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1 The Food, Agriculture and Natural Resources Policy Analysis Network (FANRPAN) Analysis of Existing Institutional Arrangements and Policy Environments for Managing Climate Related Risks to Smallholder Crop Production and Post- Harvest Handling in Malawi 30 August 2014 Study Report No. 03/04.2016

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The Food, Agriculture and Natural Resources Policy Analysis Network

(FANRPAN)

Analysis of Existing Institutional Arrangements and Policy Environments for Managing Climate Related

Risks to Smallholder Crop Production and Post-Harvest Handling in Malawi

30 August 2014

Study Report No. 03/04.2016

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Analysis of Existing Institutional Arrangements and Policy Environments for Managing Climate Related Risks to Smallholder Crop Production and Post-Harvest Handling in

Malawi

30 August 2014

By

Trust Donga.

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The content of this publication can in no way be taken to reflect the views of FANRPAN and its partners. Furthermore, the designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of FANRPAN, representative of FANRPAN or of the cosponsoring or supporting organizations concerning the legal or development status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers and boundaries.

FANRPAN Regional Secretariat 141 Cresswell Road, Weavind Park 0184, Private Bag X2087, Silverton 014, Pretoria, South

Africa Telephone: +27 12 804 2966. Facsimile: +27 12 804 0600. Email: [email protected].

Website: www.fanrpan.org

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ACRONYMS ADMARC Agricultural Development and Marketing Corporation AICC African Institute of Corporate Citizenship AIDS Acquired Immunodeficiency Syndrome APHLIS African Postharvest Losses Information System ASWAp Agricultural Sector Wide Approach ATCC Agriculture Technology Clearing Committee AU African Union CA Conservation agriculture CAADP Comprehensive African Agricultural Development Programme CEPA Centre for Environmental Policy and Advocacy CPC Civil Protection Committees DARS Department of Agricultural Research Services DAES Department of Agricultural Extension Services DFID Department for International Development DoDMA Department of Disaster Management Affairs DPRA Disaster Preparedness and Relief Act DRM Disaster Risk Management DRR Disaster Risk Reduction EAD Environmental Affairs Department EMA Environment Management Act ESCOM Electricity Supply Commission of Malawi EU European Union EWS Early Warning Systems FAO Food and Agriculture Organization FISP Farm Input Subsidy Program GoM Government of Malawi HIV Human Immune Virus ICRISAT International Crops Research Institute for the Semi-Arid Tropics ICT Information, communication technology IFDC International Fertilizer Development Center IPCC Intergovernmental Panel on Climate Change KII Key Informant Interview LGB Larger grain borer MGDS Malawi Growth and Development Strategy MoAFS Ministry of Agriculture and Food Security MTL Malawi Telecommunications MVAC Malawi Vulnerability Assessment Committee NAPA National Adaptation Program of Action NASFAM National Association of Smallholder Farmers of Malawi NDRM National Disaster Risk Management NEAP National Environmental Action Plan NEP National Environmental Policy NEPAD New Partnership for Africa's Development NFRA National Food Reserve Agency

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NGO Non-Government Organization NSO National Statistical Office OPC Office of the President and Cabinet OVOP One Village One Product PHH Post-harvest handling PHL Post-harvest losses PHM Post-harvest management R&D Research and development SACCO Savings and Credit Cooperatives SADC Southern African Development Community SoHCOM Soil Health Consortium of Malawi SWOT Strength, weakness, opportunities and threats UNDP United Nations Development Programme UNFCCC United Nations Framework Convention on Climate Change USAID United States Agency for International Development VCPC Village Civil Protection Committees WFP World Food Program

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Table of Contents ACRONYMS ...................................................................................................................... 4

1. Introduction .............................................................................................................. 7

1.1 Overview of agriculture, food security and crop production and post-harvest handling issues in Malawi ........................................................................................ 7

1.2 Description of climatic risks faced by smallholder farmer crop production in the study country ........................................................................................................... 8

1.3 Description of crop production and post-harvest handling activities and risks faced by smallholder farmers in the country .................................................................... 8

1.4 Methodology .................................................................................................................. 9

2. Regional polices and Institutional arrangements for managing climatic risks on smallholder farmer crop production and post-harvest handling. ..................................... 10

2.1 Regional policies for managing climate risks ............................................................ 10

2.2 Regional Institutional Arrangements for managing climatic risks for smallholder crop production. .................................................................................................... 11

2.3 Regional policies for crop production and post-harvest handling in disaster prone areas ....................................................................................................................... 12

3. National Policies and Institutional Frameworks for managing climatic risks on smallholder farmer crop production and post-harvest handling ...................................... 13

3.1 Policy frameworks on managing climatic risks ............................................................ 13

(i) National Adaptation Programme of Action (NAPA) 2006 ..................................... 13

(ii) Food Security Policy 2006 ...................................................................................... 14

(iii) National Irrigation Policy and Development Strategy 2000 .................................. 14

(iv) National Environmental Policy 2004 ..................................................................... 15

(v) Malawi Agricultural Sector Wide Approach (ASWAp) 2011 - 2015....................... 16

3.2 Key Institutional Frameworks for managing climatic risks faced by smallholder crop production farmers ................................................................................................ 16

3.3 Policy Frameworks on managing post-harvest handling by smallholder crop farmers in the country – effectiveness and relevance. ....................................................... 17

(i) Integrated Trade and Industry Policy 1998 ........................................................... 17

3.4 Key Institutional frameworks for managing post-harvest handling by smallholder crop production farmers ........................................................................................ 18

