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

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

CABI is a trading name of CAB International CABI Head Office Nosworthy Way Wallingford Oxfordshire OX10 8DE UK

CABI North American Office 875 Massaschusetts Avenue 7th Floor Cambridge, MA 02139 USA

Tel: +44(0)1491 832111 Fax: +44(0)1491 833508 E-mail: [email protected] Website: www. cabi.org

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© CAB International 2011. All rights reserved. No part of this publication may be reproduced in any form or by any means, electronically, mechanically, by photocopying, recording or otherwise, without the prior permission of the copyright owners. A catalogue record for this book is available from the British Library, London, UK

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

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

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

TABLE OF CONTENTS

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

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

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

v

TABLE OF CONTENTS

4.3

5

6

vi

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

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


TABLE OF CONTENTS

7

8

9

10

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

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


vii

TABLE OF CONTENTS

10.3

10.4

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

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

viii

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

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

Preface

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


ix

Acknowledgements

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

Authors

Title

Publishers

Peter Checkland and Jim Scholes

Soft Systems Methodology in Action

John Wiley and Sons, Ltd

© 1991

Malcolm Hall et al.

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

FAO and World Bank

© 2001

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

x


INTRODUCTION

The premise of the book Small farmers’ interests

Local, regional and national agencies’ interests

International institutions and donors’ interests

Rural and urban populations’ interests

Organizations and Institutions: Commission and deliver improved food security

The overall concept

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


1

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

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

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


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

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


3

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

4

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


CHAPTER 1

Defining the Food Security Problem

The problem tree

1.1 Introduction

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

Falling agricultural productivity Reduction in fallow durations

Unsustainable farm sizes Urbanization

Difficulty in maintaining effectiveness and efficiency

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

Effects of the problem

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

Causes of the problem

Deforestation

Increasing populations Relatively low HDI Lack of infrastructure

Time scale Develop effective institutions Develop working (international) partnerships

FIGURE 1.1. The problem tree.

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

Economic externalities Market failure Urbanization

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

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

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

Checkland

and

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

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

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

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

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

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

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

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


Basic terms and meanings

Urban population

Continuous interchange

Rural population Strategy level

Commissioning and delivering agricultural productivity, landscape stability, reduced poverty

Small farmers’ households

National and local institutions

Farmers’ organizations

International institutions Consultants and financiers

NGOs

S MALL FARMERS’ ORGANIZATIONS

LOCAL INSTITUTIONS SETTING STANDARDS AND NORMS

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

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

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

tant. These ideas are depicted in Figure 1.2.

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


7

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

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

The CATWOE code.a Elements

Description

Formulate root definitions by considering the elements of CATWOE C

‘customers’

the victims or beneficiaries of T

A

‘actors’

the people who do T

‘transformation’

the conversion of input to output

W

T

‘Weltanschauung’

the world view which makes T meaningful

O

‘owner(s)’

those who have it in their power to stop T

E

‘environmental constraints’

elements outside the system which it takes as given

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

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

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

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


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

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

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

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

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


9

Chapter 1 Defining the Food Security Problem

Foreign institutions WTO - Financiers and NGOs

Set TOT Bias towards WDRs

Small farming households Farmers’ groups

Climate

Time

Local markets International markets

Improve productivity

Improve use of technology

Production

Technology; Farmer led research

Agroecosystems NPP Farming systems

Topography Consult and work with small-holders

Access to markets

Improve access

Consult and work with national institutions

Civil engineering National institutions Agricultural training

Parent material

Agricultural extension

Potential biota

IMPROVE PRODUCTION

INDEPENDENT CONTROL VARIABLES:

Climate Topography Parent material Time Potential biota

Stakeholder

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

Action

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

production improvement.

10


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

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

CATWOE elements regarding the improvement of agricultural performance

TABLE 1.2.

Stakeholders

Description

C - ‘Customers’

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

A - ‘Actors’

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

T - ‘Transformation’

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

W - ‘Weltanschauung’ - world view

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

O - ‘Owners’

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

E - ‘Environment’

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

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

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


11

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

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

Concept picture.

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


Concept pictures

Foreign institutions Financiers and NGOs

Ensure continuous effort on soil conservation implementation

Small farming households Farmers’ groups

Climate

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

Improve and maintain access to soil conservation services

Technology; Farmer led research

Terrestrial ecosystems NPP

Topography

Consult and work with small-holders

Consult and work with national institutions

Access to extension services

Civil engineering National institutions Agricultural training

Parent material

Agricultural extension

Potential biota

IMPROVE LANDSCAPE STABILITY Stakeholder

INDEPENDENT CONTROL VARIABLES:

Climate Topography Parent material Time Potential biota

WTO World Trade Organization Issue NPP Net primary production Action

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


13

Chapter 1 Defining the Food Security Problem TABLE 1.3.

