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Farm typologies and resilience:
Household diversity seen as
alternative system states
Pablo Tittonell1,2
1Centre   de coopération Internationale en Recherche Agronomique pour le Développement
Montpellier, France
2Tropical   Resource Ecology Program, University of Zimbabwe, Harare




                                                            Farming Systems Design
                                                                 September 27, 2011
                                                                  Brisbane, Australia
Introduction

  Farm typologies
  (i) Aim at categorising diversity in livelihood strategies and/or levels of
      household resource endowment;
  (ii) Used in a diversity of applications (research, policy, monitoring and
       evaluation, econometrics, etc.);
  (iii) Should respond to the objectives of the study/ intervention;
  (iv) Often used as the basis for scaling-up/ scaling out-approaches;
  (v) Different methods are used to categorise household diversity: statistical
      clustering, participatory rankings, expert knowledge, etc.




  Structural      Based on resources and asset levels

 Functional       Livelihood strategies and household dynamics
Structural typologies
  Smallholder households in NE Zimbabwe
  Farm type                                       Farm size   # Livestock      # Scotch     Maize yield
                                                     (ha)                        carts       (t ha-1)
  Poor                                       20     < 0.7         0               None       0.2 – 1.0
                                                               Clustering (e.g. multi-dimensional scaling)

  Medium                                          0.7 – 1.2      2–4                    1    1.0 – 1.2
                                             40

  Rich                                              > 1.2       4 - 22                  2    2.0 – 3.5
                                                                                               50% similarity
              Within-group similarity (%)




                                             60




                                             80




                                            100
                                                                         Farm samples
Functional typologies
 • Resource endowment (allocation pattern)
 • Production orientation (subsistence, markets)
 • Livelihood strategy (e.g., access to non-/ off-farm income)
 • Household structure (position on farm development cycle)
 • Household dynamics (where do they come from/ go?)
                                                                                      Dependence on off-farm income
 Hypothesis:                                                     -                                                                +
                           +                                 +
 Different household types may be Type 2 as alternate states of the
            Rich                   seen
                                   farms
 same system (in this case, the smallholder rural livelihood system)
                                 +                   Type 1
                                                                                         +
                                        Resource endowment
      Resource endowment




                                                                                                                        farms
                                                                 Market orientation


 This may allow:                                                                                   Fo
                                                                                                      od
                                                                                                         s   elf
                                                                                      Type 3                       su
                               Medium
 • Understanding the nature and resilience of poverty trapsy
                                                        ffic
                                                             ien
                                                                 c
                                                                                      farms


 • Analysing possible shifts (or not) between household types in response to
                                                   Type 4
                                                   farms
                                       -
 e.g. poverty alleviation measures, market or climatic scenarios, etc.
                                                                 -
                                                                                                                         Type 5
                                Poor
                                                                                                                         farms
                           -                                 -
Underlying assumptions about household diversity
                                Farm productivity
                                                        Smallholder farming systems
                                          A) No alternate regimes
                                                                                                                                              arms
                                                                                                                                            B) Two alternate regimes
                                                                                        B                                                                                               B
                                                                                                                                             f
State of capital stock (fast variable)




                                                                                                                                        tock




                                                                                                   State of capital stock (fast variable)
                                                                                            -
                                                                                                   L                               ives                           Syst
                                                                                                                                                                       em   state
                                                                                                                                                                                    I

                                                                                                                                                                                            -


                                                                                                                                                                   Hysteresis
                                                           Threshold
                                                    A                                                                                           A
                                                    +
                                                                          ‘Destocking’                                                          +                      I
                                                                                                                                                     ‘Stocking’te I
                                                                                                                                                        Syst
                                                                                                                                                             em s
                                                                                                                                                                  ta

                                                               Underlying (controlling) variable                                                             Underlying (controlling) variable


                                         Assumptions:                                                                                       Assumptions:
                                         Policies and development                    Moving form A to B may not be so
                                         interventions may impact on the              farms
                                                                                     easy; these are two alternative
                                         right driving variables to move -lives tock system regimes; interventions need
                                         gradually from A to B      Non              to provoke a ‘jump’ (hysteresis)
                                         A threshold may be there…                                                                          Discontinuity, irreversibility…
                                                                                                                                                                    Resources
Livelihoods aspirations and strategies of the poor

