**5. Policy reforms implications**

*Agroforestry - Small Landholder's Tool for Climate Change Resiliency and Mitigation*

use qualifying for European Commission agricultural subsidies in the framework of the common agricultural policy (CAP). This helped farmers receive investment support for the establishment of the agroforestry systems on agricultural lands [38]. Asian countries like China (Grain for Green) and India (Greening India) have also embarked on ambitious programs to increase tree cover outside of forests, including some attention to smallholder agroforestry by providing necessary support such as providing market and/or establishing floor price for agroforestry

Development programs, such as National Adaptation Programs of Action (NAPAs) and Nationally Appropriate Mitigation Actions (NAMAs), as a result of increased attention to climate change, have helped advance agroforestry in some countries. Agroforestry has been recommended to make agricultural production and income more resilient to climate change and variability, transformations in the management of natural resources (*e.g.* land, water, soil nutrients, and genetic resources), resulting in higher efficiency in the use of these resources and inputs for production. Agroforestry, for climate-smart agriculture, is now considered as one of the strategies along with institutional and policy options to promote the transition to climate-smart agriculture at the smallholder farms [39]. The Comprehensive African Agricultural Development Programme (CAADP) endorsed an agriculture climate change adaptation and mitigation framework highlighting agroforestry in 2010. The United Nations Framework Convention on Climate Change (UNFCCC), similarly, recognized agroforestry as a key climate mitigation method within agriculture [40]. The African ministers of agriculture, in the same manner, endorsed wide scaling up of agroforestry to address climate change adaptation and mitigation

The recognition of agroforestry in development programs and the reforms enacted highlight the good intention of the planners and policy makers world over. There are several case studies corroborating the resultant impact of the reforms and strengthening the belief on agroforestry production system, yet the evidences fall short of universal replicability due to poor adoption by and large. The climatic and bio-physical constraints, apart from socio-economic constrains, still hinder the desired spread of the successful models across the globe. The region-specific approach to address the issues need further studies to understand the constraints,

**Barrier Mean1 SD** Does not seem profitable 2.46 1.5 Lack of information on agroforestry 2.44 1.44 Not familiar with technology 2.3 1.56 No market for agroforestry products 2.29 1.51 Lack of seedlings 2.29 1.47 Lack of technical assistance 2.28 1.48 Lack of demonstration sites 2.25 1.52 Trees use much water 2.22 1.41 Insufficient land 2.04 1.32

*Scale: 1 = most important barrier, 2 = important barrier, 3 = less important barrier, 4 = least important barrier,* 

**84**

*1*

**Table 4.**

*5 = not a barrier.*

*Source: Faulkner* et al*, 2014 [41].*

*Barriers to adoption of agroforestry technologies.*

product.

objectives in agriculture in 2009.

Policy reforms in agroforestry has played an important role in promoting agroforestry in different regions/countries differently. The policy reforms have helped promote agroforestry, at macro level, in facilitating adoption and expansion, yet there remains some concern related to, among others, tree germplasm multiplication and dissemination, long term private property rights over land and trees, recognition of agroforestry as an attractive investment area within agricultural institutions and programme. Some of these are outside the domain of agroforestry reforms, yet these are crucial for success of agroforestry reforms.

High quality seedlings production and supply across the farms which need quality trees is crucial. There is good involvement by governments in many instances. In some countries, governments have directly involved in providing seed and seedlings for tree planting efforts in non-agricultural areas to provide watershed protection services. The Ethiopian government, for example, has played an active role in all facets of upscaling tree planting including the establishment of government nurseries and sales at subsidized rates. The Kenyan government has, similarly, supported agroforestry tree seed and seedling supply to meet the newly enacted regulation that all farms must have 10% tree cover. Timber and fruit seedlings are being produced and sold by private sector nurseries, yet seed and seedling systems for tree systems are still not well privatized. The efforts still lack the up-scaling required to provide quality seed and seedlings to different agro-climatic regions. The efforts for local production and supply chain development is warranted with larger role at community and private level. Incentivization and technical back up of such units meeting requirements of region-specific demand of tree species needs a mass movement.

