predicted impact of hiv/aids on improved fallow adoption and rural household food security in malawi

Copyright © 2007 John Wiley & Sons, Ltd and ERP Environment

* Correspondence to: P. H. Thangata, SADC Secretariat, FANR Directorate, Private Bag 0095, Gaborone, Botswana. E-mail: [email protected] or [email protected]

Sustainable DevelopmentSust. Dev. 15, 205–215 (2007)Published online 2 April 2007 in Wiley InterScience(www.interscience.wiley.com) DOI: 10.1002/sd.323

Predicted Impact of HIV/AIDS onImproved Fallow Adoption and RuralHousehold Food Security in Malawi

P. H. Thangata,* P. E. Hildebrand2 and F. Kwesiga3

2Food Resource and Economics Department, University of Florida, Gainesville, Florida, USA3Forum for Agricultural Research Agricultural Research in Africa (FARA), PMB CT 173,

Accra, Ghana

ABSTRACTResearch was conducted to assess the impact of HIV/AIDS on improved fallow adop-tion and rural household food security in Malawi. An ethnographic linear program-ming model was created for a representative household with three scenarios: noillness, adult female illness and adult male illness. Results show that the impact ofHIV/AIDS on food production depends on the patient’s gender. If a male head ofhousehold is sick and later dies, available field labour is reduced as family membersare expected to care for him and, consequently, less food and cash crops are pro-duced, which creates a food insecure household. However, when a woman is sick andlater dies, the effect on male labour is not as great, as males are not care-givers. Weconclude that in an HIV/AIDS environment, agroforestry adoption is more feasible in households in which available labour is undisrupted for longer periods of time.Copyright © 2007 John Wiley & Sons, Ltd and ERP Environment.

Received 1 August 2005; revised 5 February 2007; accepted 15 February 2007

Keywords: Africa; agroforestry; rural food security; HIV/AIDS; Malawi; improved fallows; smallholder

Introduction

IN MALAWI, ALMOST 90% OF THE POPULATION IS RURAL AND DERIVES ITS LIVELIHOOD FROM FARMING

small landholdings, contributing about 85% of total agricultural production. However, soil fertility

depletion is one of the problems contributing to lower yields and potential food insecurity in small-

holder households. The complete removal of subsidies for mineral fertilizers in 1998 (Zeller et al.,1998) meant that most farmers can no longer afford them. Although replenishing soil fertility can be

achieved with either organic or inorganic fertilizers, the only feasible option for many smallholder

farmers in Malawi is to use organic fertilizers. Agroforestry systems including improved fallows are a

promising technology to restore the soil fertility in smallholder farms. However, agroforestry activities

increase labour use considerably.

206 P. H. Thangata et al.

Rural food insecurity in Malawi has been compounded by the prevalence of HIV/AIDS since the first

confirmed case in 1985. By 1996 AIDS had become the leading cause of death among Malawi’s popu-

lation aged 15–49, even though the Malawi government began implementing a number of policy, insti-

tutional and operational strategies to prevent and mitigate the spread of HIV/AIDS. At the time of this

study, no comprehensive research had been carried out to assess the impact of HIV/AIDS on food secu-

rity in rural areas (Kakhobwe, 1999).

As is the case in other sub-Saharan African countries, the smallholder agriculture sector in Malawi

depends on family labour, which is among the most constraining of socioeconomic factors in small-

holder systems. The HIV/AIDS epidemic impacts on human health and hence on crop production in

smallholder farming systems, due to a reduction in available household field labour for long periods

(Villarreal, 2001). As conditions for food insecurity persist, the range of options for resource-poor

farmers to overcome food deficits becomes more limited. Additionally, a reduction in available house-

hold labour leads to a decline in the amount of land that can be cultivated and a decrease in the range

of crops that can be grown. Potential cash income is also lost due to illness and death of individuals and

the task of caring for these patients (Haslwimmer, 1996).

Given that HIV/AIDS affects the labour force, the epidemic is no longer just a health issue, but an

agricultural problem as well. When a member of the family is sick, the whole family is affected due to

a reduction in household labour for long periods of time as members have to divert time to care for the

sick and eventually neglect farm or off-farm activities (Haslwimmer, 1996). The HIV/AIDS epidemic

is therefore a family disease (Pequegnat et al., 2001) because of the dynamic interactions among family

members (Robbins et al., 1998). Thus, vulnerability to diseases in rural households is vulnerability to

food insecurity.

