• TABLE OF CONTENTS
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 Title Page
 Acknowledgement
 Abstract
 Table of Contents
 Introduction
 Literature review
 Farming systems description of...
 Data collection and analysis
 Conclusions and recommendation...
 Timeline of goverment policies
 Mazie and improved fallow species...
 Questionnaire
 Land and crop production, and other...
 LP model results
 Reference
 Biographical sketch






Title: Potential impact of improved fallows on small farm livelihoods, Eastern Province, Zambia
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Permanent Link: http://ufdc.ufl.edu/UF00055219/00001
 Material Information
Title: Potential impact of improved fallows on small farm livelihoods, Eastern Province, Zambia
Physical Description: vii, 129 leaves : ill. ; 29 cm.
Language: English
Creator: Grier, Christina E
Publication Date: 2002
 Subjects
Subject: Fallowing -- Zambia -- Eastern Province   ( lcsh )
Rural development -- Economic aspects -- Zambia -- Eastern Province   ( lcsh )
Farms, Small -- Zambia -- Eastern Province   ( lcsh )
Food and Resource Economics thesis, M.S   ( lcsh )
Dissertations, Academic -- Food and Resource Economics -- UF   ( lcsh )
Genre: bibliography   ( marcgt )
theses   ( marcgt )
non-fiction   ( marcgt )
 Notes
Thesis: Thesis (M.S.)--University of Florida, 2002.
Bibliography: Includes bibliographical references (leaves 121-128).
Statement of Responsibility: by Christina E. Grier.
General Note: Printout.
General Note: Vita.
Funding: Electronic resources created as part of a prototype UF Institutional Repository and Faculty Papers project by the University of Florida.
 Record Information
Bibliographic ID: UF00055219
Volume ID: VID00001
Source Institution: University of Florida
Holding Location: University of Florida
Rights Management: All rights reserved, Board of Trustees of the University of Florida
Resource Identifier: aleph - 002822774
oclc - 50512035
notis - ANV1301

Table of Contents
    Title Page
        Page i
    Acknowledgement
        Page ii
        Page iii
    Abstract
        Page iv
        Page v
    Table of Contents
        Page vi
        Page vii
    Introduction
        Page 1
        Chapter overview
            Page 1
            Page 2
            Page 3
            Page 4
            Page 5
            Page 6
            Page 7
            Page 8
            Page 9
            Page 10
            Page 11
    Literature review
        Page 12
        Chapter overview
            Page 12
        Farming systems
            Page 12
            Page 13
            Page 14
            Page 15
        Sustainable livelihoods approach
            Page 16
            Page 17
            Page 18
            Page 19
            Page 20
            Page 21
        Food security and nutrition
            Page 22
        Gender
            Page 23
            Page 24
        Soil fertility and improved fallows
            Page 25
            Page 26
            Page 27
            Page 28
    Farming systems description of study area
        Page 29
        Chapter overview
            Page 29
        Administration and demographics
            Page 30
            Page 31
            Page 32
            Page 33
            Page 34
        Topography and climate
            Page 35
        Soils
            Page 36
        Farming and livelihood systems
            Page 37
            Page 38
            Page 39
            Page 40
            Page 41
            Page 42
            Page 43
            Page 44
            Page 45
            Page 46
            Page 47
            Page 48
    Data collection and analysis
        Page 49
        Chapter overview
            Page 49
        Methods of data collection
            Page 49
            Page 50
        Linear programming
            Page 51
            Page 52
            Page 53
            Page 54
            Page 55
            Page 56
            Page 57
            Page 58
            Page 59
            Page 60
        Results
            Page 61
            Page 62
            Page 63
        Conclusion
            Page 64
    Conclusions and recommendations
        Page 65
        Linear programming
            Page 66
        Recommendations for further study
            Page 67
            Page 68
    Timeline of goverment policies
        Page 69
        Page 70
        Page 71
        Page 72
    Mazie and improved fallow species description
        Page 73
        Maize
            Page 73
            Page 74
            Page 75
        Soil fertility and improved fallows
            Page 76
            Page 77
            Page 78
            Page 79
            Page 80
            Page 81
    Questionnaire
        Page 82
        Page 83
        Page 84
        Page 85
        Page 86
        Page 87
        Page 88
        Page 89
        Page 90
        Page 91
        Page 92
        Page 93
    Land and crop production, and other income generating activity tables
        Page 94
        Page 95
        Page 96
        Page 97
        Page 98
        Page 99
        Page 100
        Page 101
        Page 102
        Page 103
        Page 104
        Page 105
        Page 106
    LP model results
        Page 107
        Page 108
        Page 109
        Page 110
        Page 111
        Page 112
        Page 113
        Page 114
        Page 115
        Page 116
        Page 117
        Page 118
        Page 119
        Page 120
    Reference
        Page 121
        Page 122
        Page 123
        Page 124
        Page 125
        Page 126
        Page 127
        Page 128
    Biographical sketch
        Page 129
Full Text














POTENTIAL IMPACT OF IMPROVED FALLOWS ON SMALL FARM
LIVELIHOODS, EASTERN PROVINCE, ZAMBIA









BY

CHRISTINA E. GRIER


A THESIS PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE
REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE

UNIVERSITY OF FLORIDA


2002













ACKNOWLEDGEMENTS


First, I would like to thank the farmers in Eastern Zambia who took the time out

from their very busy days to talk to me about their farming practices. Without their help

this study would not have been possible. I would also like to thank Martha Mwale, my

translator, without whom I would not have been able to conduct farmer interviews. She

introduced me to some aspects of village culture that I may not have otherwise been able

to observe and participate in without her. To all who opened their homes to me, fed me,

and shared their life with me, I want to express my deepest, heartfelt thanks.

I would like to thank Donald Phiri and his family for sharing their home with me

and feeding me when I was not in the village. Donald and his family introduced me to

life in Chipata town and provided me with a surrogate family while so far from home.

Their assistance was invaluable to my research in Eastern Zambia.

I would like to thank Dr. Kasim Masi and the staff at World Vision for

transporting me to the villages and making arrangements for my stay there. The staff

there were always accommodating to my every need. I really appreciate all of their

efforts. In addition, World Vision, through Dr. Christina Gladwin, funded my research

and travel to Eastern Zambia, without this funding I would not have been able to conduct

this research.

I would like to thank my committee for their help on this project. I really

appreciate the patience and direction that Dr. Peter Hildebrand and Dr. Clifton Hiebsch








provided during my master's career. Without their ideas and direction I do not think I

would have been able to complete this thesis. I also owe a debt of gratitude to Dr. Chris

Andrew, who was always my best cheerleader when times were tough. There is no way

that I can repay these people for the kindness and direction they provided during my time

in the master's program.

I want to thank my mom, dad, sisters, Amy and Amanda Grier, Aunt Patty and

Uncle Don, and all members of my extended family for always standing by me and

providing me with the much needed encouragement to stick it out when I was ready to

throw in the towel. I want to thank my friends Grace Wong, Alicia and Steve Moore,

Craig Perkins, Gus Woodruff, Tammy Vesper, Tom and Robin Morrissey, Mike and

Susie Hetrick, Gracy and Mike Castine, Effie Philippakos, Merryl Malter, Charles

Counts, Peter Alcorn, Kevin Blythe, Brad and Craig Plaketta, Steve Forguson, the rest of

the members of the ridewet gang, and Gainesville friends for providing me with food

when I forgot to eat, with company, laughs, and continual support over the years leading

to the completion of this thesis. Words are not enough to express how much their support

and encouragement has meant to me. I really would have not been able to accomplish

what I have in my life without them. Their loyalty, encouragement, and belief in me

have been and remain very precious to me. I will always value their friendship and love.













Abstract of Thesis Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Master of Science


POTENTIAL IMPACT OF IMPROVED FALLOWS ON SMALL FARM
LIVELIHOODS, EASTERN PROVINCE, ZAMBIA

By

Christina Grier

May 2002

Committee Chair: Peter E. Hildebrand
Major Department: Food and Resource Economics


Soil infertility, due to continuous cultivation, has been cited as one of the reasons

productivity of small farms in Eastern Zambia has declined in recent years. Continuous

cultivation on small farms without the use of fertilizer has depleted soil nutrients,

resulting in reduced maize yields. Lower yields have led to lower farmer incomes and,

in some cases, the inability to feed the household throughout the entire year. Improved

fallow technologies (IFTs) are a proposed fertilizer alternative used to replenish nutrients

removed from the soil. It has been found that farmers who adopt IFTs realize better

maize yields and are, theoretically, able to maintain household food stocks throughout the

year.








Using ethnographic linear programming, this thesis attempts to evaluate the

effects of IFT adoption on households in Zambia. In particular, it distinguishes the

effects of adoption on two different household types, female-headed and male-headed,

and describes changes in household resource allocation and income generation with the

adoption of improved fallow technologies.














TABLE OF CONTENTS

paeA

ACKNOWLEDGMENTS ...................................... ..... .................. ii

ABSTRACT ................................................................................. iv

CHAPTERS

1 INTRODUCTION ....................................................................... 1
Chapter Overview .............................................................................. 1


2 LITERATURE REVIEW ................................................................ 12

Chapter Overview .................................................. ...................... 12
Farming Systems .................................................. ....................... 12
Sustainable Livelihoods Approach ......................................... ......... .. 16
Food Security and Nutrition ................................................................. 22
Gender ................................ ..................................................... 23
Soil Fertility and Improved Fallows ........................................................ 25


3 FARMING SYSTEMS DESCRIPTION OF STUDY AREA .......................... 29

Chapter Overview .................................................. ...................... 29
Administration and Demographics ......................................... ......... .. 30
Topography and Climate .................................................................. 35
Soils .......................................................................................... 36
Farming and Livelihood Systems.............................................................. 37


4 DATA COLLECTION AND ANALYSIS ........................................ ..... 49

Chapter Overview .................................................. ...................... 49
Methods of Data Collection................................................................ 49
Linear Programming ....................................................................... 51
Results ...................................................................................... 61
Conclusion ....................................................................................... 64









5 CONCLUSION AND RECOMMENDATIONS ........................................ 65
Linear Programming........................................................................ 66
Recommendations for Further Study.................................................... 67

APPENDICES

A TIMELINE OF GOVERNMENT POLICIES ........................................... 69

B MAIZE AND IMPROVED FALLOW SPECIES DESCRIPTION .................... 73

Maize ........................................................................................ 73
Soil Fertility and Improved Fallows ...................................... ............ 76

C QUESTIONNAIRE....................... ............................................. 82

D LAND AND CROP PRODUCTION, AND OTHER INCOME GENERATING
ACTIVITY TABLES .................................................................... 94

E LP MODEL RESULTS ...................................................................... 107

REFERENCES ................................................................................... 121

BIOGRAPHICAL SKETCH .................................................................... 129













CHAPTER 1
INTRODUCTION


Chapter Overview

There is a need in Sub-Saharan African to feed the increasing population while at

the same time conserve natural resources in order to meet future needs. In order to

combat food insecurity, researchers have focused on increasing agricultural yields by

improving present farm management and soil fertility practices. Poor soil fertility is the

biophysical root cause of declining yields in agriculture (Sanchez et al. 1997). Improved

fallow technologies (IFTs) are one of the methods currently being researched to improve

soil fertility. Economic cost/benefit analyses have been done on the effects of adopting

IFTs from the household perspective (Franzel 1999; Kwesiga and Beniest 1998; Opio

2001; Sanchez et al. 1997; DeWolf and Rommelse; Montagnini and Mendelsohn 1997).

Decision studies have been conducted in order to understand and be able to predict why a

household chooses to adopt certain technologies (Gladwin et al. 2000; Peterson 1999b).

This study examines different households and how outside factors, such as economic

policies, affect a farmer's decision to adopt IFTs.

For the past two decades the focus of development workers on Sub-Saharan

Africa has been on economic development with a particular emphasis on food security. A

person is considered food secure if he or she has the "physical and economic access to an

adequate food supply without undue risk of losing such access" (Thomson and Metz

1997). In Africa a large portion of the rural population is comprised of small farm













CHAPTER 1
INTRODUCTION


Chapter Overview

There is a need in Sub-Saharan African to feed the increasing population while at

the same time conserve natural resources in order to meet future needs. In order to

combat food insecurity, researchers have focused on increasing agricultural yields by

improving present farm management and soil fertility practices. Poor soil fertility is the

biophysical root cause of declining yields in agriculture (Sanchez et al. 1997). Improved

fallow technologies (IFTs) are one of the methods currently being researched to improve

soil fertility. Economic cost/benefit analyses have been done on the effects of adopting

IFTs from the household perspective (Franzel 1999; Kwesiga and Beniest 1998; Opio

2001; Sanchez et al. 1997; DeWolf and Rommelse; Montagnini and Mendelsohn 1997).

Decision studies have been conducted in order to understand and be able to predict why a

household chooses to adopt certain technologies (Gladwin et al. 2000; Peterson 1999b).

This study examines different households and how outside factors, such as economic

policies, affect a farmer's decision to adopt IFTs.

For the past two decades the focus of development workers on Sub-Saharan

Africa has been on economic development with a particular emphasis on food security. A

person is considered food secure if he or she has the "physical and economic access to an

adequate food supply without undue risk of losing such access" (Thomson and Metz

1997). In Africa a large portion of the rural population is comprised of small farm








households that not only produce their own food, but also supply food for urban areas.

Low purchasing power of farm households, inadequate marketing and distribution

systems, and poor infrastructure limits access to food. Without the availability of needed

resources such as land, credit, and labor, households have difficulty producing food or

generating cash in order to buy food. Less food equals reduced health and strength to

work and, ultimately, poverty. Access to a sufficient amount of food directly influences

the health and productivity of laborers in the economy.

The area of focus in this study is Eastern Zambia. Of the 9.6 million people living

in Zambia, more than 60% derive their livelihood from agriculture and approximately

51% of those are rural, small-scale farmers' (Saasa et al. 1999). Seventy-three percent of

the population lives below the poverty level and 27% of the children suffer from

malnutrition (The World Bank Group 2001). In Zambia, small-scale farmers produce the

majority of maize, an important food staple for the entire population. Their maize

production is extremely vulnerable to variations in climatic conditions; droughts in-1992,

1995, and 1998 destroyed many crops and devastated the maize supply. Continuous

cropping has depleted the soil of nutrients and made it difficult for farmers to sustain

ample harvests. Combined with a series of shifts in economic policy since independence

in 1964, farmers have had difficulty managing their farms efficiently and gaining access

to needed resources. These obstacles have severely affected the country's food crop

production, thus threatening the food security and sustainability of many households.

Structural adjustment is an economic stabilization process whereby policies are

designed to make the economy more productive through a more efficient use of available


SSmall-scale farmers are characterized as cultivating on 5 hectares or less.








resources. It relies on the intensive use of the private sector, with decentralization of

markets, and the removal of exchange rate, price controls, and other biases against

exports. By removing market and price distortions, it is believed that income distribution

and thus, adequate food intake will improve. Structural transformation is an essential

component of long-term development (Tomich et al. 1995). It occurs when economic

activity and the distribution of labor shift from traditional, labor-intensive agriculture to

modem, capital intensive industry and services (Tomich et al. 1995; O'Brien 1991).

Transformation also changes the structure of demand. As income rises and income

elasticities change, the demand for different commodities changes with it and food

consumption declines as a share of expenditure. Consumption then increases in

processed food products, manufactured goods, and modem services. Characteristics of

developing countries include high population growth rates of 2.5 to 4 percent per year,

fifty or more percent of the labor force in agriculture, low labor productivity in

agriculture, the inequitable distribution of land, poor infrastructure, and politically fragile

governments (Tomich et al. 1995). For countries with abundant rural labor to reach their

structural transformation point, which is marked by a relative decline in the agricultural

sector, they must increase productivity in agriculture, decrease the absolute size of their

agricultural labor force, and increase the labor force in the non-agricultural sector.

