in the pattern of tree cover found in the region. We address this knowledge gap through analysis of household survey data from semi-arid and sub humid areas of Oromia regional state. A set of composite variables that represent distinctive patterns of tree cover on farms were derived from principal component analysis and Pearson correlation analysis. This revealed two major tree adoption strategies: farmer managed natural regeneration (FMNR) of trees to meet subsistence needs as well as contributing to other ecosystem services; and, high value agroforestry (HVAF) involving planted trees used largely to produce fruits, timber and fodder. Regression analysis further identified fine-scale variation in ecological and socio-economic factors that affect which of these two broad strategies are adopted by farmers. Favorable climatic conditions coupled with institutional arrangements to control free grazing were pre-conditions for HVAF, whereas poor biophysical potential and sloping land provided a positive incentive for farmers to adopt FMNR. Farmers with preferences for tree species with multiple utilities and locational flexibility favored FMNR while adoption of HVAF was more asset-driven. Our findings reveal that farmers integrate many native and exotic tree species on their farms to meet their variable farm conditions, needs and asset profiles in stark contrast to most tree promotion efforts that focus on a few, usually exotic, tree species. We recommend that future agroforestry promotion should embrace a diversity of tree species appropriate to matching the fine scale variation in ecological conditions and farmer circumstances encountered in the field.     

Improving adoptability of farm forestry in the Philippine uplands: a linear programming model

In the Philippines, smallholder farmers have become major timber producers. But the systems of timber production practiced have several limitations. In intercropping systems, the practice of severe branch and/or root pruning reduces tree-crop competition and increases annual crop yields, but is detrimental to tree growth and incompatible with commercial timber production. In even-aged woodlots, lack of regular income and poor tree growth, resulting from farmers’ reluctance to thin their plantations, are major constraints to adoption and profitable tree farming. In the municipality of Claveria, Misamis Oriental, the recent practice of planting trees on widely spaced (6–8 m) contour grass strips established for soil conservation suggests ways to improve the adoptability (i.e., profitability, feasibility and acceptability) of timber-based agroforestry systems. Assuming that financial benefits are the main objective of timber tree farmers, we develop a simple linear programming (LP) model for the optimal allocation of land to monocropping and tree intercropping that maximizes the net present value of an infinite number of rotations and satisfies farmers’ resource constraints and regular income requirements. The application of the LP model to an average farmer in Claveria showed that cumulative additions of widely spaced tree hedgerows provides higher returns to land, and reduce the risk of agroforestry adoption by spreading over the years labour and capital investment costs and the economic benefits accruing to farmers from trees. Therefore, incremental planting of widely spaced tree hedgerows can make farm forestry more adoptable and thus benefit a larger number of resource-constrained farmers in their evolution towards more diverse and productive agroforestry systems.     

The central agroforestry hypothesis: the trees must acquire resources that the crop would not otherwise acquire

A simple tree-crop interaction equation is re-interpreted in terms of resource capture. Benefits in physical yields from agroforestry are to be expected only when there is complementarity of resource capture by trees and crops. Most of the current biophysical hypotheses formulated for agroforestry research are based on this central tenet, specified for various resources, soil and climatic conditions.