 Dorward (2009)
  •   People aspire to maintain their current welfare and to advance it
  •   Expanding their existing activities and/or moving into new activities


 ‘Hanging In’: assets are held and activities engaged in to maintain livelihood
    levels (adverse socio-economic circumstances)

 ‘Stepping Up’ current activities engaged in, with investments in assets to expand
     these activities, to increase production and income to improve livelihoods

 ‘Stepping Out’ activities engaged in to accumulate assets which in time can
     provide a ‘launch pad’ for moving into different activities – e.g. accumulation of
     livestock as savings to finance children’s education
Western Kenya




  1000 inhabitants per Km2
Heterogeneity and landscape dynamics




                                      Farm developmental cycle (Forbes, 1949)
Resources




                                              Maturity
                                      h




                                                           De
                                 wt
                                  o




                                                            cli
                               gr




                                                             ne
                           nd




                                                                  an
                          ta




                                                                     d




                           Maintaining &
                      en




                                                                    dis
                      m




                            reproducing
                                                                         so
                    sh




                             resources;
               bli




                                                                          lut
               ta




                                                                              ion




                             production
            Es




             Expanding
    • Formerlyfamily & household that has been subdivided as the children married
               a single     may exceed      Sub-dividing
                            consumption        land
             resources

                                                                         Time (life cycle)
                                                                                             Tittonell et al., Ag Sys 2007
A functional typology for East African highland systems
                            Type 1
                                                                                               Type 3
                                MKT     LVSTK
                                                                FOOD
                                                                                                  MKT               CSH
                                CNS

                                        HOME
                                                               OFF-FA RM
                                                                                                                     OE
  Wealthier households




                                                                                                                                                  Mid-class to poor households
                                CSH      WOOD

                                                                                                                    LVSTK




                            Type 2
                                                                                  Resource                          HOME



                                        CSH
                                                                                  allocation      CNS
                                                                                                                    WOOD




                                                                                  strategies
                                  MKT
                                                       LVSTK
                                                                                               Type 4
                                                                                                MKT         LVSTK




                                  CNS
                                                                                                CNS                          FOOD
                                                HOME                       FOOD
                                                                                                            HOME


                                                                                                                            OFF-FARM


                                                                                                             WOOD
                                                       WOOD




                                                                                               Type 5
                         Cash                                                                         MKT                                 FOOD


                         Labour                                                                       CNS
                                                                                                                     HOM
                                                                                                                      E

                                                                                                                                       OFF-FARM
                         Nutrients                                                                                   WOOD
                                                                                                      CSH



Tittonell et al., AGEE 2005a,b
Functional farm types and system states
  Performance (well-being)



                                                                                  T2
                                   T1



                                   ‘Stepping out’
                             P’’
                                                                        ‘Stepping up’
                                                                   T3
                             P’

                                                              T4
                                         ‘Hanging in’
                                   T5


                                                        R’’                         R’
                                                                    Resources (natural, social, human)
100                                                                                                                                                                                                                     40


                                          Total hous




                                                                                                                                                                                                                                                                Income
Indicators of ‘resources’ and ‘performance’
 Total household income (kSh yr )
                              -1    120 300
                                                                                                                                                                                                                                                                                                                                      Household type 1




                                                                                                                                                                                                 Income per capita (kSh yr )
                                                                                50                                                                                                                                                                                                              20




                                                                                                                                                                                                                         -1
                                                                                                                                                                                                                                                                                                                                      Household type 2
                                        250                                                                                                                                                                                           100
                                                                                                                                                                                                                                                                                                                                      Household type 3
                                                                                                                                                                                                                                                                                                                                      Household type 4
                                        200                                                                                                                                                                                            80                                                                                             Household type 5
                                                                                           0                                                                                                                                                                                                     0
                                                                                                               300                                                                                                                                                                                                                  120
                                                                                                           0                  1                               2                         3                                               4             5                                              0.0                                                     0.4
                                                                        Total household income (kSh yr )

                                        150                                                                                                                                                                                            60
                                                                                                                                                                                                                                      System state II
                                                                                                     -1




                                                                                                                                                                                                                                                                                                      Income per capita (kSh yr )
                                                                                                                                                                                                                                                                                                                              -1
                                                                        6                                      250                                                                                                                                                                             1.0                                  100
                                                                                                                                                                             2 t ha-1                                                  40




