Research and Development Towards Sustainable Agriculture by Resource-Poor Farmers in Sub-Saharan Africa: Some Strategic and Organisational Considerations in Linking Farmer Practical Needs with Policies and Scientific Theories

Sustainable agricultural development is presented as a diverse and dynamic process through which it copes with agro-ecological and socio-economic diversity at field level and with ever-changing needs and opportunities of (smallholder) farmers. In support, agricultural research—aimed at locally appropriate and environmentally friendly technologies—should contribute to bridging the currently increasing gaps between scientific theories and government agricultural policies as opposed to the practical field realities that farmers are facing.

These gaps are best illustrated by—what in the West is often presumed to be—a stagnant African agricultural (in reality it is not!) in spite of many ambitious policies and projects by national governments and international donors for several decades. Disappointing adoption rates by resource-poor smallholders of the proposed ‘modern’ agricultural technologies have often been blamed. However, the actual local systems are primarily based on ‘ecological’ and ‘organic’ concepts. Localised intensification through recycling of organic by-products is an integral part of such systems. Consequently, these systems are uniquely adapted to the diverse framer needs resulting from widespread variations in soil, climate and socio-economic conditions. By contrast most international R&D support for the African agricultural sector is aimed implicitly at creating a modern conventional system of farming based on external inputs and along a Western industrial model.

To cope with diverse and complex, location specific problems inherent in development, sustainability and poverty alleviation, requires strong national research and development (R&D) institutions that adopt comprehensive, people-centred approaches as opposed to the technocratic nature of most formal international development assistance. The development debate therefore should be turned around. The ‘existing’ smallholder farming systems and their needs should be a point of departure, while the various development initiatives and policies should be handled by including the related institutional aspects.     

Negative evaluation of conservation agriculture: perspectives from African smallholder farmers

Despite more than three decades of promotion, conservation agriculture (CA) has not been widely adopted by smallholder farmer in sub-Saharan Africa. This low rate of adoption reflects substantial negative evaluation of CA by many smallholder farmers, the causes of which have not been adequately explored in an in-depth, qualitative manner. Hence, we implement the Livelihoods Platforms Approach to explore directly with negatively evaluating farmers the reasons why they chose not to implement CA using semi-structured interviews with 35 farmers from 23 communities in 6 African countries. While there are issues with perceived benefit and relevance, the primary driver of negative evaluation of CA was found to be the feasibility of implementation. The required resources to implement CA (financial, physical, human and informational) are limited by community and institutional constraints which appear unlikely to be overcome through interventions targeted at addressing household resources. More positive evaluation of CA by smallholder farmers requires: (1) development of financially viable CA adoption pathways; (2) incorporation of wider livelihood objectives into a CA ‘package’; (3) re-evaluation of current extension policy; and (4) development of CA-complementary agricultural policies. Without addressing these issues, the potential benefits of CA adoption are unlikely to be achieved in African smallholder systems.     

Conditioning trends shaping the agricultural and rural landscape in Africa

African countries continue to face deepening food crises that have been accentuated by the global food, energy, and financial crises. This situation is part of a long‐term structural problem: decades of under‐investments in agricultural sector and poor policies of support for smallholder farmers who form the bulk of the farming population. The inability of these farmers to achieve a supply response when commodity prices were high and market access was less of a problem suggests that there are multiple sets of binding constraints that continue to limit the potential of agricultural growth to reduce food security and poverty on the continent. This article reviews some of the historical trends that have hampered the performance of the agriculture sector. In addition, it reviews the impacts of more positive trends that could stimulate agricultural growth in Africa that could change the African agricultural landscape. The article however warns that there are more recent global developments and some continental challenges that could prevent or slow agricultural growth. These include the global financial crisis, public sector investments, inequities in global agricultural development policies, rush for agricultural lands by foreign investors, domestic commercial financing markets, climate change, and emerging carbon markets. The article argues that while opportunities for accelerated growth exists for African agriculture, new sets of policy instruments will be needed to support smallholder farmers to access new agricultural technologies, finance, reduce impacts of climate change, and adopt sustainable land use practices that can allow them to benefit from emerging global carbon markets.     