4. National research, policy and institutional framework gaps for managing climatic risks on crop production and post-harvest handling ........................................................ 20

4.1 Research gaps managing climatic risks on crop production and post-harvest handling ................................................................................................................. 20

4.2 Gaps in policy and institutional framework managing climatic risks on crop production and post-harvest handling .................................................................. 20

5. Conclusions and recommendations ......................................................................... 21

References...................................................................................................................... 23

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1. Introduction

1.1 Overview of agriculture, food security and crop production and post-harvest handling issues in Malawi

Agriculture remains the main source of livelihood for more than 70% of the population of Malawi, contributing about 45% of Gross National Product and more than 90% of the country's export earnings (Chilowa, 2005). The main crops grown are maize, tobacco, cassava, tea, sugarcane, groundnuts, cotton, coffee, rice, and pulses (cowpea, common beans, pigeon pea). These crops are grown both for household consumption and income generation. Crop production and utilisation are constrained by a set of interacting factors. The factors include: pests and diseases, high HIV/AIDS prevalence rates, small landholding sizes among small-holder farmers, limited access to agricultural inputs and credit, low technology adoption, poor and declining soil fertility, land degradation, climate change and heavy reliance on rainfall, and poor institutional linkages and policy harmonization. The main biotic factors that limit crop production are insects, weeds and diseases. Abiotic factors include low soil fertility, poor infrastructure, high cost of farm inputs, reccurent adverse weather patterns (UNEP, 2006; Mugo et al., 2002) and lack of farmer-decision support systems. Estimates by the African Post-Harvest Losses Information System (APHLIS) indicate that Southern Africa incurr crop losses of US$1.6 billion per year or about 13.5 % of the total value of grain production (US$11 billion). Table 1 shows a record of post-harvest losses for maize in Malawi (APHLIS, 2014) Table 1: Estimated post-harvest losses (t) 2003 - 2013 Province 2003 2004 2005 2006 2007 2008 2010 2011 2012

Central - 210739 171142 365508 313792 313851 423331 470653 360817

Northern - 56539 46119 100668 81950 116472 103845 120748 93704

Southern - 116224 70940 255017 206815 267156 194942 240464 244718

Source: APHLIS, 2014

Various low cost and effective technologies have been developed to reduce the impact of pests and diseases (Langyintuo, 2004). However, the adoption rate of such technologies remain low as they have been adopted by less than 50% of the population (Cock et al., 2009; Chirwa, 2005). High costs and inavailability of such technologies; and other uncertainities are the major reasons for non-adoption. Since 2005/06, the Government of Malawi has investeded in providing agricultural inputs to smallholder farmers in an effort to assist them in overcoming these challenges. However, the criteria for selecting target households is not very clear (Dorward and Chirwa, 2013). Through a coupon system, the Government provides inorganic fertilizers; maize and some legume seeds; and maize grain protectants at subsidized prices to 77% of rural households who cannot afford to buy inputs at non-subsidised prices (Dorward and Chirwa, 2011). Such households are usually food

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insecure throughout the year. However, the Government is not investing in training farmers on the safe and effective use of the pesticides. 1.2 Description of climatic risks faced by smallholder farmer crop production in the study

country Malawi is divided into the following three agro-ecological zones:

low (rainy season of between 3-4 months from December to February/March, average annual rainfall 700-800 mm, >= 30 °C);

medium (rainy season of between 4-5 months December to February/March, average annual rainfall 875 mm, moderate temperatures); and

high altitude areas (characterised by cool temperatures and overcast conditions). Since much of the crop production is rain fed, the major climate risk factors to farmers include flooding, dry spells, drought, strong winds and late onset of planting rains.

According to the Global Facility for Disaster Reduction and Recovery (GFDRR, 2014), Malawi is highly prone to disasters and likely impacts of climate change. The effects of climate change are already being felt in Malawi (USAID Vulnerability Assessment Report, 2012). Table 2 - Evidence of climate change impacts in Malawi Changes in rainfall Changes in temperature Changes in livelihoods

Late onset of the rains

Unclear start to the rains

Extended dry periods

Early cessation of the rains

Heavier rains than normal during the rains and at the end of the season

More variable temperatures in winter, both higher and lower

Higher temperatures in an extended dry season, immediately prior to the rains

Higher temperatures in within the rainy season, particularly during dry spells

Shifts between traditional and improved varieties

A shift to more drought resistant food crops

A shift from food crops to cotton, reductions in livestock numbers in most places, and a decline in fishing and fish farming.

Source: USAID, 2013, Malawi Climate Change Vulnerability Assessment, Annex B: Detailed Participatory Rural Assessment Report, African and Latin American Resilience to Climate Change (ARCC), 78 pp

Since the year 2000, the frequency of natural disasters has increased (Table 2). According to the Malawi National Adaptation Programme of Action (NAPA, 2006), Malawi reported over 40 weather-related disasters between 1970 and 1992. Droughts and dry spells in Malawi are reported to cause on average of about 1% of annual GDP loss (World Bank, 2010). Droughts and floods are the major climate related disasters reported in Malawi and they can result in high fatalities and huge economic losses. Changes in the onset and pattern of rainfall are further evidence of climate change in Malawi. 1.3 Description of crop production and post-harvest handling activities and risks faced