Zambia is a developing country with a population growth rate of 2.5% from 1993

to 1999, and, as previously stated, more than 60% of the population derives their

livelihood from agriculture (World Bank 1999; Saasa et al. 1999). When farmers are

unprepared for shocks, such as drought, floods, sickness, or subsidy removals, their

productivity suffers. Low productivity limits the amount of cash income that can be








generated, thereby restricting the farmer from purchasing needed agricultural inputs, such

as tools, seeds, and fertilizer. Lower cash income inhibits economic growth and results in

reduced commodity flows from the agricultural sector to the manufacturing and service

sectors. Stagnated growth reduces the demand for laborers in the non-agricultural sectors

and lowers wages overall. Fewer jobs in the manufacturing sector encourage rural people

to stay in subsistence agriculture.

From the time Zambia gained its independence from British colonial rule in 1964,

various economic structural adjustment policies aimed at stabilizing the economy have

been implemented, modified, and abandoned by the government (see Appendix A for a

historic timeline of economic policies). Each had a direct impact on the agricultural

sector by undermining productivity and efficiency and these frequent changes have

damaged the trust Zambian citizen's may have had in the government (Jansen and

Rukovo 1992; Valdes and Muir-Leresche 1993; Geisler 1992; Copestake 1997; Wood et

al. 1990; Wichern et al. 1999). Under the Kaunda regime, from 1964 to 1991, policies

were designed to help the sector increase its productivity, reach self-sufficiency in

primary food crops, and increase the production of exportable agricultural commodities.

From 1964 to 1982, measures such as cooperatives, state farms, and parastatal enterprises

were used to achieve the country's crop production goals. Copper revenues from the

government controlled mining industry funded most of the programs. In 1975, when the

copper price collapsed, government expenditures were about 41% of the GDP, 12% of

which were maize subsidies (Wood et al. 1990, Valdes and Muir 1993). As a result of

reduced copper revenues, the government began to borrow from external sources to fund

their programs. By the end of 1982, external liabilities amounted to $4.5 billion,





5


approximately twenty percent of the GDP. Deficits of this magnitude could not be

maintained and the government, under pressure of the International Monetary Fund

(IMF), had to relinquish controls over agricultural marketing and prices. In 1986, all

maize prices were deregulated and the price of maize was allowed to increase. Residents

of the Copperbelt region rioted in protest and President Kaunda reacted by reinstating

consumer maize subsidies. Although crop production from 1964 to 1989 increased an

average rate of 2.5% per year, it still could not keep pace with the 3.7% annual population

growth rate. In response, during the period from 1986 to 1991, the government

announced two additional reform packages each with similar aims of increasing

productivity and enhancing growth.

In 1991, Frederick Chiluba, of the Movement for Multi-Party Democracy (MMD),

was elected with a commitment to stabilize the economy and promote economic growth.

His plans were to reduce government spending through the removal of subsidies,

balancing Zambia's budget, reducing civil service, and encouraging growth in the private

sector through privatization of state-run enterprises (Jansen and Rukovo 1992). To date

the agricultural marketing sector has been decentralized, fertilizer and maize subsidies

have been removed, the milling industry has been privatized, fuel prices and interest rates

have increased, and the Zambian Kwacha has been devalued. The elimination of price

controls has caused seed and fertilizer prices to increase to a point that makes them

unaffordable to many small farmers. The issue is complicated by the fact that the soils in

the Eastern province are nutrient depleted from continuous use and farmers have trouble

supplementing the needed nutrients without fertilizer. Consequently, small farm









production has decreased leaving barely enough maize to feed the household for an entire

year.

Farmers have responded by planting more local rather than hybrid maize and/or

shifting more of their production to cash crops such as cotton and tobacco (Peterson

1999a). Farmers also compensate for lower yields by finding ways to generate income in

order to buy food to supplement the year's weak harvest. However, off-farm work

detracts from the already limited labor supply in the household taking away from the

quantity and quality of work that is needed in the fields. The decreased soil fertility, due

to naturally poor soils or continuous cropping, is perhaps the greatest obstacle to

increasing farm output in Eastern Zambia. Agricultural subsidies provided farmers with

easy access to needed inputs, such as hybrid seed and fertilizer, allowing them to

continuously cultivate the same field for several years. Farmers have been continuously

cultivating the same fields since the mid-1950s (Priestley in Peterson 1999a) and maize

yields without the use of fertilizer are 2.9 tons per hectare lower than with the use of

fertilizer (Kwesiga and Beniest 1998).

In an effort to understand the issues surrounding the dwindling agricultural

production and productivity in Zambia, the International Center for Research in

Agroforestry (ICRAF), the World Vision Zambia Integrated Agroforestry Project (ZIAP),

and the University of Florida have joined forces as part of a USAID-funded Collaborative

Research Support Program (CRSP) for "Gender and Soil Fertility in Africa." ICRAF

researchers have been working to improve the traditional fallow practice by testing plant

species that return nutrients to the soil in a shorter time or on a smaller area. Improved

fallows technologies (IFTs) and soil conservation techniques have been proposed as an








economically viable alternative to fertilizer use to replenish nutrients in the soils. IFTs

have a large initial labor requirement, some species more so than others, but once planted

require little attention over the next two seasons. Farmers who adopt the IFTs realize

increased maize yields in fields where the improved fallows have been planted.

The species that have been tested at Msekera Research Station and on-farm

include Sesbania sesban, Tephrosia vogelii, Gliricidia sepium and Cajanus cajun.

ICRAF scientists have found that by allowing these trees to grow on land with nutrient-

depleted soils for two to three years and then returning the top growth to the field,

essential nutrients will be restored, soil organic material will be increased, and soil

structure will improve. After the fallow period, the trees are cut down and maize is

planted in the same field. Farmers who have adopted this technology have seen

improvement in their maize yields for up to two to three years after the fallow. At times,

under certain conditions, yields can be greater than if fertilizer were used (Kwesiga,

Sanchez, Franzel). The improved fallow trees also help to control soil erosion, suppress

the growth of weeds, and provide fuel wood for the household. The goal of ZIAP is to

"improve household food security, through increased agricultural productivity (yields)

and increased market participation" (Peterson 1999a). World Vision plans to achieve

their goal by providing rural farmers with soil management and agricultural production

techniques, including, but not limited to, improved fallows.

Conceptual Approach of Sustainable Livelihoods

Webster's Dictionary (1986) defines a system as a "regularly interacting or

interdependent group of elements forming a unified whole" and a livelihood is a "means

of support or subsistence." A livelihood system is one in which a household combines








different resources (material and social) and activities as a way to make a living (DFID

1999). Livelihood strategies are developed in reaction to changes in the political, social,

cultural, or biophysical environment. In order to determine the best way to address

problems of hunger and poverty among households, an in-depth understanding of

household livelihood systems and strategies is essential.

The sustainable livelihoods approach attempts to analyze and understand the

livelihoods of people. By recognizing that there are multiple influences on people, the

framework can be used as an aid to identify how people combine their limited resources

to attain a sustainable existence. "A livelihood is sustainable when it can cope with and

recover from stresses and shocks and maintain or enhance its capabilities and assets both

now and in the future, while not undermining the natural resource base" (DFID 1999).

Resources are the natural, financial, human, physical, and social capital that is available

(Scoones 1998; DFID 1999; Ashley and Carney 1999).

By understanding the effects of household composition on livelihood strategies,

researchers are better prepared to make recommendations for enhancing growth and well

being. Household composition, in this case, influences available farm labor and

consumption requirements for household members. For instance, a newly established

household consisting of a few people may be limited on labor but have less food and

money requirements than a mature household with eleven members.

Purpose of Research

This study aims to determine whether the adoption of improved fallows is a

sustainable practice for households in Eastern Zambia. The main purpose of IFTs is the

maintenance of soil fertility, which involves returning nutrients to the soil that were








removed by harvests, runoff, erosion, and leaching. An additional goal of the improved

fallows is to help farmers increase agricultural productivity without having to use large

amounts of expensive fertilizer. By improving productivity, farmers will be more

equipped to sustain themselves and their families. Improvements in productivity will

enable a farmer to generate extra income in times when there are harvest surpluses to sell

in the market.

Using a linear programming model patterned after a typical household in the

Eastern Province of Zambia, this analysis looks at whether adopting improved fallows as

a soil conservation technique is a productive and efficient strategy for farmers given their

particular constraints and resources. Linear programming is a tool that is useful for

analyzing a typical family farm system. Designing a linear programming model (LP)

involves identifying the production, income, and consumption patterns of farm

households with the purpose of maximizing or minimizing one or more household

objectives, for example maximizing annual discretionary cash and/or meeting food

consumption requirements for the year. Once a base model is created that adequately

simulates the household systems, alternatives to production, such as the improved

fallows, can be incorporated and examined.

Models of households disaggregated into female-headed households and male-

headed households will be used for analysis. Examples of farms that utilize improved

fallow technologies will be compared to farms that do not use the technology. The

objective of both models will be the same, to maximize end of year cash available for

discretionary spending. Both models will include on- and off-farm activities, such as the

production and sale of crops and other income generating activities, and constraints,









including land, labor, cash, and consumption requirements of small-scale farms in Eastern

Zambia. It examines how household composition affects what activities are adopted in

order to survive and how changes at the macro level may alter household strategies. By

examining the macro and micro effects on the household this research can more easily

identify how and why certain households adopt different strategies in order to survive.

Limitations of the Study

1. The project is in the early stages of development and only a limited number of
farmers that have tested and adopted the technology could be interviewed. Therefore,
there is little data on actual on-farm yields of maize after the adoption of the IFTs.

2. The sample size of field collected data is small and had to be combined with ICRAF
and World Vision data in order to get a complete description of the farming system
and to augment data collected in the field.

Objectives

1. Describe changes in resource allocation and income generation with the adoption of
improved fallow technologies.

2. Assess the potential for adoption of improved fallows by household type, i.e. female-
headed households and male-headed households. Examine how household
composition affects livelihood strategies.

Hypotheses

1. The use of improved fallow technologies in Eastern Zambia will increase small-farm
maize yields and improve livelihood systems for farmers.

Hypothesis one states that if farmers in Eastern Zambia adopt improved fallow

technologies their productivity will increase and they will be better off economically.

The main concern of small-scale farmers is to allocate scarce resources in order to sustain

the home and family. With over 60% of the population engaged in agriculture, and over

51% of this number farming on a subsistence level, small-scale farmers provide a

significant proportion of the total agricultural production and represents more than 40%








of household consumption. An understanding of small-scale farming systems is

necessary to understand why farmers are and are not adopting the improved fallows.

Further, a complete analysis of the system will provide an aid to policymakers to

implement policies that are relevant and favorable to this large rural sector.

2. Since labor is a limiting factor in most female-headed households, the IFT that has the
smallest labor requirements will be the one that is most readily adopted.

While there is enough arable land in Zambia for farmers to farm, most

households, especially female-headed households, do not have the available labor to plant

and cultivate larger areas. With this in mind, labor-intensive technologies may not be

appropriate for some households to adopt and the improved fallow species that requires

the least amount of labor may be the most readily adopted.

The information gained from this study will be given to UF Soils CRSP and

World Vision, the NGO that is promoting the IFTs. With it, the researcher hopes that

World Vision will better target certain technologies to the appropriate households.

The contents of this thesis include a literature review, Chapter 2 that describes

farming systems and the sustainable livelihood concept as it relates to gender, nutrition

and food security. A description of the four improved fallow species considered in the

project and their effects on soil fertility and maize yields is also included. Chapter 3

provides a description of the farming systems of the farmers in the villages that were

visited. Chapter 4 presents methods of data collection and analysis through linear

programming. Included in this chapter is an explanation of linear programming and its

uses and the results from the model. Conclusions and recommendations from the

research are presented in Chapter 5.













CHAPTER 2
LITERATURE REVIEW


Chapter Overview

This chapter presents a literature review beginning with a description of a

generalized subsistence farming system in a developing country and the problems

farmers encounter. It describes the concept of sustainable livelihoods as it relates to

agricultural productivity and the influence of this approach on food security, nutrition and

the sustainability of a household. Since women play a vital role in food production in

Sub-Saharan Africa, a particular emphasis is placed on gender differences in labor and

productivity. Finally, soil fertility management practices, with a specific emphasis on

improved fallow technologies, are described.

Farming Systems

A system is a whole that is made up of many interrelated and interacting parts.

There are many different types of systems: from ecosystems, farming, and biological, to

social, cultural, or business. Within every system there also exist sub-systems each

having a different level of complexity. For instance, Hart, in Hildebrand (1986), explains

that there is a hierarchical relationship between agricultural systems in a region. "The

regional agricultural system includes the farms in the area; the marketing, credit, and

information systems; and the infrastructure that ties the regional subsystems together"

(Hart 1986). The farm system consists of agroecosystems, in which the production of

crops or animals or both takes place. Agroecosystems are similar to natural ecosystems













CHAPTER 2
LITERATURE REVIEW


Chapter Overview

This chapter presents a literature review beginning with a description of a

generalized subsistence farming system in a developing country and the problems

farmers encounter. It describes the concept of sustainable livelihoods as it relates to

agricultural productivity and the influence of this approach on food security, nutrition and

the sustainability of a household. Since women play a vital role in food production in

Sub-Saharan Africa, a particular emphasis is placed on gender differences in labor and

productivity. Finally, soil fertility management practices, with a specific emphasis on

improved fallow technologies, are described.

Farming Systems

A system is a whole that is made up of many interrelated and interacting parts.

There are many different types of systems: from ecosystems, farming, and biological, to

social, cultural, or business. Within every system there also exist sub-systems each

having a different level of complexity. For instance, Hart, in Hildebrand (1986), explains

that there is a hierarchical relationship between agricultural systems in a region. "The

regional agricultural system includes the farms in the area; the marketing, credit, and

information systems; and the infrastructure that ties the regional subsystems together"

(Hart 1986). The farm system consists of agroecosystems, in which the production of

crops or animals or both takes place. Agroecosystems are similar to natural ecosystems













CHAPTER 2
LITERATURE REVIEW


Chapter Overview

This chapter presents a literature review beginning with a description of a

generalized subsistence farming system in a developing country and the problems

farmers encounter. It describes the concept of sustainable livelihoods as it relates to

agricultural productivity and the influence of this approach on food security, nutrition and

the sustainability of a household. Since women play a vital role in food production in

Sub-Saharan Africa, a particular emphasis is placed on gender differences in labor and

productivity. Finally, soil fertility management practices, with a specific emphasis on

improved fallow technologies, are described.

Farming Systems

A system is a whole that is made up of many interrelated and interacting parts.

There are many different types of systems: from ecosystems, farming, and biological, to

social, cultural, or business. Within every system there also exist sub-systems each

having a different level of complexity. For instance, Hart, in Hildebrand (1986), explains

that there is a hierarchical relationship between agricultural systems in a region. "The

regional agricultural system includes the farms in the area; the marketing, credit, and

information systems; and the infrastructure that ties the regional subsystems together"

(Hart 1986). The farm system consists of agroecosystems, in which the production of

crops or animals or both takes place. Agroecosystems are similar to natural ecosystems








in that they are "composed of a biotic community of plants, animals, and microorganisms

and the physical environment in which the community functions" (Hart 1986). The

difference is that at least one of the plants or animals within the agroecosystem has some

value to and is managed by the farmer. Within every crop agroecosystem exist separate

subsystems of crops, soil, weeds, microorganisms, and insects. The crop subsystem is

comprised of the crop populations that process energy, nutrients, and water to produce

crop yields (Hart 1986). The animal agroecosystem includes domesticated animals, soil,

weeds, microorganisms, insects, and pasture subsystems. The animal subsystem is an

"arrangement of animal populations that processes energy and material inputs to produce

meat and animal products" (Hart 1986).

The farming system also includes household's livelihood strategies, or the socio-

economic subsystem, where household decisions and farm production are closely related:

a home first and business second (Hildebrand 1986a). The household members at the

center make decisions about the allocation of resources the household possesses in order

to attain particular goals (Norman 1986). According to Scoones (1998), "a livelihood

system comprises the capabilities, assets (both material and social resources) and

activities required for a means of living." Exogenous factors from other systems, such as

the ecosystem, government and economic systems, and social systems help to determine

how the small-scale farm is managed (Norman 1986). Figure 2-1, taken from Hart

(1986), illustrates the hierarchical relationship between these factors in an agricultural

system; taken together it represents a livelihood system.





