Frieder Graef

Methods to assess farming sustainability in developing countries. A review

Sustainable agricultural development is fundamental to food security and poverty alleviation, notably in developing countries. Many development initiatives focus on the enhancement of smallholder production and productivity because the majority of poor people in developing countries live in rural areas where agriculture is the main source of livelihood. The consequences of these development initiatives need to be assessed before implementation to reduce the risk of possible negative impacts. This can be done by applying ex ante sustainability impact assessment. Here, we compare methods of assessment of sustainability impact for farming interventions. We review methodological approaches and verify whether the requirements of sustainability impact assessment theory are fulfilled. Our major points are the following: (1) main methodological approaches do not fulfill the requirements defined in the theoretical sustainability impact assessment discourse. (2) The active involvement of different stakeholder groups throughout the assessment process and the possibility of learning and exchange are fundamental to sustainability impact assessment. (3) The institutional dimension of sustainability is not yet sufficiently integrated. We therefore suggest institutional criteria and indicators to be also considered in the sustainability impact assessment framework. We argue that sustainability impact assessment, respecting the interactive involvement of all stakeholder groups throughout the whole process, is a compulsory element in project planning for a sustainable agricultural development in developing countries.

Integrated assessment of sustainable agricultural practices to enhance climate resilience in Morogoro, Tanzania

Climate change is an unprecedented global threat to fundamental life-supporting systems and people’s livelihoods and is expected to aggravate development challenges. Subsistence-oriented smallholder farmers of developing regions, such as those in sub-Saharan Africa, are highly vulnerable to these changes given their lower adaptive capacity. In this context, building a climate-resilient agricultural society is an essential requirement to protect livelihoods. Hence, there is a need for spreading the climate-resilient sustainable agricultural (CRSA) practices by replicating the proven ones to larger areas (scaling-up). Fostering widespread adoption of such practices needs consideration of their social, ecological, economic, and institutional appropriateness in target areas. This article reports the application of a tool “ScalA” that generates information on a multitude of aspects and assesses the local suitability of CRSA practices among sub-Saharan smallholders. It also briefly presents other state-of-the-art tools that can be used for similar purposes. In the first case study, the tool is used to assess appropriateness of agroforestry, biochar application, and rainwater harvesting in Fulwe village of Morogoro, Tanzania, for enhancing resilience capacity. In another case study, the potential of fertilizer management is assessed for two different villages, i.e., Fulwe and Mlali. Analytically, appropriateness of interventions is assessed by the deviation of the actual factor constellation of the scaling-up process with an optimal constellation that will foster the wider adoption of the given practice.

Expert-based ex-ante assessments of potential social, ecological, and economic impacts of upgrading strategies for improving food security in rural Tanzania using the ScalA-FS approach

Subsistence farmers in sub-Saharan Africa are highly vulnerable to food insecurity given their low adaptive capacity against ecological and socio-economic shocks. Therefore, food security is one of their main challenges. Participatory action research across food value chains (FVCs) can help stabilize and enhance food security by developing upgrading strategies (UPS) that enhance specific aspects of crop production, post-harvest processing, marketing, income generation, and consumption. However, prior to their widespread adoption or upscaling, UPS need holistic understandings of their potential social, ecological, economic, and institutional challenges and opportunities in target areas. This article reports the application of the “ScalA-FS” tool, which assessed the potential success of selected UPS using assessment criteria developed by agricultural scientists and local farmers in a participatory process in Tanzania. This work is embedded in a larger participatory research project conducted in semi-arid and sub-humid ecological settings of the Dodoma and Morogoro regions of Tanzania. Results from the assessment of the potential impact of the UPS differed strongly between the UPS and the social, economic and environmental assessment criteria, but only slightly between semi-arid and sub-humid regions. The positive impacts of food-securing UPS centre on productivity and income generation. Rain water harvesting, fertilizer micro-dosing, optimized weeding, and promotion of kitchen gardens were expected to have the highest impacts after implementation. The ScalA-FS ex-ante assessments provide a knowledge base about potential impacts, as well as the potential bottlenecks to address during the implementation of UPS.

Food security in the context of climate change and bioenergy production in Tanzania: methods, tools and applications

