[1]

Sustainable agriculture in the Himalaya: could

widespread use of agroforestry techniques improve

productivity, land stability and water supply?

David Wellstead

[2]

Abstract

The Himalaya is a poor region with many diverse and often isolated rural

groups, living across vastly different climatic and topographic locations. This

review aims to highlight the problems facing Himalayan agriculture and

examine the suitability of agroforestry as a sustainable alternative to

traditional farming practices. For successful implementation, the social,

political and economic background should be fully understood. Crop

productivity has decreased in recent times, with widespread erosion

contributing to unpredictable over-land water flow, accentuated by the

effects of climate change. Poor soil fertility and inadequate water supplies

have manifested as the main abiotic limitations. Sustainable agriculture is

ideally suited to the Himalaya, with agroforestry providing a flexible and

affordable model which combines tree and crop species using a number of

techniques. The diversity of Himalayan species, their many uses and

importance to local populations provides a favourable biological and social

start-point. Net gains in productivity, sustainability and lifestyle are possible,

but must overcome the effects of competitive interactions between species;

management of vegetation canopies, understanding allelopathic interactions

and managing species’ root profiles are key to this. Biomass transfer can be

achieved through root and shoot pruning and green leaf manure application.

Land-owners have access to more subsistence resources as a result of the

species grown. Employment and trade opportunities may also arise through

the production of cash crops and livestock, helping to combat the rural-

urban migration trend. Increased biodiversity and the introduction of

nitrogen-fixing species, particularly, show positive effects regarding soil

fertility and reduced run-off and leeching. Water movement is more uniform

due to increased soil health and stability. Water harvesting may also

constitute a valuable technique for providing year-round water supplies

whilst benefitting upstream and downstream users.

This review highlighted the need for sustainable agriculture in the Himalaya,

suggesting agroforestry as a potentially successful and apt method for

alleviating poor productivity, land stability and water supply. Unilateral

development efforts must continue in the region, with further scientific

research into competitive interactions between specific tree and crop

species.

[3]

Acknowledgements

I would like to thank Professor Colin Black for his enthusiastic guidance and

support throughout the year. During my 2009 visit to the Himalaya, my work on

Alina Schick’s Kaule eV Agroforestry Project proved invaluable and was

facilitated by Volunteers’ Initiative Nepal (VIN). VIN’s director Bhupendra

Ghimire was a huge help whilst overseas. I would also like to thank my family

and friends for their encouragement.

[4]

Abstract.........................................................................................2

Acknowledgements..........................................................................3

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

Chapter 1: The Himalaya

1.1 Introduction.........................................................................6

1.2 Geography and geomorphology..............................................8

1.3 Political, economic and social background...............................10

1.4 Current agriculture and productivity.......................................14

Chapter 2: Issues and challenges

2.1 Climate change...................................................................22

2.2 Water availability................................................................23

2.3 Indigenous culture and religion.............................................26

Chapter 3: Sustainable agriculture and development..................28

Chapter 4: Agroforestry..............................................................32

Chapter 5: Implementation of agroforestry techniques: potential

benefits and limitations

5.1 Limitations of the Himalayan region.......................................36

5.2 Resource capture by plants...................................................39

5.3 Competition and productivity.................................................47

Table of Contents

[5]

5.4 Erosion and soil degradation.................................................51

5.5 Sustaining and improving Himalayan water flow.......................54

5.6 Introducing livestock............................................................58

Chapter 6: Conclusions...............................................................60

Chapter 7: Glossary of key organisations...................................63

Chapter 8: Bibliography..............................................................65

[6]

Chapter 1: The Himalaya

1.1 Introduction

‘In these hills, Nature's hospitality eclipses all men can ever do. The enchanting

beauties of the Himalayas, their bracing climate and the soothing green that

envelopes you leaves nothing more to be desired. I wonder whether the scenery

of these hills and the climate are to be surpassed, if qualified, by any of the

beauty spots of the world.’ (Mahatma Gandhi, 1921)

The Himalaya has long had the epithet of being one of Earth’s most diverse and

picturesque locations - justified by the largely unparalleled variation in

topography, vegetation patterns, climate and inhabitants.

The Himalaya stretches from Pakistani-controlled Kashmir at the most northerly

tip, south-east through India, Nepal and Bhutan, intersecting the Indian

subcontinent from the vast Tibetan Plateau. It stretches for approximately 2400

km with more than 40 mountains exceeding 7000 m in height and many over

8000 m (Yang and Zheng, 2004). This mountainous region is the origin of many

vital water sources which are not only necessary for the survival of regional

populations but are also essential components of hydrological and nutrient

cycles. For example, the numerous downstream rivers serve an important role in

the carbon fluxes which are recognised as a major component in regional and

global environmental change (Rai and Sharma, 2004). Given the location of the

Himalaya, there is also an inherent level of seismic activity which is thought to

be induced by variation in water storage which correlates with seasonal

differences in climatic conditions (Bettinelli et al., 2008).

This report focuses on the Himalayan range, with the Nepalese Himalaya being

of particular interest due to the relative large quantity of research undertaken by

non-governmental organisations (NGOs), universities and bureaucrats in recent

years, although many holistic ideas as well as specific agroforestry (AF)

techniques are implementable across the region.

The Himalaya is full of natural wealth, including both renewable and non-

renewable resources. Amongst its non-renewable resources are deposits of

boron, lead, lithium, coal, chromium, ores of iron, copper, tungsten, zinc and

[7]

deposits of building material such as limestone, dolomite and marble. These

deposits occur across the length and breadth of the Himalaya. Despite the

substantial mineral wealth in the Himalaya, the common image of resources

there is of water and forests (UNPAN, 2008).

Objective

The objective of this project was to review the many interlinked problems facing

agriculture across the Himalaya and the wide range of sustainable technologies

currently in operation which may help to combat such problems, with particular

emphasis on agroforestry models which may help to improve productivity, land

stability and water supply in the future.

[8]

1.2 Geography and geomorphology

Figure 1.1: Satellite image of the Himalayan region between Uttar Pradesh and

Arunachal Pradesh (Adapted from Bowen, 2008. http://geogdata.csun.edu, cf. W1)

The mountainous Himalayan region extends over a distance of 2400 km and is

the meeting point between the northerly Eurasian and southerly Indo-Australian

tectonic plates. The satellite image in Figure 1.1 shows the main geo-political

divisions and differing topographic gradients.

There are a numerous high peaks, many with historical, geological and cultural

significance. As the highest peak on the planet at 8848 m, Mount Everest is the

most recognisable symbol of the entire Himalaya and remains an elusive

challenge to mountaineers, decades after the globally reported summit of Sir

Edmund Hillary and sherpa Tensing in 1953. Sikhs, Buddhists and Hindus all

regard various peaks as sacred due to the intertwining of historical reverence

and numerous tales of deities travelling the region finding enlightenment (Tanka

and Karubaki, 1995). Mount Kailash is notable as one of the world’s highest

peaks not to be climbed in recent history as this is precluded by religious

sensitivity (Han, 1998).

The Himalaya represents the most recently-formed mountain range on the

planet and is the result of an ongoing orogeny between two continental plates.

Initial continent-continent tectonic interactions are thought to have begun in the

late cretaceous period (around 65-55 Ma; Ding et al., 2005), although the

evidence is circumstantial and complex as unification of records from various

[9]

sources to create an overall picture is not straightforward. Rock type and

location, time and speed of plate movement, rotation of different geographical

points (India has rotated 45° counter-clockwise in the north western Himalaya

since the K-T mass extinction, whilst north central Nepal has rotated 10-15° in

the same direction; Klootwijk et al., 1985) and wider historical knowledge of

tectonic movements all contribute to this analysis. Even the present day

situation concerning the geological composition and ongoing changes in the

region is poorly understood as Burbank et al. (1996) stated that “the topography

of tectonically active mountain ranges reflects a poorly understood competition

between bedrock uplift and erosion”, in specific regard to their research on

bedrock incision, rock uplift and threshold hillslopes in the Himalaya.

Over time, three main zones have been widely described in the academic

literature, which act primarily to provide a categorised determination of altitude,

along with the associated climatic and biogeographical conditions.

The Mahabharat Range (Mahabharat Lekh) is commonly referred to as the

Lesser Himalaya (or colloquially, as the “foothills”) and is elevated between

1500-3000 m. At these altitudes, sub-tropical and temperate forests are found,

including the Western (through Pakistan, India, Nepal) and Eastern (through

Nepal, Sikkim, Bhutan) Himalayan Broadleaf Forests.

The Midlands are located north of the Lesser Himalaya and encompass regions

up to 4000 m; temperate coniferous forests are present towards higher

elevations, such as the Himalayan Subalpine Conifer Forests. Interestingly, this

is a hotspot for Rhododendron diversity, with some varieties resisting

temperatures of -23 °C (Sakai, 1981).

The Greater Himalaya is located above 4000 m and demonstrates most

impressively the huge tectonic forces leading to their creation. The unceasing

denudation caused by weathering and erosion mean that some peaks are

decreasing in height whilst others may simultaneously be increasing in height

(Molnar and Tapponnier, 1975).

These three broad categories are by no means all-encompassing for the

Himalaya but provide a context for comparing specific geographical locations.

[10]

Mapping of the Himalaya has improved rapidly in recent years, with many

organisations focusing specifically on this task. A number of modern methods

are now being used to give an accurate and detailed account of the region, such

as geographical interface system (GIS) mapping and satellite imaging.

The origins of the city of Pokhara demonstrate the likelihood of current

understanding being inadequate in providing full comprehension of the formation

and ongoing changes in the Himalaya. Situated on the shore of Nepal’s second

largest lake, Phewa Tal, it was long thought that the valley originated from the

drying up of a larger initial lake in a similar manner to the Kathmandu and

Kashmir valleys. Careful observations of the sediments filling the basin indicate

that the Pokhara valley was in fact formed by a catastrophic giant debris flow

five centuries ago. The emblematic site is still rising up the front of the Greater

Himalaya and is maintained by sporadic collapses of the mountain walls

controlled by a combination of both glacial and seismo-tectonic dynamics (Fort,

2010). Such inter-disciplinary complexities are difficult to combine to give a full

picture of the constantly changing biogeographical situation, for any given part

of the Himalaya.