14


Hart (1986) explains that when applying an agricultural systems approach to a

specific case, one need not focus on the entire hierarchy, as it may not be "necessary or

practical." However, analyses of the levels immediately above and below are warranted










A Region


--'" Crop Aeroecosvstem


Soil Weed
Sub- Subsystem Insects
sys-
tem Crop Micro-
Subsystem organisms


7
I
I
I
I
I
I
I
I
I
I
I
I


Crop System


Animal Aeroecosvstem -..


K,


Figure 2-1: Hierarchical Relationship Between Agricultural Systems


Cron 1


| Croo 2

CrooN N
I ----I


-A


Animal 1


Animal 2

Animal N


A Crop











in order to measure the inputs and outputs of each system and understand how each

operates. Farm productivity is an important focus because a farming system is a smaller

system within the larger economic system. Its productivity affects the efficiency of the

entire livelihood system. If farmers in a country can only produce a limited amount of a

product, then the availability of that product within the country's economic system

becomes limited as well (Hildebrand 1986b).

Sustainable Livelihoods (SL) Approach

People have many different methods of meeting their livelihood objectives and

access to a variety of resources helps them realize their goals. "A livelihood is

sustainable when it can cope with and recover from stresses and shocks', maintain or

enhance its capabilities and assets, while not undermining the natural resource base"

(Scoones 1998). "Sustainable agricultural production incorporates the idea that natural

resources should be used to generate increased output and incomes without depleting the

natural resource base" (Gruhn et al. 2000). Figure 2-2 presents the main elements of the

sustainable livelihoods framework as presented by Scoones (1998). This framework can

be used as an approach to understanding livelihoods of individuals, households, villages,

cities, or whole countries. The household livelihood system is the main focus of this

study.







' A stress is "a small, regular, predictable disturbance with cumulative effects (Scoones
1998)", such as seasonal shifts in prices, employment, or food availability (DFID 1999).
A shock is "a large infrequent, unpredictable disturbance with immediate impact
(Scoones 1998), for example, a war, flood, or drought.











CONTEXTS, INSTITUTIONAL
CONDITIONS, LIVELIHOOD PROCESSES &
AND TRENDS ORGANIZATIONAL
STRUCTURES


LIVELIHOOD
STRATEGIES


SUSTAINABLE
LIVELIHOOD
OUTCOMES


POLICY



History

Politics

Macro-economic
Conditions

Terms of Trade

Climate

Agro-ecology

Demography

Social
Differentiation


Natural Capital


Economic/Financial
Capital


Human Capital



Social Capital

Physical Capital


Agricultural
Intensification/
Extensification



Livelihood
Diversification


Migration


)


Livelihood
1. Poverty
reduced

2. Well-being
and
capabilities
improved

Sustainabilitv
3. Livelihood
adaptation,
vulnerability
and resilience
enhanced

4. Natural
resources base
sustainability
ensured


Scoones 1998


Figure 2-2: Sustainable Rural Livelihoods Framework for Analysis








In Eastern Zambia small, rural farmers2 depend on the land to grow crops to feed

themselves and their family. They rely on good health in order to have the ability to

work on the farm or off-farm for an outside employer. Credit services provide avenues

for farmers to obtain needed inputs for their crops, and educational resources, such as

agriculture extension, enable farmers to improve their farming techniques. Farmers also

depend on friends and extended family in times of need. In the sustainable livelihood

framework these resources are defined as capital. Capital, in the economic sense, is

defined as physical assets, such as equipment, buildings, and inventories, which can be

used (along with labor and raw materials) to produce output (Pindyck and Rubinfeld

1997). In the SL framework, capital has five categories that form the "building blocks"

of a livelihood. They are human, social, natural, physical, and financial (Scoones 1998;

DFID 1999; Hoon et al. 1997). A combination of each of these asset categories is needed

for a successful livelihood outcome. Financial capital alone is not sufficient to maintain a

farm if a farmer is in poor health or if the land farmed is infertile. Therefore, in order to

insure survival, households have to find ways of combining the assets available to them

in productive ways (DFID 1999). The ways a household reacts to certain conditions

reflects its livelihood strategies.

Human capital, according to the DFID Guidance Sheets, is the health, knowledge,

skills, and physical capabilities of the members of a household (DFID 1999; Scoones

1998). Health, education, and ability to labor are all necessary in order to utilize the

other types of assets and achieve a positive livelihood outcome (DFID 1999). A study by

Deininger and Olinto (2000) indicates that family labor is an important determinant of

2 A small farmer in Zambia is considered to be one who farms on five hectares or less.
The term 'rural farms' is used because many people farm home-gardens in non-rural
areas (Hildebrand personal communication).








output; that is, larger households tend to be more productive than smaller households.

Furthermore, the study indicates that farmers with more education have the ability to

overcome market imperfections, as more educated farmers tend to be more integrated

into output markets and demand higher amounts of fertilizer and credit per hectare. A

poverty profile conducted by Alwang et al. (1996) indicated that households whose head

has no formal education are more likely to remain in poverty than those whose head has

some education. This is particularly true for female-headed households (FHH) who

typically have little to no education. In Zambia, FHHs averaged 1.8 years of education

versus an average of 4.2 years for households where a male and female are present (Due

1991).

Social capital is composed of the social resources, such as clubs, associations,

networks, and relationships of trust, that people use in pursuit of their livelihood

objectives (DFID 1999; Scoones 1998; Hoon et al. 1997). For example, there is a three-

month hunger period from January to March, where some of the poorer households in

Eastern Zambia, particularly female-headed households, suffer from food shortages. In

order to compensate for this lack of food, members of the household will trade a day's

worth of labor in the future in exchange for approximately 5 to 10 kg of maize now. In

another case female members of the Lufu village have a well-organized women's club

where they pull together food supplies in order to provide food to member households

that are suffering during the hunger months. These examples show how social capital

provides a kind of buffer to help households cope with shocks. Social networks also

"facilitate innovation, the development of knowledge and sharing of that knowledge"

(DFID 1999). In the case of the improved fallows, early adopters of the technology








provide an example of the benefits of improved fallow to other farmers who are reluctant

to adopt because of other constraints, such as labor. Farmers communicate their

knowledge of new technologies with one another may replace or enhance a lack of

agricultural extension in the area. The sharing of labor within clubs helps smaller

households increase productivity due to a lack of available household labor.

Examples of natural capital include soil fertility, land, forests, trees, water,

nutrients, and air. In essence, natural capital includes the flows and services provided by

natural resource stocks that are useful for supporting a livelihood (DFID 1999; Scoones

1998). Failure of crops due to natural effects has a direct link to the health and food

security of households. A big obstacle to increased productivity of small farmers in

Eastern Zambia is poor soil fertility, an "important form of renewable natural capital"

(Sanchez et al. 1997). Other constraints to food production in recent years have been

droughts and floods that have devastated the livelihoods of the poor in rural areas.

Understanding the flows and services of ecosystems is important in maintaining a

sustainable system.

Physical capital includes the infrastructure and producer goods needed to support

livelihoods and to produce output (DFID 1999). They are the services, such as transport,

water supply, sanitation, and access to information, that help people meet their essential

requirements (DFID 1999). Lack of access to necessary producer goods directly affects

farmer productivity and their capacity to provide for the household because more time

and effort is spent on meeting basic needs (DFID 1999). Inadequate roads and

remoteness impede a farmer's ability to take harvests to market. At the same time, a poor

road system makes it difficult for producers to bring needed inputs to the farms.








Increased costs of transport affect the prices of needed goods putting both consumers and

producers at a disadvantage. The absence of farm extension or educational facilities

could cause rural people to miss out on beneficial opportunities and technologies.

Economic or financial capital, which includes cash, credit/debt, and savings, is a

resource required for achieving any livelihood strategy (DFID 1999; Scoones 1998;

Pindyck and Rubinfeld 1997). Deininger and Olinto (2000) state that farmers who are

unable to afford fertilizer "forgo significant productivity and welfare benefits." Their

estimates suggest access to fertilizer would increase their income by about US$85 and

access to credit has the potential to increase farmer output by 2.6 to 4%. Financial capital

helps to pay for health and education services and to purchase food to reduce food

insecurity. However, financial capital is the least available asset to the poor, making all

other forms of capital even more important (DFID 1999).

The assets mentioned above are all interconnected (as shown in Figure 2-2).

People combine all forms of capital in pursuit of their livelihood strategy. Financial

capital provides the means to purchase food, education and health care services, which in

turn, improve the human capital of a household. Financial capital also enables a farmer

to purchase needed inputs contributing to the productivity of the farming system.

Ownership of livestock may generate social capital (prestige) while providing physical

capital (animal traction) and natural capital (manure) (DFID 1999). Each of these small

farming systems is a home first and a business second making the human capital of the

farming family very important. Understanding aspects of each capital is a point that

should be considered when researching ways to alleviate poverty and food insecurity.








Food Security and Nutrition

Food security, as defined by Foster (1992), is "access by all people at all times to

enough food for an active, healthy life." Thomson and Metz (1997) define it as the

"physical and economic access to adequate food for all household members without

undue risk of losing such access." If households suffer from food insecurity "it is.

because they lack entitlement to food" because they cannot produce or buy enough food

to feed themselves, "what economists would call effective demand." They have no way

of expressing their full need for food in the marketplace (Thomson and Metz 1997).

People that are food insecure are more vulnerable to shocks and stresses, less productive,

environmentally more destructive, and less caring for the welfare of fellow human beings

which in turn makes the achievement of food security more difficult (Seshamani 1998).

Not only is human capital affected by food insecurity but physical and social capital are

disrupted as well. The focus on increasing agricultural productivity of farmers is but one

aspect of finding ways to alleviate hunger. Access to food is difficult when a household

cannot afford to buy the food that it cannot produce. Poor infrastructure, i.e. roads and

transportation to get to market, inadequate market structure, lack of education and

technological training, and weak health and nutrition all restrict the household from

obtaining the sufficient amount of food. A farm that is producing enough to sustain the

members of the household and has a surplus to sell is better prepared to deal with

potential shocks and stresses that may occur due to infrastructure limitations, ineffective

economic policies, and poor climatic conditions.

Changes in food security can be identified over time by rising prices and

imbalances between food demand and food supply. Rising prices affect the poor first








because approximately 60 percent or more of their income is spent on food and, at times.

that may not be enough to fulfill the household nutritional requirements (Pinstrup-

Andersen, et al. 1999). Household nutritional requirements will depend on the number of

people in a household, their age, and sex. Children have higher nutritional requirements

than adults and lactating and pregnant women have greater nutritional needs than women

who are not pregnant or lactating. Better health reduces the need for food, thus reducing

the household food requirement (Foster 1992).

Gender

Female-headed households (FHHs) have to hire labor (ganyu) in November and

December for land preparation because of the extra labor required to remove trees and

stumps. November and December are peak labor periods in Eastern Zambia and some

FHHs may find it hard to hire help to have sufficient labor to prepare the soil for planting.

Consequently, these households may withdraw their children from school to help so that

crops will not be planted late and yields will not be negatively affected.

"The term gender refers to the social, economic, and cultural roles and relations

between men and women, which includes their different responsibilities in a given"

culture or location (IFAD 2001). Sex is biologically determined, while gender roles of

men and women are determined by social norms that can change over time (IFAD 2001;

Quisumbing 1996). In Africa, women provide about 70% of the labor input for food

production (Ezumah and Ezumah 1996; Pinstrup-Andersen et al. 1999; Lele 1991).

Although most statistics indicate that women are less productive in agriculture than men,

this is likely due to the greater constraints woman face (Gladwin et al. 2001; Gladwin

1991; Deininger and Olinto 2000; Lele 1991; Due 1991; Quisumbing 1996). Women, for








example, have less access to credit, and in male-headed households women must work in

their husband's fields in addition to their own. Female-headed households plant less land

because of less labor in the household and limited training and education. Studies

conducted in the Northern, Southern, and Central Provinces of Zambia by Due et al. in

1982 and by Sikapande in the Southern Province of Zambia in 1988 (in Due 1991) show

that FHHs plant an average of 3.0 acres in crops versus 6.8 acres for joint-headed

households. Labor constraints are one of the main causes of "weak agricultural growth"

in Africa (Ezumah and Ezumah 1996).

Households headed by women are more likely to be poor than households headed

by men (International Labour Organization; Alwang et al. 1996). In Zambia, women

head 47% of the households and because of their lower productivity in agriculture, they

consume the majority, if not all, of what is produced in the fields (Due 1991). What this

means is that FHHs have very little to sell in the market and have to find other ways of

generating cash for their household needs. Ganyu, working in other farmers' fields,-is

one of the ways that Zambian women earn money to buy food if their own food supplies

are low. This detracts from the time they can spend in their own fields, further limiting

their agricultural productivity.

Women in male-headed households (MHH) are faced with similar problems since

men in MHHs control their labor. In Eastern Zambia, for example, women are typically

responsible for hoeing, planting, weeding, and harvesting of subsistence crops, food

preparation, fuel wood gathering, water transport, and childcare. In MHHs, women not

only work in their own fields but also have to contribute labor in their husband's fields as

well as in other household activities that are required. All of their livelihood activities








detract from any personal time the woman may need. Men in Kefa Village in Eastern

Zambia believe that women are "born with necks for carrying" water and harvested crops

(Skjonsberg 1995) and that they are "bags to carry their babies" (own observation).

Women in MHHs are also limited to their own means of generating income to provide for

the household, as the man frequently does not share the income he makes from his cash

crops. This further inhibits women's ability to intensify production on their own farms

(Lele 1991).

Soil Fertility and Improved Fallows

"Soil fertility is an important form of renewable natural capital" (Sanchez et al.

1997). The capacity of the soils to be productive depends on several factors (Gruhn et al.

2000; Brady and Weil 1999); the crop roots need air, water, nutrients, and adequate space

to develop. "Soil attributes, such as the capacity to store water, acidity, depth, and density

determine how well roots develop. Changes in any of these attributes affect the health of

the plant" (Gruhn et al. 2000). Agriculture is essentially a nutrient mining operation. The

nutrients that are removed from the soil by cropping are going to feed a household. Since

plant nutrients are the least resilient components of sustainability, the nutrient cycle rate is

essential for the maintenance of a healthy agricultural system (Sanchez et al. 1997). The

nutrient cycle is the continuous recycling of nutrients into and out of the soil (Gruhn et al.

2000; Brady and Weil 1999; Sanchez et al. 1997): nutrients become available to plants

through the weathering of rocks, the parent materials of soil, and decaying organic matter.

Extensive and continuous cropping removes nutrients faster than the nutrient cycle can

replace them and nutrient-depleted soils need inputs from outside the field (Sanchez et al.

1997; Brady and Weil 1999). Traditionally, after the soil quality begins to degrade and





26


yields start to decrease, farmers leave previously cultivated land unused for a period of

twenty to thirty years, which allows natural vegetation to grow and nutrients to cycle.

The bushes and trees that grow in the fallow take up nutrients from deeper soil horizons

and return them to the surface as leaf litter and through root decomposition. In addition

to replenishing the nutrients in the soil, the leaf litter improves soil structure and nutrient

and water-holding capacity (Brady and Weil 1999). After the fallow period, the

vegetation is cleared and burned and the newly regenerated nutrients become available to

subsequent crops. Cropping continues until yields begin to decline to an unacceptable

level, due to nutrients no longer being available in the root zone due to crop uptake,

leaching, or immobilization (Norman et al. 1995).

Studies of nutrient input/output on farmlands in sub-Saharan Africa have revealed

that the average nitrogen, phosphorous, and potassium balances are negative which

means that nutrients are being removed from the soil at a greater rate then they are being

replaced. This suggests that the overall quality of soil in the region is declining (Brady

and Weil 1999). In the soils of Eastern Zambia, nitrogen is the most limiting nutrient

(Kwesiga and Beniest 1998; Sanchez et al. 1997) and it is required for the growth and

health of crops. Fertilizer would seem to be the best alternative to long-term fallow periods

to counterbalance nutrient depletion in the soil. In Zambia, however, the high prices of

imported fertilizer, the transport costs to deliver the fertilizer, and the removal of fertilizer

subsidies in recent years has made fertilizer an unaffordable option for rural small farmers.