In times of food shortages and non-HIV/AIDS situations, the most common coping strategies in rural

Malawi have been (1) ganyu, working in other farmers’ fields for payment in cash or kind, and/or (2)

changing food consumption to fewer meals per day or per week. In many households affected by

HIV/AIDS, ganyu is often no longer an option. Even in households with surplus labour, the problem is

compounded by fewer opportunities for off-farm labour, and more expenses caring for the sick, or on

funerals, resulting in less money available for purchasing food and other household requirements (FAO,

2002; UNAIDS, 1997). Therefore, dietary change is often the only available option and poverty is

exacerbated.

The Malawi government is one of the African governments that have, in recent years, introduced ini-

tiatives to make anti-retroviral drugs (ARVs) more accessible to people living with HIV/AIDS. However,

the success of these initiatives rests partly on the food security and nutritional status of their

beneficiaries, as ARVs are known to be potentially harmful when taken on an empty stomach. Nutri-

tion and food availability are major determinants of human health and functional performance (Wagner,

1986). Managing the interactions between ARVs and food and nutrition is a critical factor in improv-

ing the quality of life of people living with HIV/AIDS (Castleman et al., 2003). Good nutrition reinforces

the effect of drugs that may be taken by infected people (FAO, 2002). When infected with the HIV virus,

the immune system works hard to fight infection so people living with HIV and those with AIDS have

increased nutritional requirements (FAO, 2002; Epstein, 1995). Improving the productivity and diver-

sity of food crops is essential to attaining food security and mitigating the impact of HIV/AIDS.

Agroforestry can play an important role in helping to reduce the vulnerability of families affected with

HIV/AIDS. It is one of the six sustainable agricultural production practices for soil fertility improve-

ment and productivity, critical for sustainable land use, poverty alleviation and income generation among

smallholder farmers, especially those in marginal and degraded lands (Khan and Khisa, 2000; Chianu

and Tsujii, 2004). Agroforestry has also been used as wood fuel, timber, poles and fodder and for soil-

erosion control, among other uses (Tenge et al., 2004; Kajembe et al., 2005; Okoba and De Graaff, 2005).

Copyright © 2007 John Wiley & Sons, Ltd and ERP Environment Sust. Dev. 15, 205–215 (2007)DOI: 10.1002/sd

HIV/AIDS and Improved Fallow Adoption and Rural Household Food Security in Malawi 207

Besides improving soil fertility and improving the productivity of food crops, and the many other uses

of agroforestry, the adoption of agroforestry technologies can increase the diversity of food available

(Khan and Khisa, 2000). For severely cash constrained farmers (which is the case for the majority of

smallholders in Malawi), the cash saved when they use agroforestry methods to sustain soil fertility (as

opposed to purchased chemical fertilizers) can be used for other household needs. Importantly, in the

context of vulnerable, poor families, this modest cash reserve can help protect households from selling

assets to meet expenses when a member of the household is sick or dies. Furthermore, the production

of indigenous fruits in agroforestry systems can also improve household nutrition through increased

fruit availability – which is of considerable significance in the Malawi context, where malnutrition is a

major problem for poor families (Conroy et al., unpublished report). Last, some agroforestry species can

provide alternative remedies to treat opportunistic infections traceable to HIV/AIDS. A comprehensive

discussion on how agroforestry can mitigate the impacts of HIV/AIDS is given by Kwesiga et al. (2004).

This paper evaluates the impact of HIV/AIDS on labour availability and on the potential for adoption

of one agroforestry technology – improved fallows of sesbania (Sesbania sesban (L) Merr.) and tephrosia

(Tephrosia vogelii Hook, f.). The study was carried out as part of a larger project evaluating the potential

for agroforestry adoption and carbon sequestration in agroforestry systems (Thangata, 2002). This part

of the study tested the hypothesis that adoptability of agroforestry depends on household composition,

and so on available labour. The study specifically focused on who in the household is affected, and on

the effects of HIV/AIDS on food production in a household.

