IMPACT OF TREADLE PUMP ADOPTION ON FOOD SECURITY; Kasungu District, Malawi.
1.0 INTRODUCTION
This chapter presents background information on the problem to be studied, a problem statement, the rationale of the study, objectives of the study and the outline of the thesis.
1.1 Background
Malawi is currently facing high food insecurity levels at household and national levels.
The country has an agro-based economy and agriculture holds a potential for increased economic growth and for development at large. Agriculture contributes between 35-45%
of Malawi’s GDP and 90% of export revenues (EIU, 2004). The majority of the population live in rural areas and mostly rely on agriculture. The agricultural sector is the main source of employment and income. Malawi’s agriculture is predominantly rain-fed.
The climate is generally subtropical with a unimodal rainfall. The average rainfall ranges from 760 to 1,015 mm with long dry spells (MOAI, 1999). There has been hence a growing concern to improve agricultural production through irrigation technologies and treadle pumps have been identified to be essential technologies to achieve high yields.
Treadle pumps are water-lifting devices for irrigation purposes (see figure 1.1).
Smallholder farmers on small-scale plots of land often use them. The pumps are sold to farmers through The Department of irrigation; organizations such as ADMARC, NASFAM, and other community based non-governmental organizations like World Vision International. Irrigation has played a greater role in feeding the population. It does not only raise the yields of crops but also prolongs the effective crop growing period, hence permitting multiple cropping.
Malawi’s population is increasing and is growing at a rate of 2% (EIU, 2004), which is putting pressure on suitable arable land. Treadle pumps are potentials of offsetting the pressure on land by providing the capacity to cultivate intensively throughout the year.
The pump also frees the farmer from dependence on rain fed cultivation and removes the drudgery of watering crops with buckets. The pumps can also create employment
opportunities for the local communities in processes of manufacturing and selling them as well as in farms.
Public sector agricultural extension services play a vital role in promoting the adoption of treadle pumps and hence improving production efficiency. In Malawi, agricultural extension had until recently a supply driven delivery system. This did not allow farmers to participate and determine the required information needed for their agricultural production. This is because it was assumed that farmers are not competent to decide the objectives or content of extension programmes because many farmers have little formal education.
The system has been inefficient, as it has not been responsive to farmers needs. As a result Government and its partners in the agricultural sector have formulated a new
‘demand driven’ extension services policy where delivery is pluralistic to make extension more effective in serving farmers needs and institutionally more sustainable (MPRSP, 2002). This implies a multidirectional communication process between extension staff and farmers. Such a communication process could foster treadle pump adoption. An agricultural extension service can be seen as an on going process that helps farmers to acquire knowledge, change attitudes and norms that can help in solving certain problems to improve agricultural production.
1.2 Problem statement
Malawi’s agriculture is characterised by low productivity. This is a major constraint to food and economic security. The underlying cause of food insecurity is poverty. Poverty can be defined as a condition of deprivation of obtaining necessary materials and services to attain minimum acceptable level of well being. In Malawi, poverty is multifaceted such as constraints on the economic productivity of land, capital labour and technology.
Poverty is more prevalent in rural with 66.5% of the population living below the poverty line (MPRSP, 2002). Productive agricultural land is diminishing, creating a land scarcity problem for agriculture with the increase in population growth. About 78% of rural households cultivate less than one hectare of land (EIU, 2004). The problem of land shortage is also in Kasungu district, the area under study. The district has a high
population density, which is decreasing land-holding sizes. This is a threat to improved food production, productivity and reduced poverty levels both household and national levels. Treadle pumps have a potential to contribute to increased food production and land productivity levels. At household level, food security can be defined as the ability of the household to secure adequate food either from its own production or through purchases, for all household members to meet dietary needs for an active and healthy life (Smith, Jensen and Obeid, 2000).
Malawi’s economy has been affected by macro policy reforms. The structural adjustment policies, which were implemented in the early 1980’s, had a price effect on agricultural inputs. The lifting of price controls and elimination of fertiliser subsidies during the reforms has contributed to increased input prices and reduced output prices (Sahn, Arulpragasam and Merid, 1990). This has escalated food insecurity levels in the country.
Farmers respond differently to extension advice, depending on their perceptions of the message in question. The design of extension systems has impact on the reception and utilisation to farmers. In Malawi, most extension campaigns have been not been integrated creatively into practical usable solutions for farmers. Extension methods used have not considered farmers socio economic background. Few extension workers monitor the progress of farmers after implementation of a technology. Farmers find their own solutions without technical expertise to problems they encounter in the adoption process.
As a result farmers, fail to perform to the maximum potential with the technology and tend to withdraw from active participation. Farmers do not participate in either planning or evaluation of extension programmes (MoAI, 1999). It then becomes difficult to make interim adjustments to extension campaigns.
1.3 Rationale of the study
Food insecurity has been a major constraint to improved livelihoods in Malawi. Most rural households are food insecure. Treadle pumps as an example of an innovation, can help in increasing production through agricultural intensification and diversification. A majority of smallholder farmers are using treadle pumps to mitigate current food shortages. Agricultural extension is one of the policy instruments that government can use to promote treadle pump adoption. Most research has until this time not focused on
the contribution of treadle pumps as an irrigation technology that can increase household food security. Furthermore, there is little research on the extension workers involvement in treadle pump adoption. The study will therefore try to assess the impact of treadle pumps to farmers that own and operate them. The study will also assess the contribution of extension workers in adoption of the pump. This will in turn help policy makers to focus on policies that will improve smallholder farmers agricultural productivity which will contribute to the overall goal of poverty reduction.
1.4 Objectives
In order to conduct the investigations, the following were the objectives:
1.0 To identify and describe present adaptation of different groups of households.
2.0 To identify the present adoption levels of treadle pumps among different groups of households.
3.0 To describe the role of extension services to farmers in general and in particular on adoption of treadle pumps.
1.5 Thesis Structure
In chapter two, a theoretical overview of the impacts of treadle pump adoption is presented. The chapter will describe present food situation in Malawi, theories on adoption processes in general, impacts of treadle pumps on economic, socio cultural and farming patterns, role of extension services and approaches used in promoting treadle pump adoption.
Chapter three presents the description of the area under study. Methodology and models used for data analysis are also presented.
Chapter three presents results and discussion of the study. This includes the present adaptation, present adoption levels and the roles of extension services in adoption.
