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.     

Do socio-psychological factors matter in agroforestry planning? Lessons from smallholder traditional agroforestry systems

Most of the well planned rural development forestry programs of the 1970s, and agroforestry in particular, were either not adopted by the intended beneficiaries or failed to meet the needs and aspirations of the rural people, particularly in the developing countries. The reasons for non-adoption in some cases appear to be technical, bio-physical, social and economic (termed as rational reasons by the planners), but in other situations the reasons are not so easily recognisable and comprehended (termed irrational reasons). These irrational reasons are the perceptions and attitude of the farmer towards farm practices, and their role in agroforestry planning has remained almost completely neglected. The present study is based on a household survey of the farmers in traditional agroforestry systems of Western Himalaya and investigates the importance of perceptional and attitudinal aspects of the farmers with regard to agroforestry adoption and extension. In the present study, farmers’ perceptions of restrictions on felling of trees from their own land and attitudes towards agroforestry were the most important sociopsychological factors which influenced tree growing. This study implies a need to take into account the socio-psychological factors of the farmers for planning socially acceptable agroforestry programs. The importance of study of various de jure rules and regulations controlling the use of on-farm tree resources and related exemptions and their association with farmers’ perceptions and tree growing is highlighted to develop policies to encourage tree growing in agroforestry.     

Adoption of On-Farm Tree Planting in Kibaale District,Western Uganda

Using logistic and multiple regression analyses, this article examines the socioeconomic factors that influence farmers’ decisions to adopt on-farm tree planting, one of the agroforestry techniques promoted by government agencies and research institutions for use in the farming systems of Uganda. A household survey involving 200 farmers was carried out in the Subcounties of Kabamba, Mugarama, Kagadi, and Kiryanga in Kibaale District, western Uganda. From the analyses, we found out that a farmer's decision to adopt on-farm tree planting is influenced by household and field characteristics. Gender, tree tenure security, availability of seed and supply, guidance by extension and research Institutions, size of landholding per household, fuelwood scarcity, and main source of family income were the factors that significantly influenced the decision to adopt on-farm tree planting. We recommended that in order to promote increased adoption of on-farm tree planting, appropriate socioeconomic characterization should be explored in order to target areas with better adoption potential for optimal realization of the intended objectives by government agencies and research institutions.     

Agroforestry Tree Seed Production and Supply Systems in Malawi

A sustainable agroforestry tree germplasm supply system is vital to resource-constrained smallholder farmers who depend on agroforestry to improve the productivity of their farm enterprises. Successful adoption of agroforestry hinges on the development of a sustainable agroforestry tree germplasm supply system. This paper reviews the agroforestry tree seed supply system in Malawi, with a view to determining its sustainability and quality. Currently, more than 90% of the documented agroforestry tree seed distributed to farmers is produced by smallholder farmers collected mainly from scattered farmland trees, the remainder being produced from seed orchards and seed stands owned or controlled by research organizations. Three organizations—namely the Land Resources Centre (LRC), National Tree Seed Centre (NTSC) of the Forestry Research Institute of Malawi (FRIM) and the World Agroforestry Centre (ICRAF)—were identified as major procurers of agroforestry tree seed produced by smallholder farmers. Agroforestry germplasm is distributed to farmers by non-governmental organizations (NGOs) and government agricultural and forestry extension departments. The procurement and distribution of germplasm to farmers is in general effective. The major challenge to sustainability of agroforestry tree germplasm distribution in Malawi is dependence on donor funding. The agroforestry tree seed system is, to some extent, sustainable with regards to production, although the genetic quality of the germplasm is low. Germplasm storage facilities at national level are available and possibly adequate, but knowledge and information on effective low-cost tree germplasm storage systems at household level are limited. Sustainability could be enhanced by strengthening of grass-root organizations involved in tree seed production to institutionalize the distribution through farmer–farmer exchange. There is also a need to support the development, promotion and adoption of low-cost tree germplasm storage facilities by smallholder farmers.     

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.     