The paper is arranged as follows: after this introduction, the next section deals with the materials and

methods of the study. After this, there is a model framework and model scenario section that is followed

by the results section. This is followed by discussion and conclusions.

We would like to underscore that any disease reduces available labour in a household and reduces

household productivity. The choice to use HIV/AIDS in this study was because the illness reduces labour

for long periods of time and therefore it is easy to track time lost, for example the time between when

one gets sick and the time one dies. We note also that in the rural areas it is sometimes impossible to

distinguish the physical signs of HIV/AIDS from those of poverty and malnutrition.

Materials and Methods

The study was conducted in central Malawi, specifically Kasungu district. Data were collected from Sep-

tember to December 1999 and again between June and August 2001. Details regarding the area and

methodology are found in the work of Thangata et al. (2002). To understand the role played by central

government, meetings were conducted with the district commissioner and the district health officer.

Later, interviews were held with hospital personnel, NGOs and farmers to learn about HIV/AIDS pro-

grams in the area and what information about HIV/AIDS already existed. No formal questionnaires

were used. From past experience working in the villages, people are reluctant to discuss HIV/AIDS and

therefore a questionnaire would not have been appropriate. Farmers, including those who have cared

for an HIV/AIDS patient, were interviewed primarily about how this affected their work in the fields.

The interviews were conducted in a Sondeo (PRA) manner (Hildebrand, 1981) in the presence of the

extension worker and the health surveillance assistant (HSA) from a local clinic.

A dynamic (10 year) ethnographic linear programme (Bastidas, 2001; Thangata, 2002; Hildebrand

et al., 2003) was developed to model the representative household. This procedure, developed in the

field with the participation of informants, maximizes an objective (in most cases discretionary cash

after meeting necessary cash expenses) subject to the constraints of land, labour, cash, minimum

necessary cash expenses and food consumption for the household.



During the study, three general observations of note were made. First, it was observed that at the

household level, when the husband is sick, family members are expected to take care of the man. Family

members have to divert time to care for the patient and eventually neglect farm or off-farm activities.

This means that the work of the husband and the caregivers (household members) in the household is

reduced. Conversely, when the patient is the wife, she is either sent to her parents’ home where her rel-

atives take care of her, or one of her female relatives comes to the husband’s home to take care of the

sick wife. In the former, there is one less member to feed in the affected household, but the receiving

(the wife’s parents) household has another member to feed. In the latter case, the husband continues

to work as before, the household loses the labour of only one member and gains one more member (the

female relative) to be fed who does not contribute to fieldwork. Consequently, from the perspective of

the household of the sick person, when the husband is sick, a larger amount of field labour is lost.

In this paper, modelling the impact of HIV/AIDS on agriculture and agroforestry adoption stems

from the observation that women take more responsibility than men when it comes to taking care of

the sick in the household. Yet, women also provide most of the agricultural labour oriented to food

production for home consumption (Gladwin, 1992), while men’s labour is in most cases intended for

producing commercial crops.

Model Framework

The stages leading to the construction of the HIV/AIDS model are presented in Figure 1. After data col-

lection, a base, no-agroforestry-intervention model was developed and analysed (stage 1). Later, a general

agroforestry model (stage 2) was developed. Stage 3 is an extension of the general agroforestry adoption

model in which a seed-selling incentive was introduced. During the early days of disseminating the

improved fallow technology, ICRAF was buying seed from farmers already testing the technology to give

to new farmers and NGOs promoting agroforestry. Sales of tree seeds amount to a windfall profit for

early adopters and a monetary incentive to adopt improved fallow technologies for late adopters

(Thangata et al., 2002). Additionally, since the agroforestry seeds were bought at a higher price than

maize1, the additional income from seed selling can enhance adoption, even in times of shocks such as

HIV/AIDS, so it became the incentive in the model (stage 3). At stage 4, three models were developed

from stage 3: a model comparing the adoption pattern between male- and female-headed households, a

carbon model, in which a carbon credit incentive was introduced and the HIV/AIDS model (Thangata,

2002; Thangata and Hildebrand, 2006). From Figure 1, it is the HIV/AIDS model on which this paper

reports.

