Uptake of agroforestry technologies among smallholder farmers in

246 Pages·2010·2.32 MB·English

by  Gillian Kabwe

Lincoln University Digital Thesis 

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thesis.
Uptake of Agroforestry Technologies among
Smallholder Farmers in Zambia

A thesis
submitted in partial fulfilment
of the requirements for the Degree of
Doctor of Philosophy

at
Lincoln University
by
Gillian Kabwe

Lincoln University
2010
Abstract of a thesis submitted in partial fulfilment of the
requirements for the Degree of Doctor of Philosophy
Abstract
Uptake of Agroforestry Technologies among
Smallholder Farmers in Zambia

by
Gillian Kabwe
Means for improving agricultural productivity among resource-poor smallholder farmers in
Zambia has been high on the agenda of agricultural research in the last 20 years. Agroforestry
research was initiated after the diagnostic and design survey of 1988 revealed that smallholder
farmers were faced with poor soil fertility, lack of fodder for animals and lack of fuelwood, an
energy carrier for cooking. In order to address these problems, researchers worked with
farmers and have since developed agroforestry technologies such as improved fallows,
biomass transfer, fodder banks, woodlots and indigenous fruit tree production. Since 1997,
these technologies have been deliberately promoted through the public extension system,
international and national research institutions, non-governmental organizations and
community-based organizations. However, the level of adoption remains low and their impact
is negligible on smallholder family livelihoods. Factors that affect uptake of agroforestry have
not been fully understood partly because the few studies that have been completed on
adoption of agroforestry were conducted too early in the research process and could only
indicate agroforestry adoption potential based on promising research findings. Other more
recent studies have concentrated on adoption among the farmers that have been involved with
experimental research on-farm yet there are many smallholder farmers that have been
involved with trialling agroforestry technologies apart from the farmer researchers. In
addition, nearly all research has concentrated on the improved fallow technology only. This
research investigated uptake of the five agroforestry technologies by conducting a field survey
and face-to-face interviews of 388 randomly selected farming households in four districts of
eastern Zambia where agroforestry is promoted and practiced. The results show that trialling
of agroforestry technologies is low, however 44.9 percent of farmers had trialled improved
fallow technology and 21.4 percent had trialled biomass transfers. Analysis of data for
improved fallows and biomass transfer using logistic regression shows that trialling and
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adoption of improved fallows and biomass transfer were influenced by different factors
including extension, tree seed availability, knowledge, skills, farmer interest, agroforestry
training, club membership (farmer organisations), information sources, farming experience,
household income, non-farm income and farm size. Another important finding was that
despite the low trialling rates, retention rate among farmers who had trialled was high (over
70%). Therefore, understanding the factors influencing trialling is crucial to ensuring that
many farmers take up agroforestry technologies.
The thesis contributes to knowledge about technology diffusion processes. The Rogers‟ model
of diffusion is modified to provide a stronger explanation of the key factors that influence
adoption.
Keywords: Agroforestry, biomass transfers, improved fallows, rural extension, technology
adoption and diffusion.
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Acknowledgements
This PhD thesis draws on research financed by NZAID and the Faculty of Commerce of
Lincoln University, whose support is gratefully acknowledged.
My PhD supervisors have been a constant source of wisdom, helpful criticism and advice,
encouragement and support throughout the period of my research. I would like to
acknowledge Associate Professor Dr. Hugh Bigsby, who helped to shape my study topic, and
through several discussions, widened my view and approach to this study. I appreciate that
amidst his busy schedules he made time to ensure that I was progressing in the right direction
and at the right pace. Thank you too to Professor Ross Cullen, whose experience with