by smallholder farmers in the country

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The commonly grown crops in Malawi are maize, groundnuts, beans, rice, cassava, tobacco and assorted vegetable. Many of these crops are intercropped. Crop rotation is not practiced widely since farmers have small land-holding sizes. For rain fed crop production, farmers start land preparation in October/November; plant, weed and apply nitrogen based fertilizer in December (January, late planting); with second fertilizer application and ridge bundling in February. Harvesting for most of the grains starts in May and continues through August. Harvesting of beans starts in February. For tobacco, nursery activities are done during the months of August and October. Transplanting is done in November and leaf picking and processing during the months of February through April. Markets open in early March. It should be noted that all post-harvest handling work are done manually. All family members participate in this exercise. Land preparation for crops grown under irrigation or residual moisture (mostly vegetables, maize) is in July. Planting is in August. All the recommended agricultural practices such as weeding are then followed. Post-harvest handling activities for grains include sun drying, shelling, and application of grain protectants, bagging and storage. The majority of the grains and vegetables are sold in nearby local markets or to vendors who come to the villages. Vegetables are sold fresh with no value added or commercial packaging. Some farmers (mostly in rural areas) sundry the vegetables are a method of vegetables.

Presently in Malawi, management of field and storage pests are heavily dependent on use of synthetic chemical pesticides (Kananji et al., 2009; Singh and Oswalt, 1992). However, the majority of farmers cannot afford to buy synthetic insecticdes (Turnbull et al., 2013; MoAFS, 2012; FAO, 1993). Instead, farmers are reported to use locally available botanical pesticides (Nyirenda et al., 2012). Variations in quantities of the active ingredient effectivess, application rates, and preparation of extracts exist in pesticidal plants (Belmain et al., 2012). Biological control has been tried with minimal impact on crop losses (Hell et al., 2006).

Hermetic storage systems have been exploited as a way of managing pests of stored products. Metal and concrete silos are effective in controlling pests, but they are not affordable to farmers and not feasible with farmers’ storage practices. For example, nowadays farmers prefer to keep their grain stored inside their houses to reduce the chance of theft, and fixed size silos are more bulky than sacks. Initiatives to address abiotic factors, such as small scale hermetic storage systems like Purdue Improved Crop Storage (PICS) bags, Grainpro supergrain bags and use of entomopathogenic fungi capsules, are more convinient for farmers. PICS have been used successfully to control cowpea bruchids at farmer level (Baributsa et al., 2010; Quezada et al., 2010; Tefera et al., 2011; Baributsa et al., 2012; Moussa et al., 2013). 1.4 Methodology A review of the literature (published and grey) was carried out to collect secondary data on crop production, post-harvest handling, climate change and related policies. A survey of institutions involved in the areas of food security and climate change was carried out. These institutions were purposively sampled and represented the media, government and non-

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governmental organizations. A total of 13 institutions participated in the survey. The institutions interviewed were at the time of the interview either involved in policy formulation, implementation, operationalization or combinations of these. A semi-structured questionnaire was administered to institutions based in the two major cities of Malawi namely; Lilongwe and Blantyre between 30th January and 21st February2014. In addition, an analysis of the strengths, weaknesses, opportunities and threats (SWOT) of existing policies, strategies and acts related to managing risk to crop production and post-harvest handling was done. SWOT analysis helps in identification and understanding of key issues impacting on all aspects of policy; be it formulation, implementation or operationalization. It is also a very vital tool in situations where time is a limiting factor. During a national workshop, which was held on the 22nd July 2014 in Lilongwe, data was collected on institutional innovations that are required, and on whether the existing policies are effective in helping farmers to better manage climate related risks to crop production and post-harvest handling. 2. Regional polices and Institutional arrangements for managing climatic risks on

smallholder farmer crop production and post-harvest handling.

2.1 Regional policies for managing climate risks The Southern African Development Community (SADC) has recognized that the region is prone to a range of natural disasters. It is reported that, since the year 2000, countries in the region have experienced an increase in the frequency, magnitude and impact of drought and flood events (SADC 2012). These occur usually on a small-scale and more frequently and hence do not attract much international attention. For these reasons, the Disaster Risk Management Committee of the SADC has encouraged Member States to implement disaster risk management to ensure community safety and protection of economic assets. Regional policies related to managing climate related risks to crop production and post-harvest management include the Protocol on Politics, Defense and Security Cooperation, Protocol on Health (1999) and Regional Water Policy (1995). Article 2 of the Protocol on Politics, Defense and Security Cooperation states that a specific objective of the Organ on Politics, Defense and Security Cooperation shall be to "enhance regional capacity in respect of disaster management and co-ordination of humanitarian assistance." Article 25 of the Protocol on Health binds countries to co-operate and assist each other in the co-ordination and management of disaster and emergency situations. It also states that countries should collaborate and facilitate regional efforts in developing awareness, risk reduction and management plans for natural and man-made disasters. The Regional Water Policy (1995) includes policy provisions covering people's protection from water related disasters, including personal security and property protection; disaster prediction: and management and mitigation. As can be seen from the above, the SADC policies do not specifically mention how to help farmers effectively manage climate related risks to crop production and post-harvest handling. The issues related to the handling climate related risks are captured in general terms. As a result, the region has not put specific guidelines and proper institutional arrangements in place. Hence, countries in the SADC region have not been effective in helping their people to better manage climate related risks to food production. The main