Model Scenarios

A representative, male-headed household with 3.5 ha of land was selected to model three scenarios (stage

4) with a seed-selling option (stage 3), over a 10-year period. The household was representative of the

first 10 households interviewed in 1999. The 10 households were among the 18 farmers who went to

Zambia to view agroforestry trials there by ICRAF in the 1997/98 season (Moyo, 1999). The composi-

tion of the representative household and minimum annual food requirements are presented in Table 1.

The model separates labour inputs by gender and by month; labour supply in any calendar month is


1 Maize selling price was about US$0.09, while agroforestry seeds ranged from US$0.79 to 1.04.



ModelStage

1

4

3

2

DATA COLLECTION PRIMARY

(Farm Surveys) +

SECONDARY(Agronomic, Biophysical, Policy)

BASEModel

HIV/AIDSMHHVs

FHH

SEED SELLING

AGROFAdoption Model

CARBONCREDIT

Figure 1. Schematic representation of the modelling stages

HH composition Number Labour/month Food requirements(kg)/year

Maize G/nut Cassava S/potato

Male 1 25 250 100 70 70Female 1 25 250 100 70 70Adolescent males 0 – – – – –Adolescent females 1 12.5 200 100 70 70Child (male 6 yrs) 1 5 150 50 35 35Infants (<5 yrs) 2 – 100 100 70 70Sub total 6 67.5 950 450 315 315Female1 1 – 250 100 70 70Grand total 7 67.5 1200 550 385 385

Table 1. Household composition, annual food requirements per person and labour person days per month in Central Malawi1 Added female member when the wife is sick.

the total amount of labour available from the contribution of all household members. The consumption

constraints in the model reflect the need for the households first to satisfy usual household food con-

sumption levels before marketing any surplus for cash. Modifying household composition (number of

adults, their sex, and the number, age and sex of children) also affects potential adoption of improved

fallow technology. This effect is reported by Thangata (2002).

The scenarios modeled are


(1) NO SICKNESS, when there is no person ill in the household;

(2) MALE SICKNESS, when the husband becomes ill with HIV/AIDS in year 4 and dies in year 6, and

(3) FEMALE SICKNESS, when the wife becomes ill with HIV/AIDS in year 4 and dies in year 6.

As reported by Thangata (2002), in dynamic modelling, the first season is started with an arbitrary

amount of beginning cash available. Therefore, the first year is not necessarily representative. Starting

from year 1, unused cash can be transferred to the following season. The arbitrary initial cash amount

can also affect the second year. By the third year, this effect normally disappears. Therefore, the first

two years are not reported in this study. Another issue to take into account in mathematical program-

ming in general is end-of-planning-horizon effects. These effects are when the model ‘chops off’ the

analysis at some finite time in the future (Grinold, 1983; Schrage, 1997). Because there is no long term

future in the model in the last years of the dynamic program, the model sees no benefits from certain

activities in these years (such as livestock production or multi-year agroforestry practices), so it elimi-

nates these activities from the ‘optimal solution’ in the last years of the program. In our 10-year model,

improved fallows planted in the ninth and 10th years do not yield any benefits until the 11th year, or

after, when the model has ended. Because the model chooses only those activities that are of benefit to

the farm in the ninth and 10th years it drops agroforestry activities from the simulated results in those

last two years. To reflect the above dynamic modelling characteristics, only results from years three to

eight are reported.

Results

No Sickness Scenario

In the case of no HIV/AIDS in the household (Table 2), consumption requirements were met and some

maize (the main food crop) and other food crops were sold. The household was able to feed itself through-

out the period and therefore was food secure. In year 3 nearly one-third of the land was in improved

fallow and this proportion gradually increased to about 43% in year 8. More than half of the maize area

was on land previously planted to improved fallows, and in years 6 and 8 improved fallow maize com-

pletely replaced fertilized maize. The household did not need to use credit to finance the adoption of

the new technologies as it was able to transfer sufficient cash from year to year for production activities

and other necessary expenses in the following season and had discretionary cash (the variable maxi-

mized in the model) available each year. Of particular importance in this option was the use of the seed

selling incentive offered by ICRAF. Agroforestry technologies, like other cropping enterprises, require

seed to replace harvested trees and to plant new areas. This seed can be produced locally and is poten-

tially an attractive cash crop. This enterprise is partly responsible for the relatively well-off status of the

household, in comparison to no seed selling, and was considered to be critical in the establishment of

the improved fallow option.