The likelihood of farmers' ability to adopt and reap benefits from agroforestry enhances with long-term tenure security to land [42] due to longer time periods required in testing, adapting and eventually adopting the agroforestry technologies and practices. Trees require lengthy periods to mature, and, therefore, the goods and services produced can affect the incentives for adoption, distribution of benefits, and the impacts leading to poor incentivization of the agroforestry production programme [43]. Absence of land secure rights have poorly impacted even the development of Payment for Ecosystem Services schemes [44], a selfsustaining model to promote agroforestry. Therefore, there is much to be done on this in several regions. While insufficient long-term rights to land have demotivated long term investment on land including agroforestry, this has also manifest itself as conflict between state and smallholder land users within *de jure* forest land such as in the Philippines and Indonesia.

Agroforestry is getting recognition in agricultural strategies, but often merely in a list of options for addressing sustainability. The capacity for agroforestry to generate income is hardly ever recognized in policy documents and, therefore, the associated policy support for its profitability at farms, particularly, smallholder is not quite evident. The micro studies conducted on agroforestry profitability provide ample evidence in favor of market linkage in general and price in particular. The long gestation period of tree harvest postpones the positive net returns flow because of higher initial costs of tree establishment. Smallholder farmers are quite susceptible to initial cash inflow and outflow in sustaining the production enterprise.

The price fluctuations, lack of assured market and poor accessibility to credit apart from other inputs adversely affect the profitability, cash flow and, in turn, perception about agroforestry production.

## **6. The way ahead**

Agroforestry systems promoted through various policy interventions provide benefits such as wood products, fruits, fodder, and improved soil fertility which benefit farmers directly. Where farmers perceive private benefits the demand for agroforestry knowledge and germplasm is expected to be higher. In addition, there is more promotion of agroforestry for other benefits as well, such as for environmental services that accrue to broader society. Despite greater policy recognition of the importance of agroforestry, a number of constraints hinder wider adoption of agroforestry among smallholder farmers in developing countries, both at formulation and implementation levels.

Insufficient attention is paid to the needs of farmers regarding agroforestry trees as regards tree germplasm is concerned. Smallholder farms operate in tight budget constraints and therefore, tree species fetching good market price with shorter duration in combination of the local food crops is crucial to attract and sustain agroforestry enterprise. Of late, some efforts have been redirected exclusively to address this, yet much remains to be done. Similarly, agroforestry is getting attention in the climate change scenario, and this is much needed even in case of smallholder farmers, where more focus is required on tree species which serve the other objectives of small farmers. In particular, the tree species must also help increase their food security, increase or diversify their sources of income generation, take advantage of local or traditional knowledge, be based on local inputs, and have low implementation and labor costs. The agroforestry practices must be suiting to small holdings in combination with the traditional crops grown and meeting the profitability criteria to the extent possible.

While smallholder farmers may be motivated and supported with appropriate incentives to sustain the profitability of agroforestry on their marginal lands, the incentive systems for farmers to produce societal level benefits need to be established and clarified [45]. Payment for Ecosystem services (PES) have been extensively adopted in many regions but appropriate and sustainable models for a wider application is required for which extensive studies should be encouraged in different socio-economic set up. Government involvement in PES market is necessary in the context of smallholders particularly in developing countries. Involvement of corporate sector through Corporate Social Responsubility (CSR) fund is one possibility to promote tree species in agricultural landscape such as multinational company Unilever's investment in the upscaling of Allanblackia, a tree species producing oil with properties that are attractive for a range of food products [46]. The possibilities of a value chain development may be explored with focus on local tree species of a particular region by interlinking the interests of the private sector with appropriate forward and backward linkages with group of smallholder farmers. The initial success of Coca-cola, Pepsi, and Del Monte in food market chain in some African states may be upscaled in similar other areas by promoting enabling market and credit policies supportive of these partnerships between private company and smallholder farmers.