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reason for this is that SADC itself is highly dependent on foreign funding agencies. The region’s ability to mobilize relief efforts is limited. So, when disaster such as floods strikes, people lose their property and do not receive any compensation or seed money to start businesses. Food and other relief items are provided for a limited time. The people are expected to find their own way out of the devastation. As a result, generation after generations of the same people in a geographical area remain vulnerable and are unable to break the cycle of poverty. 2.2 Regional Institutional Arrangements for managing climatic risks for smallholder crop

production. The SADC has put in place programmes and set up institutions to deal with climate change issues (SADC, 2012). These include the Climate Services Centre (formerly the Drought Monitoring Centre), the Agricultural Information Management System (AIMS), the Regional Remote Sensing Unit, and the Regional Vulnerability Analysis and Assessment Program Management Unit (SADC RVAA). According to RVAA (2012), the SADC RVAA was established in 1999 with the mandate to strengthen the capacity of Member States to undertake and utilize vulnerability assessments for the purpose of food security planning in both emergency and non-emergency situations. The Programme Management Unit (PMU) based at the SADC Secretariat, in Gaborone, Botswana is responsible for coordinating and facilitating the SADC RVAA programme (SADC, 2012). At Member State level, National Vulnerability Assessment Committees (NVACs) coordinate vulnerability assessments and analysis. NVACs are multi-sectional committees led by relevant government ministries with wide ranging membership which includes different government ministries and departments, Non-Governmental Organisations (NGOs) and International Organisations involved in poverty reduction and the socio-economic sector. Malawi benefits from the direct technical support provided by the SADC RVAA Programme, and also from its participation in relevant regional activities. For example, it benefits from efforts to institutionalize and strengthen the Vulnerability Assessment Committees and to improve engagement with policy makers on vulnerability assessment findings.

The SADC AIMS is designed to provide early warning of imminent disasters, assess vulnerabilities, monitor weather patterns and provide an integrated database for use in Food Security Planning for the SADC region. A Regional Early Warning System provides advance information on food crop yields and food supplies and requirements (SADC, 2012). The information alerts Member States and stakeholders of impending food shortages/surpluses early enough for appropriate interventions to be undertaken. National Early Warning Units are established in all Member States to collect, analyse and disseminate early warning information at the country level. Malawi has benefited from these famine early warning systems. During 2012/13, some parts of the country were going to face food shortages in the months of November to February. As a solution to the looming hunger, the Government of Malawi made sure that all government maize selling outlets were stocked with maize. The Government also imported some maize to offset the national deficit.

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The SADC Climate Services Centre was established in 1990 and is headquartered at the Botswana Meteorological Services provides operational, regional services for monitoring and predicting extremes in climate condition (SADC, 2012). The Centre contributes to improved disaster risk management in the region, and helps to ensure Member States are better prepared for weather and climate disasters, conservation and protection of natural resources. Malawi benefits from participating in capacity building programs aimed at developing the skills of national experts. 2.3 Regional policies for crop production and post-harvest handling in disaster prone

areas Malawi is affected by the New Partnership for Africa’s Development (NEPAD), an African Union vision and policy framework for Africa in the twenty-first century (Demeke et al, undated). NEPAD's Climate Change and Natural Resource Management programme plays a coordinating and advocacy role to promote regional and national programmes aimed at counteracting environmental threats. NEPAD believes that addressing environmental issues is a pre-condition for attaining its other goals of sustainable growth and development. In order to fast-track development, NEPAD’s Agriculture and Food Security programme focuses on helping African countries to improve economic growth through agriculture-led development. Specifically, the NEPAD Agency aims to ensure that smallholder farmers – the majority of Africans – get better access to markets, finance and technical support, in order to improve their income and get out of poverty. NEPAD's agricultural programme is guided by the Comprehensive Africa Agriculture Development Programme (CAADP) framework. CAADP brings together key players in agriculture – such as African leaders, policy makers, scientists, partners and farmers – to unleash agricultural growth and sustainable development in the continent (DREA, 2014). The main objective is to raise agricultural productivity in Africa to at least six per cent annually to contribute to poverty alleviation and elimination of hunger in Africa (NEPAD, 2010-2012). In addition, CAADP requires countries to commit at least 10% of their national budgets to agriculture. Since 2003, thirty countries have signed up to the CAADP Compact and eight have surpassed the 10% target. From the year 2005/6, the GoM has been allocating an average of 12% of the total national budget to agriculture (Kumwenda, 2012). However, Malawi allocates limited budget amounts towards managing climate related disasters. Also, although the CAADP calls for bringing together key players in agriculture including farmers, no platforms exists or is currently in place in Malawi where farmers can interact on a one-to-one basis with scientists, researchers and extension workers. Malawi could learn from efforts that were successful in other countries. For example, the Government of India, in collaboration with state agricultural universities, has established farm science centres locally called Krishi Vigna Kendra (KVK) in all districts of the country where once every months, all key stakeholders meet and provide solutions to farmers problems. Additionally, community radio stations have call-in programmes once every week that answers farmers’ problems. Qualified agricultural personnel man these KVKs and community radio stations during these call-in programmes. These institutions have been very successful in helping farmers mainly because the Government of India is very committed financially and provides infrastructural support. The Government of Malawi has to put in place similar structures.

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3. National Policies and Institutional Frameworks for managing climatic risks on smallholder farmer crop production and post-harvest handling

3.1 Policy frameworks on managing climatic risks The GoM recognizes the role that the agricultural sector plays in the economic and social development of the nation. As the International Fertilizer Development Center (IFDC, 2013) explains: “Under optimal conditions, agriculture development has proven to be an effective engine not only to power a developing nation’s economy but also to sustain its prosperity. Growth in the sector has a multiplier effect in emerging markets, sparkling growth in non-agriculture sectors as well.” To ensure optimum conditions, the GoM has put in place several policies and programmes to drive different sectors. Unfortunately, only a few of these policies explicitly provide guidelines on how to help farmers to better manage climate related risks to crop production and post-harvest handling. The policies that relate to managing climate risks include the National Adaptation Programme of Action (NAPA) of 2006, the Food Security Policy of 2006, the National Irrigation Policy and Development Strategy of 2000, the National Environmental Policy 2004, and the Malawi Agricultural Sector Wide Approach (ASWAp) 2011 – 2015.