CATWOE elements regarding the achievement of landscape stability

Stakeholders

Description

C - ‘Customers’

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

A - ‘Actors’

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


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


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

O - ‘Owners’

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


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

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

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

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


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

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

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

15

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

Institutions and NGO communities

Farmer groups

Arrive at new common understanding of the importance of landscape stability

science groups

Discuss the subject of landscape stability together

Establish the level of individual understanding of the problem situation

The political, cultural, social and natural environment

Define criteria for effectiveness

Monitor: needs understanding to be changed?

Define common expectations

Take control action

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

firm insight into the importance of establishing landscape stability.

16


The learning process approach

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

TABLE 1.4.

Stakeholders

Description

C - ‘Customers’

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

A - ‘Actors’

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


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


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

O - ‘Owners’

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


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

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

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


17


CHAPTER 2

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

FIGURE 2.1. A woman farmer in Fiji Photo HB

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


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

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

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

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

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

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

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

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


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

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

Family enterprise farm

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

Go out and work for pay

Urban areas

Market excess production

Industrial farm


Urban areas

Bonded labour

Collective farm

Domestic slavery

Family enterprise farm


Urban area

Progressive reproduction Exchange value

Petty commodity production Simple commodity production

Family subsistence farm

Household production ‘squeeze’.

Elementary household production

Family subsistence household

Simple reproduction Use value

Reproduction squeeze Use value

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

Small-scale and subsistence farmer families and rural life

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


21

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

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

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

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


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

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

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

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

Percentages

1991

1995

1999

2003

1995

1999

2003

Total

464

577

626

700

124

135

151

Rural

323

397

417

449

123

129

139

Agricultural

294

365

384

415

124

131

141

Percentage of total Rural

70

69

67

64

Agricultural

63

63

61

59

South Asia (SAS) Population in millions

Total

Percentages

1991

1995

1999

2003

1995

1999

2003

1,142

1,240

1,344

1,436

109

118

126

Rural

854

916

970

1,033

107

114

121

Agricultural

672

706

750

760

105

112

113

Percentage of total Rural

75

74

72

72

Agricultural

59

57

56

53

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

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

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


23

Chapter 2 The Resources of Small-scale and Subsistence Farmers

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

Total

400

Rural

300

Agric

200 100 0 1991

1995

1999

2003

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

Total

800

Rural

600

Agric

400 200 0 1991

1995

1999

2003

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

and SAS. Source Table 2.1.

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

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


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

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

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

%Tot

LMI

%Tot

LI

% Tot

NA

%Tot

TOT

AFR

4,335

0.62

48,090

6.87

624,932

89.27

25,713

3.67

703,070

MNA

27,870

8.77

236,322

74.37

20,010

6.30

33,577

10.57

317,779 1,874,770

EAP

24,425

1.30

1,674,424

89.31

103,772

5.54

72,149

3.85

ECA

75,604

16.20

344,334

73.76

46,869

10.04

0

0.00

466,807

LAC

195,400

36.31

305,939

56.85

22,600

4.20

14,227

2.64

538,166

0

0.00

0

0.00

1,410.005

98.16

26,472

1.84

1,436,477

327,634

6.14

2,609,109

48.89

2,228,188

41.75

172,138

3.23

5,337,069

SAS Total

AFR

Sub-Saharan Africa

ECA

Eastern Europe and Central Asia

Middle East and North Africa

LAC

Latin America and Caribbean

EAP

East Asia and Pacific

SAS

South Asia

UMI

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

LMI

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

MNA

LI

Low Income $765 per year or less

NA

Not Applicable

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

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

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


25

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

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

26

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


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

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

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

2003.

Populations

AFR

SAS

Total

2.36%

1.37%

Rural

1.53%

1.30%

Agricultural

1.61%

0.27%

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

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

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

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

27

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

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

TABLE 2.4.

