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Rainwater harvesting
A suitable poverty reduction strategy for small-scale farmers in developing countries?
Lisa Bunclark
A dissertation submitted to the School of International Development of the University of
East Anglia in part-fulfilment of the requirements for the Degree of Master of Arts
November 2010
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Table of Contents
Page1. Introduction and Methods...... 1
1.1. Introduction.. 1
1.1.1. Background. 1
1.1.2. The case study: Botswana.. 3
1.2. Methods.... 5
1.2.1. Approach.... 5
1.2.2. Data collection and analysis.. 6
1.2.3. Limitations. 7
2. The problematisation of rainwater harvesting.... 9
2.1. The need for a new framework..... 9
2.2. Critical issues in RWH for small-scale agriculture.. 10
2.2.1. The challenges to crop production in marginal regions. 10
2.2.2. Understanding the priorities of small-scale farmers.. 12
2.2.3. The role of governance and institutions. 13
2.3. Beyond rainwater harvesting: Dynamic and complex systems 15
2.4. The situation in Botswana.... 15
3. Results and discussion 18
3.1. Results.. 18
3.1.1. Rainwater harvesting practices in Botswana. 18
3.1.2. Factors affecting adoption. 19
3.2. Discussion.... 23
3.2.1. The ability of rainwater harvesting to increase crop production and
reduce poverty in Botswana....
24
3.2.2. The suitability of rainwater harvesting: Towards a matrix for
assessment
27
3.3. Summary.. 32
4. Conclusion 33
Appendix A
Appendix B
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Abstract
The first objective of this research is to determine the ability of rainwater harvesting (RWH)
to increase rain-fed crop productivity and reduce poverty in Botswana. The second objective
is to examine the factors that determine the suitability of RWH use in small-scale agriculture
in developing countries as a whole. The overall aim is to produce a decision-making matrix
that may be used in developing regions to assess the suitability of the technology for
increasing crop production and reducing poverty in any given context. Primary data
collected through the course of several interviews with key individuals are analysed via a
process of coding, which leads to the categorisation and contextualisation of the range of
factors that affect both the initial adoption and sustainable use of RWH systems by small-
scale farmers. Together with findings gathered from secondary data, results from the primary
data analysis are used to develop a decision-making matrix.
The results of this study indicate that current potential for increases in crop production
through the use of RWH in both Botswana and developing countries as a whole is uncertain;
this is primarily due to impacts of climate change and alterations to rural livelihood
strategies as a result of economic development. It is shown that the suitability of RWH for
increasing crop production and reducing poverty in developing countries depends on factors
related to climate and ecology, farming practice, availability of assets, livelihood strategy,
governance and institutions. With appropriate adaptation of systems and the development of
community level institutions to provide in-depth training to farmers potential may improve,
but it is possible that the prevalence of pastoral farming may prove too great a barrier to be
overcome in some areas. It is recommended that further research is conducted to refine and
expand the proposed decision-making framework into a more comprehensive RWH
implementation framework.
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Acknowledgements
First and foremost I would like to thank my supervisor, Dr Bruce Lankford, for his guidance
throughout the duration of this research and without whom my fieldwork in Botswana would
not have been possible. Secondly, many thanks to the research participants for their time and
agreeing to share their experiences with me. I would also like to thank the staff of the German
Development Cooperation (GTZ) in Gaborone and all individuals who provided valuable
assistance in various stages of this research project, both within the UK and Botswana. Thank
you to family and friends for unwavering support and encouragement, as well as their help
with proof-reading and editing. Finally, a special thanks to both the Jack Wright Memorial
Trust and Engineers Without Borders UK, who provided much appreciated financial
assistance that enabled the undertaking of this research.
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1.Introduction and Methods
1.1. Introduction
1.1.1. Background
Agriculture represents the primary livelihood strategy for the majority of the rural population
in the developing world (Baguma and Loiskandl, 2010) and plays a crucial role in economic
development and poverty reduction (Balke, 2008). Dependence on small-scale farming is
greatest in the semi-arid and dry sub-humid climatic regions (CA, 2007) where rainfall is
generally low and may not be sufficient for crop basic needs (Oweis and Hachum, 2006).
However, in many cases the main challenge to crop production is not the availability of an
adequate volume of water in absolute terms, but the inappropriate distribution of this water
(Nigi, 2009; Reij et al., 1988) and the short-term agricultural drought associated with this
(Falkenmark and Rockstrm, 2008). It is suggested that the introduction of an approach to
directly bridge these intra-seasonal dry spells may be the most appropriate way to improve
agricultural systems in these regions by reducing the moisture deficit in the soil and thereby
reducing the risk of crop failure (Rockstrm, 2003)
Debate concerning the most suitable strategy for achieving adequate crop water availability
centres around increasing the efficiency of green water (water stored as soil moisture),
rather than blue water (water stored in rivers and aquifers), through the use of rainwater
harvesting (RWH) (see Falkenmark, 2007; Rockstrm, 2003; Hatibu and Mahoo, 1999).
RWH is a collective term used to describe the process of rainfall runoff collection and
storage for subsequent beneficial use (Barron, 2009; Khaka et al., 2005; Mati et al., 2006;
Oweis and Hachum, 2006). The categorisation of different RWH methods varies greatly, but
in general systems are grouped into two categories: in-situ (or micro catchment) and ex-situ
(or macro catchment) approaches. In-situ RWH approaches encompass any system in which
runoff is collected in close proximity to crop growing area and used to replenish soil
moisture directly. Ex-situ methods involve the collection of rainfall runoff from large areas,
which may not be in close proximity to the crop land, and storage in ponds, containers or
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underground reservoirs, for use as supplemental irrigation when necessary (Khaka et al.,
2005; Critchley and Siegert, 1991; Botha et al., 2008)
In the past two decades interest in RWH has grown steadily and several global and regional
declarations have pronounced it to be a solution to the developing worlds growing water
needs (Nijhof et al., 2010). However, evidence indicates that predicted improvements in
agricultural production and reductions in levels of poverty as a result of RWH use have not
been achieved (Reij et al., 1988; Hatibu et al., 2006). Countries are increasingly urged to
integrate RWH into their water resources management strategies (UN, 2006) and the
governments of many developing countries within both Asia and Africa now endorse the use
of the technology (Nijhof et al., 2010). Within the small-scale agricultural sector it is
claimed that with the use of RWH there is a potential to double current crop yields (NWP,
2007) and lift farmers out of the poverty trap (Barron, 2009; Vohland and Barry, 2009).
Nonetheless, techniques have failed to be adopted on a wide-scale despite the undertaking of
a significant number of pilot projects and research (Oweis and Hachum, 2006; Reij et al.,
1988). Furthermore, in regions where RWH is a traditional method of agricultural water
management it has been observed that systems have fallen into disrepair and been abandoned
(Kumar et al., 2008).
RWH technologies should not be viewed as a panacea for small-scale agriculture and
although some systems have been successfully used by small-holder farmers in parts of the
developing world for thousands of years (Critchley and Sieigert, 1991; Mamdouh, 1999), the
same technology may not prove effective in other areas. The suitability of any technique for
agricultural use depends on a wide range of factors (AfDB 2007) and a technology must be
accessible, affordable and appropriate for the target community (Coupe, 2001; Coventry,
2003) if it is to be successfully adopted and sustainably used. Existing research largely
ignores the complex environment that RWH systems must fit into (Cullis and Pacey, 1992;
Scoones et al., 2007; Vohland and Barry, 2009) and despite an acknowledgement of the
importance of contextual factors on the suitability of RWH systems in recent years,
implementation frameworks remain focused on the technical aspects of RWH only (see
Hatibu and Mahoo, 1999; AfDB, 2007; Young et al., 2002).
