Farm Power And Mechanization For Small Farms In Sub .

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3ISSN 1814-113733AGRICULTURAL AND FOOD ENGINEERING TECHNICAL REPORTAGRICULTURALAND FOODENGINEERINGTECHNICAL REPORTFarm power and mechanizationfor small farmsin sub-Saharan AfricaMany previous publications on farm mechanization, draughtanimal power, hand tool technology, etc. have tended to benarrowly focused. They dealt with tractors, or with draughtpower and mechanization also tended to be separated fromthe actual process of growing crops. As a result, there was awidespread lack of understanding of the topic and therewere many widely held misconceptions regarding theessential contribution of farm power and mechanization tosmall farmers’ livelihoods and living conditions.This manual breaks away from this rather narrow approachby putting the different sources of farm power,mechanization, machines, equipment and tools into a muchbroader context. Farm power requirements need to beviewed with reference to rural livelihoods and to farmingsystems as well as to the critical area of labour saving inHIV/AIDS-hit populations. No one particular type oftechnology is advocated. The publication considers the broadpicture and the options that may be most appropriate.This manual provides an overview of options for farm powerand technologies that could be suitable for smallholderfarmers who are trying to make decisions with regard to thedifferent types of farm power sources available. It also laysout the importance of the farming systems and the economiccontext within which mechanization takes place. Specialemphasis is given to economics and finance as well as to theenvironmental impact of inappropriate mechanization. TC/D/A0651E/1/8.06/1000Farm power and mechanization for small farms in sub-Saharan Africaanimal, or with intermediate technology. The topic of farmFarm power and mechanizationfor small farmsin sub-Saharan AfricaArmstrong, E. 1980. Better tools for the job. Specifications for hand-tools and equipment. London. Intermediate Technology Publications. pp. 16–17. ISBN 0 903031 71X.

AGRICULTURALAND FOODENGINEERINGTECHNICAL REPORT3Farm power and mechanizationfor small farmsin sub-Saharan AfricabyBrian G SimsandJosef KienzleFOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSRome, 2006

The Agricultural and Food Engineering Technical Reports bring to a broad audience theresults of studies and field experience related to agricultural and food engineering withinagrifood systems. The reports help us take stock of what we know and clearly identifywhat we do not know; and in so doing they provide information to both the public andprivate sectors. The Agricultural and Food Engineering Technical Reports serve to directfurther work within agrifood systems. The views expressed in this publication are thoseof the author(s) and do not necessarily reflect the views of the Food and AgricultureOrganization of the United Nations.The designations employed and the presentation of material in this informationproduct do not imply the expression of any opinion whatsoever on the partof the Food and Agriculture Organization of the United Nations concerning thelegal or development status of any country, territory, city or area or of its authorities,or concerning the delimitation of its frontiers or boundaries.The mention or omission of specific companies, their products or brand names does notimply any endorsement or judgement by the Food and Agriculture Organization of theUnited Nations.The views expressed in this publication are those of the author(s) and do not necessarilyreflect the views of the Food and Agriculture Organization of the United Nations.All rights reserved. Reproduction and dissemination of material in this informationproduct for educational or other non-commercial purposes are authorized withoutany prior written permission from the copyright holders provided the source is fullyacknowledged. Reproduction of material in this information product for resale or othercommercial purposes is prohibited without written permission of the copyright holders.Applications for such permission should be addressed to:ChiefElectronic Publishing Policy and Support BranchInformation DivisionFAOViale delle Terme di Caracalla, 00100 Rome, Italyor by e-mail to:copyright@fao.org FAO 2006

iiiContentsForewordviiiAcknowledgementsixList of abbreviationsxExecutive summaryxi1 Introduction11.1 Background11.2 The crucial role of farm power11.3 Mechanization for sustainable agricultural development21.4 The scope and purpose of this publication32 Farming systems and the role of farm power52.1 Farming systems in sub-Saharan Africa52.2 Major production assets and constraints52.3 Poverty, vulnerability and risk82.4 Other factors affecting rural development efforts83 Rural livelihoods and the role of farm power3.1 Livelihoods in context11113.2 Farm power – a crucial production input113.3 Diversification of farm power143.4 Livelihoods for all in the supply chain for farm power154 Farm power and technology options174.1 Human power technologies174.2 Other hand tools184.3 Ergonomics considerations194.4 Reasons for the persistence of human power in SSA194.5 Small-scale irrigation technology194.6 Draught Animal Power204.7 Implements used with DAP234.8 Limitations to draught animal use244.9 Potential for diversification and successful investment in DAP254.10 Rural transport options264.11 Tractor power: scope for use and principal operations264.12 Possible ways to reduce power needs: conservation tillage andconservation agriculture294.13 Selecting the best mechanization options32