                                                                                                                                                                                                                                                           Food production per capita (t dm)
                                        100

                                                                                                                        Stepping out
                                    Food production (t dm farm-1)




                                                                                                                                                                                                                                                                                                                                                    1 us$ day-1
                                               50                       5                                                                                                                                                              20
                                                                                                               200                                                                                                                                                                             0.8                                    80
                                                       0                                                                                                                                                           1 t ha-1
                                                                                                                                                                                                                        0
                                                                    0   4                                           1         2              3                                    4          5                                              0.0           0.4                                                                       0.8                      1.2
                                                                                                               150
                                                                                                                                                                                                                                                                                               0.6
                                                                                                                                                                                                                                                                                                                                      60
                                        6                                                                                              -1
                                                                                                                                  2 t ha
                                                                                                                                                                              120                                                     1.0




                                                                                                                                                                                                  Food production per capita (t dm)
                                                                        3                                                                                                                                                                                                                                                      Household type 1
 Food production (t dm farm-1)




                                                                                                               100                                                                                                                                                                                                               40
                                                                                                                                                 come per capita (kSh yr )

                                        5
                                                                                                                                                                       -1




                                                                                                                                                                                                                                      0.8                                                                                      Household type 2
                                                                                                                                                                              100-1                                                                                                            0.4
                                                                                                                                                                             1 t ha                                                                                                                                            Household type 3
                                        4                               2
                                                                                                                50                                                                                                                    0.6                                                                                        20
                                                                                                                                                                                                                                                                                                                               Household type 4
                                        3                                                                                                                                      80                                                                                                              0.2                             Household type 5
                                                                        1
                                                                                                                                                                                                                                      0.4
                                                                                                                    0                                                                                                                                                                                                                     0
                                        2
                                                                                                               System state 1
                                                                                                                  0         I                                                  602                             3                                  4                                            5                                              0.0
                                                                        0                                                                                                                                                                                                                      0.0
                                                                                                                                                                                                                                      0.2
                                        1                                                  0                              1                           2                 Cropping land (ha)
                                                                                                                                                                               3         4                                                            5                                              0.0                                                     0.4
                                                                                                                                                                                                                                                                                                                                               Self-sufficiency
                                                                                                               6                                                                            -1
                                                                                                                                                                                                                                                                                                                                    1.0
                                                                                                                                           Cropping landt (ha)
                                                                                                                                                  40 2 ha




                                                                                                                                                                                                                                                                                                       (t dm)
                                        0                                                                                                                                                                                             0.0                                                                                                                     Land
                                                                        rm-1)




                                                       0                                                        1             2              3                                   4           5                                              0.0           0.4                                                                       0.8                      1.2
                                                                                                               5        Cropping land (ha)                                                                                                                 Land:labour ratio                                                                        1 us$ day-1
                                                                                                                                                                                                                                                                           0.8
                                                                                                                                                                               20
Testing across a wider range of systems
  (Market orientation)

                         % % area allocated to cash crops
(Market orientation)

                           area allocated to cash crops

                                                            Meru S.
                                                             Meru S.
                                                                                                        Vi
                                                                                                          ab
                                                                                                            le
                                                                                                Mbale          f   ar
                                                                                                   Mbale              m
                                                                                                                          siz
                                                                                                                             e   s
                                                                                                                                          Desirable effect
                                                                                                                                          of intensification
                                                                                                                                          Agroecological potential
Population (People per Km2)                                               Mi                  Mbeere
                                             0-2                            nim                 Mbeere
                                             3 - 10
                                                                               um
                                                                                    far
                                             11 - 20           Vihiga                     m                                                                  Mbale
                                                                                              siz                            Tororo
                                             21 - 50
                                                                 Vihiga                          es
                                             51 - 100                                                      Siaya                 Tororo
                                             101 - 200                                                             Siaya                                             Meru S.
                                             201 - 500
                                             501 - 1000
                                                                                                                                           Vihiga
                                             >1000
                                                                                                     % area under fallow
                                                                                                        % area under fallow
                                                                                                  (Traditional management)
                                                                                                                                            Siaya
                                                                                                      (Traditional management)
                                                                                                                                                    Tororo




                                                                                                                                                                      Mbeere
                                                                                                                                                                                     Mark
                                                                                                                                                                                  opport et
                                                                                                                                                                                        unities