Chapter four presents conclusions and tentative recommendations arising from the study.
Figure 1.1 Treadle pump
2.0 Theoretical Overview
This chapter gives an overview of theories on household adaptation in general, how farmers adopt technologies, the diffusion and innovation processes, the impacts of adoption of treadle pumps on food security and poverty reduction and the role of agricultural extension services. A revised set of research questions is also presented, where theoretical issues are included. Important actors are the farmers, extension services and the farmers’ socio-cultural and economic environment. In drought prone areas, irrigation is an option to improve and sustain rural livelihoods by securing increased food production.
Farmers use different sources of water supply such as rivers, streams, dams and lakes. On average the land size plausible for treadle pump irrigation is 0.28 hectares (Shah, Alam, Kumar, Nagar and Singh, 2000). Treadle pump adoption is affected by socio-cultural, technical and economic conditions of the actors and extension methods used to farmers. Economic conditions include production related factors such as access to land, labour, capital and also the willingness to convert endowments into entitlements.
2.1 How do farmers adapt?
Farmers adapt in different ways to their livelihoods. This is due to different capabilities of access to assets.
2.1.1 Access to assets and constraints to improved livelihood
Household assets play a fundamental role for farmers to achieve their objectives. These assets are owned, controlled or accessed by the household (Ellis, 1993). Assets constitutes that can be used to produce outputs. The assets could be natural, physical, human, financial and social capital (ibid.). Farmers commonly own land as a type of natural capital; farm machinery as physical capital; household labour as human capital;
food stocks, savings and access to loans as financial capital; and they relate to social institutions, ties and networks as social capital. Asset access thus strongly influences households in their decision making when pursuing production activities. Vedeld (1990) outlines an analytical model that maps decision making of a household in utilising assets to produce outputs and achieve household objectives (see figure 2.1).
The model will be used to explain factors influencing household decision-making.
HOUSEHOLD ECONOMIC MODEL
Production processes
RESOURCES
Land Labour Capital
Cropping patterns, irrigation, harvesting, livestock, off & non farm activities.
OUTPUTS
Crop production Livestockproduction
HOUSEHOLD OBJECTIVES Production Consumption
Employment Natural vagaries Socio-cultural
environment Institutions and
policy Population
growth
EXTERNAL FACTORS TO THE HOUSEHOLD
Source: modified from Vedeld (1990)
Figure2.1 Household Economic Model 1) Inputs
Households strive to achieve their objectives by allocating resources in cost efficient ways. The environment and resource positions in which households live provide opportunities and limitations that influence their decision-making. Most smallholder farmers are constrained by production factors such as land, labour and capital necessary to improve productivity and outputs (Sijm, 1997). Access to landholdings provides a basis for meeting subsistence requirements in most smallholder farmers. Farmers with
large farm holdings may be more willing to adopt technolgies, as it would be easier to spread risks. In case of treadle pumps, most farmers with small landholdings may be willing to adopt the pumps as they function as a land-augmenting intervention as a result of land use intensification (Shah et al. 2000). Labour is essential in raising production.
Smallholder farmers sometimes face a shortage of labour during critical periods of the crop cycle. The availability of labour determines the preference for adoption of technologies and also the effective performance of agricultural activities to get optimum yields. The family is the common source of labour. Treadle pumps demands a lot labour and families with many grown-up members are likely to adopt treadle pumps (Shah et al., 2000). Malawi’s agriculture is labour intensive. Age and health status, are some of the factors influencing labour availability. According to MoAI (1999), 44% of the population is below the age of 14, leaving 56% as the source of the country’s effective labour.
Hence, only few people can use and adopt the treadle pump. Access to financial capital can affect the decision to adopt. In Malawi, most farmers have poor access to lending institutions. This is because these institutions demand high collateral requirements and high interest rates (ibid.). Despite that micro finance institutions exist, none of them provide specialized and low cost services to agriculture.
2) Outputs
The level of output affects decision making in utilising the resources. Consequently this affects consumption and production levels. Low output may also impede the ability to re- invest in production capacity enhancement.
3) External factors
Household external factors can have positive or negative effects on household resource endowment and ability to convert to entitlements. Farmers have little or no control over these external factors. Population growth can help a household in acquiring more labour.
However, the growth can also affect land access and availability. Institutional factors such as market prices support of outputs and reduced input costs can give an incentive to encourage adoption of technologies (Pretty, 1995). Provision of extension and research services can ensure that farmers have access to new technologies and capacity to adapt them to their own conditions (ibid.). Natural vagaries create risks and uncertainty to
households. This can affect household decision-making in utilising resources and adoption of innovations. Droughts for example, may influence a farmer to adopt irrigation technologies to mitigate inadequate rains.
2.1.2 Heterogeneity factors in adaptation
Socio-economic factors represent the different characteristics in the categories of people in decision-making. These factors include age, sex, gender, marital status, occupation, wealth status and education level. The factors reflect differences in decision making related to preferences and utility of the resources (Vedeld, 1998). The age of a farmer can influence the type of technology to adopt. The youth may be more willing to use innovations that demand a lot of energy. Sex and gender are linked to the socio cultural environment of a farmer. Different societies have different roles for men, women and children. The roles are often acquired through the process of socialisation. Marital status plays a great role in decision-making. Education attainment improves on the rational decision-making of farmers. It provides farmers with the basic skills that facilitate the transmission of technical knowledge, making the possibility of keeping farm records and making simple calculations required for deciding on the economic benefits of proposed innovations.
2.2 How do farmers adopt new technologies?
2.2.1 Decision pathways
Theories that explain the decision of farmers to adopt can be classified in three groups:
the economic constraint model, the innovation-diffusion model and the technology characteristic model (Negatu and Parikh, 1999). Farmers make decisions on whether to accept or reject a technology after analysing their own socio-economic and environmental factors. The economic constraints model assumes that households access to resources influence critically on the ability and willingness to adopt a technological innovation (Vedeld, 1990). The innovation-diffusion model also known as the ‘transfer of technology’ approach (TOT) argues that a technology has to be transmitted from researchers to farmers through competent extension services as farmers lack information and knowledge about the innovation (Rogers, 1995). The technology characteristic model
assumes that the characteristics of the innovation play a role in decision making of adoption and diffusion process (Scoones and Thomson, 1994; Vedeld and Krogh, 2001).