iv5 Financial evaluation of mechanization options355.1 Economic viability of the different levels of mechanization technology355.2 Estimating the costs and benefits of mechanization375.3 Financing agricultural mechanization416 Participatory planning and evaluation for mechanization456.1 The rationale for participatory planning456.2 Participatory approaches in mechanization planning and extension466.3 Gender issues in participatory planning and implementation476.4 The process of technology development476.5 Farmer evaluation and technical testing496.6 Selecting between alternatives517 Creating an enabling environment537.1 Policy aspects in agricultural sector development537.2 The roles of government and the private sector in mechanizationdevelopment537.3 Conditions that create an enabling environment537.4 District-level initiatives567.5 The process of mechanization planning and strategy formulation577.6 Provision for emergencies and cases of particular hardship577.7 Concluding Remarks57References61Further reading67

vList of tables1Issues and challenges to the adoption of different formsof mechanizationxv2.1Principal farming systems in sub-Saharan Africa52.2Sources of power for land preparation (% of total)62.3Adult male equivalents of different human power sources62.4Constraints faced by vulnerable households92.5Total, rural and agricultural populations insub-Saharan Africa (millions), 2001104.1Draught bovine populations in sub-Saharan Africa (millions)214.2Sustainable power of individual animals in good condition224.3Options for different operations in conservation agriculture314.4Relative values of production costs in tractor/plough-basedsystem and conservation agriculture (in percentages)31Mechanized operations and the time required (hours/ha)for each of them under different production systems.314.7Basic factors that will influence a farmer’s decision on a technology324.6Conservation tillage equipment for both human power and DAP334.8Potential constraints to the adoption of differentforms of mechanization345.1Labour costs and returns with respect to weeding in NE Uganda(Teso Farming System)365.2Example of a worksheet for estimating DAP costs and hire-out rate395.3Example of a worksheet for estimating tractor/implementcosts and hire-out rate39Comparing the income from human-powered and animaldraught-powered farms in the Gambia404.55.4

viList of plates3.1Disc ploughing with tractor combined with hand sowing of maize133.2A high-lift harness attached to a light-weight plough to enablea horse to be used for soil preparation153.3Cart with a special purpose body: water carrier in the Sudan.A simple design ideal for a local entrepreneur15Manual land preparation, traditionally done by men in much of SSA,is now often a women’s job174.2bWhen new, these Cock brand hoes weighed 1.4 kg. The hoes havebeen in use or 2, 4 and 5 years respectively (from right to leftin the left-hand photo). They are fitted with handles of differentlengths for the men, women, and children in the family184.3Treadle pump in Malawi204.4Example of a breast-band harness224.5A Magoye (Zambia) ripper with ridger attachment234.6Expandable DAP cultivator with ducksfoot tines (at rear)and chisel tines (in front)234.7Inclined plate seeder244.8Hand jab planters304.9DAP direct planter made in Brazil and under trial in Zambia304.10Direct planter adapted to a single-axle tractor304.11Brazilian made direct planter at work in Kenya306.1Manufacturers are vital stakeholders in the development process.In a development project in Uganda (Box 6.5), this commercialmanufacturer participated with his technical staff in theon-farm evaluation of the technology49The DAP weeder produced for farmers in Teso, Uganda viaa participatory development project504.14.2a6.2List of figures1Stages in mechanization strategy formulationxix3.1Impact of caring on female and child labour balance123.21Livelihoods asset base for farm power groups. Ghana144.1Distribution of draught oxen in Africa214.2Relationship between soil cover and tillage options317.1Poster to guide farmers and retailers in the selection of hand-hoes567.2Stages in the formulation of a mechanization strategy57