(i) National Adaptation Programme of Action (NAPA) 2006 The NAPA is Malawi’s response to the country’s obligations under the United Nations Framework Convention on Climate Change (UNFCCC). The NAPA document has been developed to enable Malawi to address her urgent and immediate adaptation needs caused by climate change and extreme weather events. The NAPA document outlines the framework for adaptation, identification of key adaptation needs, criteria for selecting priorities areas. Article 3.2(c) lists improving crop production through the use of appropriate technologies as one of its key adaptation areas that require urgent attention. The NAPA recognizes the impact of climate related risks (droughts, floods and landslides) on human life, socioeconomic aspects and physical capital. Droughts reduce crop yields or lead to total crop failure. The NAPA calls for the development of Early Warning Systems (EWS). Five of the prioritized adaptation options that contribute to managing climate related risks to crop production and PHM are: (i) enhancing food security and developing community based storage systems for seed and food; (ii) improving crop production through the use of appropriate technologies; (iii) increasing resilience of food production systems to erratic rains by promoting sustainable dimba production of maize and vegetables in dambos, wetlands and along river valleys; (iv) developing and implementing strategies for drought preparedness, flood zoning and mitigation works; and (v) developing small dams and other storage facilities to mitigate flooding, harvest water and initiate community based fish farming and breeding. In an effort to implement the above adaptation options, an investment policy was developed to guide the implementation of the objective of improving agricultural production under erratic rains and changing climatic conditions and improving the country’s preparedness to cope with droughts and floods. Vulnerability maps for the country were developed and EWS for the migratory of pest army worms were developed. However, flood mitigation systems have not been built in major disaster prone areas.

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(ii) Food Security Policy 2006

The Constitution of Malawi recognizes that all Malawians have the right to food. The long-term goal of the Policy is to significantly improve food security of the population. The goal implies increasing agricultural productivity, as well as diversity and sustainable agricultural growth and development. The Policy recognizes the impact that floods, droughts, pests and diseases have on household and national food security. It also recognizes that inadequate appropriate skills and technologies for post-harvest handling lead to high food losses in terms of both quantity and quality. Poor land use management and inadequate use of fertilizers exacerbate the effects of natural disasters. According to the IFDC (2013), Malawi must double its consumption from 297,000 metric tons of fertilizer products to 600,000 metric tons annually in order to meet the agriculture sector growth targets by 2016. Chapter 3 of Policy outlines strategies that have to be followed. These include promoting environmental and land management for sustainable agriculture; developing and promoting the adoption of appropriate technologies; improving access to domestic, regional and international markets; and improving the management of disasters. Figure 1 shows the institutional arrangements for the Food Security Policy.

Figure 1 - Institutional arrangements for the Food Security Policy The Policy is essential in helping smallholder farmers’ to adapt to climate change impacts. Managing risks to crop production and post-harvest losses will contribute to the achievement of the policy goal. As is evident from Figure 1, NGOs members of the Malawi Vulnerability Assessment Committee (MVAC), which coordinate response to emergencies, are part of the institutional arrangements for this policy. It is very important to have NGOs in MVAC because they may have budget lines for responding to climate related disasters. Also, they have personnel and on-going projects on the ground in many of the disaster prone areas in Malawi.

(iii) National Irrigation Policy and Development Strategy 2000 The Policy recognizes the roles of various stakeholders in promoting irrigation. NGOs are to be involved in capacity building; exhibiting small scale irrigation projects; networking for the transfer of irrigation technology; promoting and managing labour saving technologies; and assisting in the distribution of agricultural inputs.

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The Policy is crucial in helping smallholder farmers manage risks to crop production. Droughts have become a common phenomenon in Malawi. Irrigation is encouraged in an effort to ensure that farmers are still able to produce food. However, not everyone has access to water and the cost of irrigation tools, such as treadle pumps (current price US$57.38 on cash basis and US$73.77 on loan basis) and motorized water pumps, may be very high for smallholder farmers. To help farmers irrigate their crops, the GoM and other NGOs such as NASFAM, World Vision and Concern World Wide have provided treadle pumps to farmers at either subsidized rates, for free or on loan (Mangison, 2006). With donor funding, some irrigation schemes have been revitalized. However, such programmes are not sustainable in the long term. In many cases, the majority of irrigation projects are implemented with minimal studies of water cycles and catchment areas. There are limited coordination and planning in the development of irrigation projects; the administration and control of all water utilization; and prevention and control of water pollution. The Policy has not been very effective at national level. Good irrigation projects have been launched at national level but have not been implemented. A good example of this is the Green Belt Initiative. Change of government, inadequate funding and the lack of a national agricultural development agenda are the major factors contributing to the ineffectiveness of the national irrigation policy.