Organic fertilizers, such as animal manures, crop residues, and compost, improve soil

structure and supply the necessary nutrients for crop production. Yet, most farmers,

particularly women, do not have the strength or means to produce and transport the








required 10-20 tons per hectare to fertilize their fields (Kwesiga and Beniest 1998; Gladwin

et al. 1997).

Scientists at the International Center for Research in Agroforestry (ICRAF) have

been working to find ways of enhancing the traditional fallow practices by planting fast-

growing, nitrogen-fixing trees and legumes in systems called improved fallows

technologies (IFTs) into small-scale farming systems. Improved fallow tree species with

deep roots have the ability to retrieve nutrients that have leached down to the subsoil below

the rooting depth of annual crops (Kwesiga and Beniest 1998; Buresh and Tian 1998;

Brady and Weil 1999; Sanchez et al. 1997; Raussen 1997). Nutrients that IFTs take up

from the subsoil are transferred to the topsoil and made available to following crops in the

form of leaf litter, decomposing roots and branches (Buresh and Tian 1998; Kwesiga and

Beniest 1998; Brady and Weil 1999). The decomposing biomass increases soil organic

matter and improves soil physical characteristics, including water infiltration and storage.

The improved soil structure reduces the loss of nutrients by erosion and leaching, reduces

soil acidity and encourages soil biological activity (Buresh and Tian 1998; Brady and Weil

1999; Sanchez et al. 1997). Because IFTs are fast growing, they are able to cycle nutrients

and improve the soil in a shorter amount of time than traditional fallows. A period of two

years is usually ample time for the IFTs to improve the quality of the soil and provide

adequate amounts of nutrients to subsequent crops.

One important consideration in the sustainability of the farming system is that IFTs

only fix nitrogen and improve the soil physical characteristics. Some studies reported a

decrease in extractable inorganic phosphorous under improved fallow species, probably

due to sequestration of phosphorous in tree biomass (Haggar 1991 in Buresh and Tian





28


1998). However, while phosphorous deficiency is not currently a problem in Eastern

Zambia, it may be in the future. To prevent a problem, other technologies, such as manure

or fertilizer, can be used in conjunction with improved fallows to provide phosphorous. Of

the several species of nitrogen-fixing trees currently researched, Sesbania sesban,

Tephrosia vogelii, Gliricidia sepium, and Cajanus cajun are the focus of this study. A

description of each species is included in Appendix B.













CHAPTER 3
FARMING SYSTEM DESCRIPTION OF STUDY AREA


Chapter Overview

This chapter presents a description of the area studied in the Eastern Province of

Zambia. It provides information about the climate, soils, agricultural practices, land tenure,

diet, household livelihood strategies, and other socio-economic characteristics, in order to

familiarize the reader with the area.

The studies that were aimed at examining how improved fallows may or may not

benefit farmers. Farmers who tested the improved fallow technologies (IFTs) but did not

expand the area, farmers who tested and expanded IFTs, or those who never tried IFTs

were interviewed in order to compare livelihoods. From May 16 to July 18, farmers were

surveyed, with the help of an interpreter, Martha Mwale, about their farming techniques,

activities the household does to generate cash, and their opinions about using improved

fallows in place of fertilizer (see questionnaire in Appendix C). World Vision

predetermined the village sites where the household surveys were conducted. In Chipata

North, 15 farmers in Kepha, Chindola, Mayunda, Nkhala, Nyanthani, and Penyesani

villages were interviewed. Fourteen farmers in Lufu, Mapato, and Kapombua villages in

the Chipata South District and 7 farmers in Chundamira, Mazombwe, and Sekani villages

in Katete District were interviewed. Figure 3-1 provides a map of Zambia.













CHAPTER 3
FARMING SYSTEM DESCRIPTION OF STUDY AREA


Chapter Overview

This chapter presents a description of the area studied in the Eastern Province of

Zambia. It provides information about the climate, soils, agricultural practices, land tenure,

diet, household livelihood strategies, and other socio-economic characteristics, in order to

familiarize the reader with the area.

The studies that were aimed at examining how improved fallows may or may not

benefit farmers. Farmers who tested the improved fallow technologies (IFTs) but did not

expand the area, farmers who tested and expanded IFTs, or those who never tried IFTs

were interviewed in order to compare livelihoods. From May 16 to July 18, farmers were

surveyed, with the help of an interpreter, Martha Mwale, about their farming techniques,

activities the household does to generate cash, and their opinions about using improved

fallows in place of fertilizer (see questionnaire in Appendix C). World Vision

predetermined the village sites where the household surveys were conducted. In Chipata

North, 15 farmers in Kepha, Chindola, Mayunda, Nkhala, Nyanthani, and Penyesani

villages were interviewed. Fourteen farmers in Lufu, Mapato, and Kapombua villages in

the Chipata South District and 7 farmers in Chundamira, Mazombwe, and Sekani villages

in Katete District were interviewed. Figure 3-1 provides a map of Zambia.





































Figure 3-1 Map of Zambia


Administration and Demographics

The Eastern Province has eight administrative districts: Chadiza, Chama,

Chipata, Katete, Lundazi, Nyimba, Mfuwe, and Petauke. A District Agricultural

Coordinator organizes agricultural activities in each district. Chipata District, where

most of this study took place and covers 11,986 km2, includes the provincial capital,

Chipata town, and is located is in the central-eastern part of the Eastern Province (see

Figure 3-2). Chipata District is the area where farmers market their produce and is

divided into two agricultural districts: Chipata North and Chipata South (Petersen












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Figure 3-2: Map of Eastern Province, Zambia











1999a). The main research facility in the province is the Msekera Agricultural Research

Station where groundnut and grain legume studies take place. Katete District, the other

area of focus, is south of Chipata District and covers an area of 3,989 km2. It also has a

market where farmers are able to sell their produce. Table 3-1, taken from Petersen 1999,

provides characteristics of the agricultural districts visited.

Table 3-1: Characteristics of Eastern Province and Agricultural Districts Studied*
Annual
Location Area Population Population Growth Number of No. of No. of
(km2) (1999) Density Rate Households Camps Camp
1980-90 (1996) Officers
Rural Urban
Eastern Province 69,106 1,225,000 14.0 4.0 177,100 75,900 129_
Chipata N 11,986 373,000 24.3 3.6 10,830 8,170 25 16
Chipata S In CN* InCN InCN InCN 18,810 14,190 37 18
Katete 3,989 138,469 34.7 3.9 20,009 10,862 30 22
-Petersen 1999a
* Disaggregated statistic for Chipata North and Chipata South was not made available until 1997, as a
result, some data for each district are aggregated in data for Chipata North.


Ethnicity and Marital Status

The main ethnic groups in the Eastern Province are the Chewa, who are matrilineal,

and the Ngoni, who are patrilineal. However, there are other ethnic groups, including:

Tumbuka, Nsenga, Lala, Yao, and Kunda (Petersen 1999a). Of the farmers interviewed,

twenty were Chewa and fourteen were Ngoni. The other two farmers were migrants from

Zimbabwe. Table 3-2, below, presents characteristics of households in each district. The

table distinguishes whether the household is young, established, or mature because it is an

indication of the household's ability to mobilize labor, and an important determinant of

output, i.e. larger households tend to be more productive than smaller households









(Deininger and Olinto 2000). According to Petersen (1999b) young households are newly

formed families with children less than five years of age. Mature households include

children or adults over the age of eighteen and established households include "everyone in

between" (Petersen 1999b).

Table 3-2: Marital Status and Household Type
Marital Status Household Type
Avg. Single Married Divorced/ Widow Polygamous Young Established Mature
District HH (% of (% of Separated (% of (% of Total) (% of (% of Total) (% of
Size Total) Total) (% of Total) Total) Total) Total)
1 8 1 1 4 1 11 3
Chipata N 7.9 (6.7%) (53.3%) (6.7%) (6.7%) (26.7%) (6.7%) (73.3%) (20.0%)
0 10 3 0 1 2 7 5
ChipataS 6.9 (0.0%) (71.4%) (21.4%) (0.0%) (7.1%) (14.3%) (50.0%) (35.7%)
0 5 1 1 0 0 7 0
Katete 8 (0.0%) (71.4%) (14.3%) (14.3%) (0.0%) (0.0%) (100.0%) (0.0%)
Total All 1 23 5 2 5 3 25 8
Districts 7.5 (2.8%) (63.9%) (13.9%) (5.6%) (13.9%) (8.3%) (69.4%) (22.2%)


Education

According to Celis et al. in Petersen (1999a), the populace of Eastern Province of

Zambia has one of the lowest educational levels in Zambia. In 1998 16% of males and

63% of females in the Province had no schooling. In 1998, figures for the entire country

indicate that 16% males and 31% females were illiterate (World Bank 2000). Five years of

education was the average for farmers interviewed in this study. Education figures and

years of residence in each district village are presented in Table 3-3, below.

Peterson (1999b) sites some reasons for the lack of school enrollment in the

Province. They include:

Distance to school may require some students to travel a great distance or board
Poor funding and inadequate facilities discourage students and teachers alike
Children may be needed to help around the home or farm
Early marriages or pregnancies









Parental preferences or misconceptions of the benefits of education, especially
for girls
Lack of job opportunities for graduates
Poverty at the household level or the inability to pay school fees.

Education levels are an important consideration when determining what medium of

training can be used when introducing new technologies and providing training to farmers.

Written leaflets, charts, or complex analyses would not be an effective way of training

illiterate farmers.

Table 3-3: Number Interviewed, Years of Education and Years in Village


No. Interviewed Avg. Years of Education Avg. Yrs in Village
Total All Total Total All
District MHH* FHH HHs MHH FHH All HHs MHH FHH HHs
MF M F M F
ChipataN 8 3 4 15 5.6 6.3 2.8 5 21.7 25.7 21.5 22.5
Chipata S 4 7 3 14 7.6 5.0 1.3 5.5 23.8 19.7 33.7 25.3
Katete 4 1 2 7 4.5 5 0 3.8 28.3 41 8 27
Total All Districts 19 8 9 36 6.1 5.5 1.9 5.0 23.9 25.3 24.4 24.3
MHH: Male-headed household; FHH: Female-headed household


Health

One of the major determining factors of small-farm productivity and income-

earning ability is the health condition of the rural population. Malaria and HIV/AIDS are

the leading causes of death in Zambia: among people aged 15 to 49, 15-19% are infected

with AIDS in the Eastern Province (WHO 1999; FEWS Web Version 2000). Such a high

rate among the most productive age group definitely has a negative impact on farm

productivity. It also endangers the food security of dependents, children and the elderly

alike. In addition, malnutrition and mortality among children is a big problem in Zambia.

Twenty-four percent of children under the age of 5 were malnourished in 1997 and the

child mortality rate was 98.4 per 1000 live births (World Bank 2000; Seshamani 1998).









Diet

Maize (Zea mays) is consumed daily in a variety of forms: nsima, popcorn,

boiled ear, sweet porridge, or beer. Nsima is the most common way to eat maize. Maize

is pounded into coarse flour then boiled to a chick "porridge", and is commonly eaten

with a relish. Relish is a sauce or stew cooked with a green vegetable, such as rape

(Brassica rapa), pumpkin leaves (Cucurbita spp.), or mpilu (Brassicajuncea), or a meat,

chicken, kapenta (dried fish), or pork, when it is available. Groundnuts (Arachis

hypogaeaare), another staple in the Zambian diet, are pounded into a paste of peanut

butter consistency, mixed with vegetables, and eaten raw or roasted as a snack. Other

vegetables that are consumed include tomato (Lycopersicon esculentum), onion (Allium

cepa), squash (Cucurbita spp.), pumpkin (Cucurbita spp.), beans (Phaseolus vulgaris),

okra (Abelmoschus esculentus) and sweet potato leaves (Ipomaea batatas). Bananas

(Musa Xparadisia) and mango (Mangifera indica) are the fruits that are eaten the most.


Topography and Climate

The Eastern Province of Zambia is located south of the equator between 10 to 150

south latitude and 30 to 330 longitude. It is bordered by Malawi to the east and

Mozambique to the south. Moderate slopes and rock outcroppings interspersed with hills

and ridges characterize the terrain. There are two distinct agro-ecological regions in the

area: the high Eastern Plateau, 800 to 1500 m above sea level, and the Luangwa River

Valley, at 300 to 600 m above sea level. Most agriculture in the Province takes place on

the plateau where large tracts of land are covered with dry deciduous forests, known as

miombo. Small leguminous trees of the Brachystegia and Julbernardia genera dominate

these forests and have considerable grassy undergrowth (Encyclopedia Britannica). In









the hotter, drier areas of the valley, mopane woodlands dominate where

Colophospermum mopane and baobab trees, Adansonia digitata, are found.

The climate is sub-tropical to tropical with a unimodal rainfall distribution.

Changes in temperature and precipitation mark the shifts between the country's three

seasons: the warm, wet season from November to April, the cool, dry season from April

to July, and the hot, dry season from August to October. Temperatures during the hot

season range from 18 to 310 C and vary from 9 to 230 C in the cool dry season. During

the rainy season rainfall exceeds evapotransporation and averages 800 to 1000 mm per

year with about 85% of this amount falling from December to March. The length of the

growing season is typically about 139 to 155 days depending upon the amount of rain.


Soils

In Chipata South soil types are predominately loamy sands to "sandy Alfisols"

(Petersen 1999b; FAO 1999, Franzel 1999). Loamy sands and Alfisols are coarse to

medium textured soils that have a low to medium fertility and, while suitable for rain-fed

agriculture, tend to have poor physical characteristics that deteriorate rapidly upon use.

Clays and "loam Luvisols" (Petersen 1999b) occur in Chipata North and Katete.

Luvisols tend to have high pH because of their high calcium content and have poor

drainage. There are also swampy areas, known as dambos, where fertile gray-brown,

loamy sands, non-expanding 2:1 illite clays (Petersen 1999b), and hydromorphic gleysols

are found. These soils are relatively easy to hoe and remain moist during the dry season,

which allows for a dry season crop, providing a valuable asset to farmers (Raussen 1997).









Farming and Livelihood Systems

Livelihood systems in Eastern Zambia are generally based upon agriculture.

Figure 3-3 facilitates an understanding of the resource flows from crops, livestock, and

the forest to the household. It also illustrates the linkages between the market and

physical environment to the household and farming system.


011 PHYSICAL ENVIRONMENT 4
Soil Fertility. Weather. Pests. Diseases

Figure 3-3: Village Resource Flows, Eastern Province Zambia









Land Tenure

There are three categories of land in Zambia: state land, reserve land, and trust

land (Amankwah and Mvunga 1986; Petersen 1999b). Before independence, state land

was controlled by the British Colonial government and was set aside for European

settlement and economic development. Presently, the Zambian government controls state

land and arrange leases and titles for its use. It is usually the most fertile land and mainly

used by townships or for resettlement schemes (Petersen 1999b). Most trust land and

reserve, or traditional, land is either inherited from parents or relatives or given to the

person by the village headman (Petersen 1999b). These two categories of land are

generally not registered and are, therefore, neither bought nor sold (Amankwah and

Mvunga 1986; Petersen 1999b). Rights are generally given to the household that first

cleared the land, however, the Chief or headman has the power to allocate land to an

outsider and to settle land disputes that may arise. Women usually receive land from a

male relative or their husband. Table 3-4, below, shows average area cultivated or held

in fallow for each district, desegregated into male- and female- headed households (MHH

and FHH respectively). The area of land that has been uncultivated is land that has never

been cultivated and is held in reserve for family or emergency.

Table 3-4: Total All HHs Land Area Cultivated
Avg Area Avg Dimba Area Avg. Fallow Area Avg Area
District Cultivated (ha) (ha) (#Farmers) (ha) Uncultivated
(#Farmers) (#Farmers) Land (ha)
(#Farmers)
MHH FHH MHH FHH MHH FHH MHH FHH
ChipataN 3.69(11) 1.39(4) 0.42(3) 0.00 2.36(7) 1.01(2) 4.35(7) 0.88(3)
Chipata S 1.90(11) 1.29(3) 0.27(9) 0.25 (1) 0.85 (5) 0.81 (1) 2.22 (4) 0.81(1)
Katete 2.92(5) 1.69(2) 0.76(4) 0.00 0.55 (3) 0.81 (1) 0.70 (2) 0.40(1)
Total All HHs 2.82 (27) 1.42 (9) 0.42 (16) 0.25 (1) 1.50 (15) 0.91 (4) 3.14 (13) 0.77 (5)









Crop Production Systems

Total arable land in the Eastern Province is about 3.8 million hectares with

approximately 35% of this being utilized for agriculture (Peterson 1999b; Jha and Hojjati

1993). Approximately 75% of the population is involved in agriculture (Petersen 1999a).

