Case studies on smallholder farmer voice: an introduction to a special symposium

In the spring of 2013, project leaders who received funding from the John Templeton Foundation’s program “Can GM Crops Help to Feed the World?” met in England to discuss progress on funded projects and to identify common objectives and research interests. The collection of essays in this special symposium is one outcome of that meeting. This introduction provides background on the symposium’s theme of understanding the challenges to smallholder farmers having a voice. Farmer voice is important not only in debates about genetically modified crops but also for policies, technologies and other efforts designed by interests seeking ostensibly to improve the livelihoods of smallholder farmers.     

Using translational research to enhance farmers’ voice: a case study of the potential introduction of GM cassava in Kenya’s coast

Genetically modified (GM) cassava is currently being developed to address problems of diseases that threaten the food security of farmers in developing countries. The technologies are aimed at smallholder farmers, in hopes of reducing the vulnerability of cassava production to these diseases. In this paper we examine barriers to farmers’ voice in the development of GM cassava. We also examine the role of a translational research process to enhance farmers’ voice, to understand the sources of vulnerability farmers in a group in Kenya’s Coast face, and to determine if their concerns are consistent with those of the scientists in agriculture addressing farmers’ needs. A two-way communication participatory process provided insights into the complex vulnerability context of farmers, their primary concerns with processing and markets of cassava in order to improve livelihoods, the lack of networks with two way communication flows, and the lack of information on GM technologies. The translational research engaged farmers and scientists in an iterative process where scientists are learning what farmers need, and farmers are learning about the potential benefits and risks from GM technologies, while at the same time expressing their concerns.     

A new feasible method for yield gap analysis in regions dominanted by smallholder farmers,with a case study of Jiangsu Province,China

In the regions where crops were mostly produced by smallholder farmers, the analysis of yield gap is difficult due to diverse cultivars, crop managements and yield levels. In order to find an effective method that can reasonably verify the yield gap and the limiting cultivation factors in narrowing yield gaps in areas that are dominanted by smallholder farmers, we worked out a method consisting five progressive procedures as follows: questionnaire investigation of farmer cultivation regime, identification of yield levels and yield gaps, generalization of key cultivation measurements, reconstruction of representative maize populations, and process-based analysis of yield gap. A case study was carried out in Jiangsu Province, China, in which maize is mostly produced by smallholder farmers. A questionnaire investigation of 1 023 smallholder farmers was carried out firstly, then the frequency distribution of maize yield was simulated by an normal distribution function, and then the covering range and average value of the basic yield, farmer yield and high-yield farmer yield levels were calculated out from the equation. Hereby, the yield gaps 1, 2 and 3 were calculated along with the record highest yield from literature and experts, which were 2 564, 2 346 and 2 073 kg ha~(–1), respectively. Moreover, with the covering range of each yield level, the suveyed farmers belonging to each yield level were grouped together and then their major cultivation measures were traced and generalized. With the generalized cultivation measures, representative maize populations of the four yield levels were reconstructed, and thereby clarifing lots of characters of the populations or single plant of each population with processbased analysis of the reconstructed populations. In this case, the main factors causing the yield gap were plant density, fertilizer application rate, logging caused by hurricane, and damages caused by pests. The case study primarily indicated that this five-step method is feasible and effective in yield gap study, especially in smallholder farmers dominant regions.     

Choice and voice: creating a community of practice in KwaZulu-Natal,South Africa

The development and utility of genetically modified (GM) crops for smallholders around the world is controversial. Critical questions include what traits and crops are to be developed; how they can be adapted to smallholders’ ecological, social and economic contexts; which dissemination channels should be used to reach smallholders; and which policy environments will enable the greatest benefits for smallholders and the rural poor. A key question is how the voices of smallholders who have experience with or desire to use GM technologies enter the larger debate. Africa has the greatest number of smallholders and poor with the least exposure to GM crops. Because of the well-established use of GM crops in South Africa by commercial farmers, we formed a community of practice (CoP) involving smallholders, extension, researchers, non-profits and agribusiness in KwaZulu-Natal to examine the conditions under which GM crops are used by smallholders, how smallholders interact with GM technologies and what insights smallholders and other stakeholders can provide regarding these questions. One of the advantages of the CoP approach is that it brings stakeholders together in a non-hierarchical way that encourages new ways of thinking and new partnerships. Such interaction around a specific project can enhance the voice of smallholders in a variety of ways. In our project, smallholder participants have increased their knowledge and can make better decisions about GM technologies, which had been barriers for them. Notably, they have also improved their knowledge of maize production practices, accessed new practice networks, and met new researchers and resource providers. They are now being integrated into these networks in a way that should improve their livelihoods and make the wants and needs of smallholders better known. Such knowledge and experience has improved their voice in agriculture and rural development discussions.     