Profitability and opportunity of conservation agriculture in acid savannah grasslands of Laos

In north-eastern Laos, the savannah grasslands of the Plain of Jars cover vast areas of potentially cultivable land. However, soil acidity, low inherent fertility, and the absence of alternatives to tillage represent significant constraints to the development of sustainable smallholder agriculture. Our objective was to evaluate the potential for conservation agriculture (CA) to enhance soil productivity and farming system profitability. A three-year rotation of rice/maize/soybean was tested under three fertilization levels and four agricultural systems: one conventional tillage-based (CT) system and three CA systems based on no-tillage with cover crops. After four cropping seasons, our results show that, compared with CT, CA systems led to similar-to-higher grain production, similar-to-higher profits, higher opportunity of livestock system intensification, and higher labour productivity regardless of fertilization levels. While CA represents a relevant alternative to current practices, our results suggest that its contribution to the emergence of a sustainable smallholder agriculture is conditioned by broader institutional transformations, including the enrolment of local manufacturers and traders for deploying no-till implements and seed market channels for cover crops, long-term public support to maintain active research and technical mentoring to farmers, and possibly the integration of ecosystem services in agricultural policy.     

Understanding the adoption of climate change adaptation strategies among smallholder farmers: Evidence from land reform beneficiaries in South Africa

Climatic change has a negative impact on people’s livelihoods, agriculture, freshwater supply and other natural resources that are important for human survival. Therefore, understanding how rural smallholder farmers perceive climate change, climate variability, and factors that influence their choices would facilitate a better understanding of how these farmers adapt to the negative impacts of climate change. A Zero-inflated double hurdle model was employed to estimate the factors influencing farmers’ adoption of adaptation strategies and intensity of adoption at the household level in South Africa. Different socioeconomic factors such as gender, age, and experience in crop farming, institutional factors like access to extension services, and access to climate change information significantly influenced the adoption of climate change adaptation strategies among beneficiaries of land reform in South Africa. Concerning intensity of adoption, age, educational level, farming experience, on-farm training, off-farm income, access to information through ICT and locational variables are the significant determinants of intensity of adaptation strategies. Thus, education attainment, non-farm employment, farming experience are significant incentives to enhance smallholder farmers' adaptive capacity through the adoption of many adaptation approaches. This study therefore concluded that farm-level policy efforts that aim to improve rural development should focus on farmers’ education, on-farm demonstration and non-farm employment opportunities that seek to engage the farmers, particularly during the off-cropping season. The income from non-farm employment can be plough-back into farm operations such as the adoption of soil and water conservation, use of improved planting varieties, insurance, among others to mitigate climate variability and subsequently increase productivity. Policies and investment strategies of the government should be geared towards supporting education, providing on-farm demonstration trainings, and disseminating information about climate change adaptation strategies, particularly for smallholder farmers in the country. Thus, the government, stakeholders, and donor agencies must provide capacity-building innovations around the agricultural extension system and education on climate change using information and communication technologies.     

A trait-based model of the potential demand for a genetically engineered food crop in a developing economy

We predict the potential demand of smallholder farmers for genetically transformed varieties of a food crop, the cooking banana of the East African highlands. Farmer demand for planting material is derived in an agricultural household model that accounts for variety traits and missing markets. The demand for candidate host varieties is predicted using a Zero‐Inflated Poisson (ZIP) regression system. The fitted model is used to illustrate the sensitivity of farmer demand for improved planting material to (a) investments in research and development, represented by the effectiveness of gene insertion and expression, and (b) other public investments in education, extension, and market infrastructure that support diffusion. By comparing the characteristics of agricultural households we demonstrate that the choice of host variety can have social consequences, favoring one rural population compared with another. Clients for transgenic banana planting material are likely to be poorer, subsistence‐oriented farmers in areas greatly affected by biotic constraints. A model of this type might be useful in assessing the investments needed to support the systematic dissemination of improved planting material. The approach can be generalized to other crop biotechnologies for smallholder farming systems, particularly in developing economies.     