A dramatic population growth is projected for the least developed countries of the world (United Nations 2013), which will also suffer disproportionally from ongoing and predicted climate disruptions (IPCC 2013). More frequently occurring extreme weather events have led to yield losses and decreasing cattle populations—aggravating an already precarious situation and leading to critical food shortages. Food security is a function of food availability, food accessibility, food stability and food utilisation (FAO 2002; Ziervogel and Ericksen 2010). Climate change and population growth are seen as key drivers of food insecurity severely affecting farming systems (Muller et al. 2011; Haberl et al. 2011, Strengers et al. 2010), as well as the global energy demand and therefore induced biofuel production (Von Braun 2007a), changing trade patterns through liberalisation and globalisation (Von Braun 2007b; Lotze-Campen et al. 2010), and the state of health of the population (10–20 % AIDS rate in East Africa). Cause– effect chains, in which food security is involved (droughts– diseases–health–human capital), are also drivers over large regions (Ziervogel and Ericksen 2010). Most of these drivers do not only lead to a productivity decline, but also often result in a degraded natural resource base and declining soil fertility (Graef et al. 2000). Rapidly changing framework conditions (Muller 2011) require a thorough understanding of integrated food systems and targeted incorporation of region-specific innovations. However, creating a sustainable road map for the future is a huge challenge for a variety of reasons. Mainly rainfed, subsistence-oriented smallholder farming systems are not only extremely vulnerable to a changing and unpredictable climate, but often also lack access to external inputs, institutional support and adaptive capacity. Moreover, food insecurity is often regarded as insufficient food availability which is only part of the picture. Instead of solely focussing on boosting crop yields, the highly complex state of vulnerability needs to be addressed encompassing economic and sociopolitical factors (Misselhorn 2004; Pretty et al. 2006). Also, increased bioenergy production has fuelled land use conflicts and lead to largescale deforestation due to the growing international demand for biofuels. Biomass is still the primary source of energy in developing countries—important for income, energy supply, poverty reduction and self-sufficiency of rural communities (Harvey and Pilgrim 2011; Mitchell 2011; Tilman et al. 2009). Effective climate change adaptation and food security intervention strategies need to pursue a holistic approach and an array of objectives: social and economic viability, soil health, minimum use of scarce water and fossil energy, affordable and low external inputs, improvement in infrastructure and market access, as well as conservation of natural resources and biodiversity. To achieve positive impacts and sustainable solutions, international research projects increasingly focus on integrated in-depth analysis of the food system itself and its core elements: (a) natural and human resources, (b) the use of Disclaimer The views expressed are purely those of the authors and may not in any circumstances be regarded as stating an official position of the European Commission.

Natural Resource Management and Crop Production Strategies to Improve Regional Food Systems in Tanzania

Sustainable rural food systems for poor and vulnerable people need to be locally adapted to enhance food security. This requires participatory action research that considers the entire food value chain (FVC). This paper presents an assessment of the feasibility and potential success of upgrading strategies (UPS) for enhancing food security based on a study that was part of a larger participatory research project in two regions of Tanzania. The authors present the results relating to natural resource management and crop production. The results for natural resources show that enhanced soil water management was rated as high for the semi-arid Dodoma region. For the Morogoro region, the experts favoured soil fertility-improving UPS, such as conservation agriculture and agroforestry. Assessments of food production for both regions indicated the importance of intercropping, manure input, pest and disease control and cover crops. Assessments differed greatly between the two different climatic regions, and to a lesser extent between the nationality of the experts and their gender. This highlights the importance of including different South–North and female–male awareness in assessments. Implementation feasibility assessments of UPS indicated that the most suitable approaches were rainwater harvesting for semi-arid and conservation agriculture for subhumid regions respectively. Local and/or regional stakeholders and experts should be involved in developing and assessing site-adapted UPS for enhancing Tanzanian FVCs.

Combining Analytical Methods for Assessing Food Security across the Food Value Chain: A Conceptual Integrated Approach

Food security (FS) is a function of food availability, accessibility, stability and utilization. Food value chains (FVCs) are part of the food system and are characterized by five main components: natural resources, food production, processing, markets and consumption. Many methods are available to assess single FVC components, but few cover a series of FVC components. This paper introduces an integrated research framework which combines both qualitative and quantitative methodologies across a generic FVC. Furthermore, this approach provides mechanisms to identify the contribution to FS of each component in the FVC. The methodology uses an FVC as an analytical framework within which to assess FS in a systematic approach. Starting with a working scenario, each tool was evaluated according to its potential to assess FS indicators in different components, and then classified according to its temporal and spatial scales. The advantages, challenges and limitations of this conceptual approach are evaluated and discussed.

Local biofuel production for rural electrification potentially promotes development but threatens food security in Laela, Western Tanzania

The impacts of biofuel production and the adequacy of the associated production structures are controversial matters despite a projected medium-term growth rate increase. Concurrently, electricity is increasingly perceived as a prerequisite for development. In this article, we assess the potential impacts of the local production of biofuels for electricity production on development and the food supply in the village of Laela in Western Tanzania. Based on a village survey, focus group discussions and expert interviews, we calculated the potential food security effects on four different economic types of farmer groups. The objective of this analysis was to evaluate the potential use of sunflower and groundnut oils as substitutes for fossil fuels for the production of electricity. The baseline framework is based on a comparison of crop production data with current fossil fuel consumption. The ex-ante scenarios assess the gap between the estimated yield losses and the increasing fuel demand through 2015. These comparative analyses of schemes in which vegetable oil production replaces a given level of crop production showed that replacing food crops with crops producing biofuel will most likely impact local food security negatively, causing increased hunger, especially for the poorest farmers and even if climate change is not considered.