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

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

As a percentage of total

Year

1991

1995

2002

1991

1995

2002

Land area

2,127

2,127

2,127

100

100

100

Agricultural area

807

930

1,283

38

44

60

Arable and permanent

151

159

164

7

7

8

Pasture and permanent Non-arable, not permanent

656

771

1,119

31

36

53

1,977

1,968

1,963

93

93

92

South Asia (SAS) Year

1991

1995

2002

1991

1995

2002

Land area

478

478

478

100

100

100

Agricultural area

262

262

263

55

56

55

Arable and permanent

212

213

214

44

44

44

Pasture and permanent Non-arable, not permanent

50

49

49

10

10

10

266

268

264

56

56

55

a. Source FAOSTAT.

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

28

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


Land use in AFR and SAS

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

60

199 1

40 20 0 Land a rea

A g r ic . a r e a

A r a b le + Pe r m .

Pa s tu r e p e r m .

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

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

100 80 2 002 199 5

60

199 1

40 20

0 Land a rea

A g r ic . a r e a

A r a b le + Pe r m .

Pa s tu r e p e r m .

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

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

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

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


29

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

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

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

Estimates of population densities in WDRs, year 2003. a

World development region

Total population in thousands

Surface area in sq. km in thousands

People per sq. km

AFR

697,299

24,320

29

MNA

317,779

11,132

29

ECA

466,807

24,107

19

SAS

1,433,902

5,092

282

EAP

1,874,770

15,761

119

LAC

523,939

19,904

26

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

30


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

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


31


CHAPTER 3

Alternative Approaches Examined

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

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

Photo HB.

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


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

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

The focal benefits and problems of a learning process approach.

Sequence

Causes of the focal benefits

Effects of the focal benefits

Project identification

Willingness to learn by ‘outsiders’.

Reversal of learning.

Project preparation

Dominance by local stakeholders.

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

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

Emphasis on socio-economic benefits. Project appraisal

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

Project implementation

Dominance of local people.

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

Use of local knowledge.

Downward accountability to user beneficiaries.

‘Outsiders’ listen.

Participatory monitoring and evaluation.

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

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

34

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

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


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

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

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

TABLE 3.2.

Potential impact of project

Priorities of interests =2

Type of stakeholder

Interests

Owner: NGO shareholders, members, trustees

1. Control over design procedure

1. (+/-)

2. Control over funds

2. (+/-)

Practitioners: Staff NGO

1. Control activities

1. (+)

2. Doing project management

2. (+)

3. Achievement of targets

3. (+)

Financiers: Investors, project donors

1. Control over funds

1. (-)

2. Evaluation of project

2. (-)

Regulators: Ministry of Agriculture


1. (+)

=2

User owner practitioners, local farmers

1. Participation in design procedure

1. (+)

=1

2. Doing project management and experimentation

2. (+)

=1

=1

3. (+)

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


1. (?)

2. Availability of markets

2. (+)

Regulators: local government


1. (+)

2. Availability of infrastructure

2. (+)

3

4

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

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

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


35

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

Purpose

What is the activity or negotiation about?

Process

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

Characterization

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

Interests

What are the parties’ interests?

Stake

What is at stake for the parties?

Judgement basis

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

a. Source: From Feyerherm, 1994.

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

36

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

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

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


Relevant to participatory learning and action (PLA)

Real world problem situation

Natural resources

Commitment Donor community

Institutional landscape

Socioeconomic environment

Accountability NGOs

Participation beneficiaries

Farmer-led participatory research

Evaluate onfarm trials Project environment

Identification Policy environment Preparation Determine policy Appraisal Determine design approach Implementation

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

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

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


37

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

1.

the implementation of a model as an experiment

2.

to pilot and demonstration projects

3.

to full implementation of a final stage

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

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

For learning process approach

C ‘customers’

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

Small farmers, markets, local government

A ‘actors’

Ecological and agricultural experts

Small farmers, agricultural extension services, ecological and agricultural experts

T ‘transformation’ process

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

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

W ‘world view’

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

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

O ‘owner(s)’

Implementing organizations, funders, state and local government

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

Project environment

Participatory and policy environments

E ‘environment

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

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

38

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


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

1 . D o fe as ibility s tud y

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

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

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

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

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

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

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

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

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

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

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

9 . M o n ito r 1-7

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

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

9 . M o n itor 1 -7

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

1 3 . M o n itor 1-1 0

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

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

1 . D o fe a sib ility s tu dy

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

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

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

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

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

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

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

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

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


39

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

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

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

Blueprint approach.

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

40

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

Learning process approach.