Farmers,institutions and technology in agricultural change processes: outcomes from Adaptive Research on rice production in Sulawesi,Indonesia

International agricultural research centres use approaches which aim to create effective linkages between the practices of farmers, introduced technologies and the wider environment that affects farming. This paper argues that such new approaches require a different type of monitoring as a complement to conventional approaches that tend to favour a quantitative assessment of adoption and impact at the farm level. In this context, we examined monitoring data from an Adaptive Research (AR) project highlighting complementary qualitative analysis. Our emphasis is to capture the improvisational capacities of farmers and to reveal social and institutional constraints and opportunities in a broader innovation system. Our approach provided clear insights into how rice farmers adjusted their practices and how actors involved linked (or not) with others in the innovation system. We also demonstrated how institutions such as policies, religious rituals or service provider arrangements pose conditions that establish or constrain practices aligned with introduced technologies. A broader perspective in monitoring AR therefore provides important additional insights into the factors which shape outcomes in farming communities. To expand outcomes, AR projects should also pay attention to designing and testing new institutional arrangements that create enabling conditions for agricultural innovation.     

Determinants of climate change adaptation strategies and its impact on the net farm income of rice farmers in south-west Nigeria

A multivariate probit (MVP) model was used to analyse the determinants of strategies adopted for adapting to climate change in a sample of smallholder rice farmers in south-west Nigeria. An efficient endogenous switching regression model (ESRM) was used to estimate the impact of climate change adaptation strategy on the net income of rice farmers. The MVP results show that the socio-economic factors, the institutional factors, and locational variables of some households statistically influenced the choice of climate change adaptation strategies employed. Complementarities among all the adaptation strategies used by the farmers were revealed by the positive pair-wise correlation matrix of the MVP model. The study also indicated that farmers affected by prolonged drought and incidences of flood were more likely to adopt adaptation strategies on their farmlands. The ESRM treatment effect indicated that the average net income per rice farm of those who adopted the strategies was significantly higher than that of those who did not. Thus, the government, stakeholders, and donor agencies must provide capacity-building innovations related to agricultural extension systems and climate change education through information and communication technologies. This investment in education is essential for development and would encourage farmers to adopt appropriate climate change adaptation strategies.     

How has microcredit supported agriculture? Evidence using panel data from Bangladesh

Improving agricultural productivity has received a greater attention in recent years amid concerns about rising food insecurity, population pressures, and climate change. Many believe that better access to institutional credit, spanning microcredit as well as commercial and agricultural banks, can help rural households smooth risks, and access inputs and other technology to modernize agriculture and improve farm/nonfarm linkages. We use recently augmented household panel data spanning over 20 years in Bangladesh to examine the effects of rural credit expansion (both microcredit and formal bank channels) on outcomes for agricultural households. We find that microcredit has benefited households with lower landownings, raising agricultural income from activities such as livestock rearing that require less land, as well as nonfarm income diversification for all households, but with the strongest effect for landless or near‐landless households. We do not find effects of microcredit on crop income, but do, however, find that reported supply‐side credit constraints significantly lower crop income. Borrowing by both men and women has contributed to nonfarm income growth for marginal farmers, but only men's borrowing has contributed to nonfarm income growth among higher landowning groups.     