Consumption strategies in Mexican rural households: pursuing food security with quality

Food quality is an important issue on the global agenda, particularly in high- and middle-income economies, but of little concern in designing Mexico’s food policy. Food policy has focused on quantity and in the case of maize, on satisfying domestic demand by supporting large commercial agriculture and importing from abroad. However, and as argued in this paper, obtaining a food staple (maize-tortilla) of quality is also an important issue for rural households and contributes to motivating continued smallholder production. Based on case studies in the rural district of Atlacomulco, in the state of Mexico, as well as in two regions of the state of Chiapas, this paper analyzes the production and consumption strategies of rural households. We focus on goals of food security and quality and note differential trends among households of varying characteristics and local contexts. We find that the motivation of small-scale producers to grow maize should be supported by Mexico’s food policy.     

Gender power in Kenyan dairy: cows,commodities, and commercialization

In Western Kenya, smallholder dairy production is becoming incrementally commercialized through the commodification and sale of milk through formal market channels. While commercialization is often construed as a way to boost rural livelihoods through increased income from milk, emerging evidence suggests that married women are not directly benefiting from formal milk market participation. This critical issue of gender power imbalance has been framed by development interventions in economic efficiency and social justice perspectives, but thus far interventions in the sector have not addressed how underlying social-market mechanisms embedded in gendered ideology influence smallholder engagement in dairy commercialization. Drawing on feminist theories of power and social embeddedness, this study investigates how gendered power relationships materialize and influence formal milk marketing engagement and practices in Western Kenya. Facilitated discussion groups with smallholder farmers revealed the gendered ideologies and norms that ascribe masculinized meaning to cattle, milk, and commercial enterprise. Key informant interviews with commercial dairy management and farmers were used to identify current practices for increasing women’s formal market participation—namely, direct payments to women for milk deliveries. Findings from this study indicate that cattle and formal dairy market participation are imbued with gendered meaning that create legitimacy around men’s privilege over dairy proceeds. Interventions in the sector aimed at addressing gender power imbalances must acknowledge this dynamic, and accept the social trade-offs and gendered costs of dairy commercialization.     

“No one asks for a meal they’ve never eaten.” Or,do African farmers want genetically modified crops?

This article reflects on the relative silence of African farmers within debates around the potential for genetically modified (GM) crops to transform agriculture on the continent. It proposes two strategies for amplifying these voices—one focused on research methodologies, the other on outreach—in order to transform the conversation around GM’s potential in Africa into one that revolves around farmer preferences and priorities.     

Seeing below the surface: making soil processes visible to Ugandan smallholder farmers through a constructivist and experiential extension approach

Ugandan smallholder farmers need to feed a growing population, but their efforts are hampered by declining soil fertility rates. Agricultural extension can facilitate farmers’ access to new practices and technologies, yet farmers are understandably often hesitant to adopt new behaviors. New knowledge assimilation is an important component of behavior change that is often overlooked or poorly addressed by current extension efforts. We implemented a Fertility Management Education Program (FMEP) in central Uganda to investigate smallholder farmers’ existing soil knowledge and their assimilation of new scientific concepts into their knowledge framework. Qualitative data were collected through participant observation, farmer interviews, and focus groups, and coded for using a priori and emergent themes. Our exploration revealed some notable similarities between farmers’ soil knowledge and scientific concepts, particularly in regards to soil health concepts, a discovery that could facilitate communication between extension agents and farmers. However, certain scientific concepts are either unknown to farmers or discordant with existing soil knowledge; these concepts are unlikely to be assimilated by farmers without convincing and concerted extension efforts. Importantly, we found that the combination of new scientific knowledge and hands-on experimentation with novel practices gave farmers far greater confidence in implementing improved soil management practices. Our study provides evidence that extension programs should engage directly with farmers’ existing soil knowledge to develop their understanding of key biological concepts and confidence in implementing improved practices.     