One of the ways to help smallholder farmers strengthen their farm-based livelihoods, in the face of the increasing stresses posed by climate variability, is to focus on helping them use farm management practices based on agro-biodiversity and ecosystem services that provide adaptation benefits. However, the existing policies

**87**

*Farm-Forestry, Smallholder Farms and Policy Support – The Way Ahead*

**7.1 Family Farming Development Programme, Niger**

land and establishment of hedge rows.

**7.2 Sustainable agriculture, Indonesia**

adoption in more areas in the region.

agroforestry to increase land productivity [53].

undermining the maintenance and/or adoption of ecosystem-based approach that promote the simplification of agro-ecosystems, while increasing the use of agrochemicals and fossil fuel should be revisited. Agroforestry practices that help improve farming systems' profitability including increased resiliency to climate change should be promoted to support and protect the vulnerable group of small-

Efforts are needed to support extension services to ensure smallholder farmers' access to best available information on adaptation strategies to enable them to make informed decisions in agroforestry production systems [47]. The agricultural extension programs, farmer field schools, agricultural technical programs that are going on in different parts of the world should be strengthened by the local, regional and/or the national governments especially for smallholder farmers under financial stress including climate change impact. The lackluster support to extension programs in many countries [48] need rigorous support in present time more than ever [49]. The farmer field schools and effective extension programs strengthen linkages and information exchange between technical institutions and smallholder farmers [47, 50]. Higher synergies among the efforts of NGOs, governments, scientists, private sector and the groups of farmers would go a long way in filling the extension services gaps and help promote suitable agroforestry

The programme, implemented over several years in Niger, supported the resilient family enterprise and promotion of agro-sylvo-pastoral production [52]. This included natural regeneration of agricultural land with *Faidherbia albida*, watershed development, dune stabilization with *Acacia senegal*, restoration of pastoral

The interventions resulted in tangible and intangible benefits such as increased

The farmers group 'Suka Maju' in Golo Ngawan village in the East Manggarai district on the island of Flores, Indonesia adapted sustainable agriculture with the support from local NGO Ayo. The interventions included land conservation and

People initiated planting trees from the pea family and cash crops viz., cocoa, bananas, mahogany, cloves and *Gmelina arborea* and food crops on the terraced land. Following a patter, the inner side of the land was planted with cash crops and food crops. Calliandra, mahogany and *Gmelina arborea* were planted on the outer side of the land with 3 x 4 metres planting space between each tree. This resulted in increased the productivity of the land, through agroforestry, without requiring money and materials from outside the local area. Further, agroforestry prevented landslides and erosion, thereby, increasing the amount of water absorbed by the soil in the rainy season. Apart from sustaining income and food security, the agroforestry system improved the environment. The success of the system lead to its wider

yields, volumes of produce marketed and resilience of agricultural system to drought and improved adaptation to climate change through positive environmen-

tal externalities viz., carbon sequestration and reduced carbon emission.

*DOI: http://dx.doi.org/10.5772/intechopen.96942*

holder farms.

practices [51].

**7. Case studies**

*Farm-Forestry, Smallholder Farms and Policy Support – The Way Ahead DOI: http://dx.doi.org/10.5772/intechopen.96942*

undermining the maintenance and/or adoption of ecosystem-based approach that promote the simplification of agro-ecosystems, while increasing the use of agrochemicals and fossil fuel should be revisited. Agroforestry practices that help improve farming systems' profitability including increased resiliency to climate change should be promoted to support and protect the vulnerable group of smallholder farms.