(iv) National Environmental Policy 2004 The Environment Management Act (EMA) of 1996 provides the legislative support for the formulation of the National Environmental Policy (NEP) 1996 and the Environmental Action Plan (NEAP) 2004. The overall policy goal is the promotion of sustainable social and economic development through the sound management of the environment and natural resources. The goals of the Policy are: to promote sustainable utilization and management of the country's natural resources and encourage, where appropriate, long term self-sufficiency in food, fuel wood and other energy requirements; to promote local community, NGO and private sector participation in environmental and natural resources management; and to develop and regularly update environmental information systems to facilitate planning and decision-making at local, national and international levels. Some of the strategies outlined for achieving these goals include: enhancing agricultural productivity for smallholder farmers; offering land users a reduction on their land, property taxes or rents for soil and water conservation methods, agro-forestry techniques, good husbandry practices, development and maintenance of tree plantations or woodlots, or use of appropriate livestock stocking rates; and determining the price of inorganic fertilizer, by carefully weighing the trade-off between its contribution to soil fertility and effects on the environment. However, there are no incentives for farmers who, for instance, grow their crops organically or practices integrated soil fertility management in Malawi. Also, some of the strategies are very good but difficult to implement, for example, offering a reduction on property taxes for farmers employing water conservation methods. Small-scale farmland in Malawi is under customary ownership. Only registered commercial farmers pay property rents. Otherwise, property taxes are mainly implemented in cities and other urban centres where the land was allocated by the local city councils.

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(v) Malawi Agricultural Sector Wide Approach (ASWAp) 2011 - 2015 ASWAp is the GoM tool for achieving food security in Malawi. It was launched in 2011 by the MoAFS as a priority programme in the agricultural sector for the period 2011-2015. It is based on key agricultural themes found in the MDGS, the CAADP, and the National Food Security Policy of 2006. The main aim is to harmonize investments and properly align funding arrangements in the agricultural sector. Food security and risk management are among the main focus areas. This focus area is concerned with increasing maize productivity, reducing PHL, and managing risks associated with food reserves at national level. The strategies for implementing the ASWAp focus areas for increasing maize productivity includes contract farming, organic farming, and seed multiplication. Contract farming requires large landholding sizes. For this to work, farmers need to form or be part of a cooperative. There are no incentives for organic farmers in Malawi. Currently, the seed system is well developed for maize, tobacco and cotton. There is a high shortage of certified legume seed in the country. Therefore, promoting seed multiplication is a very good development especially if the focus is on legume seed multiplication. It is not surprising that the strategy focuses on maize productivity. The choice was based on a model that considered the contribution of commodities to the CAADP growth and poverty reduction targets. Maize availability in the country is also a politically sensitive issue. It is not the only staple food in the country. It is more vulnerable to climate or weather related risks than other staple foods, such as cassava. As Benin et al. (2001) advices, that to achieve the 6% agricultural growth, other high value crops need to be included. For example, crops such as rice, common beans, cassava and groundnuts that require less and cheaper inputs than maize. The ASWAp is focusing on managing risks to post-harvest management at national level. Managing losses at national level will act as a cushion when the country faces hunger as the maize in the national reserves is sold at subsidized prices. However, with this approach, farmers will continue to suffer huge PHL. To avoid this, farmers will continue to sell their produce soon after harvest. They will not benefit from the high prices that are typically offered at the end of the year. Government’s goal of increasing commercial agriculture by smallholder farmers will not be met as they are unable to produce the quantities required by agro-processors. Although it is known that Malawi experiences the impacts of climate change, the ASWAp assumes minimal or no climate related risks, such as droughts or floods. As a result, the ASWAp does not put measures into place to reduce the impact of climate change. The Government of Malawi has submitted the Draft National Climate Change Policy 2012 and Draft National Disaster Risk Management Policy 2011 the National Parliament. The policies will be tools for managing climate related risks to crop production. 3.2 Key Institutional Frameworks for managing climatic risks faced by smallholder crop

production farmers

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The Ministry of Agriculture and Food Security (MoAFS) is the custodian of all pieces of legislation on food production. The Department of Environmental Affairs is the custodian of all environmental policies and coordinates the implementation of all environmental related activities. Office of the President and Cabinet; as well as the Ministry of Justice and Constitutional Affairs ensure that all enacted policies do not breach constitutional provisions and oversee the implementation, monitoring and evaluation of all government-led projects. The Ministry of Finance, Economic Planning and Development is responsible for financing and coordination of all government and/or donor funded projects. These institutions collaborate with Department of Irrigation and Water Development; Department of Meteorological Services and numerous registered NGOs who have a mandate on food security, climate change, and disaster risk reduction and management. As can be seen in Figure 1, member NGOs (e.g. Concern World Wide – concern WW) and development partners (such as UNDP) participate in the Malawi Vulnerability Assessment Committee (MVAC) are part of the institutional arrangements for the Food Security Policy. 3.3 Policy Frameworks on managing post-harvest handling by smallholder crop

farmers in the country – effectiveness and relevance. Following crop production, farmers process the harvest, keep the produce in sufficient quantities, and maintain good quality for the whole year. This ensures that the household is food secure. However, biotic and abiotic stress affects the harvest. Biotic stresses affect the quality and quantity of the yield, e.g. stored products insect pests, such as weevils in maize, bruchids in beans and aflatoxin contamination in groundnuts. Post-harvest abiotic factors include strong winds (ripping off outside food stores), lack of affordable and effective crop storage systems, low crop prices, limited markets and lack of public agro-processing facilities. Because of these factors, many farmers sell the best of their produce immediately after harvest to vendors who come to their villages. Most of the times, the farmer is left with no enough food to last the year. And since Malawi is an agro-based economy, the volumes are low and of poor quality for the agro-industries. The Integrated Trade and Industry Policy was formulated in 1998 in an effort to provide solutions to market related problems.