Does Internet use promote the adoption of agricultural technology? Evidence from 1 449 farm households in 14 Chinese provinces

China is characterized as ‘a large country with many smallholder farmers’ whose participation in modern agriculture is key to the country's modern agriculture development. Promoting smallholder farmers’ adoption of modern agricultural production technology is one effective way to improve the capabilities of smallholder farmers. This paper aims to explore the impact of Internet use on the adoption of agricultural production technology by smallholder farmers based on a survey of 1 449 smallholders across 14 provinces in China. The results suggest that Internet use can significantly promote technology adoption, with the probability of adopting new crop varieties, water-saving irrigation technology and straw-returning technology increasing by 0.200, 0.157 and 0.155, respectively. Furthermore, the effect of Internet use is found to be heterogeneous with a greater effect on smallholder farmers having low education levels, limited training, and high incomes. To increase agricultural production technology adoption by smallholders, rural Internet infrastructure and Internet use promotion should be the focus for the Chinese government.     

Farming ethics in practice: from freedom to professional moral autonomy for farmers

Food production, water management, land use, and animal and public health are all topics of extensive public debate. These themes are linked to the core activities of the agricultural sector, and more specifically to the work of farmers. Nonetheless, the ethical discussions are mostly initiated by interest groups in society rather than by farmers. At least in Europe, consumer organizations and animal welfare and environmental organizations are more present in the public debate than farmers. This is not how it should be. First, because consumers often cannot but rely on agriculture. Second, because recent research shows that farmers have moral beliefs and convictions that appear to be broader than economic considerations and that are—to a certain extent—specific to their profession. This raises the question how to make input from farmers operational in the public debates on the future of farming. We discuss one option: entrusting farmers with professional autonomy concerning moral matters related to farming. We sketch the historical background of the current situation in which farmers are relatively silent on moral matters and we present some clear indications that farmers have values and moral beliefs that are relevant for the public debate. Next the concepts of professionalism and professional autonomy are discussed and applied to the practice of farming. Finally, we discuss the relevance and limits of professional moral autonomy for the agricultural profession. We close with an overview of what this moral autonomy implies for and requires from farmers in practice. We conclude that if some preconditions are met by farmers, then this type of moral autonomy can be relevant for farmers and for society, and contributes to the quality of the public debate on the future of farming.     

Interpretation of Climate Change and Agricultural Adaptations by Local Household Farmers: a Case Study at Bin County,Northeast China

Although climate change impacts and agricultural adaptations have been studied extensively, how smallholder farmers perceive climate change and adapt their agricultural activities is poorly understood. Survey-based data (presents farmers' personal perceptions and adaptations to climate change) associated with external biophysical-socioeconomic data (presents real-world climate change) were used to develop a farmer-centered framework to explore climate change impacts and agricultural adaptations at a local level. A case study at Bin County (1980s–2010s), Northeast China, suggested that increased annual average temperature (0.6°C per decade) and decreased annual precipitation (46 mm per decade, both from meteorological datasets) were correctly perceived by 76 and 66.9%, respectively, of farmers from the survey, and that a longer growing season was confirmed by 70% of them. These reasonably correct perceptions enabled local farmers to make appropriate adaptations to cope with climate change: Longer season alternative varieties were found for maize and rice, which led to a significant yield increase for both crops. The longer season also affected crop choice: More farmers selected maize instead of soybean, as implicated from survey results by a large increase in the maize growing area. Comparing warming-related factors, we found that precipitation and agricultural disasters were the least likely causes for farmers' agricultural decisions. As a result, crop and variety selection, rather than disaster prevention and infrastructure improvement, was the most common ways for farmers to adapt to the notable warming trend in the study region.     

Science and Technology Backyard: A novel approach to empower smallholder farmers for sustainable intensification of agriculture in China

Sustainable feeding of the growing population in China without ecological destabilization is a grand challenge. In this populous country where agriculture is dominated by smallholder farming, developing innovative technology and translating scientific knowledge into action for smallholder farmers is a crucial step in addressing this challenge. Here, we present a novel approach for technology innovation and dissemination to achieve sustainable intensification in the fields of smallholder farmers. The Science and Technology Backyard(STB) is a hub in a rural area that links knowledge with practices to promote technology innovation and exchange. In this study, the framework and functions of STB are introduced, and the key implications for sustainable intensification across millions of smallholder farmers are explicitly stated:(i) develop innovative technology based on stated demands of farmers;(ii) disseminate technology by innovative social service models though combined top-down approaches with bottom-up measures to enable smallholders in rural areas. This paper provides a perspective on transformation of small-scale agriculture toward sustainable intensification in China and useful knowledge applicable to other developing countries.     