2.2.2 What kinds of innovation will the farmer accept or consider to adopt?
Farming systems of most smallholder farmers are complex and diverse (Chambers et al., 1989). Most technologies entail that farmers change their farming systems. Consequently, farmers may have problems in adopting technology that demands changes in their modes of farming. Vedeld et al. (2001) reports that properties of a technology affects the decision to adopt: the innovation should have a relative advantage compared to others such as saving time, reducing drudgery or improving income levels. Innovations often fail because of their complexity and are often not implemented correctly. This is sometimes because a farmer may fail to grasp the concept of the innovation especially if it is not practical or in line with the needs of the farmer. A farmer is also risk averse and he is more inclined to adopt an innovation if it is low cost and easy to see the results.
Farmers learn much from observing results of an innovation. Farmers’ decisions on adoption are also strongly influenced by their social and cultural values and beliefs.
Nevertheless, Rogers (1995) outlines different stages that are associated with decision making for farmers: a farmer becomes aware of the innovation and acquires knowledge about the innovation. He or she then forms and/or changes attitudes towards the innovation. It is this change in attitude that forms a basis for decision making to adopt or reject an innovation based on both theoretical and experience-based practical insights and skills. The farmer then implements the innovation. He or she also gathers addition information and practical experience after the adoption to confirm if he has made the right decision. In practice, a farmer does not always follow the outlined stages. A farmer can and often form and change an attitude towards the innovation after adoption. For the treadle pumps, a farmer may need addition training and learning after implementation.
This is to facilitate the sustainability of on adoption.
2.2.3 Who adopts?
In adoption processes, not all farmers adopt a new technology at the same time. Ban and Hawkins (1988) states that those who are prompt to adopt innovations have similar
characteristics: they have frequent contact with extension workers, they often have higher levels of education, have positive attitudes to change and they also have a relatively high income and standard of living. Shah et al. (2000) state that the adoption characteristic has led to a ‘treadle pump trickle down’ hypothesis. From this hypothesis, the authors expound that the pioneers of treadle pump adopters tend to be less poor. With time, as the technology blends into the social fabric, the poor also tend to adopt and stick to it.
Reij and Waters-Bayer (2001) report that a positive correlation between farm size, assets in general and the level of innovativeness can be expected as those who have big farms are often rich and have more access to resources including information. They can also better afford to engage in risky technologies. Most farmers have been thought of adopting very slowly or failing to adopt because of their traditional or conservative attitude towards life in what is called the “individual-blame” hypothesis. According to (MoAI, 1999), adopters of treadle pumps in Malawi were graduates of water can dimba irrigation practice. Most crops grown under treadle pumps are for household consumption but also sell their produce at local markets and in the gardens (Wiyo et al. 2002).
2.2.4 Why do farmers adopt?
In order to improve household food security, farmers adopt technologies that can improve farm productivity. This in turn may improve their livelihoods and reduce the levels of poverty. The need to adopt technologies such as treadle pumps in Malawi has been due current food shortages among households in the country.
Malawi was hit by a famine in the 2001/2002 growing season that had adverse effects on food security and consequently on poverty levels (EIU, 2002). The critical months were between January and March when about 78% of farm families had no food. Maize is the main staple food of the country. Some of the causes of the famine include adverse climatic changes, a poor harvest in the 2000/2001 growing season and rapidly rising food prices. The problem exacerbated as the strategic grain reserves were sold. Producer prices have been kept low to keep inflation in check. Despite the low producer prices, input costs have remained high. This also implied that farmers have been unable to grow sufficient maize. The situation was expected to be no better in the 2002/2003 growing
season because of the agro-meteorogical conditions, which were not optimal for crop production. In this season planting rains started late and were erratic with prolonged dry spells and early cessations. According to UNDP (1998), about 55% of rural communities are now facing chronic food insecurity, 31% being marginally food secure and only 14%
being food secure. The most vulnerable groups were the elderly, children and women.
Food production contributes significantly to food security. According to FEWS NET (2002), smallholder production of maize, the main staple and conventional barometer of food security fell by 28% below the five-year average 1996/1997 to 2000/2001 growing seasons. The drop in maize production obviously contributed to its low availability in the country.
To mitigate food shortages, smallholder farmers may embark on adopting irrigation technologies using treadle pumps. The pump enables farmers to improve crop yields and livelihoods. Most adopters are found to cultivate in dimba1 areas and the production supplements maize food stocks. Farmers can sell that surplus in form of cash. The commonly grown crops are green maize, potatoes and horticultural crops such as onions, tomatoes and leafy vegetables (Wiyo, Lunduka and Nalivata, 2002).
2.2.5 How are innovations diffused?
Socio-cutural and economic differences among farmers play an important role in how knowledge about an innovation will be shared. Scoones et al. (1994) also state that the dynamics of transfer of knowledge is partly a political issue. Wealthy farmers will have more power to reveal their full opinions, beliefs, values and ideas than the less resource endowed. Ban et al. (1988) argues that the trustworthiness of the source of the message plays a more important role in dissemination than an authority-subordinate type of relationship. Farmers will often be more willing to take messages from fellow farmers with similar socio economic status.
2.3 Impacts of adoption
Adoption of new technologies will generally have both negative and positive impacts.
Treadle pumps have economic, socio-cultural as well as farming practices that impacts on
farmers’ livelihoods. Farmers assess the costs verses benefits of the impacts of new technologies and make a decision to adopt or not.
2.3.1 Economic impacts
According to Kay and Brabben (2000), treadle pumps enable farmers to raise their incomes levels through increased crop yields and land productivity. Furthermore, as farmers are able to utilise irrigation water, they also acquire an incentive to take risks trying out new crops. This in turn spread their farming risks giving different food crops and increases access to food. Treadle pumps also increase employment opportunities for artisans who are manufacturing the pumps, carpenters producing the treadles, and workforce on farms to cope with the increased labour demands. Hence, rural livelihoods are likely to improve with these opportunities and the poverty levels can be reduced.