Revisiting constraints to smallholder participation in high-value markets: A best-worst scaling approach

We show how policymakers in developing regions can generate richer insights from using the choice experiment method best-worst scaling (BWS) method when ranking policy priorities on an importance scale. More specifically, we adopt BWS to provide an update on constraints that limit the participation of Kenyan horticultural smallholder farmers in modern agricultural value chains. In addition to traditional constraints posed by input market failures and missing institutions, we considered constraints such as trust and familiarity with buyers shown by recent empirical studies to inform smallholders’ market choices. Ascertaining the relevance of these constraints highlights our contribution to the existing literature. We find that farmers consistently rate access to high-quality inputs as their main constraint followed by concerns about access to credit, the high cost of meeting food standards, missing cooperatives, and exploitative intermediaries. Respondents considered insufficient labor, small farmlands, and weak tenure rights as the least important constraints. Age, location, gender, household income, and education influence the relative importance various segments of smallholders place on these constraints. For example, constraints are economic rather than personal for low-income farmers. Counterintuitively, rural smallholders are less likely to perceive poor transportation network as a constraint. Smallholders’ distrust of buyers they interact with is informed by their location and income. In designing intervention initiatives, policies that focus on segments of smallholders are needed for improving smallholder participation in modern agricultural value chains.     

How smallholder farmers adapt to agricultural drought in a changing climate: A case study in southern China

Although the adaptation strategies of smallholder farmers to climate change and its attendant hazards have attracted widespread attention, the quantitative detection and evaluation of their adaptive behaviors remains a difficult task that deserves further study. This article describes an empirical case study performed in southern China to examine the adaptation strategies of paddy farmers to agricultural drought. We collected first-hand data through household questionnaires, in-depth interviews with local managers, and farm-level land-use surveys. The effectiveness of the adaptation approaches of the farmers was assessed in terms of the ecological, economic, and social benefits. Our findings indicate that over the past three decades, when confronted with recurrent seasonal drought in a warming climate, farmers have gradually abandoned the double-cropping rice production and transformed their cropping patterns into a new diversified mode of “Rice-Cole, rice, cotton, seedling nursery, and coarse cereals”. Current farming practice reduces the vulnerability of local agriculture to drought, and allows farmers to diversify and improve their incomes, which contributes to enhanced resilience and adaptability to drought. However, the autonomous adaptation of farmers may primarily serve their interests of minimizing drought risk and maximizing economic profits but could also undermine the social benefits, such as regional grain security. A robust adaptation strategy should balance the ecological and economic benefits with social interests to maintain agricultural sustainability.     

A recipe for success? Learning from the rapid adoption of improved chickpea varieties in Ethiopia

Many studies detail constraints deemed responsible for the limited adoption of new technologies among smallholder farmers in sub-Saharan Africa. By contrast, here we study the conditions that led to the remarkably fast spread of improved chickpea varieties in Ethiopia. Within just seven years, the adoption rate rose from 30 to 80% of the farmers. A combination of factors explains the rapid uptake. Their attraction lay in superior returns and disease resistance. Chickpea was already an important crop for rural households in the studied districts, for both cash income and consumption. Good market access and an easy accessibility of extension services advanced the adoption process. Thus, an attractive technology suitable for rural households in a conducive environment enabled adoption. Our findings prompt us to stress the importance of tailoring agricultural innovations to the realities and demands of rural households, and the need to design and deploy interventions on the basis of ex-ante knowledge on factors potentially determining their success or failure.     

Market imperfections,access to information and technology adoption in Uganda: challenges of overcoming multiple constraints

Limited empirical evidence exists on how multiple binding constraints influence the adoption of improved technologies by smallholder farmers. This article uses the case of groundnut variety adoption in Uganda to investigate the role of information, seed supply, and credit constraints in conditioning technology uptake. New data from a household survey in seven groundnut growing districts (n = 945) indicate that 8% of farmers lack information on new varieties, while 18% and 6% of farmers, respectively, cannot adopt mainly due to seed supply and capital constraints. A tobit‐type specification that considers all nonadopters as being uninterested in the technology (i.e., corner solutions) would lead to inconsistent parameter estimates and incorrect conclusions in this context. We therefore estimate a modified multi‐hurdle specification of demand for new varieties, taking into account how information, seed supply, and capital constraints jointly determine adoption probability and intensity. The study reveals new empirical insights on why agricultural technology adoption in Africa has lagged behind: slow uptake is not mainly due to a lack of economic incentives, but rather a reflection of information, seed supply, and credit constraints that prevent farmers from translating their desired demand into adoption of modern varieties. Policy implications are discussed.     