viiList of boxes1Impact of labour shortages on agricultural productionxiv2Advantages and benefits of conservation agriculturexvii1.1Mechanization: the salient points32.1Poverty and its generational trap83.1Alleviating labour bottlenecks133.2Draught animals for women154.1Agro-ecology, farming system, and choice of mechanization204.2The benefits of working animals214.3Harnessing and hitching systems224.4Some constraints to the adoption of DAP244.5Diversification of DAP in transport254.6Successful investment in DAP264.7Business opportunities in rural transport274.8Definition of conservation agriculture and of conservation tillage294.9Advantages and benefits of conservation agriculture304.10Pre-conditions for adoption of conservation agriculture326.1People-centred approaches466.2Stakeholders in mechanization planning466.3Gender analysis tools476.4Points to remember about gender issues duringmechanization planning47Participatory technology development for DAP weedingin Teso, Uganda507.1Some possible roles for government in developmentof mechanization537.2Basic considerations for mechanization planning: a check-list forgovernment policy-makers and planners547.3Specification for a hand-hoe Standard557.4Vouchers for seeds and farm power in emergencies586.5

viiiForewordIn the past, many of the publications concerned with mechanization, draught animalpower, hand-tool technology, etc. tended to be rather mono-topical, dealing with onlyone aspect of the subject. Farm power and mechanization also tended to be separatedfrom the actual processes of crop production and processing; it was a topic createdby engineers and was dealt with by engineers. As a result, there is a widespread lackof understanding of the subject, and there are many widely held misconceptions withregard to the essential contribution of farm power and mechanization to small farmers’productivity and livelihoods.In recent years, the Farm Power and Mechanization Group in FAO has brokenaway from this rather narrow approach and has put the different sources of farmpower, mechanization, machinery, equipment and tools into a much broader context.We have looked at farm power from the perspective of rural livelihoods and farmingsystems, as well as the critical area of labour saving in HIV/AIDS and migrationaffected populations. We have purposely avoided taking rigid positions with regard toany one particular type of technology; instead, we have adopted a much wider briefand have been concerned to identify appropriate solutions for a range of situations.As a result, we have produced this manual, which provides an overview of optionsfor farm power and technologies that could be suitable for small and medium-sizedfarmers who are faced with making decisions about the different types of farm powersources available. The manual also lays out the importance of the farming systems andthe economic context within which the mechanization takes place. Special emphasis isalso given to the financial implications of farm power, as well as to the environmentalimpact of mechanization that may be inappropriate to the conditions.Many practitioners, both from FAO and from countries in sub-Saharan Africa,were involved in preparing and commenting on this document, all of whom have longexperience with the different technologies and farming systems to be found there. Thecontributors are mentioned in the Acknowledgements.We hope that whoever reads this manual, whether out of general interest or to solvesome particular development problem, will put it down with a greater level of knowledgeand understanding. If we can provide any other information or answer any queries ourcontact the Agricultural and Food Engineering Technologies Service of FAO.

ixAcknowledgementsThis publication is a result of the teamwork of many people, beginning with thosewho carried out field studies and provided the information on which it is based, andthose who contributed to its writing, reviewing and preparation.The main authors were Brian Sims (Consultant) and Josef Kienzle (AgriculturalEngineer, Agricultural and Food Engineering Technologies Service – AGST),with important inputs from Jennifer Heney, Rural Finance Officer (AgriculturalManagement, Marketing and Finance Service – AGSF) and from David Barton(Consultant) for the chapter on financial and economic aspects of mechanization.Bill Hancox (Consultant) contributed to the section on tractor maintenance andreplacement parts. Josef Kienzle coordinated the production with FAO’s ‘EnhancingSmall Farmer Livelihoods’ Programme, in the Agricultural Support Services Division(AGS). John Dixon, the leader of that programme and former Senior Farming SystemsOfficer (AGSF) provided guidance and support, especially for the sections coveringfarming systems, while Doyle Baker, Chief of AGSF, assisted with aspects of rurallivelihoods and mechanization. Lawrence Clarke, Senior Officer and AgriculturalEngineering group leader (AGST) provided overall guidance throughout theproduction of the publication.Many people reviewed and revised the publication at various stages, beginningwith Timothy Simalenga of the South African Agricultural Research Council (ARC)and Calvin Miller, Senior Rural Finance Officer, FAO. The main reviewer wasClare Bishop-Sambrook, (Consultant) and the author of the Agricultural and FoodEngineering Technical Report 2 (Contribution of farm power to smallholder livelihoodsin sub-Saharan Africa). She made numerous, very valuable, suggestions.A first major building block in the series of field studies that made this publicationpossible (Agricultural and Food Engineering Technical Report 3) and its companionTechnical Report 2, mentioned above, was the 1998 IFAD/FAO study in five countries ofsub-Saharan Africa on agricultural implements used by women. Colin Fraser (Consultant)led that participatory study in the field and also revised and edited this publication.It is particularly important to note that the field work for all of the studies thatprovided the material for these publications could not have been conducted withoutthe whole-hearted participation of thousands of poor rural people in sub-SaharanAfrica. They willingly gave of their time and were forthright in expressing their ideasand opinions. The work could not have been done without them, and it is thereforeto be hoped that there will be intensified efforts by governments and developmentagencies to improve their livelihoods through solving the farm power and labourshortage problems they face – problems that are contributing to keeping them lockedin poverty and malnutrition.Last but not least we would like to thank Louise Newton and Larissa D’Aquilio fortheir efficient support with editorial issues and the desktop publishing.