However, overproduction of crops due to treadle pumps can cause a market glut and prices of their commodities might be affected. This is because most adopters grow same kind of crops during the same seasons. Even though Shah et al. (2000) states that the pumps have a main advantage of the ease of operation and low cost of maintenance, this might not be true in all societies. Treadle pumps demand a lot of human energy to treadle; this might be a disadvantage to the households with the elderly and women who have relatively less hand work capacity. Most smallholder farmers may also have problems in meeting maintenance costs as they already face financial constraints. In Malawi few treadle pumps are being adopted because of high purchasing costs. This is because suppliers are not local artisans (Wiyo et al., 2002). The distance to the suppliers who often stay away from rural areas discourage farmers from buying the pumps.
Different types of irrigation systems have different environmental impacts. Irrigation can cause damage to downstream ecosystems due to reduced water quantity and quality, salinization, water logging, erosion as well as soil acidification (Dougherty and Hall, 1995). These may in long term deteriorate the productivity of soils and in turn reduce yield levels of crops.
2.3.2 Agronomic impacts
Kay et al. (2000) reports that treadle pumps have substantial impacts on farming practices and cropping patterns. The total area of cultivated land increases due to irrigation. A farmer is able to grow a wider menu of crops and he can increase growing cycles since crops grow faster with full provision of water through irrigation. Treadle pumps are easy to operate and hence reduce time spent irrigating crops compared with traditional manual irrigation devices. This helps a farmer to achieve high yields and increase in productivity levels, increasing food production and availability. However, most smallholders’ farming systems are complex and diverse. There may be a need to change the whole systems such as a complete reversal of mixed cropping to mono cropping for effective irrigation. This may conflict with farmers’ interests and be a reason for non-adoption.
2.3.3 Socio cultural impacts
Shah et al. (2000) in their studies in South Asia, found that rural poor people prefer to adopt the treadle pump and making it a good poverty reduction intervention. The pump also offers a substitute of muscle power for fossil fuels. Farmers do not spend incomes on buying fuel (ibid.). Environmentalists are in favour of the pumps as it reduces pressures on land expansion onto marginal lands. This creates a win-win situation.
In Malawi, Wiyo et al. (2002) found out that 77% of the adopters were male-headed households with relatively high literacy levels. They use treadle pumps in a group of 10 to 20 people, which also promotes social capital and hence social security in their societies. Irrigation may thus enhance inequity levels in societies (Dougherty and Hall, 1995). In some societies, women do not feel comfortable in using the pump, as they feel exposed and undignified. Hence they are less likely to adopt the pump. For female- headed households, it will entail that they can face lower food production and become more food insecure. Women are also disadvantaged where male extension workers due to cultural reasons, tend to restrict themselves towards male farmers.
Irrigation has other negative social impacts such as the reduction of water levels for domestic uses for downstream communities. Irrigation can also enhance the spread of waterborne disease to communities who are using the same water point source (ibid.).
2.4 What is the role of agricultural extension?
Extension services play different roles in improving farmers’ livelihoods and food security.
2.4.1 Empirical evolution of extension in Malawi
Agricultural extension is a continuously renewal processes with changing times. The agricultural policies after independence in 1964 up to early 1970s favoured the estate2 sub-sector (MoAI, 1999). Extension services were also biased towards the estate sub- sector than smallholder farmers. In the 1970’s, the World Bank introduced the training and visit extension delivery system classic of ‘transfer of technology’ approach, which has also been used by Malawi’s government (ibid.). Up to1994, Malawi’s agricultural extension revolved around credit clubs. Extension workers were responsible for forming the clubs, supervising the collection of inputs and collecting credit repayments. The technical advice dominated on hybrid maize and fertiliser that formed the basis of all credit. The extension system has been using the ‘block-extension system’, a modification of train and visit approach. Farmers meet at an agreed place known as ‘a block’ where extension messages and demonstrations take place. Currently, many farmers are not attending the ‘block’ meetings, as there is no more access to credit (MoAI, 1999).
The ‘train and visit’ system was widespread because of its simplicity in organisation, objectives and operation of well-known management principles (Benor and Baxter, 1984). In the train and visit approach, extension workers train and visit ‘contact farmers.’3 Having recognized the failures of training and visit as well block extension system, Malawi is advocating a ‘demand driven’ approach of extension service delivery to make delivery more effective and responsive to farmers’ needs (MPRSP). The approach is pluralistic allowing farmers to decide on the kind of information required.
The approach addresses similar issues as those of ‘beyond farmers first approach’.
Emphasis is on the learning processes than on teaching (Pretty, 1995). The pedagogic goals become self-learning and self-teaching. The new roles of extension services are to
2 Malawi’s agriculture is comprised of the estate sub-sector that use leasehold land and smallholder farmers mostly use customary land.
3 These are farmers who are trained and visited by extension workers so that when they adopt a technology, they should be able to diffuse to fellow farmers.
integrate people’s knowledge with formal science, building partnership between extension, farmers and research staff. The extension staff is oriented towards participatory processes. In this way, farmers are able to prioritise their needs.
2.4.2 How are extension services structured?
Agricultural extension in Malawi is organised in a structured flow of command. An extension agent works with farmers in a section. The section is under the Ecological Planning Area (EPA) that is supervised by a development worker who reports his duties to the district agriculture officer and subject matter specialists. All district offices operate duties within the Agricultural Development Divisions (ADDs). The latter reports to the ministry headquarters.
Extension services face constraints in the carrying field operations. The extension worker to farmer ratio is low; hence few farmers have access to the services. Extension workers often lack means of transport to visit their clients. This is exacerbated by lack of running funds, leading to poor performance of the services (MoAI, 1999). There is little contact between extension workers and researchers who mostly do not develop trials and experiments with farmers.
2.4.3 Social construction theories
Agricultural extension provides information to farmers, researchers and policy makers. It also helps farmers reach their goals as efficiently as possible and help in changing farmers behaviour to achieve policy makers’ goals. According to Vedeld, Moulton and Krogh (1998), extension workers typically have good knowledge about farmers’ social background knowledge values, practical problems and opinions. Hence extension workers can have a concise approach to farmers on what messages to convey, how to communicate and when to address farmers. Ban et al. (1988) outlines different strategies that extension organisations can use to influence farmers’ behaviour: some extension workers prefer using the ‘development and influence strategy’ where extension service is towards working to get farmers to a situation considered desirable by the extension organisation. Another approach used is the ‘social marketing strategy’ where the extension service works in the interests of farmers. The ‘problem-solving strategy’ is
another method that can be used where the extension service works jointly with the farmers to unravel their problems. The choice of the strategy depends on the type of the problem; trust in farmers’ capabilities and the mission of the extension organisation. In treadle pump adoption, the problem-solving strategy would be more effective as it involves participation of both actors’ interests. This would in turn achieve high farm productivity levels, and therefore increasing food production and reducing levels of poverty.