Although researchers have successfully identified factors that influence the adoption and
sustainable use of RWH (Botha et al., 2008; Kundhlande, et al., 2004; Baiphethi, et al.,
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2009), little is known about how these factors interact (Andersson et al., 2009). Key issues
identified in previous research include climatic characteristics, availability of resources,
livelihood strategy, policies and institutions, but what specific factors affect the adoption of
RWH by small-scale farmers in the case study country of Botswana and how these can be
categorised? Furthermore, what contextual issues shape these influential factors? With the
knowledge of these issues, what conclusions can be drawn regarding the ability of RWH to
reduce poverty in Botswana and the suitability of the technology for small-holder farmers in
developing countries in general? The overall aim of this research is to produce a decision-
making matrix that may be used by those considering the implementation of RWH schemes
in developing regions.
This paper argues that the current approach of researchers and developmental organisations
to the use of RWH in agriculture does not place enough emphasis on the context within
which the systems are placed. In some cases RWH may not be able to increase crop
production or reduce poverty and steps need to be taken to incorporate non-technical factors
into implementation frameworks to ensure that the technology is only advocated where
suitable. The remainder of this section explains the use of Botswana as a case study for this
research and outlines the methodological approach used in the collection and analysis of
both primary and secondary data. The second section summarises the findings from currentliterature regarding factors that affect the successful use of RWH in developing countries to
reduce poverty and highlights the gaps present in past research. The third section presents
and analyses the results from the primary data collected and proposes a decision-making
matrix that can be used to aid those considering the implementation of RWH schemes.
Tentative conclusions regarding the suitability of RWH for reducing the poverty of small-
scale farmers in developing countries in general are drawn in the final section.
1.1.2. The case study: Botswana
As shown in Figure 1.1, Botswana is a land locked country in southern Africa encompassing
approximately 582,000 km2
(FAO, 2005). The nation has a population of about 1,950,000
(World Bank, 2010), over 80 per cent of which is concentrated to the east of the country
(FAO, 2005). Since gaining Independence in 1966 Botswana has developed rapidly, but
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despite the large increases in per capita income the country still faces serious challenges of
poverty (GoB, 2009).
The need for productivity increases in small-
scale farming to help improve incomes in
rural areas is recognised as a key concern in
efforts to alleviate poverty in Botswana
(Acquah, 2003) and this is one of the reasons
for the selection of the country as a case
study for this research. Traditional crop
production is characterised by low-input,
low-management rain-fed systems and
primarily involves the cultivation of sorghum
and millet (GoB, 2009) Despite attempts by
the government to assist small-scale farmers
through extension services traditional farms
continue to perform poorly (GoB, 2006a) and productivity remains low at between 200-300
kilograms per hectare (CAR, 2007; FAO, 2005; Whiteside, 1998), which is only 30 per cent
of potential yields (Rockstrm et al., 2010). High incidences of both short- and long-termdrought represent significant barriers to crop production (CAR, 2007). RWH systems have
been traditionally used in Botswana for many years for domestic purposes (Pacey and Cullis,
1991), but views regarding the suitability of the technology for agricultural production vary
(c.f. FAO, 2003; Mati et al., 2006); the aim of this research is to reach a conclusion on this
issue.
The concept of RWH in agriculture is not new to the Government of Botswana. Since 1970
the Water Development Section of the Ministry of Agriculture (MoA) has provided
syndicates of farmers with small earth dams to harvest rainwater for cattle watering and a
limited amount of supplemental irrigation (FAO, 2005), although it is reported that many of
these dams have fallen into disrepair and are no longer operational (FAO, 2005). The
Government of Botswana recognises that low productivity in the rain-fed agricultural sector
is primarily due to poor management of soil moisture (GoB, 2006a) and has identified the
benefits that could be obtained through the use of RWH in rain-fed agriculture (GoB, 1999).
There have been several governmental schemes aimed at traditional arable farmers including
Figure 1.1: Location of Botswana
(Source: Batisani and Yarnal, 2009)
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Accelerated Rain-fed Arable Programme (ARAP), Arable Lands Development Project
(ALDEP), National Master Plan for Arable Agriculture and Dairy Development
(NAMPAADD) and Integrated Support for Arable Agricultural Development (ISPAAD)
(AfDB, 2008, CAR, 2007), of which ALDEP was the largest scheme responsible for
rainwater tank construction (GoB/UNDP, 2004). However, the impact of these schemes on
increasing production appears to be relatively modest and the uptake of the technology has
been low (Acquah, 2003). Despite heavy subsidies and assistance from the government
water harvesting packages adopted by farmers through ALDEP comprised less than 2 per
cent of all packages distributed (GoB, 2006a). Little examination of these schemes has been
conducted and one of the objectives of this research is to determine the range of factors that
led to such low levels of adoption of RWH systems by small-scale farmers in Botswana in
the presence of what appears to be an enabling environment. The analysis of these results
will provide key additional insights into factors that affect the suitability of RWH for
agriculture in other developing regions.
1.2. Methods
1.2.1. ApproachThe findings of this research are drawn from both primary and secondary qualitative data.
The secondary data provide a comprehensive summary of past research and experience in
the field of RWH within Botswana, the southern African region and the developing world as
a whole. The primary data collected from a series of interviews conducted during fieldwork,
provides in-depth information on the context of RWH within Botswana specifically.
Interviews were chosen as the principal method of primary data collection as they provide
rich qualitative data related to experiences, opinions and values (May, 2001) and this is the
type of data needed to answer the research questions posed. A semi-structured interview in
particular was used as this type of interview allows for a certain degree of flexibility and the
ability to modify the structure of the discussion based upon what the researcher perceives as
suitable at the time (Robson, 2002). It is via this combination of generalised secondary
research and more focussed primary research that key concepts have been identified and
analysed.
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Grounded theory, as described by Strauss and Corbin (1998), was used as the basis for this
research and data collection and analysis was driven by concepts identified in existing
theories. Following the process of theoretical sampling, as explained by Bryman and
Burgess (1994), the preliminary collection of secondary data was used to generate categories
that shaped the interview guide and the collection of primary data. These interviews led to
the identification of further themes via a process of coding and additional secondary data
was collected where necessary until all themes were fully explored and considered
saturated (Strauss and Corbin, 1998). This particular approach is appropriate to the aim of
this research due to the ability it has to generate concepts and categories (Bryman, 2004),
which is needed for the formulation of the decision-making matrix.
1.2.2. Data collection and analysisSecondary data were gathered from a range of reliable sources, including books, peer-
reviewed journals and material published by relevant organisations and research institutions,
such as the Government of Botswana (GoB) and the Food and Agriculture Organisation of
the United Nations (FAO). The material was located through searches of library catalogues,
academic databases and general internet search engines; some material was also acquired
through personal contacts. This data contributed to the formulation of an interview guide(see Appendix B) that increased the level of consistency between each interview, which
acted to maintain a certain degree of objectivity and quality of data obtained (Robson, 2002).
Since the identification of those with knowledge or experience of the use of RWH in small-
scale farming was problematic participants were identified through a process of snowball
sampling. According to Bryman (2004) snowball sampling comprises the identification of an
initial set of participants relevant to the research topic, who are then used to establish contact
with other relevant groups or individuals. This sampling method is particularly useful for
situations where no specific sampling frame exists (Bryman, 2004; Faugier and Sargeant,
1997) and takes advantage of social networks of participants to expand the sample size. For
the purposes of this study, an initial list of potential participants was compiled with the use
secondary data and these individuals were then used to establish contacts with other relevant
organisations and individuals with knowledge and experience of RWH in small-scale
agriculture, whether through research and policy making, or via first-hand experience in the
field. A total of twelve individuals were interviewed, representing ministries, non-
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governmental organisations (NGOs) and institutions working at national and local levels in
Botswana; the traditional Batswana farming community; and two individuals from academic
institutions in South Africa.
In order to ensure the interviews met with ethical approval, each potential participant was
read and given a copy of the pre-prepared Research Participation Information Form.