Harnessing sustainability,resilience and productivity through conservation agriculture: the case of likoti in Lesotho

Subsistence farmers in Lesotho have been able to boost agricultural yields and increase food production by adopting conservation agriculture. The practice, locally known as likoti, also contributes to combating soil erosion and to enhancing fertility. The socio-economic and environmental benefits help poor households to rehabilitate and strengthen their livelihood capital base and ultimately help rural communities to build system resilience in the face of widespread poverty and increasing vulnerability that affect the country. This paper discusses the major advantages associated with the spread of likoti. By drawing on primary data collected by FAO-Lesotho, it enquires into the determinants of adoption, thereby highlighting constraints and options for future up-scaling. The results show that attending appropriate training is a crucial prerequisite for the correct adoption of likoti. However, training is more effective when trainers pursue true participation and when social capital among farmers is stronger. Further important determinants of adoption are the level of education and the economic incentives provided to vulnerable households. Stronger policy and institutional support in all these areas would thus help address the cultural and resource constraints that limit the full potential of likoti to be harnessed and ultimately hinder its further spread throughout the country.     

The impact of agricultural and household technologies on women: a conceptual and quantitative analysis in Burkina Faso

Agricultural technologies (new cultivars, inorganic fertilizers, soil-and water-conservation techniques) in Sub-Saharan Africa have been primarily introduced to male farmers by male-dominated extension services on the family plots. These yield-increasing, input-intensive technologies increase the demand for farm labor. So, not only do men obtain most of the direct benefits from the introduction of technology but this labor-intensive technology also increases the demands on women's time for additional labor. This raises the question: Are the combined effects of agricultural technologies beneficial or detrimental to women? We first develop a labor-market model that examines the impact of agricultural and household technologies on labor allocation and income determination within the household. We then discuss the important issue of how household labor-allocation decisions and division of income are made within the family in Sub-Saharan Africa. We use a programming model to estimate the effects of these technologies on household incomes and the income of women. The results indicate that the impact of agricultural technologies depends on the type of decision-making prevailing in the household. In contrast, household technologies increase the welfare of women regardless of the type of decision-making. However, with bargaining behavior, agricultural technologies do benefit women and there is some empirical support for this type of household behavior in Sub-Saharan African households.     

Socio-ecological niche: a conceptual framework for integration of legumes in smallholder farming systems

There are numerous examples of technologies with great potential that have not been accepted by smallholder farmers. Quite often, these technologies do not fit well into smallholder systems due to the inherent high level of heterogeneity of these systems. For example, despite their great potential, the adoption of legumes by smallholder farmers in many parts of sub-Saharan Africa has remained poor. A wide range of biophysical (e.g. climate, soil fertility, etc.) and socio-economic variables (e.g. preferences, prices, production objectives etc.) influence the use of legumes in smallholder systems. While some of these variables constrain the adoption of some legumes, others offer opportunities for beneficial use of other legumes in the same system. Therefore, widespread adoption of legumes in smallholder systems can only be achieved if all of the major biophysical and socio-economic constraints are simultaneously identified and addressed. The ‘socio-ecological niche’ concept proposed in this paper provides the framework through which this might be achieved. The socio-ecological niche, in any given region of agricultural activity, is created by the convergence of agro-ecological, socio-cultural, economic and ecological factors, to describe a multidimensional environment for which compatible technologies can be predicted. The socio-ecological niche concept can be applied in many different contexts in technology development. However, this paper discusses its use with respect to the development of legume technologies. Two case studies are presented to illustrate the concept and to demonstrate its practical significance. The concept is being used in on-going research on legumes in smallholder farming systems in western Kenya.     