2.4.4 Extension approaches in promoting treadle pump adoption
In Malawi, prior to 1996/1997, farmers were using motorised pumps whose utilisation was not viable due to frequent technical problems and high maintenance costs. There was also inadequate trained personnel and training programmes for farmers in irrigation issues leading to low adoption levels (MPRSP, 2002). Agricultural extension workers and NGOs played a greater role to sensitise farmers on treadle pumps as an alternative to motorised pumps. Wiyo et al. (2002) reports that farmers received information on assembling of the treadle pump, priming, operation, plot layout, repair and maintenance as well as water management. However, extension workers have not been given training on treadle pumps to enhance adoption. Most extension workers are still using the training and visit approach in disseminating irrigation information.
2.4.5 Paradigms in extension system of delivery
The extension services use different methods to disseminate information to the targeted and intended users. Different methods play a role in helping farmers form opinions and make decisions. According to Ban et al. (1988), the methods can be through mass media such as newspapers, radio, televisions magazines and fliers. Group methods are also an important input in disseminating information. These can be through demonstrations, excursions, which expose farmers to new technologies, and group discussions where members help each other in identifying and finding solutions to their problems.
Individual extension method helps in supplying information for solving a sole problem such as a major investment decision. Treadle pump adoption however requires an application of different outlined methods to achieve high productivity levels.
Chambers, Pacey and Thrupp (1989) reports that many scientists use the ‘transfer of technology’ approach where technologies are disseminated to farmers, the latter participating passively by being mere recipients of technologies. Researchers and extension workers often perceive farmers as primal and unscientific (Scoones et al., 1994). The transfer of technologies approach has increasingly been recognized to be inappropriate in farming systems, which are complex, diverse and risk prone and characterised by resource poor farmers (ibid. and Chambers et al., 1989). Researchers are furthermore becoming more interested in the reward systems based on scientific publications and are disheartened to work in the field with farmers perceived to be less scientific (Pretty, 1995). In order to serve these farmers, there has now come a shift towards ‘farmer-friendly’ approaches in generating and disseminating technologies.
There is a growing acceptance that participatory approaches are essential for meaningful adoption of technologies and for development (ibid.). This implies that local people have to be involved actively in participation. Local participation can be seen as “a strategy of devolution of authority and power, resources, distribution of rights and duties from state to local levels of governance and from public to civil societies” (Vedeld, 2002:14).
According to Pretty (1995) there are two schools of thought and practice about community participation. One school views participation as a means to increase efficiency. The concept being that involved people are more likely to agree and support a new development or service. The other school of thought sees community participation as a right where the aim is to mobilise collective action empowerment and institutional building. Chambers et al. (1989) describe the new shift towards farmer participation as the ‘farmer first approach’. The author argues that the approach understand farmers perspectives by acknowledging their local knowledge in their farming environment. The approach is more accountable to farmers. Therefore this contributes to a process of self- empowerment and development. However, this approach is criticised as it assumes that farmer’s local knowledge represents is a defined stock of knowledge that is ready for extraction and incorporation into the western scientific system (Scoones et al., 1994). The approach presents the view that farming communities share common goals and access to resources. The authors continue to state that the ‘farmer first knowledge’ emphasise on knowledge exchange between the actors of generation and dissemination (researchers,
extension workers and farmers). The approach lacks the analytical depth where for example, social-political factors are overlooked. Hence, the emergence of ‘beyond farmers first’ approach (ibid.). The new approach advocates that knowledge is diffuse and fragmentary such that the different actors may have conflicting interests and goals. The approach also acknowledges the links between power and the knowledge, which can confront with other knowledge systems in different social settings. Thus innovation and creation is shaped on these ‘battlefields of knowledge’ (Long and Long, 1992).
Treadle pump innovation is a singular mode innovation where farmers have ration choice in deciding how the package should be presented. Active participation can be effective in determining the compatibility of the innovation with their farming systems and socio- cultural environment.
Table 2.1 is showing the differences in the types of participation related to transfer of technology, farmer first and beyond farmer first approaches in technology generation and dissemination.
Table 2.1 Comparison of TOT, Farmer first and Beyond farmers first approaches.
Approaches Transfer of technology
(TOT)
Farmers first approach
Beyond farmers first approach
Assumptions Farmers knowledge is primitive and
unscientific, need to be told to adopt
technologies
Populist ideology of common goals, interests and power among farmers
Differentiated interests, goals, power between actors and the networks
Mode of field learning -Researchers generate technology, extension workers disseminate and farmers adopt.
-Errors are concealed or ignored
-Farmer or community consensus solutions to identified problems -Designed solutions and planned outcomes with farmers involved in planning and implementation
-Negotiation and conflict resolution between different interest groups
-Planning with dynamic and adaptive
implementation of negotiated outcomes through dialogue and empowerment Role of extension
workers and researchers
Designers of technologies and disseminate
Planner of interventions, manager of
implementation
Facilitator, initiator and catalysts
Role of farmers Adopt technologies Reactive respondent, passive participant
Creative investigator and analyst, active partcipant
Styles of investigation -Standadised, top-down, linear approach.
-Institutions work in isolation
-Structured and
systematic organisation -institutions are linked to each other
Centres on networks, relations of power and dynamic performances -institutions are linked to each other
Chambers et al.: 182, Scoones et al.: 22
The new approaches are ‘farmer first’ and ‘beyond farmer first’ emphasise participatory tools. For researchers, a close relationship with farmers helps to understand the problem from users’ perspectives (Scoones, 2001). This in turn helps researchers to develop technologies that will yield useful results. The transfer of technology approach depends much on extensive support for research in order to equip the extension delivery system
(Chambers et al. 1994). With changing macro economic policies, such as the structural adjustment programmes, there has been a decreased level of governments’ service provision in research and extension (ibid.). Hence the need for more flexible approaches that focus on farmers identification of needs through their demands. However, both formal and informal sciences are essential and need to complement each other. For treadle pump adoption, there is need for applying all approaches. This is because farmers have to be aware of the technology before they can actively be involved in participatory approaches.