Informed consent was obtained from all participants and a list of those interviewed was
recorded through the course of the fieldwork. To ensure informed consent was provided by
each participant, interviewees were made aware that they may refuse to answer any
questions they choose and can withdraw from the research project at any time. Finally,
participant confidentially and anonymity was maintained throughout the course of the
research in order to prevent any adverse effects that may occur due to their involvement in
the project.
Although recordings of the interviews were not carried out, extensive notes were taken and
subsequently word processed to increase the ease of analysis. Copies of the notes taken
during the interviews can be found in Appendix B; as mentioned previously, the
interviewees have been anonymised in order to protect their identity. Initially all notes were
read several times to increase familiarisation with the data and allow preliminary coding, thesoftware package Nvivo was later used to conduct more extensive and systematic coding
using word-based techniques. As mentioned above, themes were partially pre-determined by
the concepts identified in the secondary data, although additional categories were determined
through the course of the coding process. Word repetition and the analysis of the context
within which key words were used, as outlined by Ryan and Bernard (2003), led to the
identification of additional themes as text was sorted into groups with similar meaning.
1.2.3. Limitations
Although efforts have been made to ensure the validity of this research, some limitations are
still identifiable. Firstly, it is possible that insufficient triangulation of data obtained from the
NGOs, government ministries and research institutes with that of traditional farmers may
reduce the credibility of the findings (Bryman, 2004). Furthermore, the small size of the total
sample may not be representative of the population and may limit the transferability of the
conclusion drawn from this research, although it is anticipated that the depth of data obtained
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will compensate for this to a certain extent (Bryman, ibid). Lastly, problems with reliability
and accuracy of data may also be increased due to the use of interviews as the method of
primary data collection. Although efforts were made to ensure the positionality of the
interviewer were minimised, it is never possible to guarantee neutrality in an interview
(Rapley 2004). Data may also have been affected in the cases where more than one
participant was interviewed simultaneously, as the presence of other individuals may have
affected the participants response to questions posed (Chacko, 2004).
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2. The problematisation of rainwater harvesting
In this section the research topic is explored through existing literature and main theories are
presented and examined. The importance of the context within which rainwater harvesting
(RWH) systems must operate is discussed and the need for an updated framework for the
implementation of the technology is argued. Gaps in knowledge regarding the suitability of
rainwater harvesting (RWH) for improving production in small-scale agriculture and
reducing poverty among farmers are highlighted. Key variables and factors that affect the
appropriateness of RWH are presented and the complex nature of the problem of low crop
yields is examined. Evidence is presented from the case study of Botswana and questions
regarding the suitability of the technology for reducing poverty within the country are posed.
2.1 The need for a new framework
We need to offer the poor real technology choice over affordable, appropriate
and accessible options. It is not hi-tech or low-tech but right tech.
(Coventry 2003:1)
RWH technologies have been traditionally used by farmers in many marginal regions of the
developing world and so are undeniably relevant, but the introduction of new and
inappropriate methods must be avoided (Pacey and Cullis, 1991). Within the field of
development, there is a tendency to assume that successful technologies in one region can be
transferred easily to another (Scoones et al., 2007) and that RWH systems produced by
research are likely to show equally promising results in the field (Rling, 2009). The
dynamic context within which these technologies must fit is often ignored (Cullis and Pacey,
1992; Scoones et al., 2007; Vohland and Barry, 2009) and fundamental factors which
contribute to the success or failure of a scheme are addressed inadequately (Parr and Shaw,
1999). Although researchers have successfully identified factors that affect RWH (Botha et
al., 2008; Kundhlande et al., 2004; Baiphethi et al., 2009), little is known about the
interactions between these factors (Andersson et al., 2009), or how they affect adoption
trends at household level (Baguma and Loiskandl, 2010). Issues regarding the sustainabilityof the technology are also often not addressed (Kundhlande et al., 2004).
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Despite the acknowledgement of the importance of contextual factors on the suitability of
RWH schemes, there is no evidence of their incorporation into models or frameworks that
assess the use of the technology in agriculture (see Young et al., 2002;AfDB, 2007; Hatibu
and Mahoo, 1999). Existing models and frameworks, as shown in Appendix A, focus on the
technical aspects of RWH only and this has led to problems with many projects implemented
(Hatibu and Mahoo, 1999). It is argued that there is a need for the compilation of a much
wider range of factors into a decision-making matrix that can be used by those working with
RWH in agriculture. RWH is not a silver bullet (Barron, 2009) and a combination of
interconnected approaches will be necessary to solve a problem as complex as low crop
production and high poverty (Pauli and Bjerregaard, 1999).
2.2 Critical issues in RWH for small-scale agriculture
2.2.1 The challenges to crop production in marginal regions
RWH is thought to be particularly suited to the application of supplemental irrigation in arid
and semi-arid areas where the rainfall level is low, highly variable, often dispersed over asmall number of high intensity events and yield losses high due to moisture stress (Barron,
2009; Nigi et al., 2007; Reij et al., 1988). The optimum rainfall level for the successful use
of RWH in agriculture falls within the range of 200mm-1200mm (Pacey and Cullis 1991;
Mati et al., 2006), although it is primarily the intensity of rainfall, rather than volume, that
determines the degree of runoff and quantity of water harvested (Critchley and Siegert, 1991;
Pachpute, et al., 2009). In these regions variations in rainfall may range between 33 per cent
to 200 per cent of the long term average (Stewart 1988 in Rockstrm et al 2002) and in the
most arid areas it is not unlikely that no rain will fall for several consecutive years, with an
upper variation limit as high as 350 per cent of the long term average (Critchley and Siegert,
1991). This variability in rainfall presents the greatest challenge to crop production (Barron,
2009; Nigi, 2009) and there is an opinion that in some areas rainfall is simply too erratic for
RWH to sustain crop yields successfully (Reij et al., 1988). Furthermore, rainfall is often not
distributed in line with the crop-growing seasons (Balke,, 2008; Oweis and Hachum, 2006)
and RWH can only prove effective if sufficient amounts of runoff can be harvested and
stored outside of the growing period (Rost et al., 2009). In consideration of this, it is possible
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that the use of RWH to bridge intra-seasonal dry spells may be limited in areas where
assistance is needed most as ultimately crop water supply remains governed by the reliability
of rainfall (Kumar et al., 2008).
The majority of small scale farmers in developing countries are located in areas with less
than ideal conditions for growing crops, where low and erratic rainfall is coupled with poor
soils (Kundhlande et al,. 2004) and high evaporation rates (Kumar et al., 2008). Soil fertility
is generally the second most limiting factor on crop production after water scarcity
(Critchley and Siegert, 1991) and a certain amount of organic matter needs to be present in
soils to produce satisfactory crop yields (Balke, 2008). The implementation of RWH may be
fruitless in regions where small holder farmers work with infertile soils and either lack the
financial resources to use fertilisation methods (Hatibu et al., 2006), or do not perceive it
worth investing in such measures due to high risk of crop failure (Rockstrm et al., 2002),
yet this is a factor that is often overlooked (FAO, 2003). Even in areas where soil fertility is
initially adequate for high yields, water harvesting schemes combined with a lack of nutrient
replenishment may lead to depletion of fertility through nutrient mining, meaning initial
increases in crop yields are unsustainable in the long-term (Critchley et al., 1992;
Falkenmark and Rockstrm, 2004 in Falkenmark, 2007). Furthermore, soils with a high
infiltration rate such as those with a high sand content can pose limitations on potentialrunoff (Boers, 1994), have a low water holding capacity resulting in low water availability in
the root zone (Rockstrm et al., 2002), as well as lacking the structure necessary for the
construction of RWH system components such as bunds (Critchley and Siegert, 1991).
Finally, high potential evaporation may equate to higher soil moisture stress and a reduction
in runoff harvested, but also a reduction in water volume available for irrigation for systems
where water is stored in open reservoir (Kumar et al., 2008).