Maize (Zea mays) is the principal staple food crop and accounts for 80% of the area

cultivated (Franzel 1999). Other important subsistence crops include groundnuts

(Arachis hypogaeaare) and cassava (Manihot esculenta). Squash (Cucurbita spp.),

pumpkin (Cucurbita spp.), beans (Phaseolus vulgaris), and cowpeas (Vigna unguiculata)

are typically intercropped with maize or groundnuts. In addition, cotton (Gossypium

spp.), soybeans (Glycine max), sunflower (Helianthus annuus), and tobacco (Nicotiana

tobacum) are grown as cash crops. Table 3-5 provides a summary of the average area

cultivated by the farmers interviewed for the most common crops planted.

Dimbas are small gardens (<1 ha) located in wet swampy areas, locally known as

dambos, and along riversides or springs and are traditionally cultivated by men.

However, both male and female-headed households (MHH & FHH) will cultivate dimba

plots when available. Men generally grow vegetables for sale in the market while women

grow vegetables that are eaten by the family. Rape (Brassica rapa), mpilu (Brassica

juncea), tomatoes (Lycopersicon esculentum), sugar cane (Saccharum officinarum),

onion (Allium cepa), okra (Allium cepa), cabbage (Brassica), bananas (Musa X

paradisia), potato (Solanum tuberosum), sweet potato (Ipomaea batatas), green maize

(Zea mays), and beans (Phaseolus vulgaris) are the primary crops grown in dimbas. For

information regarding area of specific crops planted by household type, see tables in

Appendix D.









Table 3-5: Common Crops by District
Average Area Average Yields # Farmers
District (ha.) (kg/ha) % of Total Area Using
(# Farmers) (# Farmers)* Sown Fertilizer
1998-99 1999-00 1998-99 1999-00 1998-99 1999-00
Chipata North
Cotton 0.83 0.88 967 494 14.4 13.3 3
(8) (7) (7) (4)*
Groundnuts 0.58 0.58 821 407 18.5 18.5
(15) (15) (13) (9)
Maize, Hybrid 2.22 2.22 1619 3018 14.4 14.4 3
(3) (3) (3) (2)
Maize, Local 1.19 1.20 1947 1545 38.7 39.1 9
(15) (15) (15) (11)_
Chipata South
Cotton 0.51 0.61 736 1724 8.2 4.9
(4) (2) (4) (1)*
Groundnuts 0.37 0.39 694 315 19.6 17.6
(13) (11) (11) (12)
Maize, Hybrid 1.08 1.25 2171 2425 17.6 15.1 4
(4) (3) (2) (2)
Maize, Local 0.87 1.01 2050 2096 45.7 53.1
(13) (13) (12) (13)
Katete
Cotton 0.75 0.64 1555 494 25.2 10.7
(6) (3) (6) (1)
Groundnuts 0.79 0.80 755 225 26.3 26.6
(6) (6) (5) (5)
Maize, Hybrid 0.53 0.53 1668 3852 5.9 5.9 2
(2) (2) (1) (2)
Maize, Local 0.83 1.09 1742 1316 32.6 42.5 1
(7) (7) (7) (7)
Total All Households
Cotton 0.73 0.77 1117 728 14.8 10.4 3
(18) (12) (17) (5)
Groundnuts 0.53 0.55 761 334 20.2 20.4
(34) (33) (29) (26)
Maize, Hybrid 1.34 1.43 1811 3098 13.6 12.9 9
(9) (8) (6) (6)
Maize, Local 1.00 1.11 1949 1725 39.4 43.7 10
(35) (35) (34) (31)
*Yields for the 1999-00 season are incomplete since some farmers were still harvesting at the
time of data collection.









The planting season begins in September just before the rains when households

begin to clear and bur weeds and then loosen the earth by hoeing. Most farmers are

hand cultivators, although, some farmers do have access to oxen either through

ownership1 or rental. Women do most of the hoeing while men are involved primarily

with clearing the land of debris and incorporating crop residues into the soil (see Table 3-

6 for a complete breakdown of activities by gender). Local maize and groundnuts are the

first crops planted with the start of the rains. Hand-hoe cultivators start planting before

the rains in October and farmers using oxen begin late October or early November.

Minor crops, such as beans, pumpkins, and squash are intercropped with maize or

groundnuts. Cotton and hybrid maize are planted in December. Village residents,

principally women, devote part of November, and all of December and January to

weeding. Fertilizer, when used, is applied by men in December and January. Dimbas are

generally planted in April or May.

Labor, which comes directly from the household, is one of the most limiting

factors to increased crop production for it determines the size of the field planted.

Farmers that own oxen are capable of cultivating a larger field than hand cultivators in

the same amount of time. For activities when extra labor is required, such as weeding

and harvesting, labor is hired or bartered for maize when household maize stocks are

depleted. Clubs are another valuable source of labor: In Lufu village there is a very well

organized woman's club where members take turns weeding each other's fields.


' Approximately 30% of the farmers in the Eastern Province own oxen (Petersen 1999a).









Table 3-6: Farming Activities Calendar
JAN FEB MAR APR MAY JUNE JULY AUG SEP OCT NOV DEC
Build Grain Storage
Build Houses ____________
Bum Grass
Collect Firewood
Cooking
Cultivate Dimba
Cut Thatch _///// /// II
Dry Leaves, Maize V1111/",
Dry Tobacco
Fertilize/Manure ill-- I 1111111 I
Garden Nursen'
Harvest l M
Help in Fields P c a kh:
Hunting -
Land Clearing
Land Prep lIII 1
Make pots, tools.
and baskets.
Market /////_
Planting
Ridging : .
Shell Maize/GNs
Spray Crops
Stalk pile Maize
Store Grains /
Water Garden
Watch Animals





Livestock

Farmers in the Eastern Province typically keep chickens, goats, pigs, and/or cattle.

Occasionally dogs, ducks, sheep, pigeons, and guinea fowl are also kept. Table 3-7

shows the average number of animals kept by household type. In addition to providing

milk and labor, cattle are a source of wealth and status. The number of cattle an average

farm owns ranges from 1.5 to 3 (Petersen 1999b). Typically, young boys are responsible

for cattle: during the rainy season, the main cropping period, boys are sometimes kept out









of school to herd cattle away from the fields and confine them to the village where they

are fed food scraps. Cattle then forage freely during the dry season frequently grazing

along stream edges, in woodlands, and in dambos. This is of concern to farmers who are

interested in IFTs since animal grazing could destroy the improved fallow plants.

Young boys also care for goats and sheep. They are slaughtered on special

occasions, sold for cash or bartered for household needs. Goats and sheep commonly

graze in the same areas as cattle during the dry season and are confined to the village

during the rainy, cropping season and fed cornhusks and food scraps. All animals are

restricted to the village at night. Dogs are kept by men and used for hunting, while

pigeons and guinea fowl are often just a status of wealth.

Most households have chickens that are kept by women and fed kitchen scraps.

Chickens provide eggs and are slaughtered for visitors. Pigs are also kept by women and

fed kitchen scraps, maize cobs and husks. Pigs and chickens are more often sold for

household needs than goats or cattle. Women, especially elder women, trade animals for

labor and fertilizer.

Table 3-7: Average Number of Animals per District
District Chickens Cows/Oxen Goats Pigs Other
MHH FHH MHH FHH MHH FHH MHH FHH MHH FHH
Chipata N 18.6 5.0 5.6 0 10.3 4.0 3.8 0 8.5* 3.0"
Chipata S 8.1 8.0 5.8 0 2.0 4.0 7.3 3.0 0
Katete 9.8 5.0 4.0 0 0 0 7.7 4.0
TOTAL ALL HHs 12.3 5.9 5.5 0 6.1 4.0 5.8 3.7 8.5* 3.0"
Guinea fowl and sheep; Ducks

Forest Use

Forest cover around the villages is limited. Products from the forests are

primarily used for firewood, construction materials, fruits, and medicine. Women are









usually responsible for collecting wood, although, in areas where distance from the

village has made collection and transport difficult, men have taken over the

responsibility. Forests are also used for hunting and for keeping beehives for honey.

Fallow Practices

Low soil fertility is a major constraint to agricultural production in Eastern

Zambia. Before the introduction of fertilizers, farmers in the Eastern Province would

cultivate their land continuously for several years until there was a marked decline in

yields. Once the soil had been depleted the land would be left fallow under its natural

vegetation for a period of about 20 years. In this manner, farmers were able to restore

declining fertility through the decomposition of leaf litter and roots. While farmers

appear to have sufficient access to land to practice traditional slash and burn (Petersen

1999b), current fallow practices are limited. Presently, the only land that is left fallow is

land belonging to households with insufficient labor to plant it (Petersen 1999b). Short

grass fallows are sometimes used to replenish soil nutrients or decrease weeds (Petersen

1999b). Crop rotations with groundnuts, chemical fertilizers, and manures are the most

common methods used to enhance soil fertility. Table 3-4, above, shows the average

fallow area of the households interviewed. A breakdown of fallow area by household

type can be found in Appendix D.

Improved fallow technologies (IFTs) are based on the traditional fallow practice

of leaving the land uncultivated for several years to allow the nutrients to regenerate in

the soil. However, IFTs involve planting fast-growing, nitrogen-fixing tree species to

hasten the natural process of soil nutrient regeneration. Additional benefits of the IFTs

include firewood, fodder, pesticide, weed suppression, erosion control, and shade.









Most farmers learned about the benefits of improved fallows from their

agricultural camp officer or lead farmer. There are two farmers in each village, one male

and one female, who are elected by the village through World Vision, to attend all

meetings given by World Vision about improved fallows and bettering their farming

practices. A World Vision representative and agricultural camp officer lead each village

meeting. Farmers who attended the meetings seemed enthusiastic about the improved

fallows and the potential to increase their maize yields. The meetings tend to be very

effective in generating farmer interest. Of the farmers that were interviewed, 27 have

tested, or tested and adopted, the improved fallow technologies. Table 3-8 shows the

number of female-headed and male-headed households with an improved fallow, the type

of species planted, and the area of the plot. Some farmers often grew more than one

species.

One of the biggest complaints about the improved fallows is the amount of work

involved. Women were especially concerned about the amount of labor required for the

trees. They just do not have the time to devote to the improved fallow field with all that

is required from their household and other fields. That is presumably why most women

chose to plant Tephrosia vogelii. Despite the fact that maize yields in a Tephrosia sp.

field are less than in a Sesbania sp. field, Tephrosia sp. can be planted directly without

nursery establishment and when cut will regenerate. Other benefits of Tephrosia sp.

include drought tolerance and its uses as a pesticide for garden and field crops. A species

background is included in Appendix B.

Farmers, for the most part, are very interested in finding alternatives to improving

their soil fertility. Most believe that fertilizer is bad because the soil will become









dependent on the fertilizer and will require more each year. They like the idea of the

improved fallows and have seen the benefit of increased maize yields in neighboring

villages. Their biggest question was, "Where can we get more seeds?" The farmers that

did not try the IF trees did not feel that their soils were "tired" or they could afford to buy

fertilizer and were not interested in other soil fertility options.


Table 3-8: Improved Fallows
No. HHs
District With IF Avg Area of IF (ha) (# Farmers)
(%)
Tephrosia
Cajanus cajun Gliricidia sepium Sesbania sesban vogelii
MHH FHH MHH FHH MHH FHH MHH FHH
12 0.06 0.16 0.13 0.11
Chipata N (80.0) (1) (4) (5) (3)
11 0.18 0.14 0.40 0.28
Chipata S (78.6) (5) (2) (6) (3)
4 0.17 0.11 0.29 0.24
Katete (57.1) (3) (3) (4) (4)
27 0.14 0.15 0.21 0.27 0.19
Total All HHs (75.0) (4) (8) (10) (15) (6)


Other Income Generating Activities

The livelihood systems of farmers in the Eastern Province include not only

agriculture but also a mix of other cash-generating activities. Table 3-9, below, lists

several of the activities that farmers do to generate income. Brewing beer or performing

ganyu are women's activity, while selling cash sell crops or vegetables is primarily a

male activity. Not only are these activities used as a source of cash, but goods are also

sometimes bartered for maize, fertilizer, or labor. Women, in particular, rely on small

farm animals and other goods to acquire labor for land clearing and house repairs. The

biggest income generating activities appear to be selling dimba fruits and vegetables,










beer, and working in other farmers' fields. Selling beer is a female activity and is one of

the primary sources of income to pay for children's school fees. Other activities include

selling honey, milk, charcoal, paraffin, sugar, and cooking oil, brick laying, tailoring, and

traditional healing.


Table 3-9: Income Generating Activities
Activity Women Men
Baking and selling baked goods X
Bicycle repair X
Brew and sell beer X
Buy supplies and sell in village X X
Credit X X
Harvest honey X
Home construction X X
Make and sell bricks X X
Make and sell mats and baskets X
Make and sell pots X
Make and sell farm tools X
Off-farm employment X X
Outside remittances X
Pension X X
Performing ganyu (piece work) X X
Press and sell sunflower oil X X
Rent oxen for plowing and transport X
Sell animals X X
Sell crops and garden vegetables X X
Sell firewood & charcoal X X
Sell grass for thatching X
Sell kapenta (dried fish) X X
Sell mealie meal X
Sell milk X
Sewing and knitting X X
Traditional healer X X





48


This concludes a summary of the farming systems of Eastern Zambia. It is

important to be familiar with the different activities and practices that small farmers

employ in order to understand why certain activities are practiced and how they alter

when bio-physical or socio-economic conditions change.













CHAPTER 4
DATA COLLECTION AND ANALYSIS

Chapter Overview

Research for this Soil CRSP project was conducted in Eastern Zambia from May

to August of 2000. Data were gathered from local farmers in order to understand the

farming systems of the area and to be able to create a representative mathematical linear

programming (LP) model of the farming system. With this model it is possible to see

how improved fallows and other activities affect the sustainability of the household over

a five-year period. The question asked of the model is what combination of activities is

best for the sustainability of the system.

The LP model was created to simulate two different types of households: female-

headed (FHH) and male-headed (MHH). The goal of the LP model is to meet certain

consumption and cash goals and to maintain a livelihood.

This chapter presents the methods of data collection and analysis. Also estimated

in the chapter are the possible benefits of improved fallow technologies on maize

production to village households.


Methods of Data Collection

To gather information about the farming techniques and livelihood strategies of

small-scale farmers in Eastern Zambia direct observation as well as informal and formal

interviews with a structured questionnaire were conducted. Direct observation was used













CHAPTER 4
DATA COLLECTION AND ANALYSIS

Chapter Overview

Research for this Soil CRSP project was conducted in Eastern Zambia from May

to August of 2000. Data were gathered from local farmers in order to understand the

farming systems of the area and to be able to create a representative mathematical linear

programming (LP) model of the farming system. With this model it is possible to see

how improved fallows and other activities affect the sustainability of the household over

a five-year period. The question asked of the model is what combination of activities is

best for the sustainability of the system.

The LP model was created to simulate two different types of households: female-

headed (FHH) and male-headed (MHH). The goal of the LP model is to meet certain

consumption and cash goals and to maintain a livelihood.

This chapter presents the methods of data collection and analysis. Also estimated

in the chapter are the possible benefits of improved fallow technologies on maize

production to village households.


Methods of Data Collection

To gather information about the farming techniques and livelihood strategies of

small-scale farmers in Eastern Zambia direct observation as well as informal and formal

interviews with a structured questionnaire were conducted. Direct observation was used













CHAPTER 4
DATA COLLECTION AND ANALYSIS

Chapter Overview

Research for this Soil CRSP project was conducted in Eastern Zambia from May

to August of 2000. Data were gathered from local farmers in order to understand the

farming systems of the area and to be able to create a representative mathematical linear

programming (LP) model of the farming system. With this model it is possible to see

how improved fallows and other activities affect the sustainability of the household over

a five-year period. The question asked of the model is what combination of activities is

best for the sustainability of the system.