Early allelic selection in maize as revealed by ancient DNA

Maize was domesticated from teosinte, a wild grass, by approximately 6300 years ago in Mexico. After initial domestication, early farmers continued to select for advantageous morphological and biochemical traits in this important crop. However, the timing and sequence of character selection are, thus far, known only for morphological features discernible in corn cobs. We have analyzed three genes involved in the control of plant architecture, storage protein synthesis, and starch production from archaeological maize samples from Mexico and the southwestern United States. The results reveal that the alleles typical of contemporary maize were present in Mexican maize by 4400 years ago. However, as recently as 2000 years ago, allelic selection at one of the genes may not yet have been complete.     

Trade and <Emphasis Type="Italic">Totomoxtle</Emphasis>: Livelihood strategies in the Totonacan region of Veracruz,Mexico

Following the implementation of the North American Free Trade Agreement (NAFTA), Mexican farmers altered their livelihood strategies to respond to changing market incentives. While many commercial farmers responded to falling maize prices brought on by NAFTA by shifting into the production of vegetables for export, the coping strategies of low-income farmers have been varied, from diversifying income sources through off-farm employment, to migration, to searching for niche markets for new or added-value products. In the Totonocan region of the state of Veracruz, Mexico, many farmers who can no longer earn sufficient income from the sale of maize grain are turning to a byproduct of maize to generate income. The commercialization of totomoxtle, or maize husks, for domestic and international markets has not only enabled farmers to continue to profit from maize production, but it has also encouraged farmers to utilize and conserve criollo maize varieties that serve as important reservoirs of genetic diversity. Moreover, the growing importance of totomoxtle in livelihood strategies has caused some farmers to alter their maize management, selecting for better quality husks rather than for grain production. The purpose of this paper is to understand both the broad impact of NAFTA on the local agricultural economy and its more specific effects on the management of maize in the Zona Totonaca. Participation in international trade can lead to unexpected outcomes, in some cases creating new values for goods with a long history of local consumption. Commercialization of maize husks is likely to be only a temporary solution for the relief of rural poverty. Given the volatility of international markets, the long-term welfare of farmers may depend on the development of more diversified production strategies. Amanda King Amanda King holds an MSc from the University of California-Berkeley in Environmental Science, Policy, and Management. She was a Mickey Leland International Hunger Fellow based at the International Center for Maize and Wheat Improvement (CIMMYT) in El Batán, Mexico in 2003 and at the International Food Policy Research Institute (IFPRI) in Washington DC in 2004. She is currently conducting research in East Kalimantan, Indonesia on oil palm plantations and changes in local livelihoods.     

“Si no comemos tortilla,no vivimos:” women,climate change,and food security in central Mexico

In recent years, it has become clear that food security is intimately related to complex environmental, social, political, and economic issues. Even though several studies document the impact of climate on food production and agriculture, a growing segment of research examines how climate change impacts food systems and associated livelihoods. Furthermore, while women play a crucial role in providing food security for their families, little research exists that examines the nexus among gender relations, climate change, and household food security. This study investigates these relationships by asking: (1) how is the production and reproduction of knowledge about food security and climate change shaped by gender and lived experience, and (2) how does this knowledge influence attitudes and strategies for maintaining food security in a changing climate? Drawing on the results of research in two communities in central Mexico, I argue that women’s perceptions of and strategies for maintaining food security are derived from their socio-political, environmental, and economic contexts. This study contributes to both the growing literature on the gender dynamics of climate change, as well as debates about the role of bioengineered seeds in helping farmers to adapt to a changing climate.     

Sustainable palm oil as a public responsibility? On the governance capacity of Indonesian Standard for Sustainable Palm Oil (ISPO)

This paper is motivated by the observation that Southern governments start to take responsibility for a more sustainable production of agricultural commodities as a response to earlier private initiatives by businesses and non-governmental organizations (NGOs). Indonesia is one of the leading countries in this respect, with new public sustainability regulations on coffee, cocoa and palm oil. Based on the concept of governance capacity, the paper develops an evaluation tool to answer the question whether the new public regulation on sustainable palm oil (ISPO) may become a viable alternative to private regulation. ISPO embraces a tremendous governance challenge as thousands of companies and millions of smallholder farmers are expected to participate. It is concluded that, although ISPO has initiated a process of change, it has not yet developed its full potential. The main reason regards ISPO’s rather loose problem definition, weak authority of the implementing organization, and the fact that the reliability of ISPO is still too low to convince (parts) of the global market. ISPO may therefore face difficulties in meeting its own targets and solving palm-oil related problems, such as deforestation, biodiversity loss, greenhouse gas emissions, and social conflicts between big plantations and local communities. The main governance challenge regards combining a more authoritative implementation mechanism with a convincing balance between sustainability objectives and economic interests of the sector.     