The suitability of RWH to provide adequate water to meet crop demand and reduce poverty
is further contested when considered in the context of climate change. Since the beginning of
the twentieth century, patterns of reduced rainfall levels and number of rainy days have been
observed across southern Africa (Batisani and Yarnal, 2009; Hulme et al., 2001; Parida and
Moalafhi, 2008) and are predicted to continue (Hulme et al., 2001; Makurira et al., 2009).
Decreased and more stochastic rainfall may cause difficulties with the design of an effective
RWH system (Boers, 1994; Critchley and Siegert, 1991; Reij et al., 1988) and may decrease
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adoption levels as farmers view the degree of uncertainty and variability in rainfall as too
great to invest in the technology (Botha et al., 2008; Boyd and Turton, 2000).
2.2.2 Understanding the priorities of resource poor small-scale farmers
The availability of resources such as finances, land and labour are widely cited as
constraining factors to the adoption of RWH systems by farmers (Pachpute et al., 2009;
UNESCO-IHE & IWMI, 2009). Many RWH systems demand a high initial labour input,
which can present problems for some families, particularly those that are poorest, or headed
by women (Cullis and Pacey, 1992), even where the willingness to replicate these systems is
substantial (Nijhof et al., 2010). In some cases, the land demanded by RWH may leave the
technology inaccessible to the poorest farmers who have little or no land suitable for crop
production (Ellis, 2000; Kumar et al., 2008). Permanent RWH systems may also be
unsuitable for nomadic farmers (Pacey and Cullis, 1991; Swatuk and Kgomotso, 2008), or
those who do not formally own the land upon which they farm (Critchley and Siegert, 1991;
Balke, 2008), due to the short-term potential benefits available from the installation of RWH
on the land.
Rural livelihoods centre around the need to reduce the level of risk and uncertainty to ensuresurvival and well-being (Whitehead, 2002) and the suitability of RWH depends on the
acceptance of the risk involved in the use of the technology by farmers (Andersson et al.,
2009). Nigi et al. (2007) argues that the extent of unfavourable agricultural conditions with
which farmers in developing countries are faced encourages them to adopt technologies such
as RWH to lower risk levels. However, Toulin and Chambers (1990) are of the opinion that
the harsh and widely varying conditions experienced in complex, diverse and risk prone
areas prevent farmers from adopting RWH, as the technology fails to adequately reduce the
risk levels involved in crop production (Boyd and Turton, 2000).
In marginal areas RWH cannot be considered as a stand-alone activity (Ramisch, 1999) and
concentrating on improving water availability only will not solve all the problems connected
to low agricultural productivity (Rockstrm et al., 2010), other inputs and cultural practices
must also be optimised (Oweis and Hachum, 2006). In some cases the key resource lacking
from farmers may the knowledge and skill required to manage their farmland effectively;
therefore even with the provision of RWH to increase water availability it is possible that
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production levels may remain low. Aside from aspects such as the application of fertilisers
mentioned above, poor farm management practices that may limit yield increases include the
selection of crops with a water demand that does not provide the best fit to rainfall patterns
(Yuan et al., 2003), the untimely sowing of seeds (Kronen, 1994) and the inefficient
application of water made available from RWH (Barron, 2009).
The suitability of RWH for agriculture and poverty reduction in developing countries also
depends on the synchronisation of the technology with common farming livelihood
strategies at both household and community level. At household levels livelihood strategies
comprise extensive land use characterised by low levels of input (Dixon et al., 2001) and
diversification to spread the level of risk and provide a higher level of buffering (Toulin and
Chambers, 1990). On this basis it is argued that RWH may be unsuitable for small-scale
farmers, as it is a practice that demands land use intensification (Jodha, 1990) and may limit
the potential for diversification due to competition the technology may create between cattle
and crops for land and resources may (Whitehead, 2002). At a community level the
transformation of land that has historically been reserved for grazing into cropland for the
purposes of RWH may intensify any conflict occurring between pastoral and arable farmers
(Vohland, K. and Barry, B 2009). It is recommended that any RWH strategies consider
methods for integrating both pastoral and arable farming (Botha et al., 2008; Pacey andCullis, 1991), as schemes are likely to fail unless cattle grazing can be controlled (Critchley
and Siegert, 1991; Vohland and Barry, 2009).
Possible future trends in livelihood strategies are also important to consider as these will
relate to the appropriateness of RWH for small scale farmers in the long-term. If farming
practices are intensified as predicted (Netting, 1993 in Ellis 2000; Ramisch,1999), RWH
may become more in-line with and appropriate for farmers livelihood approaches. However,
if crop production is regarded with increasingly low priority in the livelihood strategy as
suggested by Ellis (2000), insufficient resources may be allocated to allow for the adoption
of the technology (Borhang, 1992; Boyd and Turton, 2000; Hatibu and Mahoo, 1999).
2.2.3 The role of governance and institutions
Any government policy that has a significant influence on livelihood strategies of farmers,
such as those regarding economic development, welfare, agriculture, investment and land
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tenure, will affect the adoption and sustainability of RWH (Agarwal and Narain, 1999; Boyd
and Turton 2000; Kumar et al., 2008) and is likely to long after it is ever withdrawn
(Rethman and Muhangi, 2009). The involvement of the government is said to be a key
influence on implementation of large-scale RWH strategies (Kahinda et al., 2007) and in
areas where the government provides incentives for farmers, the adoption rate of RWH
schemes appears to be higher (Baguma and Loiskandl, 2010; Tumbo et al., in press).
Furthermore, government policies that lead to increased investments in infrastructure may
allow for easier access to markets, which is thought to be an important requirement in
encouraging farmers to adopt and sustain RWH (Rockstrm et al., 2010). However, Nigi
(2009) found political intervention, at national or local level, to be detrimental to the success
of projects and Jodha (1990) observed that public policies, such as drought relief schemes,
disregard traditional coping strategies of farmers and replace the satisfaction of needs at the
local level, which may reduce the adoption of RWH schemes as farmers rely more on
external sources of food and income.
RWH schemes must be considered together with institutional and organisational
environment (Cullis and Pacey, 1992) as a lack of emphasis on institutions may minimise the
impact of any government policies or investments designed to encourage RWH (Baiphethi,
et al., 2009). Institutional structures similar to those for full irrigation schemes are needed forthe successful implementation of RWH schemes (Rockstrm et al., 2010) and catchment
scale institutions in particular are important for ensuring the sustainability of crop production
increases by both upstream and downstream farmers (Pachpute, et al. 2009). Nevertheless,
the introduction of formal institutions and legal frameworks by governments has reduced the
effectiveness of traditional and informal arrangements in RWH schemes in the past (Jodha,
1986; Boyd and Turton, 2000) and the resulting loss of traditional knowledge has led to a
reduction in adoption and use of RWH (Boyd and Turton, 2000).
Institutions are a key factor to ensuring that RWH techniques move beyond a simple
disseminated technology, to a sustainably adapted and managed technology (Botha et al.,
2008) capable of reducing poverty. Institutions play a primary role in learning and
knowledge exchange, development of best practices and experiences, farmer support and the
management of RWH systems (Nijhof et al., 2010) and may help provide the poorest
households with resources needed for the adoption of the technology (Fox et al., 2005 in
Rockstrm et al 2010). However, RWH needs to be developed within the context of small-
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scale farms (Whiteside, 1998) and although demonstrative field trials have proved a
successful form of dissemination in some areas (Pachpute, et al., 2009), extensive training is
likely to be a necessary part of any RWH scheme to provide farmers with the knowledge to
not only apply the technology, but adapt it to their needs to ensure maximum benefit
(UNESCO-IHE & IWMI, 2009).