                                                                                                                            ion
                                                                                                                         lat y
                                                                                                                       pu t
                                                                                                                     Po ensi
   Tittonell et al., AgSys 2010                                                                                        d                                                       TSBF, 2007
Concluding remarks
   • There is ample potential to bring ‘down to earth’ the attractive
   concepts around resilience thinking for use in the context of farming
   systems research

   • A promising entry point: Farm typologies seen as alternative states of
   a given rural livelihood system

   •This challenges a few assumptions: the existence of thresholds,
   continuity, reversibility, and the use of classical socio-economic
   indicators to cluster similar groups out of large household surveys

   • Poverty traps become evident: improving livelihoods (i.e. facilitating a
   shift upwards) does not necessarily imply more ‘resources’ (e.g.
   agricultural inputs, livestock or more efficient technologies)

   • Will this always work? Where not, why? More research is needed…


Pablo.tittonell@cirad.fr
                            Thanks for your attention

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Farm typologies and resilience: household diversity seen as alternative system states. Pablo Tittonell

  • 1. Farm typologies and resilience: Household diversity seen as alternative system states Pablo Tittonell1,2 1Centre de coopération Internationale en Recherche Agronomique pour le Développement Montpellier, France 2Tropical Resource Ecology Program, University of Zimbabwe, Harare Farming Systems Design September 27, 2011 Brisbane, Australia
  • 2. Introduction Farm typologies (i) Aim at categorising diversity in livelihood strategies and/or levels of household resource endowment; (ii) Used in a diversity of applications (research, policy, monitoring and evaluation, econometrics, etc.); (iii) Should respond to the objectives of the study/ intervention; (iv) Often used as the basis for scaling-up/ scaling out-approaches; (v) Different methods are used to categorise household diversity: statistical clustering, participatory rankings, expert knowledge, etc. Structural Based on resources and asset levels Functional Livelihood strategies and household dynamics
  • 3. Structural typologies Smallholder households in NE Zimbabwe Farm type Farm size # Livestock # Scotch Maize yield (ha) carts (t ha-1) Poor 20 < 0.7 0 None 0.2 – 1.0 Clustering (e.g. multi-dimensional scaling) Medium 0.7 – 1.2 2–4 1 1.0 – 1.2 40 Rich > 1.2 4 - 22 2 2.0 – 3.5 50% similarity Within-group similarity (%) 60 80 100 Farm samples
  • 4. Functional typologies • Resource endowment (allocation pattern) • Production orientation (subsistence, markets) • Livelihood strategy (e.g., access to non-/ off-farm income) • Household structure (position on farm development cycle) • Household dynamics (where do they come from/ go?) Dependence on off-farm income Hypothesis: - + + + Different household types may be Type 2 as alternate states of the Rich seen farms same system (in this case, the smallholder rural livelihood system) + Type 1 + Resource endowment Resource endowment farms Market orientation This may allow: Fo od s elf Type 3 su Medium • Understanding the nature and resilience of poverty trapsy ffic ien c farms • Analysing possible shifts (or not) between household types in response to Type 4 farms - e.g. poverty alleviation measures, market or climatic scenarios, etc. - Type 5 Poor farms - -
  • 5. Underlying assumptions about household diversity Farm productivity Smallholder farming systems A) No alternate regimes arms B) Two alternate regimes B B f State of capital stock (fast variable) tock State of capital stock (fast variable) - L ives Syst em state I - Hysteresis Threshold A A + ‘Destocking’ + I ‘Stocking’te I Syst em s ta Underlying (controlling) variable Underlying (controlling) variable Assumptions: Assumptions: Policies and development Moving form A to B may not be so interventions may impact on the farms easy; these are two alternative right driving variables to move -lives tock system regimes; interventions need gradually from A to B Non to provoke a ‘jump’ (hysteresis) A threshold may be there… Discontinuity, irreversibility… Resources