(i) Integrated Trade and Industry Policy 1998 The Policy falls under the mandate of Ministry of Trade and Industry. Its major objective is to promote, support, and facilitate private enterprise efforts in order to make Malawi a manufacturing based economy, capable of creating and sustaining a competitive advantage in domestic and international markets and to support effective participation of Malawians in the trade and industry sectors. The GoM seeks to create a business environment that is conducive, promotes producers and suppliers of goods and services in Malawi, and encourages them to be efficient and effective in their operations. The Policy Statement is aimed at enabling the Ministry of Trade and Industry to fulfil its mission statement of promoting, supporting and facilitating private sector enterprise efforts. Through this policy, the Government recognizes cooperatives as private enterprises that play a very important role in achieving national development objectives. As such part of the

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implementing strategies include: mobilizing farming communities into cooperatives; addressing gender issues through specific policy interventions; promoting the establishment of insurance schemes to support development of cooperatives; and encouraging cooperatives to diversify their investments in all sectors of the economy. The Policy identifies stakeholders that are relevant to its implementation, such as the National Statistical Office (NSO); the United Nations Development Programme (UNDP) for funding; the Malawi Telecommunications Limited (MTL) for improving telecommunications which is necessary for improved domestic and international trade; the National Water Development Programme for the distribution of water to meet growing demand; and the Electricity Supply Commission (ESCOM) for the provision of electricity. The policy also recognizes challenges that could adversely affect the achievement of the policy aims. The Malawi economy is vulnerable to various internal and external shocks. Internally, there is a need to restore and sustain supply-side constraints. Supply constraints include seasonal production; low volumes and poor quality produce that do not meet domestic and external market demands; and few service providers (e.g. only two Aflatoxin testing laboratories based in Lilongwe and servicing the whole country). A trade policy review conducted in 2002 concluded that the attainment of sustainable economic growth is the main challenge facing Malawi. The Policy has not been very effective overall. This is due to the fact that the country still lacks agro-processing infrastructure and markets are still limited. There is limited funding and commitment for the establishment of agro-processing and packaging facilities in all the districts of the country. It should be noted that Malawi has no single piece of legislation that is focused on post-harvest handling (PHH) by farmers. 3.4 Key Institutional frameworks for managing post-harvest handling by smallholder

crop production farmers The Ministry of Finance and Economic Development, the Ministry of Justice and Constitutional Affairs, and the Office of the President and Cabinet are responsible for the facilitation, promotion and coordination of government policies, goals and programmes. The Office of the President and Cabinet assumes a leadership role. The two ministries are responsible for coordination, integration and harmonization of policies according to national programmes. However, for environmental policies, the National Council for the Environment (NCE) performs an advisory role to government on climate and natural resources management in Malawi. The NCE has not been very effective except for approving environmental impact assessments. The National Food Reserve Agency (NFRA) is a government statutory corporation that is mandated with the storage of food at national level. NFRA buys grain (maize, rice, beans, and groundnuts) from grain suppliers through competitive bidding and/or direct purchases from farmers. In times of food shortages, the NFRA releases grain to the distribution outlets of the Agricultural Development and Marketing Corporation (ADMARC), which is another government statutory corporation. At Kanengo in Lilongwe, the NFRA has concrete grain silos with a capacity of 180 metric tons. Large metal silos have been constructed in Lunchenza, Mangochi, Thyolo and Mzuzu. These have a capacity of 20,000 metric. The

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construction of these silos may have been influenced by variations in maize supply in the country. The central region of Malawi produces more than half of the maize produced in Malawi. Lunchenza, Mangochi and Mzuzu are not chief maize production areas. The MoAFS, through the crop storage section of DARS and the DAES are responsible for PHH by smallholder farmers in Malawi. DARS carries out research and develops post-harvest management guidelines and technologies. It showcases these technologies to farmers through various research stations throughout the country. DAES packages approved technologies developed by DARS in a way that are easy to understand by the farmers and delivers them to farmers through agricultural extension workers. The technologies are distributed throughout the country and by the media. Climate change is a cross-cutting issue. The Ministry for Environment and Climate Change has the mandate to deal with any environmental and NRM issues. Through the Departments of Environmental Affairs, and Climate Change and Meteorological Services, the ministry tackles issues related to managing of climate risks. The Department of Disaster Management Affairs (under the Ministry of Economic Planning and Development) is the Government of Malawi’s agency responsible for coordinating and directing the implementation of disaster risk management programmes in the country in order to improve and safeguard the quality of life of Malawians, especially those vulnerable to and affected by disasters. The Ministry of Finance and Economic Development is responsible for the provision and management of funds for climate change related activities. Funding sources include foreign funding agencies, development partners and the GoM. Various NGOs work together and support the Government’s efforts to manage climate risks in the country. These institutional frameworks lack a platform where all key stakeholders meet and share information and lessons learnt in the implementation of various projects. With such a platform, emerging issues can be identified, solutions proposed and implementation planned. There is lack of practical capacity at both national and community level on the use of early warning information. A qualified critical mass to make impact is required. Only the DAES has been mandated to undertake extension. As a result, extension personnel on the ground are not enough to service the population. They are overloaded and lack proper training in various areas of post-harvest management, climate risk management and the use of early warning systems. It may ease the problem if the mandate is extended to other institutions, such as agricultural universities, NGOs. The GoM needs to develop national guidelines for the latter organisations on various aspects of extension. The DAES may function also as a regulatory body. These institutions may be using equipment and data gathering processes that are out-dated and unable to issue advance warning to people. There is also limited geographical and biased coverage of risks with existing EWS. They focus largely on floods with less emphasis on droughts and agricultural stresses. Only major rivers are covered in the flood EWS. Weaknesses exist in EWS data dissemination to vulnerable communities. Also, there is limited understanding of early warning needs of specific groups of vulnerable communities. People may receive advance warning but take no appropriate action.