Assessment of Upgrading Strategies to Improve Regional Food Systems in Tanzania Food Processing, Waste Management and Bioenergy, and Income Generation

Food security is one of the main goals of rural poor people. To enhance food security in this context, participatory action research can help to ensure sustained success while considering entire food value chains (FVC). This paper assesses the feasibility and potential success of upgrading strategies (UPS) as well as their assessment criteria as developed by German and Tanzanian agricultural scientists. The results form part of a larger participatory research project conducted in two climatically representative regions of Tanzania: semi-arid Dodoma and subhumid Morogoro. This paper presents the findings with respect to food processing, waste management and bioenergy, along with income generation and market participation. Assessments on other components of the FVC, including natural resource management, crop production and consumption, are reported by Graef et al (2015). The assessments for food processing revealed preferences for preservation techniques, oil extraction processes and food storage devices for the semi-arid region. In contrast, in the subhumid region, the experts favoured food storage devices and preservation techniques. Assessments of waste management and bioenergy UPS for both regions indicated the importance of animal feed from crop residues, crop residues as mulch and compost from food waste, although with somewhat different priorities. Assessments on income generation and markets in both regions revealed preferences for savings and credit cooperatives and communication techniques, but also indicated that warehouse receipt systems and guarantee systems had a high impact. Assessments differed between the two different climatic regions, and to some extent also between the nationality of experts and their gender. The authors therefore attach importance to integrating different South–North and female–male awareness in assessments among scientists. Moreover, local and/or regional stakeholders and experts should be involved in developing site-adapted UPS for enhancing FVCs.

Increase without spatial extension: productivity in small-scale palm oil production in Africa—the case of Kigoma, Tanzania

AbstractnThe global demand for palm oil has increased sharply in the past and is expected to double over the coming decades. Land use changes resulting from the concomitant expansion of oil palm cultivation have caused further deforestation, which in turn has had a severely negative impact on the environment and climate. Sustainable intensification strategies are therefore required to meet the growing demand for palm oil while simultaneously improving farm household incomes, increasing food security and self-sufficiency. Palm oil production in Africa and especially in Tanzania is dominated by small-scale subsistence farming systems that are characterised by low productivity and low yields, even in regions with the most suitable cultivation conditions. By conducting stakeholder interviews, focus-group discussions and a household survey, we analysed palm oil production in the Western Tanzanian Province of Kigoma in order to gain a more complete picture of oil palm farming in smallholder systems and to better understand how smallholders evaluate certain options for the intensification of palm oil production. We identified and evaluated locally existing best practices from the farmers’ perspective and identified factors which may have a positive impact on production levels. Our case study sites are characterised by large oil palm plantations that have been operating since colonial times. Also examined were farm plots with an average of 35.7 palm oil trees per acre. Palms are cultivated to produce edible vegetable oil and are used for firewood. The results indicate large differences between output levels that result from the agricultural management practice employed (e.g. using hybrid varieties, sub-optimal planting densities and low weeding or organic fertilising inputs). The processing technology used in the households examined was not conducive for changing the situation from low to high yields and productivity levels. A shift from subsistence to market-orientated production generates income opportunities for farmers and helps meet the ever-increasing demand for palm oil. Our results indicate that an improved small-scale palm oil production system, including agroforestry or mixed cropping and general intensification of plant maintenance, may increase yields without putting additional pressure on natural forests—a step towards ensuring palm oil is produced in na supply chain that avoids deforestation.

ScalA-FS: expert-based ex-ante assessments of local requirements and success potential of upgrading strategies for improving food security in rural Tanzania

Enhancing food security is the main goal of subsistence farmers, who are vulnerable to food insecurity in sub-Saharan Africa. Participatory research across food value chains (FVC) can help stabilize and enhance food security by developing upgrading strategies (UPS). However, prior to successful widespread adoption and geographical upscaling, such practices need in-depth understanding of their suitability in target areas and their particular local requirements. Ex-ante assessments of selected UPS were carried out by German and Tanzanian agricultural scientists using the “ScalA-FS” tool. The participating experts included those responsible for implementation. The tool aims to systematically evaluate, at the community level, UPS that have been successfully implemented elsewhere, evaluate their potential for dissemination, and identify entry points for adjustments during implementation. Assessment indicators were developed through a participatory process. UPS relate to a) natural resource management and crop production; b) food processing and bioenergy; c) income generation and market participation; and d) food consumption. Here we present the ScalA-FS assessment results on UPS suitability as well as on its implementation requirements. We focused on the local context needed to enable a productive collaboration between smallholder farmers and implementing research and/or development organizations. Implementation requirements for the selected UPS were assessed as generally low to medium, and projected suitability in most cases was high. Local knowledge and education (human capital) along with visible success after a short time were important criteria of success of UPS. Here, careful consideration of the challenges before and after implementation of UPS is suggested. ScalA-FS should be applied early in the implementation process of UPS in order to support adaptations and successful upscaling at other locations.