1.3 Political, economic and social background

People’s way of life, as anywhere in the world, is the culmination of hundreds of

years of evolving beliefs, traditions and practices. The Himalaya is a region

encompassing countries plus the Tibet Autonomous Region (TAR) and falling

entirely within the ‘very poor’ income category under the International Monetary

Fund (IMF) classification (with the exception of India, defined by the IMF as

‘Upper-Lower’ average income). Consequently, the way of life and cultures of

the area may be more strictly followed and vehemently protected than those of

richer, more developed nations whose values lie in a generally more materialistic

and economic success-based stratum (Alfaro, 2008). Indeed, educating

underprivileged groups to defined normal levels is often difficult, especially if the

group is very primitive or nomadic (Samal et al., 2001). This is of extreme

importance when implementing change across the region, as anything new must

be accepted and advocated by local populations for a successful transition to

new farming techniques, which may infringe lifestyle and anthropogenic norms.

Women generally maintain a traditional role as keepers of the home, although in

many groups this stretches to farming responsibilities at least equal to those of

[11]

males. Literacy amongst women is significantly lower than amongst men,

although evidence from the 2001 Indian Census suggested the gap had

diminished (Fig. 1.2). Current opinion suggests that this gap has narrowed still

further (Vepa, 2007), although comparable empirical evidence may not become

available until the next census in 2011. Work by Pant (2006) shows the trend for

greater male literacy prevails throughout the region.

Many factors contribute to poverty and under-development in the region.

Political stability and reform and fairer distribution of wealth are two

underpinning issues which, if not addressed, will make implementation of

changes in farming techniques more difficult. In the past 50 years, development

efforts in Nepal have failed to touch the poor and so contributed to a rise in

unemployment, poverty, and rural/urban inequality, which has significantly

increased frustration and resentment among disadvantaged youths in rural and

remote areas, leading eventually to civil war (Sharma, 2006).

Figure 1.2: Male and female literacy rates across various Indian states in 1991 and 2001 alongside the gaps in literacy from the respective years (adapted from http://www.thesouthasian.org, cf. W2).

The end of the decade-long, Maoist-led civil war in 2006 was followed by a

significant increase in foreign aid and humanitarian activity in Nepal, although

agricultural investment from the government is still low and financial

liberalisation has not seen any increase in credit availability for farmers

[12]

(Independent Evaluation Group of the World Bank, 2008). Non-governmental

organisations have played a key role in development efforts across the Himalaya

for some time, with many examples of NGOs being absolutely crucial to

providing help to governmental support agencies, which would be “completely

overwhelmed”, alone (Jasanoff, 1997). The ongoing conflict in Kashmir around

the Karakoram and Ladakh ranges has led to 12 identifiable groups in the region

being forced to leave their home territories over the past two decades, due to

internal or external factors surrounding the conflict (Shekhawat, 2006).

Displacement obviously makes implementation of new ideas difficult; with no

guarantee of rightful land ownership, any subsequent implementation of new

land-usage is likely to be ineffective over an indeterminate period.

Poverty and migration

The topography of the land dictates that human populations live across an

enormously variable climatic and environmental gradient throughout the

Himalayan region, ranging from high and mountainous areas, to the mid-hills

and foothills. This often creates isolated communities cut-off from regular

access to the outside world. The implications are significant and numerous as

these communities may be self-sufficient but lack any sense of entrepreneurship

or the value of money. Access to healthcare is greatly reduced as, without

medical professionals, or the money to fund travel, people turn to unreliable

sources of information or simply live with ailments of various severity.

Much of the Himalaya is characterised by a very low economic growth rate

combined with rapid population growth, exacerbating the already low per capita

income. Poverty is one of the factors correlated directly to a low standard of

education, reliance on traditional healing methods and continued isolation from

the outside world, all of which culminate in a higher likelihood of being unable to

access national healthcare services. In 2003, the aforementioned rural–urban

migration pattern was studied relative to the incidence of poverty in Nepal,

although unfortunately, according to Oucho (2002), it is more usual for experts

on migration and poverty to work independently, normally not considering the

effects of demographic factors on poverty and vice versa (Ad Hoc, 2003).

[13]

Table 1.1: Migration patterns in Nepal relative to incidence of poverty (Adapted from Ad Hoc, 2003).

Ecological Zone Incidence of Poverty (%) Poverty-gap Index Net Migration

Mountain 56 0.185 -14.8

Hill 41 0.136 -48.0

Terai 42 0.099 62.8

Urban Kathmandu 4 0.004 N/A

The link between poverty and migration away from rural areas in mountainous

and hilly ecological zones is clear, with net migrations of -14.8 and -48.0 from

mountainous and hilly areas, respectively (Table 1.1). It is evident that changes

must be made if poverty is to be reduced and fewer individuals are to migrate to

urban areas. Declining agricultural productivity and environmental degradation

in parts of the Himalayas have also encouraged men and often even women to

engage in short-term migration (Centre for Women and Development, 1988).

Life expectancies in the Himalaya are show in Table 1.2.

Table 1.2: Average life expectancy of people living in the Himalayan region (life

expectancies from the United Nations except Tibetan Autonomous Region from People’s Republic of China national statistics).

Country Afghanistan Pakistan India Nepal Bhutan TAR

Life Expectancy (years) 44.64 65.5 64.7 63.8 66.13 67

The Himalayan region is not far below the global average of 67.2 years as all

nations except for Afghanistan have life expectancies in the mid-60s. Although

not far off the global average, Pakistan, India and Nepal rank 136th, 139th and

143rd respectively, among the 195 recorded nations, showing significantly higher

mortality than western countries at a younger age. Whilst the region may not be

able to develop sufficiently in the near future to rival many developed nations for

poverty alleviation, there is a direct link between poverty, healthcare and life-

expectancy which cannot be ignored. Improving land use and productivity is key

to improving living standards and the population’s health. Improvements in the

quality of subsistence living, and education to show the potential benefits of

selling crops or livestock, provide obvious theoretical and developmental

solutions to the problem of poor living standards.

[14]

1.4 Current agriculture and productivity

Geographical constraints often restrict the flow of goods to and from isolated

areas; landslides, mudfalls and soil degradation not only adversely affect crop

yields and farming practices but also restrict transport and the advantages it

brings.

Climatic conditions vary significantly depending on latitude and altitude. The

consequences of this are manifested in a rich diversity of living conditions,

farming practices and the species or landrace cultivated. A huge range of

traditional crops are grown in the Himalaya and, more particularly, in the Central

Himalaya. Over 40 species of food grains are grown in traditional

agroecosystems which have been managed by local farming communities since

time immemorial. These traditional crop varieties have evolved over centuries

and are well adapted to the region. A number of edaphic, topographic and

climatic factors associated with different selection pressures over centuries of

cultivation have resulted in immense variation in the crop species present

(Maikhuri et al., 1996). Having such a wide range of crops available is beneficial

for the introduction of agroforestry (AF) to specific areas, although their

specificity of growth responses under particular conditions may be a drawback.

More widely recognised species with the C4 carbon fixation pathways and low

oxygen tolerances often found at altitude and throughout the mid-hills include

maize (Fig. 1.3), sugarcane and millet. Table 1.3 shows the huge diversity of

different species found in the Himalayan region alongside a global comparison.

As would be expected, many of these species are endemic to the region, having

evolved under specific and discrete conditions.

Table 1.3: Diversity of Himalayan species compared with global estimations. Figures in parenthesis represent the number of endemic species. (Adapted from

Singh and Hajra, 1996).

Total number of species Himalayan Region World

Angiosperm 8000 (3200) 250000

Gymnosperm 44 (7) 600

Pteridophytes 600 (150) 12000

Liverworts 500 (115) 8500

Mosses 1237 (450) 8000

Lichens 1159 (130) 20000

Fungi 6900 (1890) 120000

[15]

C3 crops, which are widely grown in Europe and other temperate and tropical

climates throughout the world, are often equally capable of being grown at mid-

altitudes in the Himalaya. Although the extreme topographic gradients

experienced within the Himalaya might be seen as a drawback in terms of the

sheer range of climatic conditions, this provides terrain suitable for a very wide

range of species. Selection of appropriate species is important in designing

effective AF systems as a number of factors must be taken into consideration,

such as quantifying how difficult local farmers will find it to grow individual

species and whether their introduction is sustainable with respect to local

nutritional and physiological needs. These issues are explored in greater detail in

later sections. When explored at a detailed regional level, the Himalayan climate

and geography can be seen to be constantly changing over time, with

fluctuations in land, nutrient and water availability. Figure 1.3 shows an

example of a C4 crop, maize, being used for subsistence production of flour to

make bread products.

Figure 1.3: A Tamang women in her home in the Nepal mid-hills with cropped maize, being prepared for corn flour production.

Climate change is undoubtedly a factor contributing to many facets of the

region’s difficult-to-predict geophysical transformations and is examined further

in Chapter 2. These changes make it difficult to implement effective land-use

strategies, as certain conditions may lead to alterations in nutrient/hydrological

[16]

cycles or land degradation, which are arduous to predict and rely on complex

models requiring large quantities of meta-data.

Land degradation is a major issue facing much of the Himalaya and is directly

affected by land use. Empirical evidence from Jammu and Kashmir in the

western Himalayan region shows that 73% of the state suffers from severe land

degradation (Singh, 1998), although the entire region from the high mountain

areas through to the Terai is highly susceptible. Figure 1.4 shows mild soil

erosion in the Nepal mid-hills, resulting in concentrated water channels and

depletion of soil fertility.

Figure 1.4: Soil erosion in Kaule, Nepal. (http://en.kauleev.org, cf. W3)

To provide context, Singh et al. (1998), stated that “developmental activities are

increasing rapidly to support the tourism infrastructure whilst there is an

uncertain correlation between anthropogenic activities in the mountains and

hazards in the plains such as floods. Owing to a lack of basic research, there is

little effective information which can be used for long-term effective monitoring

of ecological and hydrological responses to global change.”