Female Sickness Scenario

When the female was infected with HIV/AIDS in year 4 and died in year 6, the household was still able

to produce enough maize and other food crops for home consumption (Table 3), but unable to produce

enough maize to sell beginning in year 4. Beginning in year 5, the area in new fallow dropped to about

half, reducing the cash available from improved fallow seed selling, and the area in improved fallow

maize dropped to about half of the no sickness scenario. There was still some discretionary cash avail-

able, but it initially dropped to about one-fifth of the no sickness scenario.



Owing to the sickness of the female, total land cultivated was reduced to less than half while she was

ill because of a decline in field labour (the land is not planted) with an evident effect on the household

food supply, but began to recover following her death. Land planted to improved fallows followed the

same pattern, decreasing to less than half of that planted in the no sickness scenario, but then gradu-

ally recovering following her death. The recovery is partly attributed to additional labour inputs from

younger household members, who start contributing more labour as they grow older.

Male Sickness Scenario

When the male head of household became sick in year 4, there was an infeasible solution; normal food

consumption requirements could not be met. When a household cannot feed itself following a shock

(during male illness in this scenario), they have to come up with coping mechanisms to survive during

this period. Haddad and Gillespie (2001) have indicated that discussions of HIV/AIDS impacts on

household or the community have to be linked directly to coping mechanisms and responses of the

group under discussion, as many impacts are revealed through such responses. Therefore, we went

further to re-model this scenario, but including steps taken by the family in a situation whereby the male

head of household is sick, with a decrease in household food consumption. In this scenario, the male

labour contribution was reduced by 33% in the first year of sickness and then completely eliminated in


Activities Year

3 4 5 6 7 8

Annual crops (ha)Fertilized maize 0.00 0.23 0.22 0.00 0.21 0.00Improved fallowmaize 0.58 0.34 0.33 0.44 0.43 0.45Tobacco 0.33 0.44 0.48 0.46 0.68 0.73Groundnut 0.14 0.14 0.09 0.09 0.16 0.09Cassava 0.33 0.33 0.33 0.33 0.33 0.30Sweet potato 0.25 0.25 0.25 0.25 0.25 0.25

Improved fallows (ha)Total new fallow 0.33 0.44 0.43 0.45 0.68 0.70Total old fallow 0.45 0.33 0.44 0.43 0.45 0.68Total improvedfallow 0.78 0.77 0.87 0.88 1.13 1.38

Total land 2.42 2.51 2.56 2.44 3.20 3.20Selling (kg)

Tobacco 231 309 333 319 478 509Maize 933 918 752 239 918 105Groundnut 61 59 0 0 82 0Cassava 720 720 720 720 720 651Sweet potato 520 520 520 520 520 520Sesbania seed 433 314 363 421 471 608Tephrosia seed 129 92 92 92 93 92

Cash (US$)Cash transfer 108 111 88 150 135 134

Discretionary cash 995 989 1067 991 1471 1549

Table 2. Simulated crop production (ha) activities in the NO SICKNESS scenario


the second year onwards (after death). Labour contribution from other household members is reduced

as they take care of the sick household head, but becomes available again after the death of the sick

member. Labour from the male child (see Table 1) was considered in the later part of the model as he

grew to an adolescent male.

In the past, the coping strategy used by most people when they were food deficient was ganyu.

However, ganyu is much less feasible with HIV/AIDS in the household, due either to being weak from

diseases or lack of surplus labour. Changing consumption to fewer meals is, therefore, the common

coping strategy. To model what could happen for the household to survive the illness and death of the

male head, the model was solved at different food reduction rates. It was found that the household

needed to reduce its consumption requirements by 30% to give a feasible solution. This is entirely con-

sistent with the behavior of poor families in Malawi. In the food crisis years of 2002 and 2005, reduc-

tions in food intakes of this order of magnitude have been reported. While the weakest succumb to

hunger, households survive by reducing the number of meals, eating wild grains and grass and selling

what few assets they have to gain food to survive (Conroy et al., unpublished report).