For extension services to be effective, there is need for training of extension staff to improve their capacity in delivery. According to Frémy in SAA/Global/CASIN (2000), pre-service and in-service training is essential for technical preparation of extension messages. Those with many years of service have little education attainment as such do not have the capacity to deal with farmers as entrepreneurs and relate them professionally to researchers. In terms of irrigation techniques, training should address issues such as water management, operation and maintenance of the treadle pump, installation techniques and field demonstrations with farmers (Kay et al. 2000).
2.5 Revised research questions for the investigation
In order to achieve the objectives of the investigation, attempts were made to answer the following questions:
Objective 1: Present adaptation levels of households
• What kind of resources do households access?
• What do they make a living out of the resources?
• What are the key constraints for improved livelihood?
Objective 2: Present adoption levels of treadle pumps among households
• Why do some farmers adopt and others do not adopt?
• What are the observed differences between adopters and non-adopters?
• What are the impacts of adoption to households?
Objective 3: Role of extension services to farmers in general and in particular on adoption of treadle pumps
• How roles do extension workers play to farmers?
• What approaches are used to disseminate information?
• What are the key constraints that extension workers face in their services?
3.0 Methodology
This chapter presents the different methods that were used during the fieldwork and in data analysis.
A general description of the area under study is outlined. Survey methods and data collection methods are presented. Models used in the analysis are also presented.
3.1 Description of the area under study
3.1.1 Location and demographic characteristics
The study was conducted in Kasungu district in central Malawi (see map 3.1) and lies at a position of 13° 1' 60S, 33° 28' 60E. Agricultural activities are coordinated under the Kasungu Agricultural Development Division (KADD) agro-ecosystem. The district has a population of 569,581 of which 52% of the people are under 18 years old.
Two extension-planning areas (EPAs) were selected, Kasungu–Chipala (13° 0' 0S, 33°
28' 60E) at an altitude of 1151 meters and Chulu (13° 40' 60S, 33° 40' 0E) lying at an altitude of 1211 meters. The sampled villages were Chioza village under Chulu EPA, Chikankheni and Mnduka villages under Kasungu-Chipala EPA.
3.1.2 Climate
Kasungu experiences a warm tropical climate characterized by a unimodal rainfall pattern, receiving erratic rains ranging from 500 to 1200 mm per year. The district lies at an altitude of 1342 meters and has a mean annual temperature of 19-23°C. The soils are predominant oxisols, ultisols, and alfisols. Soils are reasonably fertile and there is much potential for improved agricultural development.
3.1.3 Agricultural activities and water sources for irrigation
Kasungu district is dominated by the ‘estate sector’ in agriculture. There are 416,000 hectares of cultivable land. Arable land is used for crop cultivation and grazing. Maize production occupies 70 % of the cultivated area followed by groundnuts (12%) and tobacco (3%). Smallholder farmers have farm holdings slightly above the national average.
Most of the people in the rural areas of Kasungu are farmers who mostly rely on rain fed agriculture. Chioza village has a dam as a source of water for irrigation. Chikankheni and Mnduka villages use water from the streams.
3.2 Survey methods
A field reconnaissance was done in these EPAs to conceptualize the problems on the ground and consequently plan for selection of the sample. One village was selected from Chulu EPA and two villages were selected from Kasungu-Chipala EPA. The choice of the study area depended on the presence of farmers using treadle pumps. Eight extension workers involved in treadle pump promotion were selected. Ten households and two extension workers were randomly selected from the EPA’s for pre-testing. This helped in improving the questionnaire in relation to the objectives and research questions.
3.2.1 Quantitative and qualitative methods
Quantitative and qualitative methods were used in the methodological approaches of the study. This was done in order to get a comprehensive view of the situation in the study area. Qualitative methods used were focus group discussions and participant observations. This was done to examine the treadle pump adoption phenomena within the particular cultural and social context. In quantitative methods, a social survey was conducted to collect data using a structured questionnaire for households and extension workers. The method helps in conceptualising a logic structure in which theories address hypotheses. The interviews were conducted at home or at work sites. The deliberations were held between household heads or their spouses and in some cases older children or a relative within the household. Where possible, the rest of the members in the household participated to supplement information. A total of 90 households were interviewed, 45 of whom were adopters.
3.3 Data collection methods
Focus group discussions and a household questionnaire were used to collect data.
3.3.1 Sampling of households
Sampling can be defined as the process of selecting a representative set of cases from a much larger set (Ragin, 1994). Stratified sampling was used to select adopters’ and non
adopters’ households.4 Polygamous families were treated as separate households. Fifteen percent of the households were randomly selected from the strata. The adopters’
households were randomly selected from the total number of adopters. Non-adopters’
households were randomly selected from the total number of non-adopters. This made the sampling suitable for statistical testing. Below is a table showing the total number of selected households.
Table 3.1 Household sample sizes according to villages. Kasungu, 2003.
Village Total number of households in the village
Sampled adopters’
households
Total adopters
Non- adopters’
households
Total non- adopters
Chikankheni 93 14 29 14 64
Mnduka 100 15 34 15 66
Chioza 105 16 37 16 68
Total 298 45 100 45 198
3.3.2 Group interviews
Focus group discussions were conducted in order to gather information on main livelihood activities pursued in the villages and socio-economic status of the areas. The meetings comprised of men and women. Key informants and local chiefs were interviewed to get an in depth information.
3.4 Data validity and reliability
Data validity and data reliability measures the accuracy and consistence of the research.
Reliability assesses whether the research has random errors. It determines the consistence of the measurements. High reliability represents high correlation between dependent and independent variables. Reliability can relate to the researcher or the respondents. In the research study, reliability problems might have been due to:
4 A household was defined by local people as a group of individuals living together and eating from the same pot.
• Some respondents, who were spouses, might have been giving different production estimates from their true estimates. The problem was corrected by getting more correct information from elder children or relatives.
• Some respondents gave incorrect answers wilfully so as to seem to be poor by underestimating production and income levels. The situation was corrected by explaining more clearly to them the purpose of research.
• Some respondents had problems in giving correct information on land sizes and production due to lack of knowledge. Some had memory problems in recalling production levels and incomes. Key informants and local leaders had knowledge about farmer’s production levels and helped when the respondent was unsure.