Issues surrounding land ownership

Fortunately, the majority of the region’s land ownership is determined through

various traditional hierarchical systems, but unfortunately, population densities

are becoming a problem, particularly in Nepal and Bhutan (Karan and Iijima,

[17]

1985); as sons inherit family land and start their own families, the decreasing

mortality rates within communities sees land becoming increasingly divided,

thus giving increased individual ownership but with each owning a smaller area

of land. The result is a plot with less agricultural and economic value, leading to

an increased proportion of owners selling their plots to facilitate migration to an

urban surrounding.

One approach to combating this trend is community land ownership, permitting

joint ownership and responsibility for multiple families’ land in order to increase

living standards. This may simply be through joint farming of agricultural land to

assure a fairer distribution of crop products or may result from a multi-faceted

agroforestry approach to improve various factors affecting lifestyle. The practice

of community forestry in Nepal has led to extensive restoration of degraded

forests and strengthening of local peoples’ livelihood – although the community

forestry approach is currently largely confined to state forests and adjoining

communities.

Standard community forestry programmes have provided evidence that people

could be excluded from the process of forest management either because of

spatial distance to the forest or social distance from its owners. People residing

far from state forests without access to community forest land are a cause for

concern. For example, a large population in the Terai has unavoidably been

excluded from forest land tenure, although recent initiatives to promote

agroforestry in fallow and public land in the Terai have created new land tenure

opportunities for excluded people whereby management rights of the public land

are being transferred to poor families through long-term lease agreements.

Trees are planted on public land to generate a forest resource with income to

share between users and respective land providers such as local government

bodies. Cash crops are also grown in individually divided plots, further benefiting

each family financially (Shrestha and Dhillion, 2006). Such models demonstrate

the potential of agroforestry not only to increase sustainability and living

standards, but also to provide a social means of alleviating population stress.

Land is often divided by seemingly undistinguished boundaries, agreed within

and between families and communities. Nomadic peoples have a restricted legal

status when working land, although there have been few incidents in recent

history of conflict between governments and nomads. The most notable conflict

leading to widespread systematic reform in this regard must be the “profound

[18]

changes in the last four decades, with China greatly affecting the traditional

Tibetan pastoral production systems [across the Tibetan Plateau]” (Ning and

Richard, 1999).

Adoption of a single, ubiquitous method of farming throughout the Himalaya

would be impossible, as the edaphic, topographic and climatic factors vary so

greatly and lead to a multitude of crops being grown using varying techniques

and for different purposes. Land is normally owned by individual families and

passed down generations, often with no legal security, with sons gaining primary

ownership ahead of their spouse. In the majority of Himalayan communities, the

farming is viewed predominantly as an inferior role suitable for women, thus

creating a paradox between males gaining both socio-economic value and

sustenance from the land whilst responsibility for this rests with the women.

Such a contentious issue must be handled with sensitivity when bringing about

changes to a community, especially if cash crops or livestock are being

introduced for economic gain. Many observers have made note of this

sociological issue, an example of which is shown in Figure 1.5.

“This is the problem of women [in the Himalaya]: their subservient position and

forced inclusion into the capitalist system of labour-first by their own men due to

the patriarchal division of labour, which turns partners and co-workers into

master and servant; then by the male elite of the village, who maintain and

confirm this division; then by bureaucrats and corporate power-holders of the

global market economy into which the women are inserted, without their

knowledge, consent, or control.”

Figure 1.5: Azhar-Hewitt’s (1999) observation of the potential difficulties faced

with a neoliberal free-market, capitalist system evolving in the region.

The conflict between subsistence needs and commercial interests can be seen in

many situations and locations throughout the region, such as along the “fruit-

belt” of the Mussoorie-Chamba road in the Indian district of Tehri Garhwal,

where the privatisation of traditionally common property land has led to

“commoditisation of local activities, use of migrant labour and distinct changes

to working relationships” (UNPAN, 2008).

[19]

Current Farming Practices

Many crop types are grown throughout the Himalayan region. Altitude is the

empirical factor dictating climatic and environmental conditions, allowing certain

species to be grown using specific techniques.

Pesticides have become widely used across the region, although generally in

small quantities. In some modern agroecosystems, new crops requiring high

energy and monetary input were also associated with increased human labour,

forest resources and chemical fertilizer and pesticides use. Energy projection for

farmyard manure in traditional crop cultivation has been found to be 80 – 90%

of the total energy cost, thus traditional crop cultivation has been cited as more

efficient in energy and economics (Nautiyal et al., 2007). Many communities

utilise human and animal waste as a source of organic material, although lack of

infrastructure and organisation within communities often results in most waste

remaining uncollected. Application of manure is useful in developing Himalayan

countries as the supply is plentiful and self-sustaining and it contains a high

proportion of organic matter, which is beneficial for many crop species. An

incomplete understanding of the potential benefits of applying manure is due, in

part, to ineffective local education and few demonstrative governmental or NGO

initiatives. Agroforestry systems can enable communities to collect, manage and

monitor human and animal waste to maximise the efficiency with which it is

used. Further information is given in Chapter 4.

Both organic and inorganic pesticides are applied to agricultural land throughout

the region and are widely available, with 55 registered importers and 3450

resellers (2543 licensed) in Nepal alone, marketing 73 registered common

pesticides under 342 trade names (Koirala et al., 2009). In Nepal, nine major

pesticide groups involving seven subgroups of insecticides were imported

between 1997 and 2003 and pesticide use amounted to 142 g ha-1, which is low

compared to other counties (Diwakar et al., 2008). The high cost of purchasing

imported agrochemicals relative to the low incomes of rural communities is one

of the main reasons for such low levels of application.

With the region having been bypassed by the so-called ‘Green Revolution’ in the

1960’s, mechanised farming methods involving widespread, calculated pesticide

application have only gradually begun to be used in certain areas, where

companies own and profit directly from increased yields. Peasant farmers often

use crude, non-specific pesticides such as urea; an advantage to this being is its

direct availability from animal waste.

[20]

Understanding of the biological pathways and effects of pesticides across the

region is incomplete, and this, coupled with eroded soil and high rainfall during

the monsoon season, results in widespread leaching of pesticides and nutrients.

Many studies have investigated contaminant and pollutant levels in remote areas

(Li et al., 2006) and one found that polychlorinated biphenyl (PCBs, a ‘persistent

organic pollutant’ whose production was banned by the United States Congress

in 1979 and the Stockholm Convention on Persistent Organic Pollutants in 2001)

reached concentrations in Himalayan lakes comparable to industrialised areas,

despite their remote and seemingly pristine location (Galassi et al., 1997).

Educating farmers regarding methods of reducing land degradation and run-off

as well as the positive and negative attributes of pesticide and insecticide

application is essential to achieve maximum crop growth and yield and reduce

environmental impact.

Irrigation is applied by some communities, depending on the crops grown and

general infrastructure of the area. Himalayan water supplies often run through

semi-legitimate piping from water sources to the surrounding area with little or

no government regulation and are used for all purposes, be they agricultural

processes or drinking water. It is common for mid-hill communities to have

communal paddy fields, which are worked collectively at the appropriate time of

year (before and during the monsoon season), with the yield shared (Schroeder,

1985). There is also evidence that irrigation of agroforestry systems in the

Himalaya can be highly beneficial. For example, in the Indian Garhwal Himalaya,

the total cost of establishing an irrigated agroforestry system was 1.23 fold that

of the unirrigated one, whereas the total benefit was 209-fold (Maikhuri et al.,

1997).

An overall perspective of cropping intensity can be drawn by dividing the gross

cropped area by the net area available within a specific farming area to obtain a

Cropping Intensity Index (CII). Gosain (2009) calculated the CII for 300 land-

holders in the sub-Himalayan Terai and the Indo-Gangetic plain in the Indian

state of Haryana. The analysis showed that, of the 300 respondents, 16.3% had

low CII values, 21.6% had high values and the majority (62%) had an

intermediate CII. Much of the agricultural Himalaya has low to medium CII, as

most land-owners cannot achieve consistently high yields owing to the relatively

high economic and mechanised inputs required.

[21]

Current research in the Himalaya

The Himalayan region is seen by many as an opportunity to demonstrate

responsible agricultural development through basic, unilateral, common-sense

decisions alongside progressive technologies and a contemporary understanding

of the need for a holistic approach to scientific study and the effect on people’s

livelihoods. In recent times and with mainstream consciousness of

environmental change increasing, more detailed research that stands up to

scrutiny has been undertaken across the region, predominantly by NGOs. For

example, the mission statement of the Resources Himalaya Foundation defines

its work as “a promoter of ‘good science’ to facilitate ‘politically correct’ decisions

so that biodiversity conservation in the Himalaya is secured and benefits of

conservation practices accrue to the poorest segment”

(www.resourceshimalaya.org, cf. W4). The Himalayan Research and Cultural

Foundation works in conjunction with the United Nations Economic and Social

Council to support “scientific appraisals of the issues confronting the Himalayan

and adjoining regions to make specific policy-oriented studies and need-based

recommendations as the means to promote the human, educational and

economic advancement of the peoples besides preserving and enriching their

ethno-cultural, literary and historical heritage” (www.un.org/en/ecosoc, cf. W5).

A glossary of key organisations is given in Chapter 7.

The recent media hysteria surrounding possible inaccuracies in the

Intergovernmental Panel on Climate Change (IPCC) 2007 Assessment of Climate

Impacts, and especially the predicted date for the disappearance of the

Himalayan glaciers, demonstrates how easily the underpinning and pressing

issue of climate change can be overshadowed, and the numerous adverse direct

and indirect implications ignored. Whilst these impact on a global scale, the

report also serves to highlight the vulnerability of the Himalaya and the

potentially detrimental changes facing its people which must be addressed.