  • 6. Livelihoods aspirations and strategies of the poor Dorward (2009) • People aspire to maintain their current welfare and to advance it • Expanding their existing activities and/or moving into new activities ‘Hanging In’: assets are held and activities engaged in to maintain livelihood levels (adverse socio-economic circumstances) ‘Stepping Up’ current activities engaged in, with investments in assets to expand these activities, to increase production and income to improve livelihoods ‘Stepping Out’ activities engaged in to accumulate assets which in time can provide a ‘launch pad’ for moving into different activities – e.g. accumulation of livestock as savings to finance children’s education
  • 7. Western Kenya 1000 inhabitants per Km2
  • 8. Heterogeneity and landscape dynamics Farm developmental cycle (Forbes, 1949) Resources Maturity h De wt o cli gr ne nd an ta d Maintaining & en dis m reproducing so sh resources; bli lut ta ion production Es Expanding • Formerlyfamily & household that has been subdivided as the children married a single may exceed Sub-dividing consumption land resources Time (life cycle) Tittonell et al., Ag Sys 2007
  • 9. A functional typology for East African highland systems Type 1 Type 3 MKT LVSTK FOOD MKT CSH CNS HOME OFF-FA RM OE Wealthier households Mid-class to poor households CSH WOOD LVSTK Type 2 Resource HOME CSH allocation CNS WOOD strategies MKT LVSTK Type 4 MKT LVSTK CNS CNS FOOD HOME FOOD HOME OFF-FARM WOOD WOOD Type 5 Cash MKT FOOD Labour CNS HOM E OFF-FARM Nutrients WOOD CSH Tittonell et al., AGEE 2005a,b
  • 10. Functional farm types and system states Performance (well-being) T2 T1 ‘Stepping out’ P’’ ‘Stepping up’ T3 P’ T4 ‘Hanging in’ T5 R’’ R’ Resources (natural, social, human)
  • 11. 100 40 Total hous Income Indicators of ‘resources’ and ‘performance’ Total household income (kSh yr ) -1 120 300 Household type 1 Income per capita (kSh yr ) 50 20 -1 Household type 2 250 100 Household type 3 Household type 4 200 80 Household type 5 0 0 300 120 0 1 2 3 4 5 0.0 0.4 Total household income (kSh yr ) 150 60 System state II -1 Income per capita (kSh yr ) -1 6 250 1.0 100 2 t ha-1 40 Food production per capita (t dm) 100 Stepping out Food production (t dm farm-1) 1 us$ day-1 50 5 20 200 0.8 80 0 1 t ha-1 0 0 4 1 2 3 4 5 0.0 0.4 0.8 1.2 150 0.6 60 6 -1 2 t ha 120 1.0 Food production per capita (t dm) 3 Household type 1 Food production (t dm farm-1) 100 40 come per capita (kSh yr ) 5 -1 0.8 Household type 2 100-1 0.4 1 t ha Household type 3 4 2 50 0.6 20 Household type 4 3 80 0.2 Household type 5 1 0.4 0 0 2 System state 1 0 I 602 3 4 5 0.0 0 0.0 0.2 1 0 1 2 Cropping land (ha) 3 4 5 0.0 0.4 Self-sufficiency 6 -1 1.0 Cropping landt (ha) 40 2 ha (t dm) 0 0.0 Land rm-1) 0 1 2 3 4 5 0.0 0.4 0.8 1.2 5 Cropping land (ha) Land:labour ratio 1 us$ day-1 0.8 20
  • 12. Testing across a wider range of systems (Market orientation) % % area allocated to cash crops (Market orientation) area allocated to cash crops Meru S. Meru S. Vi ab le Mbale f ar Mbale m siz e s Desirable effect of intensification Agroecological potential Population (People per Km2) Mi Mbeere 0-2 nim Mbeere 3 - 10 um far 11 - 20 Vihiga m Mbale siz Tororo 21 - 50 Vihiga es 51 - 100 Siaya Tororo 101 - 200 Siaya Meru S. 201 - 500 501 - 1000 Vihiga >1000 % area under fallow % area under fallow (Traditional management) Siaya (Traditional management) Tororo Mbeere Mark opport et unities ion lat y pu t Po ensi Tittonell et al., AgSys 2010 d TSBF, 2007
  • 13. Concluding remarks • There is ample potential to bring ‘down to earth’ the attractive concepts around resilience thinking for use in the context of farming systems research • A promising entry point: Farm typologies seen as alternative states of a given rural livelihood system •This challenges a few assumptions: the existence of thresholds, continuity, reversibility, and the use of classical socio-economic indicators to cluster similar groups out of large household surveys • Poverty traps become evident: improving livelihoods (i.e. facilitating a shift upwards) does not necessarily imply more ‘resources’ (e.g. agricultural inputs, livestock or more efficient technologies) • Will this always work? Where not, why? More research is needed… Pablo.tittonell@cirad.fr Thanks for your attention