xList of abbreviationsAGSAgricultural Support Services Division (FAO)AGSFAgricultural Management, Marketing, and Finance Service (FAO)AGSTAgricultural and Food Engineering Technologies Service (FAO)ARCAgricultural Research Council, South AfricaAUAfrican UnionCAConservation AgricultureCAADPComprehensive Africa Agriculture Development ProgrammeDAPDraught animal powerFFSFarmer Field SchoolsFSDFarming Systems Development (FAO)haHectareHIV/AIDSHuman immunodeficiency virus/acquired immunodeficiency syndromeIFADInternational Fund for Agricultural DevelopmentKgKilogramLSPLivelihood Support Programme (FAO)NEPADNew Partnership for Africa’s DevelopmentNGONon-governmental organizationSEAGASocio-economic and Gender Analysis Programme (FAO)SSASub-Saharan Africa

xiExecutive summaryCONTEXT AND BACKGROUNDAccording to the New Partnership for Africa’s Development (NEPAD), 200 millionpeople in Africa, or 28 percent of the continent’s population, were chronically hungry in1997–99. By the end the 1990s, only ten countries had been able to reduce their numbersof hungry people in that decade. Food imports have been rising since the 1960s, andAfrica became a net agricultural importer in 1980. The agriculture sector now providesonly 20 percent of the continent’s exports, whereas it provided 50 percent in the 1960s.NEPAD makes agriculture one of its main priorities “as the engine of NEPADinspired growth”. It stresses three aspects: improving the livelihoods of people in ruralareas; achieving food security; and increasing exports of agricultural products.None of these aims can be achieved without giving serious attention to familyfarm power in small-scale agriculture in sub-Saharan Africa (SSA). Farm power is avitally important component of small farm assets. A shortage of farm power seriouslyconstrains increases in agricultural productivity, with a resultant stagnation in farmfamily income and the danger of a further slide towards poverty and hunger.Studies in SSA in 2003 and 2004 have revealed in a graphic manner that unless theissue of farm power is addressed in a practical way, with solutions that are accessible tosmall farmers, the region is at risk of increasing poverty and hunger. The MillenniumDevelopment Goal of halving the proportion of people suffering extreme poverty by 2015,and the similar goal of the World Food Summit in 1996 to reduce the number of starvingpeople by half, are now unlikely to be attainable in SSA until well into the 21st century.The review and guidelines presented in this publication are the result of severalrecent studies of the power situation of farm families in small-scale agriculturein SSA. These reports reconfirm that the farm power situation is deficient almosteverywhere, and that urgent measures are needed to correct it if the widelypromoted goals of raising the productivity of the sector, reducing poverty, andachieving food security are to be achieved.Another serious concern in SSA is that of soil degradation. The level of degradationvaries considerably across the region and is difficult to quantify. However, somefigures for soil erosion in Ethiopia were documented in 1988; they ranged from 16to 300 tonnes of soil per year being washed away, with an average for the country ofover 40 tonnes/year on cultivated land. An FAO/World Bank Ethiopian HighlandsReclamation Study some four years earlier estimated that 1 900 million tonnes of soila year were being washed away from the cultivated land in the Highlands, equiva

4.8 Definition of conservation agriculture and of conservation tillage 29 4.9 Advantages and benefits of conservation agriculture 30 4.10 Pre-conditions for adoption of conservation agriculture 32 6.1 People-centred approaches 46 6.2 Stakeholders in mechan

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