[22]

Chapter 2: Issues and challenges

2.1 Climate change

The issue of climate change is relentlessly reported by the world-wide media,

with varying representation of the scientific facts. In its simplest form, climate

change can be described as an alteration or variation in the world’s climate (Dow

and Downing, 2007). The term ‘climate change’ has become synonymous with

anthropogenic activity and this is now a connotation generally accepted in both

the scientific and wider global community. Climate change in IPCC usage refers

to identifiable changes in the state of the climate (e.g. using statistical tests)

from the mean value and/or the variability in its properties which persist for an

extended period, typically decades or longer (IPCC, 2007). Primarily contributed

to by combustion of fossil fuels and the rearing of cattle and other ruminant

animals, atmospheric concentrations of carbon dioxide (Fig. 2.1) and other

greenhouse gases (GHGs) such as water vapour, nitrous oxide and methane,

have increased exponentially in modern history, leading to the so-called

‘greenhouse gas effect’ whereby excessive GHG levels in the atmosphere absorb

more solar radiation, causing a subsequent rise in global temperatures (Fig.

2.2).

The Intergovernmental Panel on Climate Change (IPCC) Fourth Assessment

Report (2007) states that “warming of the climate system is unequivocal, as is

now evident from observations of increases in global average air and ocean

temperatures, widespread melting of snow and ice and rising global average sea

level” and is now becoming better understood due to “numerous datasets and

data analyses, broader geographical coverage, better understanding of

uncertainties and a wider variety of measurements.”

The Himalayan region, including the Tibetan Plateau, has shown consistent

warming trends during the past 100 years (Yao et al., 2006), the effects of

which are numerous, interlinked and often subtle. Most dramatically, the

aforementioned receding of the Himalayan glaciers will have widespread

detrimental effects with regard to the regional hydrological cycle and water and

food availability. Monsoons have been weakening, with the number of days of

rainfall decreasing, whereas the number of high intensity rainfall days has

increased (Ramanathan et al., 2008), causing crops to produce significantly

reduced yields, or fail altogether. Many of the native people working the land

rely on an understanding of the seasons, passed down through the generations,

which is now at odds with present day conditions.

[23]

Figure 2.1: The rise in global carbon dioxide emissions since 1940 and the predicted level of stabilisation, depending on future emission levels. (Adapted from IPCC, AR4, 2007)

Figure 2.2: The exponential rise in global temperatures, following the industrial revolution. (http://www.iloveco2.org, cf. W6)

2.2 Water availability

Vast quantities of water originate in the Himalaya and supply over half a billion

people, approximately 8% of the global population, with water resources (IPCC,

2007). The availability and flow of water in the Himalaya is directly related to

climate change and anthropogenic activities; land use and distribution of water

is influenced and dictated largely by humans. A substantial body of academic

[24]

work has been published regarding the subject. Mitigation and adaption are the

two possible routes to help overcome water stress in the region (these are

explored in detail in Chapter 5), although there is a high degree of confidence

that neither of these alone can avoid all climate change impacts (IPCC, 2007).

Himalayan glaciers cover a huge geographic area and have enormous

importance as the starting point of multiple water sources. Despite this, glaciers

in the Himalaya are receding faster than in any other part of the world (IPCC,

2007). A demonstration of this is the finding that 466 glaciers in the Chenab,

Parbati and Baspa basins lost 21% of their area between 1962 and 2001/2004

(Kulkarni et al., 2007). Increasing global temperatures and atmospheric CO2

concentrations will only drive this trend, as climate empirically controls river flow

and glacier mass balance (Sharma et al., 2009). Glaciers play an important role

in maintaining ecosystem stability as they act as buffers and regulate the

quantity of water supplied as runoff from high mountains to the plains during

both dry and wet periods (UNPAN, 2008).

Effects of extremes of weather, such as flooding in Bangladesh and drought in

northern India, are closely associated with climate change and are directly

affected by recent changes in water flow throughout the Himalaya. Floods in

Bangladesh have been devastating and widespread for much of the past twenty

years, with aid donors stimulating discussion to address the chronic flood

disaster problem after the 1987 floods.

The United Nations Development Program (UNDP) has funded upstream water

storage in the Himalaya, basin storage on floodplains and draw-down of ground

water beneath flood plains (Brammer, 1990) ever since, but with little success.

Over-simplifying the issue may to be blame for this, as three landmark

publications concerning the hydrology of Himalayan mountains (Bruijnzeel and

Bremmer, 1989; Alford and Occas, 1992; Bandopadhyay and Gyawali, 1994)

have made it amply clear that the hydrological research conducted in this region

so far is inadequate (‘the so-called black-box’) to substantiate the commonly

held notion that deforestation and other anthropogenic activities by the

mountain inhabitants are the direct cause of floods and associated damage in

the adjacent plains (Negi, 2002). The naturally low land elevation of Bangladesh

and its geographic location cause inherent susceptibility to environmental

problems although these are made worse by climate change and population

stress. Citizens of the country and surrounding areas maintain a lifestyle based

around the presence of water. Indeed, Stone (1992) referred to South Asian

[25]

civilisation as a ‘hydraulic society’. Water availability is inherently linked with

food security for millions of people relying on a subsistence lifestyle, increasing

the human cost of water flow problems and the urgency with which these must

be addressed.

Water supplies to the Ganges by its tributaries have dwindled in recent years

(Nishat and Faisal, 2000), leading to uncertain water distribution across much of

India. Simultaneously, on the north-eastern plain of the mountain range, under

Chinese rule, the Himalayan-fed Salween, Mekong (which runs south into Laos

through a series of controversial dams) and Yangtze rivers are suffering from

the worst drought in 50 years, with the Mekong at half its normal flow rate in

March 2010 (Delgado et al., 2010). The Chinese government is in the process of

erecting a series of dams on many of the rivers sourced in the Himalayas. Here,

another paradox arises as policy-makers strive to attain renewable energy

targets, whilst simultaneously adversely affecting regional biodiversity by

destroying natural habitats and initiating numerous unpredictable knock-on

effects around the Asian region (Bagla, 2006; Bawa et al., 2010; Chaplin, 2005).

Figure 2.3: Proportion of China’s energy production obtained from various sources during the past 40 years. (International Development Agency, www.iea.org, cf. W7)

[26]

Having developed hydro-electric power supplies over the past 40 years, Figure

2.3 shows how China is currently producing vast amounts of energy, more than

ever before, from renewable sources.

Mitigation and adaption techniques must be used across the region if

unequivocally vital water supplies are to be maintained and monitored

successfully. Techniques used within agroforestry systems may be of benefit in

this regard. As Bruijnzeel and Bremmer (1989) ask, ‘what downstream benefits

can reasonably be expected in regard from upland reforestation?’ Furthermore,

how can agroforestry be beneficial for soil stability and water flow?

2.3 Indigenous culture and religion

The peoples of the region are numerous and diverse and among those living

below the poverty line, nomadic or subsistence lifestyles are common (Bose,

1976). Around 50 discrete groups inhabit the region, each with its own cultures,

traditions and customs, although the differences between groups and possible

overlap between each varies significantly, reflecting the complexities of the

region. Whilst there is enormous ethnic diversity, this is distinguished by a

limited set of ethnic contrasts, such as: Hindu vs. Buddhist, tribe vs. caste, and

mountain vs. middle hill vs. lowland Terai (Levine, 1987). The most recent

censuses of Nepal (2001) and Bhutan (2005) show Hindu / Buddhist ratios of

80.6 / 22.1% and 10.7 / 75.3% respectively, although in reality many practice a

combination of both religions, together with local shamanic rituals. Islam,

Christianity and Kirat (an indigenous religion with Hindu influence), amongst

others, have followers throughout the Himalaya, but to a much lesser degree

than Hinduism and Buddhism. Overall, the diversity and complexities of religious

groups parallel the physical aspect of the terrain. Stone (1992) concluded that

the Himalayan region is characterised “not only by ecological fragility but also by

a deep and historical geopolitical sensitivity.”

Many of these groups are intertwined in their beliefs and hierarchical systems,

through caste, tribe, religious belief or location. As Hindus consider cows to be

sacred, believing they represent a symbol of unselfish giving (Teece, 2004),

many abstain from eating beef. The practice of ahimsā is often followed in rural

areas, and, coupled with Buddhist beliefs, means that vegetarianism is relatively

widespread. When introducing new farming techniques to these people’s lives, it

is imperative to understand potential compromises that may have to be made.

[27]

This is especially prevalent when considering the implementation of agroforestry,

as raising livestock may only be possible with certain animals. Buffalo (a

straightforward alternative to cattle), goat and chicken are meats widely eaten

throughout the Himalaya (Devendra, 1987).

[28]

Chapter 3: Sustainable agriculture and development

Sustainable agriculture

Placing emphasis on creating sustainability in agriculture, per se, is a relatively

modern phenomenon. Only since realising that sustainable systems may play an

important role alongside, for example, high input, intensively farmed

monocrops, have mindsets altered and policy changed in an attempt to actively

employ such systems in various locations around the globe. The benefits of

farming within one’s needs are most apparent in poor parts of the world where

people must rely on agricultural success for food and materials to support basic

amenities. Modern terminology came to fruition in the early 1980s with the

emergence of the “concepts of regenerative agriculture” (Rodale, 1983) and the

articulation of “sustainable agriculture” (Jackson, 1980). This early concept has

evolved into a “construct of agriculture based on principles of ecological

interaction” and is now referred to as “an ecological definition of sustainability”

(Harwood, 1990).

Prior to the ‘Green Revolution’ fifty years ago, farming was carried out largely for

subsistence throughout the world. The exponential increase in food production in

the latter half of the twentieth century resulted primarily from new technologies.

The introduction of new farm machinery, agrochemicals to control weeds and

plants, improved plant breeding techniques and inorganic fertilisers (Filson,

2004) has led to much of the developed world growing specialised plant

varieties, specifically bred to produce high yields in specific environments, but

generally requiring high inputs. Fifty years later, there is sound ecological

evidence to support alternatives to this now ‘conventional’ farming technique

and it could be said that many technologies were applied without a full

understanding of possible repercussions such as soil degradation, acidification

and salinisation (Mason, 2003) and loss of natural habitats for many species

(Filson, 2004). Soil organic carbon and nitrogen levels have also been widely

depleted by modern farming (Fig. 3.1). Priorities are now being reassessed,

such as the importance of soil ‘health’ and nutrient availability. The concept of a

soil-plant-air continuum (SPAC) is now appreciated as an effective method of

approaching plant physiology and the potential effects incurred in agriculture

(Jeffrey, 1987).