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

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


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

1. Do feasibility study

Social-political environment

Expert environment

5. Assess rural population involved in small farmer agriculture

2. Assess socio-economic environment

3. Mobilize economic resources

6. Do stakeholder analysis to mobilize local knowledge

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

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

System control environment

13. Monitor 1-10

14. Take control action

12. Define measures of performance

11. Appreciate model builders’ aspirations for the system

FIGURE 3.4. Conceptual model for a participatory approach.

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

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


41

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

42

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


CHAPTER 4

The Need for a Participatory Approach

4.1 Introduction Problem situation considered problematic

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

Problem situation expressed

Comparison of models and Real World

Real World

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

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

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

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


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

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

H is tory

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

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

Tasks is su e s

C ultu re

R elev a n t s y s tem s

R ea l s itu a tio n

M o d e ls

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

C o m p a re

2 . S o cia l a s pe c ts

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

E tc .

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

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

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

A c tion in th e s itu atio n

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

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

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

44


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

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

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

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

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


45

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

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

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

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

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

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

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


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

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

Basic needs

Subsistence farmer household

Decline in capital funds per person

No household savings

No tax payment

Negative economic growth of household

(Negative)

Depreciation of assets

No contribution to economic growth of society

Increase of number of family members

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

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

increasing groups of small-scale have more

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

and actions related to the intervention; 2.

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


47

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

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

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

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

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

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

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

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

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

By local governments:

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

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


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

4.3.2 Setting standards for participation

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

Mutual relationships

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

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

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

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


49

Chapter 4 The Need for a Participatory Approach

STATE FACTOR S

E cosystem processes M o du lato rs

D isturba nce reg im e

R esou rce s

B iotic com m unity

HUM AN A C T IV IT IE S

Landscape stability

P lant grow th

C rop production farm ing system

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

Infra stru ctu re

Fam ily fa rm ing h ou se ho lds

Tech no log y m a nag em ent

E X T E R N A LIT IE S

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

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

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

50

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


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

The increase of agricultural production

Do feasibility study

Monitor implementation

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

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

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

Monitor effectiveness

Monitor implementation

Achieve landscape stability

Do stakeholder analysis

Do feasibility study

Establish adaptive management

Monitor effectiveness

Take control action

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

and the achievement of landscape stability.


51

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

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

Revised CATWOE elements regarding the improvement of agricultural performance.

TABLE 4.1

Stakeholders

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

C - ‘Customers’

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

A - ‘Actors’

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


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


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

O - ‘Owners’

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


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

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

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


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

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

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

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

It should contribute to making increased agricultural production happen.

4.

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

5.

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

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

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

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

3.

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

Influence diagram.

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


53

Chapter 4 The Need for a Participatory Approach

Real world problem situation

Donor community Constraints

Natural resources

Accountability

Institutional landscape NGOs

Socioeconomic environment

Leads to purposeful action Constraints

Farmer-led participatory farming system research:

Train professionals Use expertise Yields: shared learning

Evaluate

plan farm trials evaluate farm trials determine policy determine policy strategy

Monitor Evaluate

Project approach: learning process

Design Implement

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

achievement of food security.

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

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


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

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

1. Find suitable small-scale farm er population

Donor community

Accountability

2. Decide agricultural commodity

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

NGO s 3. Decide agricultural productivity

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

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

5. Use farmer-led research

6. Use learning process as basis for project

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

9. M onitor 1-7

8. Define performance indicators

13. Monitor 1-10

12. Define measure of performance effectiveness (E2)

14. Take control action

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

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


55

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

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

2.

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

3.

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

4.

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

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

56

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

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


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

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

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

G eo m orp h ic a g en ts

S ta te fa cto rs

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

E rosio n D e p osition Pro ce sses

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

Po te ntia l b io ta

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

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

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

FIGURE 4.8. Influence diagram regarding sustainable soil patterns


57

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

Class

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

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

Land-use capability classes. a

Description

I

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

II

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

III

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

IV

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

V

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

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

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

58

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


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

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

Water-borne erosion

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

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

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

In this context the following factors are important:

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


59

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

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

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

Soil cover and water erosion. a

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

Slope (%)

Run-off (%)

Soil loss b t/ha per year

30 20 7-15 7 7 7 7 7 7

6.9 29.0 2.4 2.6 9.2 13.9 21.0 39.0

0.026 12.0 0.24 4.3 18.9 13.0 43.6 89.4 9.3

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

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

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

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


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

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

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

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

FIGURE 4.10. Gully erosion. Photo HB.

Under such conditions the very fine particles (

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