Validity is a measure determining the extent of systematic errors in the data material (Hair, Anderson, Tatham and Black, 1995). If relevant variables are excluded, the statistical models are biased. Data validity is to a great extent dependent on the researcher. In the research study, validity problems might have been due to:
• Questions not specific enough for the respondent to understand
• Asking leading questions
• Omitting relevant or including irrelevant information
Enumerators were trained to minimize possibilities of the validity problems. All households were generally co-operative, no household refused to be interviewed.
3.5 Models used in the analysis
This section describes the models used to analyse the objectives presented in chapter 1, section 1.4. Minitab statistical package was used to analyse data.
3.5.1 Objective 1: present household adaptation
A theoretical framework by Vedeld (1990) modified into a household decision model was used to answer research questions (see Box 3.1) under this objective.
Box 3.1 Objective 1 and research questions
Objective 1: Assess household present adaptation Research questions
• What kind of resources do households access?
• What do they make a living out of the resources?
• What are the key constraints for improved livelihood?
The household model was modified to suit the local conditions. In this model, households’ access to endowments and use of entitlements are discussed.
3.5.1.1 Statistical tests
Descriptive statistics was used such as means, standard deviations and percentages to find the household adaptation. Besides, the two-sample t-test, the multiple linear regressions and the Gini coefficient and Lorenz curves (see section 3.5.4) were used.
Two-sample t-test is used for comparing two different kinds of samples. Data comprise of independent random samples, x1, x2, …, xn and y1, y2,…,ym. The t-test is used to test if H0: µx= µy. The test statistic obtained from the data is used accept or reject the null hypothesis.
A multiple linear regression is used to study the relationship between the dependent and independent variables. The model is estimated by:
Yi = βi+ β1X1i +…+ βnXin + ei ………... 3.5.1 Where Y is the independent variable
βi is the constant,
β1X1i +…+ βnXin are the independent variables.
ei are independent error terms N(0,δ)
Factors that contribute to improve household livelihoods also contribute to the constraints that households face. Gross output value (see section 3.5.3) was used as a proxy for improved livelihood.
3.5.2 Objective 2: Present adoption levels among households
Households had different capacities in adopting treadle pumps. Research questions shown in box 3.2 were used to answer the objective.
Box 3.2 Objective 2 and research questions
Objective 2: Present adoption levels of treadle pumps among households Research questions:
• Why do some households adopt and others do not adopt?
• What are the observed differences between adopters and non-adopters?
• What impacts do treadle pumps have on households?
3.5.2.1 Statistical tests
A logistic regression model was used to estimate factors affecting adoption of treadle pumps. Descriptive statistics such as percentages, standard deviations and means were used. Two-sample t-tests and Chi-square tests were also used. A multiple linear regression model was used to assess the impacts of treadle pumps on households. The Gini coefficient and the Lorenz curves were used to assess gross output values differences between adopters and non-adopters.
Chi-square is used when testing categorical data that is recorded as classes. Observed frequency associated with a class is compared to an expected frequency. The null hypothesis that two traits X and Y are independent is tested by rejecting H0 if the observed and expected frequencies are far too apart (Hair, Anderson, Tatham and Black, 1995).
The logistic regression model is based on the cumulative logistic probability function and is by Gujarati (2003) given by:
Pi = E (Y= 1| Xi) = 1/ (1+ e – ( β1+β 2X
i ) ………3.5.2
Where Pi is the probability that an individual will take a certain choice (adopt, non adopt) given the knowledge of Xi. Pi ranges from 0 to 1 and it is non linear. The dependent variables are all dummy variables of either 0 or 1 with 1 being the yes alternative. The more negative the log-likelihood (0) is, the better is the predictability.
Β1 and Β2Xi explain how much parameter Xi is affecting the dependent variable. The negative the sign the less the parameter is affecting the dependent variable. The P-values indicate how much the explanatory variables can explain the variation in the dependent variable.
3.5.3 The Gross Output Value
Gross Output Value (GOV) was used to estimate the value of entitlements that households can consume, save, invest or exchange into other goods. GOV was calculated as sum of values from different entitlements that households owned:
• Crop production was given as the market value of total produce.
• Remittances were calculated as gross amount received.
• Livestock value was calculated from sales of livestock and produce, market value of the stock.
• Employment was calculated as gross salaries.
• Private businesses were calculated as gross earnings.
3.5.4 The Gini Coefficient and Lorenz curve
The Gini coefficient and the Lorenz curves were used to assess income distribution levels for adopters and non-adopters. The Gini coefficient is estimated by
G =1-
∑
− (Y= 1 0 k
i
i+1 + Y1) (Xi+1 – Xi) ……….3.5.3 Where G is the Gini coefficient
Y = the cumulative incomes
X is the cumulative households K is the number of classes
3.5.5 Socio economic variables
Households have variations in adaptation and adoption levels. Socio economic variables were used to represent the adaptation and adoption properties. This section discusses the socio economic variables like land, labour, capital and external factors. Some of these variables were used in the statistical tests for objectives 1 and 2.
3.5.5.1 Land
Land comprised the total area owned and accessed by households. This included land under fallow, grazing or hired land. Irrigated land and access to water sources are also included. The potential to irrigate depends among others on the availability of water sources. The size of the land was estimated in hectares. It is expected that the more land a household have the more the produce and the higher the adoption level.
3.5.5.2 Labour
The quantity of labour was calculated from household members using standard worker units. Consumers were converted into consumer units. (See Appendix 2). Consumer worker ratio was calculated from consumer units and worker units to show the relationship between consumers and workers. The higher the ratio, the higher is the dependency burden, implying a ‘worse off’ livelihood status. Household size also represents labour endowment. It comprises of both consumers and workers. In the regression models worker units were used as they reflect the quantity of labour on farm and income generating activities. Consumer units, consumer worker units and household size were excluded from the models to avoid correlation among the variables.
The age of household head is an important element in the quality of labour that reflects the capacity for decision-making in resource use and access. Variations in household adaptation are related to the age of the household head. The youth will tend to have less restriction in accessing resources. Age of the household head, also reflects the willingness to access new information such as adoption of treadle pumps.