[29]

Figure 3.1: Depletion of soil organic carbon and nitrogen during the past 50

years and estimates of the potential benefits of ‘alternative’ practices. (Adapted from Tilman, 1998).

The Himalayan region has predominantly been bypassed by the mechanisation

of agriculture due to its isolation and lack of wealth. Not only is financial backing

required for such drastic changes but also sufficient infrastructure to support

consistent transport links and the mass migration of labourers. Recent changes

have, however, included limited use of agrochemicals as discussed in Chapter 1.

The economic limitations of the region serve to demonstrate the innate

interconnectivity between sustainable agriculture and sustainable development.

Sustainable agriculture can be viewed from a number of perspectives i.e.

holistically, systematically and industrially. It should be noted that, whilst

methods or components taken from industrialised systems may be of use in a

small-scale sustainable system, “farmers with different philosophies may choose

to integrate the same basic components quite differently” (Ikerd, 1993) and so

many scientists see comparisons of conventional and sustainable systems as

unscientific (Council of Agricultural Science and Technology, 2000). Ikerd (1993)

defined sustainable agriculture as being “based on a holistic paradigm or model

of development which views production units as organisms that consist of many

interrelated suborganisms, all of which have distinct physical, biological and

social limits.”

Corselius et al (2001) went further by comprehensively describing sustainable

agriculture as the production of “food and fibre” in ways which:

[30]

1. Improve the underlying productivity of natural resources and cropping

systems so farmers can meet increasing demand associated with population and

economic growth;

2. Produce food which is safe, wholesome and nutritious and promotes human

well-being;

3. Ensure an adequate net farm income to support an acceptable standard of

living for farmers while underwriting annual investments needed to improve the

productivity of soil, water and other resources;

4. Comply with community norms and meet social expectations.

Crucially, all of these descriptions encompass and embrace sensitivity to the

environment, social strata and economy.

Development and tourism

Before the progression towards “modern mass tourism” (Spaltenberger, 2005) in

the Himalaya, particularly in Nepal and north-east India, sustainable

development could be defined as “development that meets the needs of the

present without compromising the ability of future generations to meet their own

needs” (World Commission on Environment and Development, 1987). In Nepal,

tourism accounts for 10% of the gross domestic product (GDP) and is the single-

most important source of foreign currency (The World Bank, 2002). In India,

tourism is the second-largest source of foreign currency behind the gem and

jewellery business (Trade and Environment Database). Western and Indian

tourists flock to the Himalayas and wealth from this source has a potentially

huge impact on millions of rural people. Mountaineers, trekkers and pilgrims all

contribute to funding the Himalayan economy, but the money spent by tourists

has diverse effects on local economies. Tourist income stimulates the economy

and induces the so-called “multiplier-effect” whereby jobs are created, capital is

accumulated and local workers who previously depended on subsistence farming

start their own businesses to serve tourists, such as selling or renting supplies,

providing guides or selling souvenirs. These businesses, in turn, employ people

as guides or workers, who thereby benefit indirectly from tourist income (Trade

and Environment Database). Part of the tourist income may also be used to

improve local living standards through improved health care, education and

buildings (Spaltenberger, 2005). Responsible policy-making and fair distribution

of wealth should be at the forefront of government strategy, ensuring money is

spent productively and maintains the multi-faceted attraction of the region.

[31]

Nowadays, the components of sustainable development are adapted to account

for sustainable practices which encompass tourism development. According to

Burns and Holden (1995), “the guiding principles for sustainable development of

tourism are as follows:

1. The environment has an intrinsic value that outweighs its value as a tourism

asset. Its enjoyment by future generations and its long-term survival must not

be prejudiced by short-term considerations;

2. Tourism should be recognised as a positive activity with the potential to

benefit the community and location, as well as the visitor;

3. The relationship between tourism and the environment must be managed so

that environmental sustainability is assured. Tourism must not be allowed to

damage the resource, prejudice its future enjoyment or bring unacceptable

impacts;

4. Tourism activities and developments should respect the scale, nature and

character of the place in which they are sited;

5. In any location, harmony must be sought between the needs of the visitor,

location and host community.”

[32]

Chapter 4: Agroforestry

The concept of agroforestry (AF) as a land-use system, like all forms of

sustainable agriculture, is a contemporary idea that first emerged in the 1970s

(Sanchez, 1996), although there are numerous examples of age-old systems

which draw on various aspects of AF and have been in use since long before the

phrase was coined (Singh et al., 1989). The term is generally recognised as

involving the growth of woody perennials alongside pasture or crop species

(Azim-Ali and Squire, 2002) and there is evidence of beneficial effects on carbon

sequestration, biodiversity conservation, soil enrichment and air and water

quality within at least some AF systems (Shibu, 2009). Whilst the backbone of

agroforestry lies in the combination of species grown, it should not simply be

viewed as a restrictive set of guidelines or farming practices; holistic thinking

about the interconnectivity of various biological units (soil, plants, animals and

atmosphere) and the overall impact of each element on lifestyle, sustainability

and environment is key to producing a flexible, multifunctional, working

landscape. Plant and animal components are therefore only of equal importance

to environmental components such as climate, topography and soil. Variation in

all of these individual components gives rise to the possibility of hundreds, or

even thousands, of agroforestry systems (Young, 1989).

Combe (1982) summarised this when he stated that “agroforestry designates

land management techniques, which implies the combination of forest trees with

crops, or with domestic animals, or both”, and went on to explain how “because

of their interdisciplinary character, they are of particular interest for many

countries of the Third World, where an equilibrated development of all rural

lands must be obtained”. The flexible nature of AF systems is entirely compatible

with the Himalayan region, where the environment is as varied as the diverse

flora and fauna. Many localities use farming techniques evolved over decades or

centuries of isolation and consequently harvest many different types of plant for

differing purposes; thus, approximately 40 main species of grain crop are grown

in Central Himalaya alone. Such independence and digression from

‘conventional’ harvesting of high-yield, high-input crop plants makes the region

appropriate for the development of new AF systems which combine the rich

cultural, social and environmental diversity with new technologies and education

regarding the potential benefits.

Improvement of rural people’s lifestyle and livelihoods must be seen a key aim

when introducing agroforestry within a community, as this serves not only to

[33]

increase living standards but should also motivate land-owners to continue with

changes and play a proactive role in the management of land and community.

Figure 4.1 demonstrates how the environmental and economic benefits of

agroforestry can motivate entire communities to switch from conventional

techniques.

“Only one farmer, Jush Ram Tamang, and his family changed to AF and stayed

with it until they became self-sufficient. The family has been using AF since then

and their income is now clearly above their neighbours’ who still continue to

make a living from using traditional farming methods. The income generated

through AF allows Jush’s family not only to cater for their needs and feed their

livestock, it also covers [the cost of] the university degree of their eldest

daughter. Nowadays, Jush Ram Tamang’s neighbours are highly motivated to

change to AF, a method which he has implemented since 1994. At present,

fifteen farmers are committed to take part in the project.”

Figure 4.1: Observation of one farmer’s increased income, which in turn encouraged other community members to join an agroforestry systems approach in Nepal. (http://en.kauleev.org, cf. W8)

Not only can AF include the use of native species, many of which may be totemic

to locals, but it may also allow them to be grown alongside new species which

help sustain the environment, although examples from around the world show

that this is not always straightforward. Langenberger et al. (2009) evaluated the

utilisation of plant resources by Philippine farmers in order to identify native

species suitable for integration into agroforestry systems. The farmers reported

using 122 plant species for 77 purposes; however, few species could be

recommended for adoption into AF systems due to the lack of well-developed

markets for most species (Jose, 2009). There are also many examples of

agroforestry systems adopting locally grown species (Dhyani and Tripathi, 1998;

Singh et al., 2007).

AF can vastly improve a number of environmental factors, many of which, in

turn, help create sustainability both within the system itself and the surrounding

areas. Increased water use efficiency, protection against soil erosion and

leaching, improvement of soil fertility and moisture, restoration of degraded

soils, effective maintenance of watersheds and an increased diversity of habitats

and hence available products are some examples of the potential benefits of AF

[34]

(Reijntjes et al., 1993). The ability to produce and store products essential to a

subsistence living such as food, fuel, building materials and raw material for

production of local crafts to be sold in the tourist trade (Rocheleau et al., 1988)

is thereafter a further benefit to this holistic approach to agriculture and

contributes to an improved financial security.

Encouraging evidence has been seen throughout the Himalayan region,

particularly for enhancing productivity and arresting land degradation. The

concept has become affordable to the poor, especially when compared to

expensive conventional conservation measures (Grewal et al., 1994; Khybri et

al., 1992; Mittal and Singh, 1989). As with any newly introduced land use

strategy, there are initial costs to bear which require capital input. In situations

where communities are entirely unable to provide this, government and NGOs

should work to subsidise the costs or provide loan options. Such support

mechanisms for AF have been widespread across much of the sub-tropics and

Africa (Russell and Franzel, 2004). Processing industries involved in outgrower

schemes for higher-value crops and livestock products, for sale in niche

markets, may also be encouraged to become involved in subsidising AF projects

(Franzel and Scherr, 2001)

As with any farming system, agroforestry has several limitations. The problems

primarily originate from competitive interactions when different plant species are

grown in mixtures, as scarce natural resources such as water, nutrients and light

are not unlimited and must be managed accordingly. A basic level of scientific

knowledge is therefore required for effective land management as all

agroforestry systems are defined by their spatial and temporal arrangement

(canopy cover, root profile, season; Young, 1989) and each species competing

for light, water, nutrients and allelopathy. Understanding the interactions

between various biological processes alongside geographical constraints is vital

to assessing the impact of competition on biodiversity, sustainability and

productivity. These issues are explored in detail in Chapter 5.