Socio-economic and environmental changes related to maize richness in Mexico’s central highlands

The occurrence of genetic erosion in local maize varieties in Mexico is intensely debated. Recent publications from Mexico show contradicting results about the loss of local varieties. Genetic erosion is a complex process, and well-documented examples of actual genetic erosion are not common in the literature. We worked in a region in which adoption of improved varieties was negligible, but other factors affecting maize agriculture were at play. The objectives of the study were to describe changes in maize diversity in the last 10 years and to associate them with socio-economic and environmental changes in a region in Mexico’s Central Highlands. We used richness and abundance of local varieties and diversity indices of races as indicators of maize diversity changes over time. We analyzed statistics and based on interviews we evaluated maize diversity changes between 2005 and 2015. We interviewed 113 farmers on two occasions with intervals from 5 to 10 years. According to climate statistics, rain has declined and temperature has increased. We also found a decrease in the lake level during the past 35 years. The total population in the region has doubled since the 1960s. The indigenous population has not changed significantly. Number of people working in agriculture has decreased since the 1960s. Rain fed agriculture decreased 8.1 % from 1990 to 2007. In four villages studied, farmed land area had decreased between 1995 and 2015. This reduction varies between 22 and 39 % depending on the village. Maize planted area decreased from 9675 to 8115 ha from 2003 to 2014. In the same period, avocado plantations grew from 34 to 786 ha. In despite of these changes, we did not find significant changes in average landraces per farmer (2.13 ± 0.28 in 2015) nor per village (4.15 ± 1.26 in 2015). Significant changes in maize races were not found either (1.91 ± 0.26 per farmer, 2.85 ± 0.86 per village in 2015). These results show that maize landrace diversity in the region is resilient but dynamic.     

Rural innovation systems and networks: findings from a study of Ethiopian smallholders

Ethiopian agriculture is changing as new actors, relationships, and policies influence the ways in which small-scale, resource-poor farmers access and use information and knowledge in their agricultural production decisions. Although these changes suggest new opportunities for smallholders, too little is known about how changes will ultimately improve the wellbeing of smallholders in Ethiopia. Thus, we examine whether these changes are improving the ability of smallholders to innovate and thus improve their own welfare. In doing so, we analyze interactions between smallholders and other actors to provide new perspectives on the role played by smallholder innovation networks in the agricultural sector by drawing on data from community case studies conducted in 10 localities. Findings suggest that public extension and administration exert a strong influence over smallholder networks, potentially crowding out market-based and civil society actors, and thus limiting beneficial innovation processes. From a policy perspective, the findings suggest the need to further explore policies and programs that create more space for market and civil society to participate in smallholder innovation networks and improve welfare. From a conceptual and methodological perspective, our findings suggest the need to incorporate rigorous applications of social network analysis into the application of innovation systems theory.     

Developing sustainable summer maize production for smallholder farmers in the North China Plain: An agronomic diagnosis method

With an increasing population and changing diet structure, summer maize is increasingly becoming an important energy crop in China. However, traditional farmer practices for maize production are inefficient and unsustainable. To ensure food security and sustainable development of summer maize production in China, an improved, more sustainable farmer management system is needed. Establishing this system requires a comprehensive understanding of the limitations of current farming practice and the ways it could be improved. In our study, 235 plots from three villages in the North China Plain(NCP) were monitored. Maize production on farms was evaluated; our results showed that the maize yield and nitrogen partial factor productivity(PFP_N) were variable on smallholder farms at 6.6~(–1)3.7 t ha~(–1) and 15.4–88.7 kg kg~(–1), respectively.Traditional farming practices also have a large environmental impact(nitrogen surplus: –64.2–323.78 kg ha~(–1)). Key yield components were identified by agronomic diagnosis. Grain yield depend heavily on grain numbers per hectare rather than on the 1 000-grain weight. A set of improved management practices(IP) for maize production was designed by employing a boundary line(BL) approach and tested on farms. Results showed that the IP could increase yield by 18.4% and PFP_N by 31.1%, compared with traditional farmer practices(FP), and reduce the nitrogen(N) surplus by 57.9 kg ha~(–1). However,in terms of IP effect, there was a large heterogeneity among different smallholder farmers' fields, meaning that, precise technologies were needed in different sites especially for N fertilizer management. Our results are valuable for policymakers and smallholder farmers for meeting the objectives of green development in agricultural production.