Role of foresters' perspectives in orienting agroforestry programmes

The foresters' perspectives of agroforestry is an important aspect that can influence strategies concerned with agroforestry uptake by the farmers. Keeping this in view the empirical studies of foresters' perspective of agroforestry have gained considerable importance. Present study, therefore, investigates foresters' perspectives on different aspects related to agroforestry. This study was conducted in Mandi district located in Indian Western Himalayan province of Himachal Pradesh. Not only the traditional forest management but also agroforestry training of foresters has remained oriented towards learning silvi-technical (plantation management and nursery management) rather than extension (social) and agricultural aspects. Consequently, there was a felt need amongst foresters for training in extension and agricultural aspects for effective implementation of agroforestry programmes. This provides a window of opportunity for re-orienting their training curriculum towards learning extension (social) and agricultural besides the silvi-technical skills. For effective implementation of agroforestry programmes the manpower requirement, particularly that of extension specialist and well trained agroforesters, of the department needs to be estimated and strategy should be devised to minimise political interference. The study emphasises a need for interaction between foresters and farmers, mechanism for better co-ordination with other departments and absolving agroforesters of their policing role for effective planning and implementation of agroforestry programmes. There were significant variations in the opinion of forestry staff about the effectiveness of various strategies to meet farmers tree-based needs, increase tree cover in the state and expected plantation survival rate. There were significant variations in the opinion of foresters about the different factors discouraging private tree growing but ‘restriction on felling green trees growing on private land and selling them in the market’ was viewed as the most important factor. “Provision of incentives to the villagers for tree growing on private land” was the major factor from the foresters' perspective that will encourage tree growing on private land. As there was a lack of congruence of foresters' perception on majority of issues pertaining to agroforestry, a need to incorporate the uniform understanding of issues pertaining to agroforestry amongst the foresters was emphasised. This study also identifies a need to investigate the perspectives staff of agriculture, horticulture departments for better planning and execution of agroforestry programmes, and their uptake by the farmers.     

Classifying tree planters and non planters in a subsistence farming system using a discriminant analytical approach

Since the 1970s tree planting has been promoted to meet the multipurpose needs of subsistence farmers and to arrest deforestation in many developing countries. Financial support and extension systems were developed as tree growing outside the forest became more important. The limited success of the forest extension approaches used in the 1980s has been attributed to the failure to ascertain householders' priorities and attitudes to tree growing. Although the broader theoretical paradigm of factors influencing householders' planting of trees has been discussed household and regional level analyses are rare. This study used discriminant analysis to assess the extent to which social and economic factors affect smallholder farmer tree planting in Orissa, eastern India. The validity of the predictive model to define the different groups was tested by assessing the accuracy of classification. The significance of the factors was probed using the identified variables in the discriminant functions developed for smallholder farmers in the coastal and inland zones of Orissa. The results contradicted some common assumptions that only large landowners with a substantial income are innovators. The likelihood of adopting agroforestry is dependent on the progressive attitude of farmers, membership of village organisations, their wealth status and, more importantly, their perceived risk concerning agricultural production. This approach enables tree planters and non-planters to be characterised and hence give better targetting of planning and social forestry programmes.This revised version was published online in November 2005 with corrections to the Cover Date.     

Assessing agroforestry adoption potential utilising market segmentation: A case study in Pennsylvania

In the United States, agroforestry adoption has lagged behind progress in agroforestry systems research. This study sought to facilitate the communication of landowner land management objectives, values, knowledge and perceptions of the barriers and benefits to agroforestry through applied social marketing research methods and market segmentation analysis. A mail survey instrument was sent to 250 members of the Pennsylvania Association of Sustainable Agriculture (PASA) and 250 members of Woodland Owner Associations (WOA). Current management objectives and production strategies, agroforestry awareness, agroforestry interest, and perceptions regarding the benefits and obstacles to agroforestry adoption were gauged. Market segmentation was performed with a two-step cluster analysis to produce four agroforestry adoption potential models: Timber-Related Practices, Livestock-Related Practices, Specialty Crop-Related Practices, and Non-Adopters. The analyses showed that agroforestry practices could satisfy specific land management objectives within diverse populations. The method effectively identified similarities in agroforestry adoption scenarios. Market segmentation could be utilised as a social marketing tool to guide future policy development, scientific research, and the efficacy and relevance of future agroforestry research and outreach programs. The next step in program development should include the creation of a statewide multidisciplinary team comprised of university, non-profit association and landowner representation, to develop agroforestry applications relevant to each cluster and promote the practices through landowner-led on-farm demonstrations and workshops.     