Types of agroforestry system

Agroforestry (AF) systems can take my different forms, both spatially and

temporally. Aspects such as planting, harvesting, pruning and rotating crops are

all flexible factors which must be carefully planned to maximise productivity,

resource use and sustainability. The two main timing methods of AF are

simultaneous and sequential systems. Simultaneous systems, as the name

suggests, are the result of the same species’ biophysical interactions over an

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indeterminate period. Simultaneous AF systems are more susceptible to

competition than sequential ones (Sanchez, 1995). Simultaneous AF techniques

such as alley cropping must be carefully managed as the competition factor may

exceed beneficial fertility effects (Sanchez, 1995). Sequential systems may use

techniques such as crop rotation, relay intercropping and improvement of fallows

to minimize competition. However, monitoring growth and development

processes responsible for crop yield increases is often difficult, although new

methodologies for reliably measuring complex below-ground interactions of

sequential systems are currently being researched.

Home gardens may also be used to grow small cash crops which are

physiologically suited to the environment. Simple vegetable plots provide food

for the individual family or community and can be managed systematically. For

example, different community land owners may annually rotate the vegetable

species grown, to provide appropriate biological conditions for maximum

productivity within the community. Garden nurseries provide plants for use

across a wider area at the appropriate time. Not only does this encourage

ongoing application from the land-owners, but also helps to make clear which

species are to be planted a long time in advance.

A typical AF setup may employ some or all of these types of system. For

example, an AF system in the Garhwal Himalaya was measured to be 27.47%

simultaneous, 27.47% sequential, 1.1% home garden and 43.96% village

forestland (Nautiyal et al., 1998).

[36]

Chapter 5: Implementation of agroforestry techniques: potential

benefits and limitations

5.1 Limitations of the Himalayan region

Some environmental factors in the Himalaya are extremely variable across

altitude and latitude, whilst others are relatively constant and dictate the

regional climate. Each factor affects the suitability of an area of land for the

production of food and resources, as well as local prosperity. Rainfall,

evapotranspiration rate, soil properties and the supply of water taking account of

seasonality, must therefore be examined as interconnected factors which dictate

the selection of appropriate crop species.

Rainfall

Precipitation is highly variable throughout the Himalaya, although large-scale

relationships between topography, relief and rainfall have been examined

(Bookhagen and Burbank, 2006) with results showing two distinct precipitation

maxima. The first, outer rainfall peak occurs along the southern margin of the

Lesser Himalaya within a narrow band with a mean elevation (0.9 ± 0.4 km) and

mean relief (1.2 ± 0.2 km). The second, discontinuous, inner band occurs along

the southern flank of the Greater Himalaya (elevation and relief both 2.1 ± 0.3

km; Bookhagen and Burbank, 2006). A detailed map of mean annual rainfall and

land relief is shown in Figure 5.1. The complexity of rainfall patterns within the

Himalayan region therefore presents a serious limitation in terms of generalising

the suitability of various AF systems for particular areas.

Although rainfall in the Himalaya may be sufficient to support livestock and crop

production if distributed evenly throughout the year, the reality of seasonal

fluctuations means the effects of too much or too little water are often apparent.

The predominantly agriculture-based economy alongside a regional hydrology

dominated by monsoons leads to “concerns which are not limited to any

particular basin but exist throughout the region including the downstream

plains” (Sharma et al., 2000). Evidence collated between 1866 and 2006 shows

a significant decline in precipitation during the regional monsoon, in unison with

significant increasing trends in annual temperature (measured in the north-west

Himalaya; Bhutiyani et al., 2010).

The erratic nature of rainfall in the Himalaya (Barros and Lang, 2001), the highly

variable evapotranspiration rates (Lambert and Chitrakar, 1989), and the

uncertain and ever-changing ambient water flow from mountain glaciers

[37]

(Sharma et al., 2009) (due, in part, to an increase in global temperatures; IPCC,

2007), together create a complex hydrological cycle which may limit the growth

or feasibility of various species in different ways. Sharda et al. (2009)

summarised this view by stating that “the water availability to meet the human,

animal and crop requirements varies in different quarters of the year with

inequalities existing in different parts of the watershed.” At a local level rainfall

does not always correlate directly with elevation (Singh et al., 1994) but instead,

a wide range of climatic variables.

Possible methods of improving Himalayan water flow are explored later in this

chapter.

Figure 5.1: (a) monsoon rainfall amounts averaged from January 1998 to December 2005 and (b) 5-km-radius relief calculated from topographic data. (Bookhagen and Burbank, 2006)

Excessive rainfall in certain Himalayan areas is a cause for concern. For

example, Grewal et al. (1990) found that 6 mha (million hectares) of soil in

north-east India was threatened by waterlogging and 4 mha threatened by the

formation of ravines. Flooding is a major issue, particularly in the south-east

Himalaya.

[38]

Landslides caused by excessive rainfall are a major problem throughout much of

the Himalaya as they disrupt essential transport links for the movement of

livestock, food and other resources. Gabet et al. (2004) found that landslides in

the Himalaya were not triggered until more than 860mm of rain had fallen

during the monsoon (Fig. 5.2); sufficient antecedent rainfall is necessary to

bring the soil to field capacity, such that future rainfall may produce positive

pore pressures and trigger landslides (Campbell, 1975; Crozier, 1999; Gabet et

al., 2004). Combating landslides is difficult and closely associated with the

processes of soil degradation and run-off.

Figure 5.2: The shaded area delineates the rainfall values that may trigger landslides (shown by diamonds). Note that there are no failures until a total of 860 mm of rain had fallen and that the daily rainfall threshold decreased with

increasing accumulated rainfall until it reached a minimum of 11 mm (Gabet et al., 2004)

Soil

Soil degradation is widespread in the Himalaya and contributes to many

detrimental consequences. Run-off and deep infiltration into soil increases

leaching of nutrients which, in turn, depletes fertility. Water flow and hence

water availability are also affected. Soil degradation, and methods for combating

this using agroforestry systems, is discussed in Section 4 of this chapter.

The dependence on land resources of traditional subsistence agriculture has

resulted in their depletion, with a consequent decline in productivity and

increased poverty. These factors are made worse by the aforementioned lack of

[39]

proper roads and communication facilities (Ghosh, 2007). Soil fertility is poor

across much of the region (Upadhyay and Singh, 1989; Qadar, 2002) and the

cost of applying organic or synthetic fertilisers is a serious limitation for many

poor Himalayan land-holders. In recent years, soil fertility has been improved in

certain Himalayan communities through various initiatives to introduce

vermicomposting, biocomposting and biofertilisers, helping to rejuvenate soil

health. Further dissemination must be undertaken to promote effective farm

management and increase yields. (Ghosh, 2007)

Economic capital for irrigation and livestock

The cost of new livestock and irrigation is also a drawback when implementing

new farming systems in the Himalaya. Poor land-owners often have no capital to

invest in new technology, indicating the need for a holistic approach which

empowers whole communities initially through grants and aid donation, if

necessary, along with the formation of sustainable and profitable co-operatives

to provide income. The lure of cities and other urban environments may also

divide communities, with rural-urban migration increasing rapidly (Ad Hoc,

2003). Further discussion of this issue was provided in Chapter 1.

5.2 Resource capture by plants

Light interception

Squire (1990) defined light interception as being the difference between solar

radiation impacting on a vegetation canopy and that reaching the soil. However,

canopies also reflect a proportion of the incident radiation to an extent which

depends on canopy properties such as leaf angle, surface characteristics and

moisture content (Ong et al., 2006). Fractional interception (f) provides a fair

comparison of light interception values within a defined geographic region, as

this parameter gives a measure of the proportion of the total available radiation

that is intercepted; f is therefore useful in predicting dry matter production

(Squire, 1990). Mean solar radiation in the Himalayan region varies both

seasonally and according to geographical location, and values range from 11 MJ

m-2 d-1 in cloudy upland areas to 32 MJ m-2 d-1 in lowland Terai (Ramanathan

and Ramana, 2005). The Lesser Himalaya and Indo-Gangetic Plains persistently

experience an ‘Atmospheric Brown Cloud’ (Fig. 5.3) layer resulting primarily

from a build-up of aerosols (Ramanathan and Ramana, 2005) and thick soot and

dust (Chung et al., 2005) in the atmosphere, which trap unusually high

quantities of solar radiation. This region is home to over 500 m inhabitants

[40]

(Ramanathan and Ramana, 2005) and so introducing species capable of

intercepting and converting this high level of radiation efficiently is vital for

resource supply.

Figure 5.3: Satellite image of blanket haze over the Indo-Gangetic Plain, taken on December 2nd, 2009. (Earth Observatory, NASA. www.sciencecodex.com, cf. W9)

f values are affected by each component of a canopy, including developmental

stage, leaf area index (L), water status, height and structure (Ong et al., 2006).

As such, f values show significant seasonal and topographical variation. L is

measured as the green leaf area per unit ground area (Keating and Carberry,

1993). In a hypothetical monocrop, where water is not a limiting factor, f and L

are related by the expression:

f = 1 – exp �−���

where k is the extinction coefficient. Extinction coefficients are generally more

useful in modelling light climates for calculating leaf angle distributions (Jones,

1992), as they provide a measure of the fraction of light absorbed or reflected

per unit depth within a canopy.

Increasing values for L and consequent increases in the extinction coefficients k

increase in fractional interception; k and L values are inherently dependent on

canopy size and leaf distribution. Values for k may be higher where leaves are

less randomly distributed, although overall dry matter production will not

necessarily benefit (Squire, 1990). For any given plant genotype, k is much

more responsive to changes in canopy structure than to variation in growing

[41]

conditions (Ong et al., 2006), emphasising the importance of canopy structure

when introducing new plant species.

Vegetation canopies can be classified in several ways based on the distribution

of leaf angles. The two most extreme forms are the planophile canopy in which

horizontal leaves are most frequent and the erectophile canopy in which vertical

leaves predominate (Turitzin and Drake, 1981). Most monocots have erectophilic

tendencies (Fig. 5.4a), whilst dicots tend to have fewer, broader leaves (Fig.

5.4b). Monocots consequently have much higher maximum L values.