Table 4 shows results from the male sickness scenario, when the household has to reduce its food

consumption while the male head is sick and after his death (the death of the male will release a small

amount of food but this is heavily discounted by the loss of his labour). Not only was food consumption

reduced, but tobacco land (the main source of cash other than selling seed from the improved fallow)


Activities Year

3 4 5 6 7 8







Table 3. Simulated crop production (ha) activities, amounts sold and end year cash (US$) in the FEMALE SICKNESS scenario


was also severely reduced. However, there was a small amount of discretionary cash available that could

be used to purchase some additional maize.

Discussion and Conclusions

With the seed selling option available, improved fallow should be widely adopted even in the case when

there is HIV/AIDS in the household. However, the illness of either of the adults reduces the area the

household can plant each year until the patient dies. This frees up labous used to care for the sick person,

which can be used to plant more improved fallows. When the person in the household with HIV/AIDS

is the female the household can still be food secure, but when it is the male the representative house-

hold must reduce food consumption. In this case consumption was reduced by 30%; however, follow-

ing the death of the male patient, the household gradually recovered. Also, there is a general decrease

in crop activities, which reduces food availability and cash in the household and hence vulnerability

increases.

Since this study assumed a seed selling incentive, the end year cash it predicted is probably overesti-

mated. However, the results show that if seed selling were available for improved fallow species, agro-


Activities Year

3 4 5 6 7 8







Table 4. Simulated cropping combinations as a means to cope with MALE SICKNESS for a household that has reduced foodconsumption by 30%


forestry could be expected to be adopted even by households that have limited labour. We also note that

there are many other variables that were not included in the models. Such variables as extended time

of mourning, when no farming activities can be carried out, can have an adverse effect on labour avail-

ability during periods in which deaths are frequent. In this study a lump sum was included as a con-

straint for minimum necessary expenses. Since the study did not include the cost of funerals, we also

note that such variables could substantially decrease the discretionary cash. Further, there would prob-

ably be a reduction in the amount of labour that those in the household who are not sick would be able

to contribute. This effect was not included in the model.

Several implications for policy and future research can be derived from this research. First, because

labour is such an important determinant in undertaking production activities, future improved fallow

research should look into less labour demanding technologies that would also improve food production

in rural agricultural systems.

Second, this study looked at a small area in Malawi. It is therefore suggested that a countrywide inter-

departmental (agriculture and health) survey to assess the overall impact of HIV/AIDS on smallholder

farming in Malawi is necessary. Such a study would provide information to stakeholders to formulate

policies that would assist the local people.

Third, in Malawi, the agricultural extension services have offices in each Extension Planning Area and

an agent in each village section. While conducting this study, there was cooperation between the exten-

sion services and the health personnel from the local clinic. It would be useful to explore the possibil-

ity of training extension workers as AIDS counselors. This is because extension workers cover a large

area and visit farmers almost everyday and are therefore in touch with the community. On the other

hand, the farmers have to travel to the nearest clinic whenever they are sick. Coordination between the

agricultural extension and health departments would also help to facilitate reporting of the sick and

infirm to the health services and thereby improve disease assessment in the rural communities. This

close collaboration might also assist the health personnel, as the extension agent would report on any

major sickness or outbreaks in the area.

Last, in this study, households in which the male head was ill were predicted to be more adversely

affected than households with an ill female spouse. Programs targeting female headed households can

help improve their accessibility to food in times of illness and after the death of their spouse. We note

that households with different compositions would be affected differently; therefore, it would be useful

to model several kinds of household. Nutrition is very important in the management of HIV/AIDS. It

is therefore proposed that ICRAF-SA scale up options such as indigenous fruit trees and nutritional

gardens, which can bring in income and nutritional benefits to rural households, especially those that

are food insecure or HIV/AIDS affected.

Acknowledgments

This research was supported in part by The Rockefeller Foundation and a grant from the Compton Foundation through theUniversity of Florida. We thank them. We would also like to thank Dr. Goran Hyden for his contribution to this research.

The authors alone are responsible for the views and analysis expressed in this paper.

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