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.     

Selection of native trees for intercropping with coffee in the Atlantic Rainforest biome

A challenge in establishing agroforestry systems is ensuring that farmers are interested in the tree species, and are aware of how to adequately manage these species. This challenge was tackled in the Atlantic Rainforest biome (Brazil), where a participatory trial with agroforestry coffee systems was carried out, followed by a participatory systematisation of the farmers experiences. Our objective was to identify the main tree species used by farmers as well as their criteria for selecting or rejecting tree species. Furthermore, we aimed to present a specific inventory of trees of the Leguminosae family. In order to collect the data, we reviewed the bibliography of the participatory trial, visited and interviewed the farmers and organised workshops with them. The main farmers’ criteria for selecting tree species were compatibility with coffee, amount of biomass, production and the labour needed for tree management. The farmers listed 85 tree species; we recorded 28 tree species of the Leguminosae family. Most trees were either native to the biome or exotic fruit trees. In order to design and manage complex agroforestry systems, family farmers need sufficient knowledge and autonomy, which can be reinforced when a participatory methodology is used for developing on-farm agroforestry systems. In the case presented, the farmers learned how to manage, reclaim and conserve their land. The diversification of production, especially with fruit, contributes to food security and to a low cost/benefit ratio of agroforestry systems. The investigated agroforestry systems showed potential to restore the degraded landscape of the Atlantic Rainforest biome.     

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.     

Financial analysis of agroforestry land uses and its implications for smallholder farmers livelihood improvement in Ethiopia

A study was conducted in central highland Ethiopia to: (1) assess the financial feasibility and relative financial attractiveness of three agroforestry practices (small-scale woodlot, homestead tree and shrub growing and boundary tree and shrub growing); (2) evaluate the impacts of implementation of these land uses on farm households income and (3) identify the constraints for the implementation and expansion of the agroforestry practices. Then, 82 different land uses (21 small-scale woodlots, 35 homesteads and 26 boundary plantings) which were older than 15 years and established by the current owner were selected for the financial analysis. The input and output data were filled in a data sheet by face-to-face interview with the owners. The results showed that small-scale woodlot is the most profitable agroforestry practice followed by boundary plantings and homesteads. An ex-ante analysis of implementing the agroforestry practices showed that with minimum land area allocated for the practices, a household can generate net discounted revenues ranging from 5,908 to 26,021 Ethiopian Birr (532–2,342 USD) in 15 years at 10 % interest rate. Hence, the expansion of such agroforestry practices has a vital effect on farm household’s income. Lack of proper planning and poor in-depth understanding about roles of trees and shrubs for household’s income, land and seedling shortage, financial constraints and labor scarcity were identified as major problems for the expansion of agroforestry practices in the area. A thorough extension service comprising both efficient land resources utilization and proper planning practices could enhance the expansion of agroforestry practices and thereby positively influence the farmer’s livelihood.     

Household and farm attributes affecting adoption of smallholder timber management practices by tree growers in Gunungkidul region,Indonesia

Farm household characteristics determine the success of programs promoting agroforestry systems and practices. This paper reports household and farm factors affecting the adoption of timber management practices by smallholders in the Gunungkidul region, Central Java, Indonesia. The research used three logistic regression analysis models—based on each household and farm characteristic, and a composite of both together—to identify the key factors influencing farmers’ adoption and management decisions, and their relative importance. A sample of 152 farmers who managed their trees primarily for timber production was compared to a sample of 115 farmers with similar socio-economic characteristics who did not. The household condition and composite models identified both on-farm and off-farm gross incomes as significant factors affecting farmers’ decisions to manage timber trees. The models confirmed that farmers with larger farms, and with higher on- and off-farm incomes, were more likely to manage their trees for timber production. These results have implications for extension programs that promote adoption of commercial timber management by smallholders in the case study and similar regions.     