The LP model was created to simulate two different types of households: female-

headed (FHH) and male-headed (MHH). The goal of the LP model is to meet certain

consumption and cash goals and to maintain a livelihood.

This chapter presents the methods of data collection and analysis. Also estimated

in the chapter are the possible benefits of improved fallow technologies on maize

production to village households.


Methods of Data Collection

To gather information about the farming techniques and livelihood strategies of

small-scale farmers in Eastern Zambia direct observation as well as informal and formal

interviews with a structured questionnaire were conducted. Direct observation was used








in the local markets and villages in order to familiarize the researcher with the area and to

ease develop relationships with the people. Regular visits to the market allowed the

researcher to observe market interactions and the behavior of prices. While in the

villages, the researcher conducted the interview in the farmer's field and was, therefore,

able to see the improved fallow trees, crops being harvested at the time, and dimba plots

that may have been planted.

Formal and informal interviews with farmers, agricultural extension officers, and

non-governmental organizations were the main methods of gathering data. Interviews

with farmers regarding local farming techniques, activities done to generate cash, and the

improved fallow technologies, were conducted while living with them in their village.

Staying in the village enabled the people to get to know the researcher and her objectives

and allowed the researcher to learn about village life from the farmers. Other sources of

data included a literature review and an Internet search for data, such as maps and rainfall

patterns.

A total of thirty-six farmers, male and female, testers, non-testers, and tester-

expanders of the improved fallow technologies (IFT), were interviewed. Thirty-five

households were analyzed using the LP model. One household was not used due to

incomplete data. A composition of study contacts is presented in Table 4-1. A more

complete breakdown by household type of testers and non-testers of the IFTs is provided

in Appendix E.








Table 4-1: Composition of Farmer
Interviewees
Number of
Type Respondents
Female Non-testers in FHH 3
Female Non-testers in MHH 2
Male Non-testers 5
Female Testers in FHH 6
Female Testers in MHH 5
Male Testers 7
Female Tester-expander in FHH 0
Female Tester-expander in 1
MHH
Male Tester-expander 7
Total: 36


Linear Programming

An LP model attempts to describe the interactions between the various

components of a system with the goal of maximizing or minimizing a particular

objective. The goal is to select the best available alternatives given the resource

restraints. One of the first linear programs used in agriculture was to balance a diet.

Since then it has been used as an analysis tool for all types of farming operations, from

large commercial operations to small rural household farms in less developed countries.

The system considered here is a small rural farming household.

There are three components to a linear programming model. The objective

function is the first component, which is to be optimized (i.e. maximized or minimized).

In economics this is usually stated in monetary terms the maximization of revenues or

the minimization of costs. It is assumed here that the primary goal of the household is to

produce enough staple food to meet its consumption requirements after which the

household maximizes end year cash available for discretionary spending from crop








production and other income generating activities. The notation of the maximizing

objective function is represented by:


maxZ= E (PXjX, CZj), where
j-1

Pj is the price received per unit of activity Xj, which is crop production or other

income generating activity, and Cj is the cash cost per unit of activity Zy, which is the

inputs needed per activity. The number of activities, or columns, is n.

The constraints, which are the cash and consumption requirements, on the

objective function and the available resources, land and labor, are the second and third

components of the LP. They are presented below:

n
Ia,X < b, i = 1, 2,..., m
j-1

X, 0, j= 1, 2,..., n, where

ay equals the quantity of resource i used per unit of activity; bi equals the set of

available resources i for the Xj activities; and Xj > 0 is a nonnegative constraint to ensure

all activities are in positive quantities and make practical sense.

Linear Programming Model Development

The LP matrix is a five-year monthly model built in a Microsoft Excel

spreadsheet and run in Excel's optimization program, Solver. It has 633 activities

(columns) and 7,226 rows. The columns are the activities, or livelihood strategies, in

which the household participates. The rows are the labor available and the different cash

and consumption requirements of each activity and the yields produced. The solution is

feasible if the model is able to satisfy all of the constraints present in the household.

Below is a list of the specific activities and constraints that are used in the LP:








LP Activities

Crop Production:
* Crops grown
o Fertilized local maize intercropped with beans and squash
o Unfertilized local maize intercropped with beans and squash
o Fertilized hybrid maize sole crop
o Cassava
o Cotton
o Groundnuts
o Sweet potato
* Dimba (small gardens)
o Tomato
o Onion
o Leafy greens
o Bananas
* Improved fallows
o Sesbania sesban
o Gliricidia sepium
o Tephrosia vogelii
o Cajanus cajun
o Local maize in improved fallow plots
o Hybrid maize in improved fallow plots

Sales:
* Crops
o Local maize
o Hybrid maize
o Cotton
o Groundnuts
* Dimba
o Tomato
o Onion
o Leafy greens
o Bananas
* Improved fallow seeds
o Sesbania sesban
o Gliricidia sepium
o Tephrosia vogelii
o Cajanus Cajun

Other Income Generating Activities:
* Sell ganyu (labor)
* Brew and sell beer


Other activities:








* Buy maize
* Hire ganyu

Transfers:
* Monthly maize (hybrid and local) supply
* Monthly cash


Resources and Constraints

Resource Constraint


Labor
Household members
Ganyu (hired labor)

Land
Crop production
Dimba

Consumption
Maize
Groundnuts
Cassava
Sweet potato

Nondiscretionary Cash Needed
Crop inputs
Household expenses
School and health fees
Food


Depends upon household composition
Limited to 30 days


Amount available
If available

Depends upon household composition
225 kg/person/yr
72 kg/person/yr
108 kg/person/yr
70 kg/yr


Seed, Fertilizer, Pesticide


Other Income Generating Activities
Beer brewing Maize, Cash
Ganyu sell Labor days limited 5/mo.




After validation, two scenarios were posed to the model:

1. Cultivation without an improved fallow option and

2. With an improved fallow and seed selling activity





55


Two additional scenarios were posed to a selected sample of households from the MHH

and FHH group. The first scenario involved reducing the price to sell improved fallow

seed by half. The second scenario did not offer an option to sell improved fallow seed on

the market. A description of each household interviewed is provided in Table 4-2.









Table 4-2: Characteristics of Modeled Households
Total
# Female Male Available Dimba Cash (ZK)
People Female Labor Male Labor Land Area needed/mo
HH# District Type Gender in HH Producers (days) Producers (days) (ha) (ha) ( 1000)
Male-headed Households
1 Chipata N Tester F 11 5 486 3 270 5.87 0.25 51.73
2 ChipataN Tester M 4 1 108 1 108 2.62 12.08
4 ChipataN Tester M 21 6 972 9 648 14.32 0.81 64.33
6 ChipataN Non-tester F 3 1 108 2 217 2.02 0.61 21.00
7 Chipata N Tester-expander M 10 2 216 2 162 22.94 28.00
8 ChipataN Tester M 6 3 324 1 108 2.76 65.00
9 ChipataN Non-tester M 7 1 108 3 270 2.25 54.50
12 ChipataN Tester M 9 3 270 3 324 9.43 65.00
13 ChipataS Non-tester M 5 2 162 2 216 1.62 0.10 14.05
14 Chipata S Non-tester M 5 1 108 2 216 7.41 0.20 31.08
18 ChipataS Tester M 4 1 81 2 162 2.40 0.40 64.67
19 ChipataS Tester F 5 1 108 2 162 2.77 0.06 17.17
20 Chipata S Tester F 2 1 108 1 108 3.31 0.25 41.00
21 ChipataS Tester M 9 3 324 2 217 7.94 0.50 161.20
23 Chipata S Tester F 15 5 540 6 595 2.86 0.61 42.50
24 Chipata S Non-tester M 8 2 216 4 378 2.77 0.02 54.54
25 Katete Tester-expander M 10 2 162 4 378 7.03 33.60
26 Katete Non-tester F 6 3 324 2 217 4.80 0.61 61.38
29 Katete Tester M 5 1 108 2 163 4.10 0.61 65.00
30 Katete Non-tester M 8 3 324 3 271 2.25 1.00 65.83
31 Katete Tester-expander M 8 3 324 4 433 1.21 0.81 5.83
32 Chipata N Tester-expander M 9 3 270 3 324 22.64 76.41
33 Chipata N Tester-expander F 5 1 108 2 216 3.34 47.13
34 Chipata S Tester-expander M 15 4 378 5 486 3.79 0.40 241.25
35 ChipataN Tester-expander M 6 2 216 2 216 1.72 0.40 206.00
Female-headed Households
3 ChipataN Tester F 4 2 162 1 108 1.51 22.10
5 ChipataN Tester F 3 1 81 2 162 2.30 21.20
10 ChipataN Tester F 9 3 351 2 189 2.68 35.25
11 Chipata N Non-tester F 11 2 189 6 594 4.05 48.33
16 ChipataS Tester F 8 4 378 2 162 2.69 39.13
17 ChipataS Tester F 4 2 189 0 0 2.27 0.25 100.00
22 Chipata S Tester F 8 3 270 4 432 1.31 35.00
27 Katete Non-tester F 12 4 432 2 216 3.15 21.50
28 Katete Non-tester F 7 3 324 2 216 1.46 40.07










Validation of the Simulation Model


Prior to using the model it must be validated to determine how well the model


compares to against actual data collected. In this case area planted in maize and total


area planted in crops without an improved fallow was chosen for the validation process.


Figure 4-1 and 4-2 presents a scatter diagram of the LP model data and the actual


data for the total area cultivated and the area of maize planted, respectively. The diagram


shows how close the LP model simulation data is to the real world data.


Figur
6.00

5.00

4.00
(-
a 3.00
a)
2.00

1.00

0.00
*Actual Data 0
+ Model Data


Scattergram for Maize Area Planted


10 20 30 41
Farmer #


Figure 4-1 Scattergram for Total Area Cultivated
10.00
9.00 ---- -- --- -
8.00 t- --- ----~-------------F--B- ----.-`-)
8.00 -- ---- -- -- -
7.00- -

m 5.00 ----- -----
S4.00 -- ---
5.00 ..

3.00 --------- ----- --- -i
2.00 -E- E- -

0.00 ---------- --- -t~e--------------------
0.00 I
EActual Data 0 10 20 30 40
Model Data Farmer


e4-2:

*


m--




4- -4--- -
---- --- Q I
*

S --- ------------- --


1* 0 *a -*< -








Before performing further validation of the LP model and to determine the

appropriate statistical tests to be applied, a Shapiro-Wilk Normality Test was formulated

to see if the data are normally distributed. The null hypothesis is that the data are

normally distributed.

Ho: Data values have a normal distribution.

H1: Data values do not have a normal distribution.

The probability, or the p-value, associated with the test statistic is what helps to

determine whether or not to reject the null hypothesis. If the p-value is less than the 95%

significance level, a = 0.05, then the null hypothesis is rejected, the data values are not

normally distributed (SAS Sources 2002). The p-values for each data sample are shown

in Table 4-3. In every case the p-value is less than 0.05, hence the null hypothesis is

rejected. The data are not normally distributed.


Table 4-3: Shapiro-Wilk Normality Test
Shapiro-
Wilk's W Probability
Total area of all crops planted:
Actual Data 0.7618 0.0000
Model Data 0.8922 0.0027

Maize area planted:
Actual Data 0.7228 0.0000
Model Data 0.8578 0.0003


Since the basic assumption of normal distribution is not satisfied, a Chi-Square

Test was computed in StatMost for Windows to determine whether the actual data set and

the LP model data set is comparable. The null hypothesis is that the two data sets are

drawn from the same distribution.








Ho: The distribution from each data set is the same.

Hi: The distribution from each data set is different.

Based on the results, shown in Table 4-4, the null hypothesis that each data set has the

same distribution is not rejected. That is, the actual data and the data from the LP model

have similar distributions and are, therefore, comparable.


Table 4-4: Chi-Square Test Results
Actual Data LP Data
Total Area Planted
Minimum Size 34 34
Degree of Freedom 33 33
Chi-Square 9.0479
Probability 0.9999
Maize Area Planted
Minimum Size 34 34
Degree of Freedom 33 33
Chi-Square 18.9696
Probability 0.9758


A Mann-Whitney Test was also computed in StatMost for Windows to determine

if the difference between the means of the actual data and the LP model data is

significant. With a = 0.05 level of significance, the null hypothesis is that the mean

from each data set is the same.

Ho: The mean from each data set is the same.

Hi: The mean from each data set is different.

The critical values for the Mann-Whitney Test when a = 0.05 are zo = +1.96 (DataMost

Corp 1995). "The z-score is compared with a normal distribution with an infinite number

of degrees of freedom (DataMost Corp 1995)." If the computed value is less than the

critical value then the null hypothesis cannot be rejected.








The results, presented in Table 4-5, show that for the total crop area cultivated, z

is less than 1.96. Thus if the null hypothesis is rejected then there would be a 33%

chance of making a Type I error. Therefore, it is concluded that the difference between

the mean from the actual data and the mean from the model data for total crop area

planted is not significant, indicating that the LP model is an adequate representation of a

small farm in Eastern Zambia.

For maize area planted z is greater than 1.96 indicating that the null hypothesis

should be rejected. The mean from each data set is different. This would suggest that the

maize yields in the model could be too high. That farmers may have had trouble

recalling the actual yields realized the previous season. Or if labor was the constraint, the

labor contribution of children in the household may be underestimated in the model.


Table 4-5: Mann-Whitney Test Analysis Results
Actual Data LP Data
Total Area Planted
Sample Size 34 34
Total Sum 85.6929 66.5795
Mean 2.5204 1.9582
Standard Deviation 81.5291
z-score 0.9751
Two-tailed P value 0.3295
Maize Area Planted
Sample Size 34 34
Total Sum 46.8168 15.4828
Mean 1.3770 0.4554
Standard Deviation 81.5291
z-score 5.8875
Two-tailed P value 0.0000








Results

In the first year of the model, every household is given a certain amount of cash

(an amount equal to what the farmer indicated that he or she needed) the first month of

the production cycle, September, and a supply of maize to sustain the members until the

time of harvest. No households were feasible at 100% of what it was estimated each

household needed. In order to find at what point it would be feasible given the data set,

the cash requirements were first decreased by 25%. If the model was still infeasible then

the consumption requirements were decreased by 25%. Table 4-7 shows the percentage

decrease that cash and consumption requirements had to be reduced in order to reach a

feasible solution. The fact that the requirements of the household had to be reduced

means that either the data used in the model are incomplete, there are activities not

included that would significantly affect what and how much the household produces, or

the households are not actually meeting their consumption and cash needs each year.









Table 4-7: Percentage of Consumption and Cash Requirements Achievable in the
LP Model
Additional
Male Additional
% Male % Female % Beginning Female
HH # Cash Cash % Maize %GN Cassava Cash Beginning Cash
Male-headed Households


100
100
50
100
25
25
100
100
100
50
10
100
100
25
50


Female-headed Households
Additional
% HH % Beginning
HH# Cash %Maize %GN Cassava Cash


10
30
10
20
20
10
20
20
20
.30
20
10
30
30
40
40


3 75
5 75
10 75
11 25
16 50
17 2
22 100
27 50
28 50
*With IF; **Without IF


100 100 100 10
100 100 100 10
75 100 50 30
75 100 75 30
75 100 75 20
50 100 100 40
75 100 25
75 100 50
100 100 50








Hypothesis one stated that IFTs would improve farmer livelihood systems. The

model did indeed indicate that planting an improved fallow plot is beneficial to the

household, as indicated by the increase in year-end discretionary cash, see Tables E-5 and

6 in Appendix E. For each scenario with an improved fallow option the model picked an

improved fallow planting activity. Appendix E, Tables E-3 and 4 show the final results

for each scenario: planting an improved fallow at full seed price, planting an improved

fallow with the price decreased by half, and planting an improved fallow without the

option to sell seed. Regardless if there was an option to sell improved fallow seed, the

model chose an improved fallow planting activity in every case except one.