Further participatory adaptation is required for community leaders to champion conservation agriculture in Africa

There is a recognized need for the participation of local communities in designing and implementing agricultural interventions for the sustainable intensification in smallholder systems. This study examines the perspectives of local community leaders towards the widely promoted, but not widely adopted, practice of Conservation Agriculture (CA) in African smallholder systems. Perceptions from 47 community leaders (both from traditional local authorities and farmer organizations) across six African countries are documented regarding how CA matches the wants, needs and capabilities of farmers in their communities. While community leaders generally perceived CA as potentially beneficial, they also indicated that CA is not currently perceived as feasible within their communities and hence has limited relevance. Three key themes were identified that limit both CA use and sustainable intensification more generally: [1] a perceived reluctance of farmers to engage with the community platform as part of a higher input, market-oriented production system; [2] informational constraints due to non-functional exchange mechanisms; and [3] a lack of local adaptation of CA underscored by the persistence of top-down, linear research and extension approaches. Through greater understanding of local perspectives, a clearer picture emerges of the need for greater participatory engagement and local adaptation if sustainable intensification of African smallholder agricultural systems is to be achieved.     

农户参与农业全程生产托管诱因及福祉效应研究

[目的]农业生产托管作为面向小农户的社会化服务体系,在一定程度上解决了小农户在劳动力、技术、资金等方面的实际困难,对农户福利变化及差异产生重要影响。研究农户参与的诱因及福祉效应,对于促进农业生产托管推广应用,实现农业现代化发展有着重要的现实意义。[方法]基于2021年陕西省关中地区1 169份农户微观调研数据,文章通过熵值法对农户的主客观福祉水平进行测算,并运用倾向得分匹配模型实证分析农户参与全程托管的诱因及对其福祉效应的影响。[结果](1)农业全程托管对农户的主客观福祉水平均具有显著的正向影响,不仅在收入与物质需求、选择与行动自由两个维度上增进农户的客观福祉,也有助于农户主观福祉中“三生空间”满意度的提升。(2)全程托管的福祉效应在不同群体间存在显著的差异,对老龄化程度高、经营规模0.67hm²(10亩)以下及粮食作物种植的农户和家庭福祉效应的提升效果较佳。(3)农户全程托管是其理性决策的结果,个人及家庭特征、农业经营特征及组织支持等是农户全程托管的重要影响因素。[结论]继续加大农业生产托管的推广普及,扩大全程托管覆盖面。结合农户特征,制定差异化、精准化的支持举...     

Adoption and Impacts of Sustainable Agricultural Practices on Maize Yields and Incomes: Evidence from Rural Zambia

This paper uses a multinomial endogenous treatment effects model and data from a sample of over 800 households and 3,000 plots to assess the determinants and impacts of adoption of sustainable agricultural practices (SAPs) on maize yields and household incomes in rural Zambia. Results show that adoption decisions are driven by household and plot level characteristics and that the adoption of a combination of SAPs raises both maize yields and incomes of smallholder farmers. Adoption of improved maize alone has greater impacts on maize yields, but given the high cost of inorganic fertiliser that limits the profitability of adoption of improved maize, greater household incomes are associated rather with a package involving SAPs such as maize–legume rotation and residue retention.     

Smallholders,institutional services,and commercial transformation in Ethiopia

This article examines the role of institutional services of credit, input supply, and extension in the overall commercial transformation process of smallholder agriculture in Ethiopia. Survey data collected in 2006 from 309 sample households in three districts of Ethiopia are used for the analyses. Tobit regression models are used to measure the effect of access to services on the intensity of inputs use for fertilizer and agrochemicals. A probit model is used to measure these effects on the adoption of improved seeds. Intensity of use of seeds is analyzed using an ordinary least squares model. Logarithmic Cobb–Douglass functions are estimated to analyze the effect of access to services on crop productivity. Heckman's two‐stage estimation is used to examine determinants of household market participation and the extents of participation. Results show that access to institutional support services plays a significant role in enhancing smallholder productivity and market orientation. Our results imply that expanding and strengthening the institutional services is critical for the intensification and market orientation of smallholder agriculture in Ethiopia. In particular, appropriate incentives and regulatory systems are urgently needed to encourage the involvement of the private sector in the provision of agricultural services.