resource economics brought a different perspective to my view of natural resource
management technologies. The years of my candidature have been the most challenging ones,
intellectually stimulating and satisfying to my career. Thanks to your guidance.
Many thanks also go to the smallholder farmers in Eastern Province, without which this thesis
would not have been so rich. Particularly the farmers interviewed in Chadiza, Chipata, Katete
and Petauke Districts. Thank you to Ministry of Agriculture and Co-operatives, through
Zambia Agricultural Research Institute and Eastern Province Provincial Agricultural Co-
ordinator, for allowing me to undertake the interviews. In particular, I would like to thank
Moses Mwale, the Deputy Director of Research – Technical, for permission to undertake
research in Zambia and Dr Obvious Kabinda, the Provincial Agricultural Coordinator for
allowing me to undertake research in the province. I am very grateful to the agroforestry
National Team based at the Zambia Agricultural Research Institute, Msekera, led by Dr.
Smart Lungu, for providing me transport to undertake field research. I particularly would like
to thank Messrs Mulundu Mwila and Peter Zulu for helping with training the enumerators,
participation in field research and also for administering the questionnaires.
I would like to acknowledge the support of fellow research students initially in Orchard Hall
(February 2007 to April 2008) and later in Annex B (October 2008 to April 2010). May I also
acknowledge the friendship of Dr. Ricky Madibela, Mariana Aragao Pereira, Lise Morton,
Nicholas Tabi Amponsah, Mathew Gicheha, Eric Kanyoke, James Kosgey, Trevor Gumoi and
Parveen Kaur Sukhdarshan Singh. I specifically would like to thank Chandra Rai, Michael
Prince and Nicholas Tabi Amponsah for car rides to and from University, without which I
would not have been on campus everyday and would have had progressed slowly. Kath Kerr
hosted me in her home, introduced me to her family, and took me places I would never have
seen and known about in New Zealand and all the times subsidised my travel and living
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expenses. She made Wellington be a second New Zealand home after Lincoln. I wonder if
there is a beach in Wellington that I have not been, seen and walked! Joan Gomez-Douglass,
my flatmate and friend, let me be friends to her close friends too. Thank you Carol Hunt for
the Hanmer Springs Hot spur pools weekend – very special. Many grateful thanks to all of
you.
To my family: dad, mum, brothers, sisters, nephews, nieces, aunties, uncles and cousins, I
extend my special thanks for their support, encouragement and understanding, long hours of
telephone conversations, wonderful emails and networking on facebook. Sorry I missed the
eightieth.
May I acknowledge all those that gave me direct and indirect advice, help, insight, comments,
suggestions, unflagging encouragement and moral support. The perspectives and opinions
offered here are of course, all my own responsibility, as are the mistakes, errors of fact and
interpretation. The illustrations are mine while others obtained from elsewhere are
acknowledged in the text.
Lastly, may I acknowledge the support of the Postgraduate Christian Fellowship (2007 to
2008), and later the International Christian Fellowship (2009 to 2010) on campus for spiritual
guidance, growth and strength, and for making it possible to meet people from other parts of
the world than only those studying for PhD. I also have a New Zealand family in the Lincoln
Baptist Church‟s Home/life group that meets every Thursday at Dr. Mark and Robin Wilson‟s
house, something to look forward to every week, for fellowship and all the yummy NZ
dessert and supper treats. Thank God, Almighty, for the opportunity to come to New Zealand
and study, for sustaining my life, for enabling this study road well travelled. And thank you
for the prospects in waiting.
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Table of Contents
Abstract ..................................................................................................................................... ii
Acknowledgements .................................................................................................................. iv
Table of Contents ..................................................................................................................... vi