Hypothesis two stated that female-headed households would be more likely to

pick an improved fallow species that required the least amount of labor. In every case,

the model chose Tephrosia vogelii or Cajanus cajan as the species to plant for female-

headed households. Gliricidia sepium was picked only when the IFT seed selling option

was omitted. The reason for this is probably due to the fact that Gliricidia sepium does

not yield as much seed as the other species and it does not yield seed until the third year,

whereas the other species yield seed in the second year. Sesbania sesban was most

likely not chosen for female-headed households because the seedlings must be planted in

a nursery before they can be planted in the field. Nurseries are usually located in the

dimba area and, as previously stated, most women do not have dimba land. The

seedlings also require greater care than the seedlings of the other IFT species.








Conclusion

There are some limitations of the LP model that should be considered. Since the

LP model is a simplification of the real world, some production constraints and

characteristics of each household may be absent. Field interviews may not have captured

every piece of information that should be defined in the model. For instance, in the

villages of Eastern Zambia, farmers rely not only on their immediate family members for

help in the fields and for food, but also share their labor and resources with other

members of the community. Additionally, what may typically be a male activity in most

households may be a female activity in other households. Also, the production labor

contributed by children may not have been fully represented. Furthermore, soil in one

farm may be more or less fertile then land in another area. This is not captured in the

model.

Another consideration of the model is that most elements (labor, yields, and costs)

are fixed for every household. For example, the labor required to plant certain crops is

the same for every household. Only the available labor is variable according to

household composition. The labor used in the model is only representative of the

households interviewed. As such, the sample of thirty-five households does not

sufficiently represent the entire study area in Eastern Zambia. Even though the

improved fallow technologies were adopted in the model, the actual effects of adoption to

each individual household would involve specific calculations particular to that

household. With this in mind, the LP model should be used only as a guideline for

moving forward and targeting the proper technologies to different households.














CHAPTER 5
CONCLUSION AND RECOMMENDATIONS


Maize is the most important crop to households in Eastern Zambia. Because of

poor soil fertility and high fertilizer prices, small, rural farmers have experienced low

maize yields and, as a consequence, hunger in the months prior to harvest. In response to

this problem, researchers at the International Center for Research in Agroforestry

(ICRAF) have found that planting fast-growing, nitrogen-fixing trees on land with

infertile soils have the potential to replace fertilizer as an input for maize cultivation. The

aim of this study was to determine the benefits of the adoption of improved fallow

technologies as a livelihood strategy to small farmers in Eastern Zambia. This chapter

presents some conclusions of this research concerning using improved fallows as a

livelihood strategy and provides some recommendations for further study.

Improved fallows build on the traditional practice of leaving land with infertile

soils uncultivated for a period often to twenty years allowing the natural vegetation to

grow and to restore lost soil nutrients. The leguminous tree species, Sesbania sesban,

Gliricidia sepium, Tephrosia vogelii, and Cajanus cajun, have been introduced to small

farmers in Eastern Zambia as a viable alternative to fertilizer use. Each species has its

own planting and maintenance requirements and soil improving qualities. While

Sesbania sp. provides the greatest nitrogen-fixing characteristics and subsequent maize

yields, it also requires a nursery for seedlings and extra care. Thus, Sesbania sp. may not








be appropriate for some households. This study has sought to determine how the

adoption of improved fallow technologies (IFTs) as a livelihood strategy may enhance

maize cultivation of small farmers.

Linear Programming

A linear programming (LP) model was built to represent small farms in Eastern

Zambia. Using data gathered in farmer interviews conducted over a three-month period,

the model was designed to simulate their current situation and predict what might happen

to farmer livelihoods if IFTs were adopted. Given each household characteristic, LP

models were run with and without an improved fallow option to see 1) if IFTs were likely

to be adopted and by what types of households and 2) how planting IFTs would affect

year-end discretionary cash. No households were feasible at 100% of what it was

estimated each household needed. In order to find at what point it would be feasible

given the data set, the cash requirements were first decreased by 25%. If the model was

still infeasible then the consumption requirements were decreased by 25%.

The model also included an IFT seed selling activity. The LP model was run on

randomly selected households to see how a decrease in IFT seed prices would affect the

decision to plant a particular species. In most cases, at full and half seed price, Tephrosia

sp., Cajanus sp., or Sesbania sp. was chosen as the best activity for year-end cash

optimization. However, when the IFT seed selling activity was removed Gliricida sp.

was then chosen as the best species to plant. This is most likely due to the fact that

Gliricida sp. does not yield as much seed as the other species and does not produce until

the second year as opposed to the first year for the other species. In every case, an








improved fallow activity was chosen meaning that IFTs can be a practical alternative to

fertilizer use for small farmers in Eastern Zambia.

The model also compared female-headed households (FHH) to male-headed

households (MHH). Females and males often face different cash, labor, and access to

inputs so it was important to see what species may be the most appropriate for particular

household types. In most cases, Tephrosia vogelii or Cajanus cajun was chosen as the

best species for FHHs. When the seed selling option was removed, then Gliricida sepium

was chosen as the species to plant for cash optimization. Sesbania sesban was not chosen

mostly because females often do not have access to dimba land needed for the initial

stages of seedling growth. Sesbania sp. also requires greater care, which some

households may not be able to provide.

Recommendations for Further Study

Since the country gained independence, the Zambian government has played a

large role in small-farm production through maize and fertilizer subsidies. Fertilizer

subsidies, especially, have caused farmers to become dependent on fertilizer inputs

allowing farmers to farm one piece of land continuously for several years. In recent years

agricultural subsidies have been removed and, as a consequence, farmers have been

unable to afford fertilizer and have realized lower maize yields because of infertile soils.

While IFTs have been presented as a feasible alternative to fertilizer, if fertilizer subsidies

are reinstated farmers may abandon the use of IFTs and return to using fertilizer. The LP

model could help determine how a fertilizer subsidy may affect small farm maize

production.








There is great diversity among households in Eastern Zambia. As a consequence,

the LP did not capture every aspect that may affect a household's livelihood. For

instance, males and females in MHHs keep their income separate. Females have ways to

generate cash that are different than males which enables them to pay their children's

school fees and to buy food when food supplies are low. A study of other income

generating activities that families adopt to compensate for low yields and how they may

affect the adoption of IFTs may be needed. Further, IFTs require additional labor that

may not be available in certain households. Therefore, other ways of generating income

to buy food may be a better strategy for some households in place of planting an

improved fallow and should be considered when targeting technologies to small

households.

Based on this study, improved fallows are a practical alternative to using fertilizer

to supplement infertile soils and to realize greater yields. However, the technology is

fairly new to many villages and a study of households that have adopted the IFTs over

two cycles would be valuable. Additionally, a ten-year LP model would be helpful to

see if the technology is viable for the household in the long run. This would involve

participatory field research over an entire harvest cycle so that the researcher may capture

every aspect affecting household farm production and livelihood.













APPENDIX A
TIMELINE OF GOVERNMENT POLICIES'


October 1964


1964 to 1991


1969


1969 to 1980



1979 to 1983

1975

1980 to 1990


Zambia gained independence and the Republic of Zambia was
created.

Kenneth Kaunda Presidency United Independence Party
Equity Goal: Increase food production to ensure self-sufficiency
for the growing population, to maintain the provision of cheap
food, and to decrease past dependence upon imports.
Policies: Uniform pricing for maize
Price and interest rate controls
Import restrictions
State controlled marketing board
Subsidies for fertilizer and food staples
Overvalued exchange rate
State farms

National Agricultural Marketing Board (NAMBoard) established

Small and medium-scale farmers grew from 23% to 36% of the
rural population. Subsistence households declined from 75% to
62%.

The Third National Development Plan was implemented.

* Copper price collapsed


"Operation Food Production"


* Subsidy on maize consumption reduced fifty percent.


' Jansen and Rukovo 1992; Valdes and Muir-Leresche 1993; Geisler 1992; Copestake
1997; Wood et al 1990; Wichern et al. 1999.


1981

















1983 to 1985















October 1985 to
1987








November 1986





December 1986


January 1987

March 1987
to May 1987


* Management control over marketing decentralized reducing the
role of NAMBoard (National Agricultural Marketing Board)
and giving more control to the cooperatives.
* Income tax for farmers reduced from 50 to 15 percent.
* Copper reaches lowest real value in 50 years.
* Producer prices increased by three to fifteen percent.
* Retail price decontrolled for major products except wheat,
maize, and candles.
Agreements with the IMF
* Reduction of public expenditures
* Kwacha devalued 20 percent and permitted to float against
basket of currencies of major trading partners.
* Fertilizer subsidies reduced and price of fertilizer allowed to
increase by 60 percent.
* Subsidy to NAMBoard reduced in 1983 but increased in 1985.
* Wheat price controls eliminated.
* Producer prices increased.
* Floor prices established for all controlled commodities except
maize.
* Consumer maize subsidies reduced and prices allowed to
increase 22 percent in 1984 and reduced further (approximately
40 to 50 percent) in 1985.

IMF induced Economic Restructuring
* Flexible exchange rate (market determined) system
implemented through weekly auctions
* Interest rates controlled through Treasury Bill auction
* Price deregulation of all crops except maize, maize meal, and
fertilizer.
* Producer prices for maize increased 95 percent.
* Price controls on import substitutes

* Decontrol of consumer maize prices
* Fertilizer subsidies decreased and price increase almost 200
percent.
* NAMBoard monopoly on maize and fertilizer eliminated and
cooperatives given more control over marketing.

* Copperbelt food riots maize price increases rescinded.
* IMF economic adjustment program cancelled


* Foreign exchange auction suspended

* Kwacha revalued 87% higher
* Foreign exchange auction restarted and ended








May 1987










1988


November 1988


January 1989



June 1989

August 1989



1990




1991/92


New Economic Recovery Programme
Theme: "Growth from our own resources"
Policies implemented:
* Debt servicing limited to 10% net export earnings
* Fixed interest rates and exchange rate stabilization
* Reintroduction of price controls
* Centralized control of foreign exchange
* Reduction in rate of money supply from 60% in 1987 to ~40%
in 1988.

* Inflation up 64%
* NAMBoard closed
* Agricultural Marketing Act liberalized marketing except for
maize and fertilizer.

* Kwacha devalued 25% and pegged to special drawing rights
* Minimum reserve requirements raised 5%

* Price Maize meal prices increased to reduce budgetary cost of
maize subsidies.
* Coupon scheme for maize foodstuffs introduced

Price controls for all crops except maize lifted.

Phase I of Medium to Long term Structural Adjustment Policies -
Policy Framework Paper (PFP)
Marketing of almost all products liberalized

Import tariffs
* 15% import tariff rate on wheat introduced
* Coffee import tariffs reduced 100% to 50%
* Tobacco import tariffs reduced 100% to 30%

Drought

Reform Program
Goals: Bring down inflation and create stable economic climate
for growth and diversification through:
* The reduction of government spending by ending maize meal
subsidies
* A balanced budget within two years
* The reduce of civil service
* Non-traditional exports
* Decontrolling prices
* Market based exchange and interest rates
























September 1991


October 1991


November 1992










1992/93






1994

1995


* The promotion of the private sector
* The privatization of state run enterprises

What occurred:
* Maize imports, consumer prices for maize, and prices for
transportation liberalized
* Fertilizer subsidies removed
* Fuel prices and interest rates increased
* Kwacha devalued
* Competition and Fair Trading Act prohibits anti-competitive
trade practices
* Investment Act tax incentives for investors
* Cash budget system

The World Bank and the IMF structural adjustment program
suspended.

Frederick Chiluba elected Movement for Multi-Party Democracy
(MMD)

Agricultural Sector Investment Program (ASIP)
Objectives (Wichem et al 1999):
* Achievement of food security at all levels
* Enhancement of income and development
* Conservation and improvement of current agricultural resource
base
* Contribution to sustainable development
* Intensification of agricultural exports
* Liberalization of agricultural markets

What occurred:
* Liberalization of financial markets
* Interest rates increased
* Import tariffs for all agricultural products increased
* Kwacha devalued 25% and pegged to special drawing rights
* Minimum reserve requirements raised 5%

Drought


Customs and Excise Act
Food Reserve Agency (FRA) established
Milling industry privatized
Drought













APPENDIX B
MAIZE AND IMPROVED FALLOW SPECIES DESCRIPTION


The following appendix begins with a brief description of the history of

maize, how the plant develops, and describes the climatic, soil, and nutritional

requirements for optimal growth. Particular emphasis is placed on nitrogen since it is the

most important nutrient for maize growth and is currently being exhausted from Southern

African soils. The second part of the paper discusses four improved fallow tree species

that are the focus of this study: Sesbania sesban, Tephrosia vogelii, Gliricida sepium,

and Cajanus cajan. It compares their benefits and costs to maize production and the

farmers in Eastern Zambia.

Maize

Maize is grown in practically every part of the world, particularly in the tropics.

It is of tropical Mexican origin and is a member of the grass family Gramineae,

subfamily Panicoideae. Linneaus classified maize Zea mays in 1737 in his work "Genera

Plantarum". Zea is a Greek word used to describe cereals and mays is based on the

original Indian words, "mahis" meaning the "source of life" or "marisi". The word

maize is also based on the words "mahis" or "marisi". Christopher Columbus named the

plant after his crewmembers found a sample in Cuba. It is thought that Columbus

introduced the species after he brought it to Europe when he returned from his trip to the

New World in the 1490s (Berger, 1962). Production of maize spread throughout Europe

and into North Africa and was introduced to West Africa by the Portuguese in the early













APPENDIX B
MAIZE AND IMPROVED FALLOW SPECIES DESCRIPTION


The following appendix begins with a brief description of the history of

maize, how the plant develops, and describes the climatic, soil, and nutritional

requirements for optimal growth. Particular emphasis is placed on nitrogen since it is the

most important nutrient for maize growth and is currently being exhausted from Southern

African soils. The second part of the paper discusses four improved fallow tree species

that are the focus of this study: Sesbania sesban, Tephrosia vogelii, Gliricida sepium,

and Cajanus cajan. It compares their benefits and costs to maize production and the

farmers in Eastern Zambia.

Maize

Maize is grown in practically every part of the world, particularly in the tropics.

It is of tropical Mexican origin and is a member of the grass family Gramineae,

subfamily Panicoideae. Linneaus classified maize Zea mays in 1737 in his work "Genera

Plantarum". Zea is a Greek word used to describe cereals and mays is based on the

original Indian words, "mahis" meaning the "source of life" or "marisi". The word

maize is also based on the words "mahis" or "marisi". Christopher Columbus named the

plant after his crewmembers found a sample in Cuba. It is thought that Columbus

introduced the species after he brought it to Europe when he returned from his trip to the

New World in the 1490s (Berger, 1962). Production of maize spread throughout Europe

and into North Africa and was introduced to West Africa by the Portuguese in the early








16th century (Norman, Pearson, Searle, 1995 and Berger, 1962). It was established as a

primary crop in the Congo around 1930 (Norman, Pearson, Searle, 1995 and Berger,

1962). Now maize is produced in nearly every part of the world. It is the third most

important cereal crop in the world after rice and wheat. The biggest producers of maize

are the United States, China, and Brazil.

Maize Development

A maize plant grows 2 to 3.5 m tall and has a growing season anywhere from 90

to 120 days, depending upon latitude, climate and environmental conditions. It has two

main development stages, the vegetative, or initiation stage, and the reproductive stage.

These stages can be further divided into the following five phases (Berger 1962):

1. Planting to emergence.
2. Emergence to tasseling and silking.
3. Pollination and fertilization.
4. Grain production from fertilization to maximum dry weight of the grain.
5. Maturation or drying of grain and stalk.

The vegetative phase begins when the planted seed absorbs water, the roots "

develop, leaves are produced, and the last branch of the tassel is visible, about 55 days

after emergence (Ritchie and Benson 1993; Berger 1962). The silks become visible

outside the stalk at about 60 days, when the pollen is shed and anthesis (flowering)

begins. This is the most critical stage of development for maize. "Stress during pollen

shed and silking can cause more yield loss than almost any other period in the crop's

development (Nielson 2001)." After pollination and fertilization occurs the kernels start

to grow. The process to maturity takes approximately 115 days depending upon the

variety of maize being grown.








Climatic Requirements

The growth rate of maize is directly related to temperature. It is very important in

determining the time of tasseling (Berger 1962). Cooler temperatures will delay growth.