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     

Measuring crop yields in on-farm agroforestry studies

The paper describes the agronomic and statistical principles that form the basis for measuring crop yields in on-farm agroforestry studies. Agroforestry systems differ from agricultural systems because of the presence of tree/crop interfaces and the need for large plots, large borders and long-term monitoring. These differences accentuate the variability of crop performance on farms. Crop yield estimation per unit area in any agroforestry system involves essentially i) stratification of the plot into different, clearly distinguishable crop zones such as those under and free from the influence of trees, those on sloping and flat areas, and those on areas affected by pests, ii) drawing representative samples from each stratum, and iii) weighting the sample yields with weights proportional to the stratum area. The tree/crop interface areas may require further stratification and determination of yields of individual crop rows at different distances away from trees based on the nature and extent of tree/crop competition. The precision of yield estimation depends on how well one is able to define the strata as well as the variance of crop yields in space and time in each stratum. Studies that provide this information are urgently needed for developing practical recommendations for crop-yield measurements on farms.     

Understanding an indigenous knowledge system for tree fodder via a multi-method on-farm research approach

Understanding the dynamics of indigenous resource management systems can benefit natural resource development efforts and contribute to effective on-farm agroforestry research initiatives. This paper reports on the authors' investigation of an indigenous knowledge systems for the management, cultivation, and use of private tree fodder resources in a community in the middle hills of Central Nepal. It focuses on the methods used to develop an understanding of the cognitive systems used by farmers in this community to classify and evaluate tree fodder. A participatory multi-method research approach was employed to overcome many of the limitations of traditional survey research. The approach centered on the use of the repertory grid method within the framework of personal construct theory. Repertory grid results were analyzed in conjunction with data collected from participant observation, a formal household survey, an inventory of privately grown trees, and ethnographic interviews. This integrated analysis resulted in an understanding of the indigenous knowledge system for the management of tree fodder resources.     

Tree Culture of Smallholder Farmers Practicing Agroforestry in Gunung Salak Valley,West Java,Indonesia

This paper investigates the types of agroforestry system that exist in Gunung Salak Valley, West Java, Indonesia in order to characterize the differences in their basic structure and associated crop plant diversity. Data were collected through rapid rural appraisal, field observation and focus groups, followed by household survey of a sample of 20 agroforestry farmers. Five main agroforestry systems (homegardens, fruit tree system, timber tree system, mixed fruit–timber system, and cropping in the forest understory) exist in the study area, and all of them exhibit a noticeable diversity in terms of both species composition and utilization. Products from farming accounted for an average 24 % of household income. They comprised agroforestry products which contributed IDR 3.25 million/year and other agricultural products contributing IDR 1.66 million/year. The observed agroforestry systems include not only a form of forest dominated by ‘cultivated trees’, but also an anthropogenic vegetation formation derived from agricultural antecedents. In land-use classifications agroforestry systems are not recognized as forestry, but like forests they provide tree products and services. Classification will always be disfunctional if a binary system is applied, thus a more sophisticated approach should be adopted that incorporates the economic and environmental characteristics of a wider range of systems.     

Evolution of agroforestry based farming systems: a study of Dhanusha District, Nepal

This paper examines how agroforestry-based farming systems evolved in the Dhanusha district of Nepal following the conversion of forest into agriculture during the early 1950s. Some data are from two focus group discussions with agroforestry farmers and one meeting with agroforestry experts. The farmers?? discussion traced the development of farming practices from 1950 to 2010 to identify the drivers of land use change. The experts?? discussion resulted in a scale to differentiate the prevailing farming systems in the study area considering five key components of agroforestry: agricultural crops, livestock, forest tree crops, fruit tree crops and vegetable crops. Data related to the system components were collected from the randomly selected households. The study reveals that land use had generally changed from very simple agriculture to agroforestry, triggered by infrastructure development, technological innovations, institutional support (subsidies and buy-back guarantees) and extension programs. A range of farming systems with varying degrees of integration was evident in the study area: simple agriculture; less integrated agroforestry; semi-integrated agroforestry and highly integrated agroforestry. The three types of agroforestry systems, which are the focus of this study, varied significantly in terms of farm size, cropping intensity, use of farm inputs, tree species diversity, tree density, home to forest distance and agricultural labour force.