2.3 Beyond Rainwater Harvesting: Dynamic and complex systems
Although RWH systems are generally viewed as benign (Batchelor et al., 2003; Kumar et al.,
2008), benefits accrued by schemes implemented in one area may result in significant
negative trade-offs in others (Batchelor et al., 2003). At a basin level RWH has the potential
to drastically affect hydrology and ecosystems (Barron, 2009) as one third of rainfall is
required to sustain the wider environment (UNEP, 2006). To maximise reductions in poverty
and land degradation, societal and ecological demands need to be considered in combination
with crop production (Vohland and Barry, 2009), as hydrology and ecosystems in semi-arid
and arid areas are highly sensitive to changes in green water flow and small changes to
rainfall and runoff levels may be large in a relative sense (Falkenmark, 2007). The analysis
of implementation of RWH schemes, therefore, cannot be restricted to individual systems inisolation, particularly in the context of non-equilibrium environments that are characteristic
of arid and semi-arid regions (Scoones et al., 2007).
2.4 The situation in Botswana
Botswana has a semi-arid to arid environment with a mean annual rainfall of 416mm (FAO,
2005), although in the east where the majority of small-scale crop production is carried out
mean rainfall is between 200-550mm (see Figure 2.1). Rainfall is erratic and generally
occurs in localised intense showers (Rethman and Muhangi, 2009); most regions of the
country have a rainfall reliability of between 0.5 and 0.7 (Tsheko, 2003). Potential
evaporation is about four times the average annual rainfall at 2000mm (Ganesan, 2001) and
rates are highest in the summer, between October and April, when the vast majority of the
rainfall occurs (FAO, 2005). The country is characterised by gently undulating topography
populated by occasional rocky outcrops (FAO, 2005), and sandy infertile soils which are not
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very suitable for crop production (FAO, 2003). However, the hardveld region in the east
consists of more fertile loamy clay soils with higher water holding capacity and more
suitable for crop growth (Rethman and Muhangi, 2009).
Economic growth has lead to rapid urbanisation with formal employment becoming a major
source of income in some areas (Rethman and Muhangi, 2009), but arable farming is still
said to provide an important contribution to livelihoods, with 65 per cent of households
using it as a source of livelihood (BIDPA, 2001 in CAR, 2007). Figure 2.1 indicates the
distribution of farming livelihood zones in Botswana and highlights the areas in which crop
production is most important.
Figure 2.1: The farming livelihood zones in Botswana (shown with hydrology
and rainfall levels included)
(Sources: Rethman and Muhangi, 2009 for livelihood zones map; GoB, 2009 for rainfall data)
60
55
50
45
35
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Water scarcity in Botswana is high and this poses a significant restriction on crop
production, but water availability is not the only factor affecting arable farming; poor farm
management, inadequate arable land, an ageing farming population, inadequate market
access, damage to crops by livestock and a lack of community level institutions are all
aspects thought to limit crop production (AfDB, 2008; GoB, 2009; GoB, 2006a; Whiteside,
1998).
Evidence indicates that the government has a significant influence on crop production as the
strong social support system is said to have led to the development of an enduring belief
within the rural population that the government will provide come what may (Rahm et al.,
2006). Drought relief programmes in particular are said to have reduced the uptake of yield
enhancing technologies such as RWH (CAR, 2007). Furthermore, land allocation policies
have provided farmers with plots that are unsuitable for crop production in some cases
(Borhang, 1992) and the drive for rapid economic development by the Government has
created more competition for labour and finances (Howard et al., 2007). However, little is
known about how these issues may limit the adoption and sustainable us of RWH in
Botswana.
Looking into the future, the Government of Botswana recognises a continued need toincrease the productivity within the arable sector to reduce the growing level of food imports
and the dependence on government in rural areas (GoB, 2009), yet there is no explicit
evidence of plans to encourage the use of RWH in small-scale agriculture (GoB, 2006b).
Meteorologically there is a trend towards a reduction in rainfall levels, decrease in rainy days
and decrease in rainfall intensity in the future as a result of climate change (Batisai and
Yarnal, 2009) and mean annual rainfall could decrease by between 8 per cent and 54 per cent
by 2100 (Kenabatho et al., 2009); therefore water availability will continue to be a primary
concern among farmers. It is possible that this need to increase small-scale agricultural
productivity could be met by RWH, but research needs to be conducted to determine the
ability of the technology to overcome the risks involved in crop production, including those
associated with climate change.
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3. Results and discussion
3.1 Results
Twelve interviews were carried out as part of the primary data collection in Botswana.
During the interview process participants were asked to describe the types of rainwater
harvesting (RWH) used by small-scale farmers in Botswana and outline the factors that
affect the adoption of the technology. Comprehensive notes from the interviews can be
found in Appendix B; as mentioned previously, the interviewees have been anonymised in
order to protect their identity. A coding process was used to identify key themes in the
participants responses and the findings are summarised in the following section.
3.1.1 Rainwater harvesting practices in Botswana
[RWH is] the most important technical innovation for farmers dependent on
rain-fed agriculture.
(Interviewee A)
The primary data indicates that RWH is used by small-scale farmers in Botswana, but that
systems have not been widely adopted . Systems are built either independently by farmers, or
through government-led schemes implemented by the Ministry of Agriculture (MoA). A
range of different RWH techniques was mentioned by the participants, including both in-situ
and ex-situ systems, the latter of which appear to be the most extensively used. The use of
in-situ RWH methods was observed at one location only, no other evidence of the use of in-
situ systems in small-scale agriculture was found. Many participants referred to the use of
pans to provide water for agriculture, particularly in the west of Botswana where it was
reported they often provide the only source of water. Other ex-situ methods of water
collection reportedly used are sand rivers, hafirs and small earth dams. However, there was
mixed opinion as to how much these methods of water collection are continuing to be
utilised by small-scale farmers.
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3.1.2 Factors affecting adoption
Hydro-ecological factors
The volume of water is not enough to provide for irrigation due to low
levels of rainfall, even if roof tops are utilised as well as land.
(Interviewee L)
Insufficient rainfall was the most frequent factor cited for the non-adoption of RWH
strategies by small-scale farmers in Botswana: more than half of the participants were of the
opinion that the volume of water collected does not provide adequate irrigation to crops.
Nonetheless, a number of participants were of the opinion that rainfall levels in Botswana
are sufficient to provide water to meet crop demand for the entire duration of the crop
growing season. Interviewee K stated that with the use of an in-situ RWH system, a good
harvest was virtually guaranteed. A common agreement among the vast majority of
participants was that traditional methods of RWH have successfully maintained agricultural
water availability for crop production in the past, but no longer provide farmers with enough
water for the entire growing season. According to Interviewee C rainfall cannot be
depended upon these days and the increasingly stochastic nature of rainfall in Botswana hascontributed to the inability of traditional methods to continue providing adequate water for
crop growth. It was reported that traditional rainfall patterns are still essentially in place in
some areas and rainfall is slightly delayed or heavier than usual. In others, rainfall no longer
has an observable pattern and significant volumes of rain can occur in the traditionally dry
winter months of June to August.
The high evaporation rate was reported to have a marked affect on the ability of RWH
systems to provide adequate water to increase production, contributing to a lack of adoption
of systems by some farmers. Participants commented that a high rainfall-evaporation ratio
results in the loss of a significant proportion of rainfall harvested that would otherwise be
available for crop consumption, particularly in traditional systems where water is lost
through evaporation form surface storage in pans. In in-situ systems evaporation directly
from the soil causes most problems and the application of mulch on crop land was said to be
needed to reduce the loss of water stored in the soil. However, in some areas the majority if
mulch is consumed by cattle and so unavailable for use in RWH schemes.
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Availability of assets
Rainwater harvesting [for small-scale farmers in Botswana] is a good
idea in theory, but not in practice.
(Interviewee K)
An important factor affecting the adoption of RWH systems (even those which the
Government has heavily subsidised) is the reluctance of farmers to dedicate their time and
labour to implementing the systems. Two participants involved in the MoA Water
Development Sections small earth dam construction scheme stated that in some cases
farmers have only agreed to help with construction of dams upon receipt of payment, despite
the fact that labour is expected to be given in-kind in return for the construction of the dam
by the Government. According to the participants, problems regarding labour availability are
primarily attributed to a lack of willingness to work on farmland among the rural population,
which is partly due to competition for labour from the formal sector.