Higher temperatures, with high relative humidity during the day, speed the growth rate in

the early stages and also determine the number of grains formed during the grain forming

period (Norman, Pearson, Searle 1995). More grains develop with higher temperatures

and adequate moisture. However, high temperatures, in conjunction with drought stress,

can scorch exposed silks and damage pollen grains thereby affecting yield (Nielson

2001). Optimal temperatures for growth range from 160C to 360C (Norman, Pearson,

Searle 1995; Berger 1962; Saskatchewan Interactive).

Maize is very susceptible to drought at flowering and pollination. Water stress

can delay silking and seriously affect grain yield (Norman, Pearson, Searle 1995; Nielson

2001). Symptoms of water stress include leaf curling and darkened coloring. Equally,

maize will not tolerate flooded conditions. Annual rainfall should be about 460 to 800

mm for optimum growth (Berger 1962; The Maize Page, Iowa State).

Soil Requirements

Maize adapts well to a variety of soils but grows best on well structured,

adequately drained, and aerated soils that contain an abundance of nutrients and organic

matter. Most maize is grown on loams, silt loams, and clay loams, which exhibit these

characteristics. In the tropics Oxisols, Ultisols, Alfisols, and Inceptisols are best suited

for maize production (Norman, Pearson, Searle 1995).








Nutrient Requirements

The most important nutrients for maize growth are nitrogen, phosphorous, and

potassium, which depend upon the fertility of the soil. Adequate uptake per hectare for

maize is about 167 to 241 kg N, 50 to 90 kg P205, and 101 to 196 kg K20 (Berger 1962).

Plants take up nutrients throughout the growing season but most nutrients are extracted

about 10 days before tasseling until approximately 25 to 30 days after tasseling (Norman,

Pearson, Searle 1995; Berger 1962). Nutrient deficiencies prolong the interval from

emergence to tasseling or silking.

Nitrogen deficiency appears first in older parts of a plant as nitrogen is

translocated from older leaves to the younger leaves. Eventually the whole plant will

start to yellow, a process called chlorosis. Other symptoms include stunted growth,

reduced flowering, and lower protein content.

Soil Fertility and Improved Fallows

Maize is a very important food source for people living in Southern Africa. With

the occurrence of drought and infertile soils, farmers are having difficulties maintaining

adequate maize harvests and, hence, having to battle food insecurity. Soils are low in

nitrogen primarily due to previous cropping and leaching below the root zone to the

lower soil profiles making it harder for maize to access it. In soils where leached

nitrogen is retained in the subsurface horizons, deep-rooted trees used in rotation with

annual maize crops are capable of extracting this nitrogen from the deep subsoil and

using it to enrich the surface soil. Maize yields in fields where improved fallow species

were grown have been seen to be equivalent and sometimes greater than with the use of








fertilizer. Such agroforestry practices have the potential to make a significant

contribution to agricultural production and food security in Southern Africa.

Of the several species of nitrogen-fixing trees currently researched, Sesbania

sesban, Tephrosia vogelii, Gliricidia sepium, and Cajanus cajun are the focus of this study.

A brief comparison of each species is offered below.

Sesbania sesban

Sesbania sesban is a small, deep-rooting tree that usually grows one to seven

meters in height (ICRAF Online). It is widely cultivated throughout Africa and Asia but

Africa is its center of diversity (ICRAF Online). It will grow well in any soil (UC SAREP

Online), particularly sandy and clay loams (Kwesiga and Beniest 1998). It is not unusual

to find the tree in seasonally flooded areas that are common along streams or swamp banks,

as it ideally suited to flooded areas (ICRAF Online; UC SAREP Online). In addition to

increased maize yields, advantages of Sesbania sesban include (Kwesiga and Beniest 1998;

Opio 2001; Raussen 1997; Buresh and Tian 1998; ICRAF Online; UC SAREP Online):

1. Weed suppression
2. Drought resistance
3. Good seed production
4. Unpalatable to livestock
5. Used as firewood or stakes
6. Used for making ropes and fishnet
7. Flowers are edible
8. High quality forage source
9. Leaves, roots, and seed can be used medicinally

After a three year fallow, Sesbania sesban provides 23 mg kg'1 of inorganic nitrogen,

which is immediately available to plants; .51 mg kg"1 day-' of aerobic nitrogen that

becomes available over time, and 28 mg kg'1 soil nitrogen in light fraction soil organic

matter (SOM), the most active part that will break down during the mineralization








process and become available to the plant. The main disadvantage to planting Sesbania

sp. in a fallow field is the amount of labor required; seedlings need a great amount of

detail, care, and labor since they must be planted in a nursery before being transplanted to

a field. The raised beds in the nursery must have a thin layer of soil from a healthy stand

of Sesbania sp., which serves as an innoculant for the root nodules, and a layer of

riverbed soil where the seeds are drilled (Kwesiga and Beniest 1998; Raussen 1997;

farmer interview 2000). The seed has to be prepared with boiling water the night before

planting and once planted in the nursery, must be shaded in extreme cases of heat and

drought, watered, and weeded twice daily for two weeks (Kwesiga and Beniest 1998;

Raussen 1997; farmer interview 2000). While it has been observed that some farmers

have direct seeded the plants with some success (Donald Phiri, World Vision personal

communication) farmers with no former experience with nurseries require training and,

for female farmers, nurseries increase their already heavy workload and may compete

with other farm activities.

In addition to increased labor requirements in the early stages, Sesbania sesban

will not do well in areas infested with nematodes (Kwesiga and Beniest 1998). If one

area of the field is infested then the entire tree stand will become infected and any

susceptible crops planted in the same area will also be infected (Kwesiga and Beniest

1998). Insect pests may also be a problem. Leaf-eating and sucking insects, such as

beetles, caterpillars, aphids, weevils, and thrips, can destroy flowers, buds, fruits, or seeds

and defoliate trees. Ants and termites can also damage the roots and stem (Kwesiga and

Beniest 1998; Raussen 1997).








Gliricidia sepium

Gliricidia sepium is a tree that grows to a height of 2 to 15 meters (ICRAF

Online). It occurs naturally in coastal sand dunes, riverbanks, floodplains and fallow

land, and it establishes well on steep slopes (ICRAF Online). Some of the benefits of

Gliricidia sepium are as follows (ICRAF Online, New Crop, FactNet) :

1. Will grow well in a variety of soils from pure sand to deep alluvial lake-bed
deposits
2. Improves soil aeration
3. Reduces soil temperature
4. Drought resistant and water conserving
5. Tolerates browsing
6. Controls erosion
7. Provides shade for shade loving food crops
8. Suppresses weed growth
9. Resistant to termites
10. Seeds can be stored for up to 12 months
11. Wood can be used for firewood and charcoal production or for household
construction
12. Attracts honeybees, hence, can be an important species for honey production
13. Leaves or seeds can be used as a pesticide
14. High quality food supplement for large and small ruminants

In addition, the seeds can be directly sown provided that the land has been properly

prepared. The area planted does require regular weeding and it is recommended that the

trees be pruned and pollarded as part of a regular maintenance regime. After two years of

fallow when the trees are cut, Gliricidia sepium will regenerate, whereas Sesbania sesban

has to be replanted. The disadvantage of Gliricidia sepium is that maize yields are less

than yields of maize planted in a Sesbania sesban improved fallow plot, 3600-4050 kg

ha"' versus 4950-5400 kg ha' respectively (personal communication World Vision). This

means that Sesbania sesban is able to retrieve more nitrogen than Gliricidia sepium.

After a fallow of Gliricidia sepium 18 mg kg'1 of inorganic nitrogen, .30 mg kg"' day"' of








aerobic nitrogen, and 20 mg kg'' soil nitrogen in light fraction SOM is made available (all

figures from Kwesiga and Beniest 1998).

Tephrosia vogelii

Tephrosia vogelii is a small tree that reaches heights of 0.5 to 4 meters. It is

native to Africa and can be found in a wide range of habitat, including savannah-like

vegetation, grassland, shrub land, and wasteland. It grows well on acid soils, such as

andisols, and well-drained loams, and is tolerant to soils with low pH, although low pH

affects the rate of growth and makes the tree prone to diseases (ICRAF Online). Termites

can be a severe problem and the trees are susceptible to livestock damage (Raussen 1997;

ICRAF Online). Some of the benefits of Tephrosia vogelii include (ICRAF Online;

McGregor 1976):

1. Can be direct seeded
2. Tolerant to drought, wind and grazing
3. Holds up under repeated pruning
4. Suitable as a hedge plant because of its dense growth
5. Seeds can be stored for up to 3 years in open storage
6. Unaffected by burning
7. Can be used as an insecticide or for fish poison
8. Honey bees have a role in pollination, which could have a positive role in
honey harvesting

While maize yields after Tephrosia sp. are 3.18 t ha"' compared to that ofS.

seban, 5.36 t ha'1 (Kwesiga and Beniest 1998), Tephrosia sp. requires less labor.

Because of the deep root system of the trees they are more apt to re-sprout, meaning that

no seeds are needed for a new improved fallow field and, therefore, less labor is required.

Cajanus cajun

Cajanus cajan, or pigeon pea, is a short-lived shrub (1-5 years) that will grow

from 0.5 to 4 meters high with thin roots that can penetrate up to two meters of soil








(ICRAF Online). It originated in India, eventually spread to Southeast Asia, and reached

Africa around 2000 BC. It is now found all over the tropics, especially East Africa and

the Indian subcontinent (ICRAF Online). Its natural habitat is uncertain because it has

not been found in the wild. While it prefers grassy areas in warm, tropical climates with

600 to 1000 mm annual rainfall, it will grow in areas with rainfall as high as 2500 mm

annually and as low as 400 mm annually. Cajanus sp. will grow from 0 to 2000 meters

above sea level and will tolerate a wide range of soils with different physical and

chemical characteristics. The most ideal soils are alluvial soils with a ph range of 5 to 7

(ICRAF Online). It is sensitive to high salinity soils and to water logging. In addition to

soil improvement Cajanus sp. has other advantages and uses. They are as follows

(ICRAF Online):

1. Erosion control
2. Shade or shelter
3. Ideal for intercropping
4. Seeds are edible and nutritious
5. Can be used for fodder
6. Honeybees collect nectar, therefore can be an important honey source
7. Can be used as fuel wood
8. May be suitable for making paper
9. Can be used for light construction
10. Has medicinal uses

Termites can be a problem for Cajanus sp., therefore it should not be planted in

areas where termite infestation is known to be a problem (Raussen 1997). Flower- and

pod-sucking insects can also hinder growth and health of the plant and during the dry

season it is susceptible to damage from grazing livestock.












armer #
APPENDIX C
ZAMBIA WORLD VISION/ICRAF/UF CRSP SOIL FERTILITY SURVEY

DEMOGRAPHICS

Type of farmer NT T/NE TE
District\Village\Camp
Gender M F
1. Name
2. Head of household? FHH or MHH?
3. Marital Status E Single El Widow Q Married E Divorced
E Polyg Spouses live together 0 Polyg Spouses live separate

4. Household composition: Young with children<5 yrs; Established; Older with
children>18 yrs

5. Number of People in Household Ages, Gender (number of people sharing food,
income, costs, etc.)

6. Where were you born?
7. How long did you stay in school?
8. How long have you lived in this village?
9. Whose village do you live in (mom, dad, spouse)?
10. Ethnic group
11. Wealth status (ICRAF scaling method)
E Very poor E Poor 0 Fairly well off OWell off

FARM DESCRIPTION

12. How many fields do you have?
13. How long have you been cultivating this field? yrs
14. What crops do you grow? Hybrid or local maize?
15. Area planted for each crop.








16. When is each crop planted?
17. Who plants each crop?
18. How long does it take to plant? 18a. How many hrs per day?
19. What is the amt of seed planted for each crop?
20. Did you buy seed for any of the crops? What crops?
21. Who buys it?
22. How much is paid for each amt?
23. When do you buy the seed?
24. What were your yields for each crop?
25. What are your expected/avg yields for each year? A normal year, not an
exceptionally good or bad year.

26. When is each crop harvested?
27. Who harvested it?
28. How long did it take to harvest?
29. Did you sell any crops last year? What amt of crops did you sell last year?
30. When did you sell the crops?
31. How long does it take to sell?
32. Who sold the crops?
33. What amount did you eat?
34. Did you cultivate with oxen?
35. Did you hire/rent the oxen? How much did you pay?
36. When is each crop weeded?
37. How many times is each crop weeded?
38. Who weeds it?
39. How long does it take to weed?
40. Are any crops intercropped (planted together)? If yes, which ones?


DIMBA
41. Do you have a garden (dimba) plot?
42. Did you cultivate the garden this year?








43. What did you cultivate in your dimba?
44. What is the area of your dimba?
45. When is it planted?
46. Who plants it?
47. How long does it take each person to plant?
48. When is the garden weeded?
49. How many times is it weeded?
50. Who weeds it?
51. How long does it take to weed?
52. Did you buy seeds for any of your dimba crops? If so, which ones?
53. When did you buy seeds?
54. How much did you pay for the seeds?
55. When is the crop harvested?
56. Who harvests it?
57. What were your dimba yields last year?
58. What are your expected dimba yields in an average year?
59. Did you sell any of your dimba crops? If yes, which ones?
60. How much did you sell your dimba crops for?
61. When did you sell them?
62. How much maize does your HH need per month?
63. What do you do with the husks?
64. How long does it take to pound maize?
65. Who does it?
66. How long do you wait in line at the grinding mill?
67. How much time is spent collecting firewood?
68. Do you ever buy firewood? If so, how much is spent?

FARM EXPENSES

69. Did the maize you harvested last year last until you harvested this year?
70. What month did the maize you harvested last year finish?








71. How did you get the rest of the maize you needed to last all year?
72. How much did you have to buy for a week (or month)?
73. When did you buy the maize? If do ganyu to get maize, what month?
74. How much did you pay for it?
75. Who paid for it?
76. How much maize do you need to last all year?
77. Do you buy food other than maize? If so, what?
78. How much money do you need to buy the food per month?
79. Who pays for the other food?
80. Do you hire labor?
81. When do you hire the labor?
82. How much do you pay for the labor?
83. Who pays for the labor?

CHEMICAL FERTILIZERS AND OTHER INPUTS

84. Do you use fertilizer, manure, or pesticides on your crops or dimba?
85. If no, why not? (if yes, skip to question #92)
86. Are there any other inputs (other than fertilizer) that are used?
87. If so, what are they?
88. How much cash is spent on these inputs?
89. Who pays for these other inputs?
90. When is fertilizer/pesticides/manure applied?
91. Who does it?
92. How long does it take?
93. Is the fertilizer (or manure) purchased, receive credit for, or do you barter for? (if
barter go to #99)

94. How much is purchased and how much is paid for the fertilizer (manure)?
95. Who purchases the fertilizers?
96. When is the fertilizer (or manure) purchased?
97. If you barter do you exchange work or crops for fertilizer or manure?








98. With whom/how?
99. In the past few years, have you decreased your fertilizer use?
100. From how much to how much?
101. Why did you decrease the amount of fertilizer you use?
102. Have you changed the crops that you plant or the way that you plant your crops
because you use less fertilizer? How?


103.
104.
105.
106.
107.


Have you noticed changes in your crop yields with less or no fertilizer?
If yes, can you give me an example of how your yields have changed (quantify)?
Do you ever buy small (<50 kg) bags of fertilizer? If Yes, when?
If yes, why do you buy small bags?
Do you buy a buy a small bag of fertilizer for your dimba because you need less
than 50 kgs?


108. Do you buy a small bag for your maize field because you have some money but not
enough for a 50 kg bag?

FARM ANIMALS


109.
110.
111.
112.
113.
114.
115.
116.
117.
118.
119.
120.
121.
122.
123.


Do you have any animals?
What kind? Goats Cattle Chickens Pigs Oxen
How many do you have?
What is done to take care of them (feeding, housing, etc)?
Who does this?
How long does it take each day to care for them?
How much food do they get?
If the food is bought, where do you get the feed?
How much do you pay?
If grown, where is it grown?
How much labor does it take to grow it?
Do you use the animals for meat?
If so, how often do you use them for their meat?
Are they ever sold?
How much money would you get for one?




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