Efforts are needed to support extension services to ensure smallholder farmers' access to best available information on adaptation strategies to enable them to make informed decisions in agroforestry production systems [47]. The agricultural extension programs, farmer field schools, agricultural technical programs that are going on in different parts of the world should be strengthened by the local, regional and/or the national governments especially for smallholder farmers under financial stress including climate change impact. The lackluster support to extension programs in many countries [48] need rigorous support in present time more than ever [49]. The farmer field schools and effective extension programs strengthen linkages and information exchange between technical institutions and smallholder farmers [47, 50]. Higher synergies among the efforts of NGOs, governments, scientists, private sector and the groups of farmers would go a long way in filling the extension services gaps and help promote suitable agroforestry practices [51].

## **7. Case studies**

*Agroforestry - Small Landholder's Tool for Climate Change Resiliency and Mitigation*

tion about agroforestry production.

tion and implementation levels.

ability criteria to the extent possible.

**6. The way ahead**

The price fluctuations, lack of assured market and poor accessibility to credit apart from other inputs adversely affect the profitability, cash flow and, in turn, percep-

Agroforestry systems promoted through various policy interventions provide benefits such as wood products, fruits, fodder, and improved soil fertility which benefit farmers directly. Where farmers perceive private benefits the demand for agroforestry knowledge and germplasm is expected to be higher. In addition, there is more promotion of agroforestry for other benefits as well, such as for environmental services that accrue to broader society. Despite greater policy recognition of the importance of agroforestry, a number of constraints hinder wider adoption of agroforestry among smallholder farmers in developing countries, both at formula-

Insufficient attention is paid to the needs of farmers regarding agroforestry trees as regards tree germplasm is concerned. Smallholder farms operate in tight budget constraints and therefore, tree species fetching good market price with shorter duration in combination of the local food crops is crucial to attract and sustain agroforestry enterprise. Of late, some efforts have been redirected exclusively to address this, yet much remains to be done. Similarly, agroforestry is getting attention in the climate change scenario, and this is much needed even in case of smallholder farmers, where more focus is required on tree species which serve the other objectives of small farmers. In particular, the tree species must also help increase their food security, increase or diversify their sources of income generation, take advantage of local or traditional knowledge, be based on local inputs, and have low implementation and labor costs. The agroforestry practices must be suiting to small holdings in combination with the traditional crops grown and meeting the profit-

While smallholder farmers may be motivated and supported with appropriate incentives to sustain the profitability of agroforestry on their marginal lands, the incentive systems for farmers to produce societal level benefits need to be established and clarified [45]. Payment for Ecosystem services (PES) have been extensively adopted in many regions but appropriate and sustainable models for a wider application is required for which extensive studies should be encouraged in different socio-economic set up. Government involvement in PES market is necessary in the context of smallholders particularly in developing countries. Involvement of corporate sector through Corporate Social Responsubility (CSR) fund is one possibility to promote tree species in agricultural landscape such as multinational company Unilever's investment in the upscaling of Allanblackia, a tree species producing oil with properties that are attractive for a range of food products [46]. The possibilities of a value chain development may be explored with focus on local tree species of a particular region by interlinking the interests of the private sector with appropriate forward and backward linkages with group of smallholder farmers. The initial success of Coca-cola, Pepsi, and Del Monte in food market chain in some African states may be upscaled in similar other areas by promoting enabling market and credit policies supportive of these partnerships between private company and

One of the ways to help smallholder farmers strengthen their farm-based livelihoods, in the face of the increasing stresses posed by climate variability, is to focus on helping them use farm management practices based on agro-biodiversity and ecosystem services that provide adaptation benefits. However, the existing policies

**86**

smallholder farmers.

#### **7.1 Family Farming Development Programme, Niger**

The programme, implemented over several years in Niger, supported the resilient family enterprise and promotion of agro-sylvo-pastoral production [52]. This included natural regeneration of agricultural land with *Faidherbia albida*, watershed development, dune stabilization with *Acacia senegal*, restoration of pastoral land and establishment of hedge rows.