3.5.5.3 Capital
Capital can be defined as goods or property owned by a households. This includes fixed and liquid assets. Fixed assets are materials that are used in the long term such as farm machinery. Liquid assets are materials and cash that have short period of service. Credit and livestock are other forms of capital. Higher access to credit is expected to increase production levels and adoption levels. Livestock is also a form of capital. In the analysis livestock owned by households was converted into Tropical Livestock Units (TLU) (see appendix 3).
3.5.5.4 External factors to the household
Increase in population, natural vagaries, market availability and access to information from extension workers are some of the aspects that households have little control over them. In the regression models, factors used are drought as a natural vagary, access to markets and information from extension services.
3.5.6 Objective 3: Roles of extension services
Extension services help in supplying farmers with information important for production processes. Research questions set in box 3.3 were used to answer the objective.
Box 3.3 Objective 3 and research questions Objective: Role of agricultural extension services Research questions:
• What tasks do extension workers play to farmers?
• What approaches are used to disseminate information?
• What are the key constraints that extension workers face in their services?
3.5.3.1 Statistical tests
Descriptive analyses such as percentages were used in analysing the roles of extension workers to farmers.
MAP OF MALAWI SHOWING AREA UNDER STUDY
Area under study
Map 3.1 Kasungu District in central Malawi.
4.0 Results and Discussion
This chapter presents results and discussions on the adoption of treadle pumps. Methods presented in chapter three are used to analyse the findings. Background information given in chapter one and theories presented in chapter two are used to discuss the findings. The chapter is divided into three parts corresponding to the objectives presented in chapter 2.
4.1 Household adaptation
In this section, an analysis of household’s resource allocation in Kasungu district is presented. A household economic model is used (see chapter 2) to discuss allocation of endowments for production and how entitlements are used. This is used as a framework for the first objective and the corresponding research questions (see below).
Box 4.1 Objective 1 and research questions Objective 1:
Assess household’s present general adaptation.
Research questions
-What kind of resources do households access?
-What do they make a living out of the resources?
-What are the key constraints for improved livelihood?
4.1.1 Access to endowments for production
Households form a base for livelihood and development through production, exchange and transfer processes of endowments such as land, labour and capital to produce entitlements.
4.1.1.1 Capital access
Capital helps to improve production. Most households access capital in form of credit or livestock.
1) Access to credit
Most respondents report to have little access to credit. About 23 % of the respondents report to access formal credit. The formal institutions include commercial banks, which
offer credit in form of cash and MRFC, which offers loan in the form of fertiliser. The amount of loans offered to farmers varies depending on the collateral requirements. Three percent of the respondents got loans from commercial banks and 20.8 % got credit from MRFC. NASFAM, a private institution facilitates farmers who are its members to access loans from commercial banks. However, none of the respondents were members of the institution. Formal lending institutions charge high interest rates of about 49 % per annum. This is expensive for smallholder farmers. Most respondents report to access informal credit from relatives and friends without any collateral.
Most respondents indicated that they take up credit for income generating activities such as buying inputs for agricultural production and for micro enterprise development. Credit also helps households to raise money in difficult times as one respondent reported:
“Yields were very low during the 2000/2001 growing season, such that I had to borrow some money from my friends to repay the fertiliser loan I got from MRFC.”
Man, 41; Chioza village.
2) Livestock
All respondents had some kind of livestock. Few respondents owned cattle (27.8 %).
About 62 % owned goats, 49.7 % owned pigs and 91 % owned some form of poultry.
Below are the average tropical livestock units (TLU) among households in the surveyed area.
Table 4.1 Tropical livestock units among households. Kasungu, 2003 N=90
Type of livestock Average TLU Standard deviation
Cattle 0.9 2.5
Goats 0.4 0.7
Pigs 0.4 2.4
Poultry 0.3 0.5
Total 2.0 6.1
The standard deviations for cattle and pigs are high which imply differences in livestock holding between households. Respondents reported that theft and diseases have adversely reduced the number of livestock units.
Livestock serves different purposes. Products are used as sources of income, manure and food. Besides, livestock also functions as a symbol of prestige in the societies.
Respondents also indicated that livestock is used as a buffer in times of drought just as one respondent indicated:
“During the 2001/2002 famines, all of us who had some form of livestock survived, as we were able to sell in exchange for maize or cash.”
Woman, 52; Mnduka village.
3) Assets
Ownership and access of assets for income generation varied across households. The common assets for most respondents were oxcarts and bicycles that were used for transport purposes. Households that were actively involved in irrigation owned treadle pumps.
4.1.1.2 Land
Land is an essential component in production. Households access land differently, which also affects output levels. Water sources also serves important functions in production.
1) Access and utilisation
All respondents in the sampled villages report to own land privately, mainly under customary tenure. Few respondents (6.7%) rent land for cultivation. Land acquisition was mainly through legacy and through buying. The average cost of land was 8,000 MK per hectare. Though inheritance of the land has no financial costs, it encourages land fragmentation. With increasing population, land will be subdivided further in small pieces with less economic viability. The mean landholding for respondents was now 5.2 hectares with a standard deviation of 3.4, indicating variations in land sizes. Ten percent own less than 2 hectares of land. Most respondents who inherited land had farms close to
their homesteads. Those who owned dimba land had such parcels located away from their homesteads. The mean distance to dimba lands was one kilometre. Fifty two percent of the respondents had two types of land; dimba and upland areas. The figure below shows land allocation for dimba and upland areas.
Land allocation for dimba and upland
1 6%
2 94%
1 'dimba' 2 ' upland'
Figure 4.1 Land allocation for dimba and upland farms. Kasungu, 2003
Upland areas mainly consist of the arable land. The main food crops grown in the arable land were maize and cassava. Tobacco, and groundnuts were the main cash crops grown.
The common crops grown in the dimbas were vegetables, potatoes, beans and maize.
Households produced these crops for own consumption and for income generation.
Soils in the dimba land are relatively more fertile than the upland area. This is because dimba soils retain most of the nutrients. The upland has gentle slopes, which allows cultivation of most cover crops that also help to prevent soil erosion.
Twenty eight percent of the respondents had part of the upland under fallow, which was partially used as grazing land. Much of the cultivated land had gentle slopes with relatively fertile soils.
2) Water access
Kasungu district receives erratic rains and access to irrigation is essential for improved production. Households had different water sources for irrigation; Chioza households used water from a dam, Chikankheni and Mnduka households used water from the streams. However, proximity of the farm to the water sources determines households’