List of Tables ............................................................................................................................. x
List of Figures .......................................................................................................................... xi
Chapter 1 Introduction ............................................................................................................ 1
1.1 Importance of agroforestry 3
1.1.1 Socio-economic benefits of agroforestry 4
1.1.2 Environmental benefits of agroforestry 6
1.2 Motivation/Justification of study 6
1.3 Study objective and questions 9
1.3.1 Objective 9
1.3.2 Research questions 9
1.4 Main contributions of this study 9
1.5 Overview of Thesis 10
Chapter 2 Agroforestry research and development in Zambia ......................................... 11
2.1 Introduction 11
2.2 Agroforestry research 11
2.2.1 The agroforestry technologies 12
2.2.1.1 Improved fallows 13
2.2.1.2 Biomass transfer 15
2.2.1.3 Fodder banks 17
2.2.1.4 Woodlots 18
2.2.1.5 Indigenous fruit trees 19
2.3 Agroforestry extension 20
2.3.1 The agricultural camp 20
2.3.2 Agricultural extension approaches 20
2.3.3 Extension methods 22
2.4 Adoption of agroforestry technologies 25
2.4.1 Adoption of agroforestry 25
2.4.2 Farmers‟ adoption decisions: a general perspective 26
2.4.3 Experiences with agricultural technology adoption in southern Africa 27
2.5 Factors influencing agroforestry trialling and adoption 29
2.6 Theories of adoption and diffusion 36
2.6.1 Diffusion of innovations theory 36
2.6.2 Diffusion and adoption models 40
2.6.2.1 The Adoption-Diffusion Model 40
2.6.2.2 The technology acceptance model 43
2.7 Chapter summary 44
Chapter 3 Research methodology ......................................................................................... 45
3.1 Introduction 45
3.2 Description of study area – Eastern Province, Zambia 45
3.3 Research design 47
3.4 Sample selection 48
3.4.1 Smallholder farmers 48
3.4.2 Key informants 48
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3.5 Data collection 49
3.5.1 Household surveys 50
3.5.2 Interviews and discussions with key informants 51
3.5.3 Personal observation and transect walks 51
3.6 Reliability and validity of the instrument and results 52
3.7 Data analysis techniques 52
3.7.1 Measuring profitability 53
3.7.2 Measurements for factors that influence adoption decisions 54
3.7.3 Chi-square test of independence 55
3.7.4 Logistic regression analysis 56
3.7.4.1 Justification for use of logistic regression 56
3.7.4.2 Statistical analysis procedure 58
3.7.5 ANOVA 66
3.8 Limitations of the study 66
3.9 Summary of the Chapter 67
Chapter 4 Characteristics of farmers ................................................................................... 68
4.1 Introduction 68
4.2 Demographics 68
4.2.1 Location 68
4.2.2 Gender 70
4.2.3 Age 71
4.2.4 Education 72
4.2.5 Household size 74
4.2.6 Club membership 75
4.2.7 Main sources of livelihood 76
4.2.8 Livestock 78
4.3 Land and land use 78
4.3.1 Upland fields 78
4.3.2 Gardens 80
4.3.3 Tenure of land 82
4.3.4 Soil fertility status and management 83
4.3.5 Method of cultivation 85
4.4 Agroforestry extension 86
4.4.1 Awareness of agroforestry 86
4.4.2 Sources of agroforestry information 88
4.4.3 Agroforestry training 89
4.4.4 Proximity and access to extension services 90
4.4.5 Farm decision making 93
4.4.6 Household decision making 95
4.5 External factors 96
4.6 Agroforestry adoption 97
4.6.1 Classification of farmers into adoption classes 97
4.6.2 Trialling and adoption levels 98
4.6.3 Perceived usefulness and ease of use of agroforestry technologies 99
4.6.4 Observed performance of agroforestry technologies 99
4.7 Summary of the Chapter 100
Chapter 5 Adoption of agroforestry technologies ............................................................. 101
5.1 Assessment of adoption using logistic regression analysis 101
5.2 Trialling of improved fallows 101
5.2.1 Improved fallows trialling: farm and farmer attributes 102
5.2.2 Improved fallows trialling: external factors 105
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5.2.3 Improved fallows trialling: extension factors 106
5.2.4 Overall model for trialling of improved fallows 107
5.3 Adoption of improved fallows 111
5.3.1 Improved fallows adoption: farm and farmer characteristics 111
5.3.2 Improved fallow adoption: external factors 113
5.3.3 Improved fallows adoption: extension factors 114
5.3.4 Overall model for adoption of improved fallows 115