Figure 5.4: Typical canopies created by (a) monocrops of erectophiles and (b)

planophiles. (Murchie, 2008)

Certain plant species grown in the Himalaya which show dramatic morphological

differences between genotypes may also exhibit considerable variation in k

values (Squire, 1990). Figure 5.5 shows two such varieties of rice with differing

leaf morphologies which create alternative canopy structures. The new genotype

(cultivar IR65600-42-5-2) has a more even distribution of irradiance through its

canopy, meaning that the relationship between photosynthetic rate and incident

remains linear, benefiting conversion due to its higher L but lower k values.

[42]

Figure 5.5: Overhead view of two rice cultivars, IR72 and the new genotype,

IR65600-42-5-2. The photographs were taken at noon. (Murchie et al., 2005)

The most important attribute in any analysis of light capture by plants is the

efficiency with which they convert solar energy to biomass in the desired form to

support grain filling etc.; in this instance, this involves achieving the optimum

balance between L and k. A number of implications face subsistence farmers

with regard to optimising the ability of their crops to capture and convert solar

radiation, as shown in Table 5.1. All of these factors are interlinked; for

example, high nitrogen supplies significantly increase leaf area index (Green,

1987).

Table 5.1: Factors to be considered when managing crop canopies. (Adapted from Murchie, 2008).

Rate of Canopy Expansion Farming Considerations

Planting density Sowing rate, crop establishment

Leaf number Temperature, species

Leaf expansion rate Temperature, turgor, species

Leaf orientation Species, water stress

Nutrition Macro- and micro- nutrients

Competition Pesticides, herbicides, other species

As agroforestry inevitably involves mixes of woody species and crops, extensive

horizontal and vertical variation in canopy structure is likely. Calculations of

fractional interception are therefore difficult, as the equation assumes a

homogeneous and random distribution of leaves, whereas in reality, there is

substantial spatial variation of light distribution. Nevertheless, the equation itself

and the principles governing it are still necessary to understand light capture by

plants.

[43]

The development and longevity of a foliage canopy is of utmost importance as

this provides a measure of its long-term sustainability. In this respect, mixed

cropping can be highly beneficial as both seasonal and annual values for

fractional interception (f) are smallest for short-duration crops such as cereals

including millet, which is already grown in the Himalaya, and largest for

perennial species when averaged over the entire life cycle (Squire, 1990).

Combinations of crop throughout the annual cycle can also be ‘timed’ by season,

as seasonal f values are greater in long duration than short duration cultivars

(Ong et al., 1996). This principle is known as temporal complementarily (Ong et

al., 1996) and allows intercrops to provide a greater cumulative fractional

interception than either component alone.

Careful planning and management is needed to ensure a net gain in light

capture. As is clearly visible in Figure 5.6, agroforestry systems may appear

disorganised and chaotic to traditional land-bearers. This demonstrates how

farmers must understand the ecological reasoning behind the introduction of a

new system in order to support its implementation.

Figure 5.6: The foliage canopy of a functioning agroforestry system in the Nepal mid-hills, showing variety in plant species, height, structure and leaf orientation.

Plants grown include banana, hemp, maize, millet and nitrogen-fixing grasses.

Light conversion

The production of dry matter is linearly related to the quantity of solar radiation

intercepted by plants when there are no other limiting factors (Squire, 1990;

Monteith, 1981). It could be said that integration from leaf to canopy scale

produces a generally linear relationship between biomass and photosynthetically

[44]

active radiation (PAR), and so a constant conversion coefficient for each species,

with units of g MJ-1 PAR (Ong et al., 1996), can be formulated. Monteith (1981)

researched the conversion coefficients for a number of species, some of which

are compared in Figure 5.7.

Figure 5.7: Relationship between dry matter production and total intercepted radiation for sugar beet, potatoes, barley and apples; the conversion coefficient for each species may be calculated from the slope of the regression. (Adapted

from Monteith, 1981)

Whilst photorespiration contributes to the loss of some carbon, this is a tiny

proportion of total assimilation, leading to the overall conclusion that dry matter

production is proportional to mean canopy photosynthetic rate (Squire, 1990).

Plants using the C4 pathway convert solar radiation to dry matter more

efficiently than those with the C3 pathway (Ong et al., 1996; Fig 5.8), with C4

crops maintaining a higher conversion coefficient during vegetative growth than

C3 crops. Mean values for this growth stage are 4.2 g MJ-1 PAR for C4 crops and

2.5 g MJ-1 PAR for C3 crops.

Figure 5.8: Mean conversion coefficients for C4 and C3 plants during vegetative

growth. (Adapted from Monteith, 1981).

[45]

Where there are no other limiting factors, the expression:

W = εS ∫ fS0 dt

defines the production of dry matter, where εS is the conversion coefficient, f is

the fractional interception, S0 is irradiance (per unit time, dt) (Murchie, 2008).

Stress adversely affects biomass production by inhibiting photosynthesis in a

variety of ways. Extremes of salinity, drought and temperature are inhibitory, as

is exposure to unusually high levels of solar irradiance (Ong et al., 1996). This

photoinhibition specifically damages photosystem II at a rate exceeding that of

simultaneous repair (Ong et al., 1996).

Understanding the physiological differences between C3 and C4 plants and the

conditions they can withstand is paramount to introducing new species in any

locality, as this underpins their successful growth and development in the

specified environment. Most C4 species are vulnerable to growth inhibition at

temperatures below 12 °C, although some have evolved and become adapted to

more temperate climates. C3 species can withstand temperatures as low as 0 –

5 °C but are far more vulnerable at high temperatures and when solar radiation

is high. Contrastingly, it is common for C4 species to thrive in temperatures

above 25 °C as their photosynthetic pathway is more efficient and more able to

cope with high temperature and solar radiation, resulting in greater growth and

productivity (Squire, 1990).

It is worth noting that calculations of dry matter production are not always

entirely accurate as components such as root biomass may not be taken into

account. Whilst this may not be significant when there are no other limiting

factors, root biomass may contribute up to 50% of total biomass under drought

conditions (Ong et al., 1996); prolonged and widespread periods of drought are

common in the Himalayan region, especially in the Lesser Himalaya (Rawat,

1995).

Water use

70% of annual water consumption in the Himalaya occurs during the four

months (July to October) of rainy season (Narain et al., 1998). Water use

efficiency may be estimated as the ratio of dry matter produced to the quantity

of water transpired over the same time period (Azam-Ali and Squire, 2002). As

dry matter production is linearly related to the quantity of solar radiation

absorbed, light is a crucial component in determining plant growth and

development. Solar radiation controls and dictates plant water status by

[46]

regulating stomatal aperture to optimise the balance between CO2 uptake and

water loss.

The balance between CO2 and nutrient uptake and water uptake and loss varies

within and between individual plant species, as do their respective root profiles,

influencing their ability to access water from different depths within the soil

profile. One simple advantage of mixed cropping agroecosystems is their ability

to exploit available water at different depths within the soil profile,

simultaneously. Soil water content and the spatial distribution of water, nutrients

and oxygen all affect rooting and crop density, as does the presence of stony or

compacted layers (Ong et al., 1996). Studies of an agroforestry system in the

Western Himalaya showed that seasonal crops exploited the upper 1.5 m of the

soil profile more exhaustively than trees, whereas the trees extracted water

down to a soil depth of 3.0 m (Narain et al., 1998). This pattern is fairly typical

when woody perennials are combined with pasture or crop species (Azim-Ali and

Squire, 2002).

Sole crops may have high water-use efficiency, one of the many factors which

are likely to have led to the traditional growth of sole crops throughout the

Himalaya. Even on large erosion plots with a slope of 4%, sole plantations of

Leucaena leucocephala and Eucalyptus spp. showed negligible runoff losses. In

these systems, water use approximated to annual rainfall, although mixed crops

still demonstrated more efficient soil water use as they exploited a greater

proportion of the soil profile and so provided greater biomass production (Narain

et al., 1998).

There are numerous examples of sole crops grown throughout the Himalayan

region which do not show efficient water use, especially in comparison with other

suitable species. Furthermore, traditional farming systems have led to

widespread soil degradation, loss of soil fertility and problematic levels of run-off

(Semwal et al., 2004).

It should be remembered that “annual water use is closely linked with runoff

reduction and the efficiency of land use” (Narain et al., 1998), demonstrating

the suitability and potential of agroforestry in the region, as this holistic

approach combines each factor to provide an effective land management plan.

Nutrient availability and uptake

Nutrient availability is often a limitation in the Himalaya, with a number of

primary factors contributing to this. Soil run-off and leaching, immobilisation of

[47]

nutrients in soil and the formation of new soils from inadequate parent soils, all

create shortages of macro- and micro- nutrients.

Zinc (Zn) deficiency is the most common micronutrient disorder in rice and

affects up to 50% of lowland rice soils (White & Zasoski, 1999; Dobermann &

Fairhurst, 2000). Seedling mortality, stunting, leaf bronzing, and delayed

flowering are all physiological disorders associated with Zn deficiency (Widodo et

al., 2010). The implications of crop failure are potentially huge in a region which

depends so heavily on subsistence living. Immobilisation of soil Zn is the most

common reason behind this in the Himalaya and can result from high soil pH and

excess bicarbonate, factors that typically occur in calcareous soils of the Indo-

Gangetic plains of India and Pakistan (Qadar, 2002).

Soil degradation, landslides and inappropriate land use all contribute to

increased run-off from agricultural lands. Nutrients are often suspended in the

water flow; heavy monsoon rainfall causes increased rain-splash, only

compounding the problem. Section 5.5 examines this process in detail. A study

in the Kumaun Himalaya found the main nutrient losses to be in the order: Ca >

K > P > N (Pandey et al., 1983). Other studies have found varying magnitudes

of nutrient loss in Himalayan ecosystems, very much dependent on the climate

and varying biological conditions. Studies of decomposing forest litter in the

Himalaya have found that most litters exhibit two phases in their nutrient

dynamics; a net immobilisation stage followed by a net release stage. Many

studies have evidenced the net immobilisation of nitrogen (N) and phosphorus

(P) (Upadhyay and Singh, 1989), a notable limitation to many species.