Availability of labour for RWH implementation is apparently restricted further by a lack of
community cohesion within Botswana and a lack of willingness to work at group level. Manyof the interviewees mentioned that people in Botswana are not keen to work together and any
strategies involving the group cooperation of farmers are not likely to be successful. In some
cases this was attributed to divides created by unevenly distributed development causing
social tension, but in others this was said to be due to the co-existence of pastoral and arable
farmers with conflicting priorities.
Interviewees gave mixed opinions regarding the influence that availability of financial capital
has on RWH schemes, but the majority stated it to be a barrier to the initial adoption of the
technology, even when heavily subsidised by the Government.
There was a government scheme in the past to provide a roof rainwater
harvesting system., but farmers had to provide funds for this and so the
scheme ultimately didnt work due to farmers lack of financial resources
(Interviewee B)
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Issues associated with a lack of financial resources regarding crop production in general also
appear to have an indirect affect on the adoption of RWH by small-scale farmers. For
example, an inability to purchase fencing reduces the likelihood of crop production, because
without fencing the potential of damage to crops by livestock is high. Furthermore,
insufficient finances for public transport prevents many farmers from accessing their fields,
which are generally located several kilometres away from the homestead. Possibilities to
obtain grants and loans are said to be available for farmers through the Citizen
Entrepreneurial Development Agency (CEDA), but a lack of collateral appears to cause
problems in gaining access to these.
An inability of some individuals to obtain a plot of land at all also poses problems. One
reason for farmland scarcity is that elders are reportedly retaining family crop land, depriving
younger generations from land that would have traditionally been passed through family
generations. It is possible for these young farmers, or any household without farmland, to
obtain a plot through the Land Board, but the process is said to be convoluted and
applications to take many years to process. Moreover, it is reported that the Land Board has
in some cases allocated land unsuitable for crop production.
The final asset that has been identified as limiting the uptake of RWH, is farming skill andknowledge. The training available to farmers is said to be inadequate and poor farm
management at both an individual and group level restricts the performance of agriculture,
which in turn makes farmers reluctant to invest in RWH technology.
Livelihood strategies
Pastoral farming is a fundamental part of the traditional livelihood strategy for many
Batswana and this appears to be a key factor limiting the adoption of RWH. It seems that
farmers in Botswana are reluctant to invest in crop production technologies, such as RWH,
when the level of competition with cattle is high due to the risk this imposes on crop yield
levels.Although the erection of fencing may reduce the risk to crops posed by freely grazing
cattle, in some areas this may not be possible due to limited land resources and the use of a
plot of land purely for crop production may create conflict between arable and pastoral
farmers. The competition for resources between crops and cattle was a re-occurring theme in
the interviews and evidence indicates the needs of cattle are generally prioritised over those
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of crops at both household and community level due to the higher value attributed to cattle
through greater potential income.
Growing changes in livelihood strategies in Botswana also appear to limit the potential
adoption rate of RWH in the future due the decreasing priority allocated to crop production.
In recent years high economic development and a dramatic increase in the availability of
formal employment has led to migration from rural areas, particularly among young
Batswana, and farming no longer provides an attractive career choice. All participants spoke
of a general trend of moving away from agrarian livelihoods in rural areas; traditional
farming households appear to be abandoning their cropland and moving towards other
livelihood strategies. The priority now appears to be on pursuing strategies that provide
higher incomes that will enable the purchase of food, rather than continuing to grow it.
Those households remaining in the farming sector are reported to be increasingly
concentrating on pastoral farming over crop production, due to low prices and lack of
accessible market for traditionally grown crops, such as maize, compared to high prices and
large accessible market available for cattle.
Governance and institutions
The findings from this research indicate that the implementation of policies and plans by theGovernment of Botswana related to RWH, have had little influence on increasing uptake of
the technology by small-scale farmers. The participants confirmed that the impacts of
incentivised government schemes aimed at increasing the adoption of RWH, such as the
Arable Lands Development Plan (ALDEP), have had some success, but in most cases
confirmed that dissemination of the technology has not extended past the pilot projects.
The increasing provision of water resources infrastructure, such as hand dug wells and
boreholes, in rural areas under the current Integrated Support for Arable Agricultural
Development (ISPAAD) scheme, is said to reduce the perceived need for RWH among
farmers and increased dependence on the government for water supplies. In addition,
extensive support given to rural populations through drought relief schemes has reduced not
only the uptake of technologies such as RWH in crop production, but led to a reduction in
arable farming in general:
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Rainwater harvesting will not work in Botswana as there is no pressure to
grow food. People receive too much help from the government and so have
stopped farming.
(Interviewee K)
Reductions in arable farming are also said to have occurred in recent years due to an
emphasis by the Government on growth of the formal employment sector, commercialisation
of agriculture, reduced support for small-scale farmers and a focus of support on pastoral
farming. The increasing allocation of land by the Land Board of plots that are unsuitable for
crop production was also stated to present problems, as mentioned previously, along with the
allocation of land in the runoff path of traditional RWH pans.
Finally, insufficient institutional capacity in Botswana is reported to have limited adoption of
RWH, due to both a lack of number present and the ineffectiveness of existing institutions.
Several of the interviewees stated that the Agricultural Extension Workers from the MoA
have insufficient time to attend to farmers needs in their designated area and inadequate
transport to reach the most rural areas. Furthermore, many of the extension workers do not
possess adequate knowledge to advise farmers suitably on RWH schemes. The number of
institutions available to assist farmers in Botswana has declined significantly in the past fewdecades; those that remain appear not to work efficiently and group organisation has become
a problem across the whole agricultural sector. NGOs, farming organisations and
cooperatives that encouraged the adoption of RWH schemes among farmers in the past, but
sharp falls in funding from donors since Botswanas achievement of middle-income status is
said to have led to the collapse of many such organisations. This has made it more difficult
for farmers to obtain funds for projects and gain knowledge to allow them to implement
RWH on their land.
3.2 Discussion
The results indicate that RWH has been traditionally used by small-scale farmers in
Botswana, but current use is not widespread. Factors identified as limiting the adoption of
the technology include climate, availability of assets, rural livelihood strategy, government
policy and institutions. In the first part of this section, the implications of these findings are
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discussed and the ability of RWH to reduce poverty in Botswana is analysed. In the second
part of this section, the findings from this analysis are used together with past research to
propose factors that may affect the suitability of RWH for increasing crop production and
reducing poverty in developing countries in general. Finally, these factors are summarised in
a decision-making matrix that may potentially be used to aid the implementation of RWH
projects.
3.2.1 The ability of rainwater harvesting to increase crop production and reduce poverty inBotswana.
Dynamic and interdependent environment
Primary data indicates that in the past RWH has traditionally played an important part in
small-scale farming in Botswana, but the abandonment of these schemes in recent years, as
reported by the participants, is an indication that the benefits originally gained from using
the technology may no longer be felt. Despite reductions in rainfall volume during the past
few decades (Batisani and Yarnal, 2009) the mean annual rainfall for Botswana still falls
within the optimum range for RWH (Pacey and Cullis 1991; Mati et al., 2006); therefore it is
possible that rainfall has simply become too erratic to sustain rain-fed crop production, as
found in other dryland areas (Reij et al., 1988). It is possible that the adaption of thesetraditional methods to include the storage of water in a closed container as opposed to an
open reservoir may increase the ability of RWH to increase crop production in Botswana, as
this would reduces losses due to evaporation and increase water availability for irrigation,
but more research is required to determine if this is the case. In the future it is possible that
even adapted traditional systems may prove unsuccessful at increasing crop yields as climate
change predictions for the region indicate a continuing decrease in volume and increase in
variability of rainfall (Hulme et al., 2001; Kenabatho et al, 2009).