5.4 Trialling of biomass transfer 118
5.4.1 Biomass transfer trialling: farm and farmer attributes 119
5.4.2 Biomass transfer trialling: external factors 120
5.4.3 Biomass transfer trialling: extension factors 121
5.4.4 Overall model for trialling biomass transfer 122
5.5 Adoption of biomass transfer 125
5.5.1 Biomass transfer adoption: farm and farmer characteristics 125
5.5.2 Biomass transfer adoption: external factors 126
5.5.3 Biomass transfer adoption: extension factors 127
5.5.4 Overall model for adoption of biomass transfer 127
5.6 Results of extension approaches using ANOVA for assessment 129
5.6.1 Extension approaches 129
5.7 Summary of key results 132
Chapter 6 Discussion ............................................................................................................ 134
6.1 Introduction 134
6.2 Trialling and adoption 134
6.3 Factors influencing trialling of improved fallows 135
6.3.1 Seed availability 135
6.3.2 Lack of interest 138
6.3.3 Gender 139
6.3.4 Farm size 141
6.3.5 Farming experience 142
6.3.6 Income from livestock sales 143
6.3.7 Skills 143
6.3.8 Researchers and extension workers as sources of information 144
6.3.9 Agroforestry training 145
6.3.10 Club membership 146
6.4 Factors affecting adoption of improved fallows 148
6.4.1 Seed availability 148
6.4.2 Lack of interest 148
6.4.3 Land Limitation 149
6.4.4 Non-farm income 149
6.4.5 Method of ploughing 149
6.4.6 Extension visits 150
6.5 Factors affecting trialling of biomass transfer 152
6.5.1 Seed availability 152
6.5.2 Garden ownership 152
6.5.3 Knowledge 152
6.5.4 Extension visits 153
6.5.5 Sources of information 153
6.5.6 Agroforestry training 154
6.5.7 Agroforestry trainers 154
6.5.8 Club membership 155
6.6 Factors affecting adoption of biomass transfer 155
6.6.1 Seed availability 155
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6.6.2 Lack of interest 155
6.6.3 Household income 156
6.7 Summary of the Chapter 156
Chapter 7 Conclusions, implications and recommendations ........................................... 157
7.1 Introduction 157
7.2 Revisiting research questions, data collection and data analysis methods 159
7.2.1 Key findings of the research from both descriptive analysis and logistic
regression models 159
7.3 Relating research findings to the adoption and diffusion theory 164
7.3.1 Adoption-diffusion model 165
7.3.2 Technology Adoption Model 166
7.4 Contributions of this research 167
7.5 Recommendations and suggestions for future research 168
References.............................................................................................................................. 171
Appendix A Cover letter ...................................................................................................... 184
Appendix B Consent forms .................................................................................................. 186
Appendix C Questionnaire .................................................................................................. 187
Appendix D Categories of respondents .............................................................................. 206
Appendix E Chi-square test results .................................................................................... 207
E.1 Farm and farmer characteristics influencing trialling of agroforestry 207
E.2 Farm and farmer characteristics influencing adoption of agroforestry 208
E.3 External factors influencing trialling of agroforestry technologies 208
E.4 External factors influencing adoption of agroforestry practices 209
E.5 Extension factors influencing trialling of agroforestry practices 209
E.6 Extension factors influencing adoption of agroforestry practices 210
Appendix F Logistic regression model summaries ............................................................ 211
F.1 Trialling improved fallows 211
F.2 Adoption of improved fallows 216
F.3 Trialling of biomass transfer 221
F.4 Adoption of biomass transfer 225
Appendix G Analysis of Variance outputs ......................................................................... 229
G.1 Extension approaches and improved fallows 229
G.2 Biomass transfer and extension approaches 230
G.3 Extension agents and adoption of improved fallows 231
G.4 Extension agents and adoption of biomass transfer 232
G.5 Soil fertility methods and adoption of improved fallows 233
G.6 Soil fertility methods and adoption of biomass transfer 234
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