The interventions resulted in tangible and intangible benefits such as increased yields, volumes of produce marketed and resilience of agricultural system to drought and improved adaptation to climate change through positive environmental externalities viz., carbon sequestration and reduced carbon emission.

#### **7.2 Sustainable agriculture, Indonesia**

The farmers group 'Suka Maju' in Golo Ngawan village in the East Manggarai district on the island of Flores, Indonesia adapted sustainable agriculture with the support from local NGO Ayo. The interventions included land conservation and agroforestry to increase land productivity [53].

People initiated planting trees from the pea family and cash crops viz., cocoa, bananas, mahogany, cloves and *Gmelina arborea* and food crops on the terraced land. Following a patter, the inner side of the land was planted with cash crops and food crops. Calliandra, mahogany and *Gmelina arborea* were planted on the outer side of the land with 3 x 4 metres planting space between each tree. This resulted in increased the productivity of the land, through agroforestry, without requiring money and materials from outside the local area. Further, agroforestry prevented landslides and erosion, thereby, increasing the amount of water absorbed by the soil in the rainy season. Apart from sustaining income and food security, the agroforestry system improved the environment. The success of the system lead to its wider adoption in more areas in the region.

#### **7.3 Grain for Green programme, China**

The programme was introduced in 1999 in China, with the objective of improving grassland and forestry on slopes and included, among others, reforesting uplands to reduce erosion, downstream flooding and rural poverty. The was envisaged to be implemented by providing grain, saplings and/or subsidies, over a period to encourage up to 30 million rural households. To support this strategy, the forest law was revised to recognize the importance of compensation in return for environmental services.

The compensation and subsidy support ensured farmers' participation in spectacular development of agroforestry technologies mainly through fruit tree intercropping. Between 1999 and 2010, programme covered more than 15 million ha in 20 provinces [54].

#### **8. Conclusion**

Smallholder farms hold prominence world over, especially in Asia and Africa. Socio-economic constraints, apart from climatic stress, enhances their vulnerability making the livelihood difficult. Introduction of tree species provides cushion to production loss risks along with environmental benefits in climate change scenario. Many of the agroforestry practices are well known and have been proven to help smallholder farmers adapt to climate change, but current financial, political and technical constraints limit a more widespread adoption of these practices among smallholder farmers. The advantages of agroforestry, notwithstanding, the challenges and obstacles it faces adversely affects the desired adoption. Despite the fact that trees become profitable as they produce positive net present values over time, the breakeven point for agroforestry systems takes longer time. Similarly, markets for tree products are both less efficient and less developed than for crop and livestock commodities and value chains related to agroforestry systems receive little support.

While agricultural policies offer incentives for agriculture that promote certain agricultural models, such as monoculture systems, and tax exemptions are usually aimed at industrial agricultural production, agroforestry production enterprise, by and large, gets second hand status. Agricultural price supports or favorable credit terms, which are granted for certain agricultural activities but hardly ever for trees, are also discouraging agroforestry adoption.

Further, the conventional agroforestry methods and insufficient knowledge of sustainable production models, including germplasm, restrict the inclination of policy-makers in agroforestry development. The resources dedicated for research, dissemination, market information and propagation of quality germplasm, crucial for wide adoption of agroforestry practices fall short of the desired expectations. The existing land tenure practices also results in confusion about land delineation and rights, discouraging people from adopting and continuing agroforestry practices. In many developing countries, lack of long-term rights to land inhibits longterm investments including agroforestry. Further, forest regulations preclude tree growing on farms by restricting the harvesting, cutting or selling of tree products.