Interviewee K provided evidence for the ability of in-situ methods to increase crop
production, but this approach is relatively new to the country and there is no evidence as to
whether in-situ RWH has the ability to consistently increase crop yields in the long-term, or
whether it can be up-scaled across rural Botswana without impacting negatively on the wider
environment. Again, further investigation is required before the full extent of the potential of
in-situ RWH can be assessed.
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Allocation of minimal resources to achieve maximum benefits
The findings from this research confirm current ideas that the availability of labour and
finances poses a significant barrier to the adoption of RWH (Pachpute, et al., 2009;
UNESCO-IHE & IWMI, 2009; Pauli and Bjerregaard, 1999). The requirements for initial
inputs on systems seem to cause problems for some farmers, as has been experienced in
other areas (Cullis and Pacey, 1992; Nijhof et al, 2010). However, in Botswana even
government-led schemes that provide a high degree of assistance towards labour and
finances have not helped to encourage the widespread adoption of RWH, in contradiction to
findings by others (Baguma and Loiskandl, 2010; Tumbo et al, in press). This suggests that
other factors more influential than labour and finances may pose a greater barrier to the
adoption of RWH and potential for increases in crop production.
In accordance with RWH literature (Barron, 2009; Kronen, 1994; Yuan et al., 2003), water is
one of the many barriers to crop production and findings indicate that benefits from the
adoption of RWH in Botswana may be limited unless improvements in farm management
are also made. Farmers traditionally adopt a low input and low management approach to
agriculture and have little knowledge of effective farm practice; as a result of this any
potential benefits due to the adoption of RWH may either not materialise, or may be
unsustainable in the long-term. Moreover, rural livelihood strategies focus on the need toreduce uncertainty (Whitehead 1997), so unless RWH can be shown to adequately reduce
risk levels involved in crop production in Botswana, farmers will be reluctant to allocate any
additional resources other than the minimum necessary (Boyd and Turton, 2000).
Regardless of whether RWH can be proven to decrease the risk associated with crop
production, it is argued that adoption rates may remain low due to the conflict the use of the
technology creates with other key sources of livelihood. Pastoral farming and the process of
freely grazing cattle is an important part of livelihood for the majority of rural Batswana and
it is argued that increases in crop production may only be achieved if a RWH strategy
integrating both pastoral and arable farming is considered, as recommended by Botha, et al.
(2008) and Pacey and Cullis (1991). As found by Pacey and Cullis (1991) in Kenya, the use
of RWH in Botswana appears to intensify conflict between arable and pastoral farming at
both community and household level, as land usually available for grazing is transformed
into cropland; competition for water and vegetation also causes conflict (Whitehead 1997).
Due to the higher potential cattle have to provide livelihood security to small-scale farmers
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their needs are generally prioritised over those of crops; therefore as long as RWH schemes
in Botswana do not allow for the effective production of livestock in conjunction with crops,
it is predicted that the technology is not likely to be adopted by farmers.
In recent years evidence suggests that economic development and a rapid increase in formal
sector employment has led to a reduction in importance of arable farming in rural
livelihoods, in agreement with Ellis (2000). It is suggested that this has resulted in the
insufficient allocation of resources (primarily labour) for RWH, as identified in previous
research (Borhang, 1992; Boyd and Turton, 2000; Hatibu and Mahoo, 1999) and if the
importance of arable farming continues to decrease into the future, the potential for
widespread adoption of RWH may be low. It is proposed that due to the level of
development that has occurred in Botswana and the low priority allocated to crop production
by households, the potential to increase small-scale crop production through RWH may be
limited.
Enabling environment and support systems
The results from this research confirm findings in the literature that governments may have a
detrimental effect on the ability of RWH to increase small-scale crop production (Agarwal
and Narain, 1999; Boyd and Turton, 2000; Kumar et al., 2008). In agreement with findingsby Jodha (1990), the implementation of extensive social security measures by the
Government of Botswana has created a high level of dependence within the rural population
and a disregard for coping strategies at the local level. It is suggested that high levels of
dependence on the state have led to low levels of RWH adoption as farmers see no need to
increase productivity because any requirements for food during times of need are met
through government relief schemes. It is argued that unless attempts are made to increase the
independence of the rural population on the state, the possibilities for increasing crop
production remain low.
As highlighted in previous research (Jodha, 1986; Boyd and Turton, 2000), the involvement
of the Government in RWH schemes and agriculture appears to have reduced the
effectiveness of traditional and informal arrangements in rural areas. In particular, increased
bureaucracy has reduced the adoption of traditional RWH methods, due to the need to apply
for permission to excavate pans to collect runoff. Furthermore, a focus on the
commercialisation of agriculture and an apparent lack of provision of access to local markets
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may have discouraged farmers from increasing small-scale productivity, in accordance with
findings by Rockstrm et al (2010). If Government policies were adjusted to reduce the
degree of bureaucracy and provide more incentives for small-scale farmers to increase
productivity, it is likely that the uptake of RWH may increase.
It is suggested that a lack of appropriate institution building has minimised the impact of
RWH schemes in Botswana, as found in South Africa by Baiphethi, et al. (2009). If RWH is
to have the potential to increase small-scale crop productivity on a widespread basis it is
suggested that the capacity of existing institutions, such as the MoA extension scheme, need
to be improved and new institutions need to be created at the community level to provide a
platform for learning and knowledge exchange between farmers (Nijhof et al., 2010), along
with more extensive training to equip them with the skills to adapt RWH systems to their
particular needs (UNESCO-IHE & IWMI, 2009). However, unless the unwillingness of
Batswana to work together at community level can be overcome, the sustainability of any
institutions may be low.
3.2.2 The suitability of rainwater harvesting: Towards a matrix for assessment
The evidence from Botswana reiterates that dryland agricultural systems are inherently risky(Enfors and Gordon, 2007) and that the suitability of RWH for increasing crop production
and reducing poverty ultimately depends on the potential the technology holds for reducing
the risk involved in arable farming, without restricting benefits gained from other important
livelihood sources. Drawing on both current literature and findings from this research, key
requirements needed to ensure the suitability of RWH in any particular context have been
proposed and divided into those affecting initial adoption and those affecting longer-term
sustainability of RWH. These requirements are outlined in the following section and
summarised in a potential decision-making matrix in Table 1.
Climate and ecology
This research has confirmed that one of the greatest risks to rain-fed crop productivity is
high rainfall variability and the ability to reduce the reliance on stochastic rainfall is the key
to the suitability of any technology aimed at increasing productivity (Falkenmark and
Rockstrm, 2008). In order to be suitable for increasing crop production the distribution of
the rainfall must be timely as RWH can only decrease the negative impact of rainfall
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variability on crop production to a certain extent (Kumar et al., 2008). In some semi-arid and
arid areas the variability of the rain may be too great for certain types of RWH to provide
sufficient benefits (Reij et al, 1988). Furthermore, RWH must enable crop water demand to
be met both in the short- and longer-term future, maintaining a lowered level of risk in arable
farming even in the context of climate change. The findings from this research indicate that
the relationship between the climate and crop water demand is extremely complex and each
case needs to be assessed on an individual basis to determine if the combination of climatic
characteristics is compatible with RWH and if adequate water can be harvested to meet crop
water demand for the duration of the growing season.
Climatic factors need to be considered closely with wider ecological issues, as these can
have a marked influence on yields. For example, areas with unfavourable soil characteristics,
such as low moisture holding capacity, or low fertility may not be suitable for RWH
(Critchley and Siegert 1991). Data collection in Botswana reiterated the importance of
combining RWH with soil conservation measures if crop production is to be most successful
(AfDB, 2007, Rockstrm et al., 2002).
Farming practice
Findings from this research also highlight the need for effective farming practice, as aspectssuch as unsuitable sowing time (Kronen, 1994) and ineffective use of water harvested
(Barron, 2009) may restrict crop production despite increased water availability.
Additionally, although data gathered from Botswana was unable to confirm that the presence
of RWH in traditional farming increases the likelihood of the uptake of new RWH strategies,
literature suggests that this has proved the case in other projects (AfDB, 2007). As a result it
may be possible to conclude that RWH may be more suitable for use in crop production in
areas where it has been used traditionally, as farmers are likely to be more familiar with the
systems.