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During the national validation workshop, participants indicated that there was a need to motivate staff working in these departments by improving the working environment and strengthening networks among farmers and with technology developers and implementers. Offering appropriate training and refresher courses, as well as providing housing and other incentives may motivate staff. 4. National research, policy and institutional framework gaps for managing climatic

risks on crop production and post-harvest handling 4.1 Research gaps managing climatic risks on crop production and post-harvest handling The research gaps on managing climatic risks on crop production and PHH include the lack of a database on research undertaken in the country, research is not driven by farmer needs, and researchers are reactive to situations (Table 3). There is a potential for integrating research evidence in policy formulation. The Agricultural Technology Clearing Committee of the MoAFS, which meets every year to approve proven technologies for adoption of farmers, could address this gap. Approved technologies are incorporated in the guide to agricultural production (GAP) document. Table 3: Research gaps on current policies on current policies for managing climate related risks Research gap Intervention required

Lack of database where fragmented data on climate change projects is kept.

There is need to develop a database where all fragmented data on climate change projects taking place in Malawi can be captured. Lessons can be learned from the Soil Health Consortium of Malawi (SoHCOM) and Legumes Platform. This would reduce duplication of efforts.

Research undertaken is not driven by farmer needs.

There is need for farmer driven research where researchers respond to the needs of farmers.

Climate change messages, in some instances, do not respond to the reality on the ground.

There is need to harmonize climate change messages and ensure that they respond to the realities on the ground. For instance, in the tobacco industry, large amounts of firewood are used for curing tobacco. Yet in climate change, deforestation is discouraged.

Much of the research taking place in Malawi is reactive to a situation.

A research master plan for all priority areas in agriculture need to be formulated. Organizations can align their strategies with the master plan and determine research areas.

Research outputs do not always inform policy development

There is a need to find ways of linking good research findings and policy implementation.

4.2 Gaps in policy and institutional framework managing climatic risks on crop production and post-harvest handling

The policy improvements required for effective crop production and PHH include providing incentives for technology adoption, streamlining government structures for effective

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implementation of policies, harmonising policies to avoid misinformation, and monitoring and evaluation of policy (Table 4). Table 4: Gaps in policy and institutional frameworks for crop production and post-harvest policies Gaps in policy and institutional frameworks

Interventions required

No incentive for technology adoption.

Incentives should be provided for the adoption of technology. The information could take the form of certifying products that are produced through clean technology. Such products should be sold at premium prices.

Government structures are not streamlined for effective implementation of policies.

Government structures should be streamlined for effective implementation of policies. For example, agricultural extension is only provided by the Department of Agricultural Extension Services. The Department lacks sufficient capacity to provide adequate service. The policy should be streamlined to allow other providers to provide extension services, for example, institutions of higher learning, NGOs and the private sector.

Lack of policy to encourage recycling and the use of organic material.

Policies should encourage the use of organic and the recycling of waste materials.

Policies are not harmonized to give similar information.

There is need to harmonize information contained in different policies in order to avoid them providing conflicting information. The Forestry Policy, for example, prohibits cultivation along river banks, while the Agriculture Policy promotes irrigation implementation (through treadle pump distribution). The irrigation is done along river banks, as treadle pumps only operate close to rivers.

Lack of a framework for implementing research findings.

There is need for a framework that will ensure the implementation of research findings by NGOs, academic and other researchers.

Development projects are often driven by donors who may impose technologies that may not be of a priority to the community.

Donors may impose technologies to be implemented which may not meet the real concern of the recipients. For instance, one farmer in Kasungu reported that they were given seeds for various legumes and tree seedlings. But to them, the major problem was the availability of water. Development projects should be in line with the priorities of the recipients.

5. Conclusions and recommendations The major crop production and PHLM policy gaps in the country include the lack of climate based scenarios to provide long and short-term early warning systems and clear guidance. Policies are formulated without evidence based on relevant scientific studies. Existing

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policies are not harmonized, and there is a lack of monitoring and evaluation to determine the effectiveness and level of implementation of such policies. The Department of Agricultural Extension Services is the only institution that is mandated to provide extension services, and yet it is short staffed and ill-equipped. Other organisations, such as NGOs and the private sector, could complement the work of the department by providing extension services. However, this will require new policies or amendments to the existing policies. The key challenges to policy implementation include: a lack of material and equipment to support area specific risk warning systems and government structures that are not streamlined for effective implementation of the policies. The Government has shown commitment to put in place relevant polices to address the issues of crop production and PHH. It is taking a leading role in all climate change policies and implementation of disaster risk management strategies. Most local NGOs have specific budget lines for climate risk reduction related projects, thus showing their commitments. There are potential funding sources for climate risk related projects for the country, both regionally and internationally, and the country could take advantage of them. There is a proliferation of community radio stations that could be used to communicate relevant messages in local vernacular languages. Farmers have indigenous knowledge on early warning systems, which could be tapped and utilized. Early warning systems such as FEWSNET exist in the country. The following innovative institutional arrangements are recommended:

1. A national body or a policy development and implementation unit should be established. In collaboration with key stakeholder, this unit will develop, implement, monitor and evaluate the performance of all enacted policies. It will set practical guidelines for implementation of each policy or related policies. This will ensure policy implementation independent of changes in national political leadership.

2. The mandate for the provision of extension services should be extended to other organisations; such as NGOs, research centres, and institutions of higher learning, as opposed to being the sole responsibility of the Department of Agricultural Extension Services.

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