In absence of coordination between sectors, *viz*., agriculture, forestry, livestock, rural development, environment, energy, health, water and commerce, agroforestry promotion suffers from policy conflicts and omissions, creating gaps or adverse incentives that work against its development. The various conflicting objectives within and between the different departments adversely affects agroforestry. It is high time a synergistic coordination is evolved between farmers, government,

**89**

**Author details**

Vinod Chandra Pande

Vadodara, Gujarat, India

ICAR-Indian Institute of Soil and Water Conservation, Shreedhar Park,

© 2021 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,

\*Address all correspondence to: vcpande64@gmail.com

provided the original work is properly cited.

*Farm-Forestry, Smallholder Farms and Policy Support – The Way Ahead*

non-government and corporate entities at local community level with market interlinkages to sustain the interests of farmers as well as private enterprises. Providing tax incentives to private/corporate entity and easing harvest, transport and price

*DOI: http://dx.doi.org/10.5772/intechopen.96942*

policy at farmers level holds promise.

*Farm-Forestry, Smallholder Farms and Policy Support – The Way Ahead DOI: http://dx.doi.org/10.5772/intechopen.96942*

*Agroforestry - Small Landholder's Tool for Climate Change Resiliency and Mitigation*

The programme was introduced in 1999 in China, with the objective of improving grassland and forestry on slopes and included, among others, reforesting uplands to reduce erosion, downstream flooding and rural poverty. The was envisaged to be implemented by providing grain, saplings and/or subsidies, over a period to encourage up to 30 million rural households. To support this strategy, the forest law was revised to recognize the importance of compensation in return for

The compensation and subsidy support ensured farmers' participation in spectacular development of agroforestry technologies mainly through fruit tree intercropping. Between 1999 and 2010, programme covered more than 15 million

Smallholder farms hold prominence world over, especially in Asia and Africa. Socio-economic constraints, apart from climatic stress, enhances their vulnerability making the livelihood difficult. Introduction of tree species provides cushion to production loss risks along with environmental benefits in climate change scenario. Many of the agroforestry practices are well known and have been proven to help smallholder farmers adapt to climate change, but current financial, political and technical constraints limit a more widespread adoption of these practices among smallholder farmers. The advantages of agroforestry, notwithstanding, the challenges and obstacles it faces adversely affects the desired adoption. Despite the fact that trees become profitable as they produce positive net present values over time, the breakeven point for agroforestry systems takes longer time. Similarly, markets for tree products are both less efficient and less developed than for crop and livestock commodities and value chains related to agroforestry systems receive little

While agricultural policies offer incentives for agriculture that promote certain agricultural models, such as monoculture systems, and tax exemptions are usually aimed at industrial agricultural production, agroforestry production enterprise, by and large, gets second hand status. Agricultural price supports or favorable credit terms, which are granted for certain agricultural activities but hardly ever for trees,

Further, the conventional agroforestry methods and insufficient knowledge of sustainable production models, including germplasm, restrict the inclination of policy-makers in agroforestry development. The resources dedicated for research, dissemination, market information and propagation of quality germplasm, crucial for wide adoption of agroforestry practices fall short of the desired expectations. The existing land tenure practices also results in confusion about land delineation and rights, discouraging people from adopting and continuing agroforestry practices. In many developing countries, lack of long-term rights to land inhibits longterm investments including agroforestry. Further, forest regulations preclude tree growing on farms by restricting the harvesting, cutting or selling of tree products. In absence of coordination between sectors, *viz*., agriculture, forestry, livestock,

rural development, environment, energy, health, water and commerce, agroforestry promotion suffers from policy conflicts and omissions, creating gaps or adverse incentives that work against its development. The various conflicting objectives within and between the different departments adversely affects agroforestry. It is high time a synergistic coordination is evolved between farmers, government,

**7.3 Grain for Green programme, China**

environmental services.

ha in 20 provinces [54].

**8. Conclusion**

support.

are also discouraging agroforestry adoption.

**88**

non-government and corporate entities at local community level with market interlinkages to sustain the interests of farmers as well as private enterprises. Providing tax incentives to private/corporate entity and easing harvest, transport and price policy at farmers level holds promise.