Availability of assets
Although socio-economic factors are often neglected by those working on the
implementation of RWH schemes, this research has highlighted that such factors have a
crucial influence on the suitability of schemes. A lack of resources, including finances,
labour and land, is a key constraint to the adoption of RWH by the poorest farmers
(Pachpute et al., 2009; UNESCO-IHE & IWMI, 2009) and although government schemes in
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Botswana were unsuccessful, in general the provision of grants and assistance from
governments or NGOs has been shown to reduce the barrier to the use of the technology
(Baguma and Loiskandl, 2010;Tumbo et al., in press).
Livelihood strategy
Evidence suggests that in order sufficient resources to be allocated for the adoption and
sustained use of RWH, crop production should be allocated with a relatively high priority
level within the household livelihood strategy. The conflict between pastoral and arable
farming poses perhaps the greatest barrier to the use of RWH in countries where livestock
make a large contribution to livelihoods and competition for land, water and vegetation may
lead to the failure of RWH systems unless an appropriate system that allows the co-existence
of cattle and crops can be implemented (Pacey and Cullis, 1991). Lastly, in nations with high
levels of economic development and formal employment where the importance of crop
production in rural livelihood strategies is reducing (Ellis, 2000), RWH may not be suitable
for increasing crop production as the investment in non-farm income is seen by farmers as
having greater potential for reducing livelihood vulnerability than those in arable farming.
Governance
The benefit of policies and schemes involving subsidies and grants specifically for thepurpose of RWH adoption has already been discussed, but if the use of RWH is to be
sustainable on a large-scale it is suggested that these incentives need to be accompanied by
complimentary policies that encourage the growth of small-scale agriculture. This may
include policies comprising improvements to rural infrastructure to allow market access for
farmers (Rockstrm et al., 2010) and an appropriate reduction in drought relief to provide
incentives to increase the efficiency of crop production.
Institutions
It is suggested that suitability of RWH in small-scale agriculture will be greater if both
informal and formal institutions exist at local and national level, as this will ensure the
sustainable utilisation of RWH (Botha et al., 2008) where benefits are shared equally among
all users and allow for the training of farmers and sharing of experiences in the field (Nijhof
et al., 2010). This research has highlighted the difficulties that may be experienced with the
involvement of political institutions in RWH schemes and small-scale agriculture in general
and reiterated the need for community level institutions (Nigi, 2009).
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Table 1: Decision-making matrix indicating requirements for the suitability of
RWH systems in agriculture in terms of initial adoption and longer-term
sustainability.
Factor Initial adoption Longer-term sustainability
Climate and
ecology
Adequate data on rainfall, evaporationand soil properties to allow for effective
design of systems
Potential rainfall and runoff volume anddistribution compatible with crop water
demand
Soil with good water holding capacity(and sufficient structure if required for
any construction in association with
RWH system)
Soil nutrient level capable of sustainingcrop growth in at least the short-term
Sufficient availability of water to maintainwider ecosystems in region despite
presence of RWH systems
Equal benefits for both downstream andupstream users in basin
Minimal affects of climate change onability of RWH to provide adequate water
Rainfall patterns offer opportunity forenhancement via RWH with little
excessive drought
High predictability of rainfall, or provisionof weather forecasts, to allow for timely
farming practice and efficient use of water
harvested
Farming
practice
Traditional use of RWH in cropproduction
Growth of relatively high value cashcrops
Labour and equipment investmentacceptable
Combined use of RWH with soilconservation methods and application of
fertiliser
Optimisation of farm management skillsto decrease limitations on crop production
caused by factors other than water
availability (eg. seed sowing)
Fits wider farming systems in locationAvailability
of assets
Availability of finances, materials andlabour required for adoption through
subsidies and assistance from
appropriate institutions
Adequate land availability and landtenure
Knowledge and understanding of RWHLow input demand for adoption
Adequate availability of land suitable forlong-term crop production close to
homestead
Low input demand for maintenance Availability of finances, materials and
labour required for maintenance through
subsidies and assistance from appropriate
institutions
Possession of skills to adapt RWH systemto meet specific needs of farm/catchment
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Livelihood
strategy
Crop production high priority inlivelihood strategy
Significant reduction in risk of cropfailure with implementation of scheme
Rapid return on initial investmentLack of conflict with other current
livelihood strategies (eg. pastoral
farming)
No detrimental impact on wider livelihoodstrategy (eg. diversification)
Provides consistent boost to householdincome and nutrition
Sustained high priority of agriculture inlivelihood strategy
Low competition for resources from otherlivelihood strategies (eg. formal
employment)
Governance Incentivised policies and schemes,including grants and subsidies
Provision of adequate institutions toprovide training and assistance with
adoption
Policies encouraging independence ofrural population from government
Minimal government bureaucracyinvolved in adoption of RWH schemes
Complimentary policies encouraging theincreased importance and growth of small
scale agriculture and crop production.
Legal framework defining rights andresponsibilities of water users
Provision of infrastructure to increaseaccess to markets
Provision of adequate institutions toprovide training and assistance with
maintenance and use
Institutions Government with high capacity toimplement relevant policies and schemes
Presence of local level institutions toimplement farmer centred research and
extension
Assistance of community/village leadersin adoption issues
Presence of institutions to provideresources for initial investment (eg.micro credit organisations)
Catchment level institutional linkagesbetween upstream and downstream users
to monitor and manage water supply and
demand within both agriculture and other
sectors
Community level institutions to allow forfarmer participation in planning, cost
sharing, continual evaluation and
improvement of systems
(Source: various)
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3.3 Summary
The results indicate that RWH is being used by some farmers in Botswana, but that
widespread adoption has not taken place. The factors affecting RWH in Botswana have been
found to not only include issues related to the technical capability of the technology to
increase crop production, but also issues related to the context within which the technology
must fit, such as the availability of assets, livelihood strategy of farmers, government policy
and institutions. The current potential for increases in crop production through the use of
RWH in Botswana appear to be limited and potential for the future is uncertain, primarily
due to impacts of climate change and alterations to rural livelihood strategies due to
economic development. With appropriate adaptation of systems and the development of
community level institutions to provide in-depth training to farmers potential may improve,
but it is possible that the prevalence of pastoral farming may be too great a barrier to be
overcome.
The factors that affect the suitability of RWH for improving crop yields and reducing
poverty in any particular developing country are evidently significantly more complex than
those considered in existing frameworks. This research indicates that important factorsneeding consideration relate to climate and ecology, farming practice, availability of assets,
livelihood strategy, governance and institutions; all of which need to be taken into
consideration when considering the implementation of RWH in small-scale agriculture. The
suitability of RWH for use in developing countries in general is uncertain as a wide range of
factors influence the successful adoption and sustained use of the technology. Each potential
project needs to be assessed individually, with particular emphasis given to the context
within which the system(s) must fit.
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4.Conclusion
In the past two decades interest in rainwater harvesting (RWH) has grown steadily (Nijhof et
al., 2010) and there is a general belief that the technology has the potential to lift farmers out
of the poverty trap through the improvements it can provide to agricultural productivity
(Barron, 2009, NWP, 2007; Vohland and Barry, 2009). However, in many areas empirical
evidence does not support this hypothesis and improvements to livelihoods due to the use of
RWH have been low (Reij et al., 1980;Hatibu et al., 2006). With the use of Botswana as a
case study and source of primary research, one of the main objectives of this research has
been to categorise and contextualise the range of factors that affect both the initial adoption
and longer-term sustainability of the technology; the implications these factors have on the
ability of the technology to increase crop production has also been analysed. The overall aim
has been to examine the factors that determine the suitability of RWH use in small-scale
agriculture for increasing crop production and reducing poverty in developing countries in
general and produce a decision-making matrix that can be used to assess the level of
suitability in an