Agroforestry techniques are often attributed with increasing soil fertility and

their widespread use may benefit the nutrient losses currently suffered in the

Himalaya; Rai and Sharma (1998b) suggested that in the Sikkim Himalaya,

“agroforestry systems should be promoted in most of the areas where open

agricultural practices are followed” as “this land use promotes conservation of

soil, water, and nutrients.”

5.3 Competition and productivity

Competition for resources such as space, light, nutrients and water to increase

the likelihood of reproductive success, is an ever-present natural phenomenon in

the floral and faunal domains and underpins the processes of natural selection

and evolution. Light availability is rarely the primary limiting factor for crop

[48]

productivity in the Himalaya, although shading causes competition in mixed

stands as the interception of light is influenced by the collective spatial

distribution and orientation of each component species within their canopy.

Water use and transpiration rates are also affected by shading. Restricted

nutrient and water supplies are usually the key limiting factors. As described in

Section 5.2, nutrient leaching is common in the Himalaya, greatly reducing

nutrient supplies in agricultural lands.

Planning which species combination should be used in agroforestry (AF) systems

requires careful consideration of each of these points, with the aim of

sustainably maximising available resources for each plant and animal species

present to maximise system productivity. The definition of productivity is

ambiguous (Tagen, 2002) and depends on the desired balance between the

production of food and resources for sustenance, and those for sale or trade. As

Zhu et al. (2006) concisely noted, “the methods to describe and measure

productivity have failed to keep pace with production processes, resulting in a

totally vague, incomplete evaluation of production. Sometimes the serious

problem of pollution is ignored in the race to short-dated money making, thus

leading to a blooming and flooding pollution; sometimes the great ecological

benefits are ignored and the corresponding production processes suffer

drastically from ‘economic deficit’”. In its most basic form, productivity is

generally defined as the relation between input and output (Tangen, 2002). A

marked benefit of AF compared to conventional farming methods is its potential

flexibility to meet the environmental demands of competition and sustainability

whilst managing both agricultural and economic inputs and outputs.

Agroforestry systems may aim to improve the overall crop yields by utilising

available rainfall more effectively and increasing soil fertility and nutrient uptake,

although rural communities have not always received AF ventures

enthusiastically as competition between trees and crops can be seen to

overshadow the perceived benefits (Dhyani and Tripathi, 1998); until recent

years evidence in the agroforestry literature to support these perceived benefits

has been lacking (Jose, 2009).

Poor agroforestry management has also led to examples of trees being grown

alongside crop and shrub species with similar root profiles, leading to

unnecessary competition (Chirwa et al., 2007). There is, however, little or no

evidence to support the concept of niche separation, whereby it has been

suggested that annual crop species exploit only the upper soil profile while

[49]

perennial species primarily exploit the deeper horizons (Broadhead et al., 2003).

The height and consequent canopy shading caused by trees in agroforestry

systems must also be carefully managed to ensure that excessive shading does

not adversely affect the other species present; thus, understorey crops receive

reduced solar radiation due to shading by taller trees, thereby stifling overall dry

matter production and crop yield (Broadhead et al., 2003).

Simultaneous agroforestry systems (e.g. alley cropping, contour hedges,

parklands, boundary plantings, home gardens) provide more insight into

competition processes than sequential systems, which aim to maximise

productivity and environmental stability through rotational processes over a

predetermined period. It should be remembered that both systems aim to

achieve sustainable production through both long and short term strategies

(Thakur et al., 2007).

Alley-cropping is a simultaneous system in which competitive interactions take

place, usually between trees or shrubs and crops. The trees are grown in

hedges, between which food or resource crops are grown in ‘alleys’ of varying

width (Sanchez, 1995). Figure 5.9 shows an example of an alley-cropping

system. In the Central Himalaya, agroecosystems involving mixtures of trees

and crops are the predominant traditional form of land use (Semwal et al.,

2002), demonstrating that agroforestry techniques are not always an entirely

new concept to the local population. Crucially, sustainability of nutrient and

water supplies may be increased by assessing the species used.

Figure 5.9: Example of alley intercropping with millet, sweet potato, yams and maize interspersed with Gliricidia sepium hedgerow. (Adapted from Baidya et al.,

1992)

[50]

An increase in soil fertility is one property often attributed to agroforestry,

particularly when nitrogen-fixing grasses and leguminous species are used.

Thus, the presence of leguminous trees has been shown to increase soil fertility

significantly within a 2-3 year period (Ong et al., 1996). Pruning or ‘lopping’ tree

species to provide green leaf manure (GLM) is also used to increase soil fertility

for both crops and trees and could be referred to as biomass transfer as it may

substantially increase nitrogen status within the soil (Chirwa et al., 2003).

Although knowledge surrounding the effect of lopping trees on the productivity

of intercropped, understorey plant species is limited, evidence has shown that as

little as 12% of the photosynthetically active radiation (PAR) reaching the

canopy surface of agroforestry systems reaches understorey crops in the

absence of tree pruning and mean daily temperature may be decreased by 2 °C.

The decrease in temperature, itself, may benefit or limit the growth of a species,

depending on its ecological niche. Furthermore, the grain yields of various inter-

cropped species alongside un-pruned trees have been found to be 16 – 21% of

those obtained in the corresponding full lopping treatments during the dry

season, and only 3 – 5% during the rainy season. Yields from winter crops in the

un-pruned treatment were also low at 29 – 32% of the fully pruned treatment

during the dry season and 6 – 8% during the rainy season. Consequently, many

Himalayan land-owners already practice full lopping during the winter season in

traditional intercrops (Semwal et al., 2002).

Semwal et al. (2003) investigated the nutrient release patterns of leaf litter from

six multipurpose tree species found in the Central Himalaya in respect to climatic

conditions and concluded that “a linear combination of rainfall and temperature

explains the variation in monthly [nutrient] mass loss better than rainfall and

temperature independently.” Regulating these abiotic factors through concise

management of plant biological interactions is therefore key to increasing grain

yield, productivity and sustainability in agroforestry systems.

A balance must be achieved between managing competition for limiting factors

such as nutrients and water and maintaining maximum productivity of the land.

[51]

5.4 Erosion and soil degradation

‘Soil degradation, the cancer of the land, is universally held responsible for the

downfall of many previously flourishing empires.’

Figure 5.10: Grewal et al. (1990) describe the enormous impact of soil

degradation throughout history.

Impact of erosion

Erosion is widespread throughout the Himalayan region, caused and

compounded by a number of factors ranging from climate change and glacial

melting to deforestation, livestock grazing and improper land management, all of

which directly accelerate land degradation. The effects on nutrient availability,

land stability and water flow are equally widespread and can be explored on

many levels. This section aims to identify the scale of soil degradation in the

region and the feasibility of counteracting its effects using sustainable

agroforestry techniques.

Areas of the Himalaya which are particularly susceptible to high rainfall are the

Darjeeling, Bhutanese and Cherrapunji regions, where annual total rainfall is

2000-4000, 4000-6000 and 6000-23000 mm, respectively (Soja and Starkel,

2007). Each provides an interesting case study, giving an indication of how

areas with differing geographical properties respond to extremely high rainfall

with regard to their soil properties and erosion. The Cherrapunji region

experiences dozens of extreme rainfall events each year. Dense vegetation cover

used to provide a physical barrier, protecting the soil. However, following

deforestation and intensive land use, extensive loss of fertile soil has occurred

either exposing the bedrock or a new debris top layer which provides only partial

protection of the surface against continued degradation; these changes facilitate

rapid overland flow. In the Bhutanese and Darjeeling regions, rainfall thresholds

may be exceeded 2 – 3 times in a single century when the system is still up to

an equilibrium state due to lack of anthropogenic intervention (Soja and Starkel,

2007). Thus, whilst water flow from the high Himalaya may be uncertain, or

indeed set to increase due to the continued melting of glaciers, responsible land

use may still allow a reasonable threshold of stability to be achieved across the

rest of the Himalaya.

Certain areas suffer land degradation on a massive scale. For example, Jammu

and Kashmir in the Western Himalaya suffer from severe land degradation

across 73% of the state (Singh, 1998), whilst about one third of the area of

[52]

Nepal has little or no vegetation (Paudel et al., 2009). However, widespread

policy changes to help maintain land stability have many socio-economic risks

associated with agricultural and timber prices, wages, risks to agricultural

productivity, population density in rural areas and access to remaining forests

(Upadhyay et al., 2006). Under-resourced and poor Himalayan governments are

often forced to decide between short- to medium-term economic growth through

increased capital ventures which may destroy agricultural land, and slow but

steady sustainable agricultural development which could ensure the social and

biological problems caused by erosion are eventually overcome.

Combating soil degradation

As previously noted, poor soil fertility is one of the main limiting factors to

agricultural productivity in the Himalaya. Consequently, an increase in soil

fertility is promoted as a primary benefit of agroforestry (Dadhwal et al., 1988).

Lopping of tree species and ongoing application of green leaf manure (GLM)

evidently aids the maintenance of healthy soil, as do well managed fallows and

constant monitoring of biomass transfer within a system. Even within

sustainable agricultural systems, however, soil nutrients have been shown to be

the least resilient component (Young, 1989), meaning they are of particular

importance to the subsistence or commercial success of land-owners.

Steep hillsides are most vulnerable to erosion and the associated loss of fertility

and so have lent themselves to much experimentation by local populations and

academics. Any approach implemented within AF systems must consider the

maintenance of available soil phosphorus as being of paramount importance, as

biomass transfer techniques and improved fallows rarely provide adequate

replacement of the nutrient after its incorporation into grain (Young, 1989).

Suppressing and controlling erosion also affects Himalayan watercourses at both

local and regional levels. Changes in eutrophication, siltation and the speed of

ambient flow (Sanchez, 1995) are all considerations when implementing new

techniques, although reduced erosion generally has a positive impact.

The most popular agroforestry technique for controlling erosion, especially on

steep hillsides, is the planting of contour or barrier hedgerows. Species from

families such as Leucaena and Eucalyptus are ideally suited to Himalayan

climates and may bring numerous benefits to the soil. The concept of soil health

can be used to provide a holistic description of both soil fertility and stability; as

fertile soil promotes successful plant growth, which in turn enhances soil stability

through root growth and protection from wind and rain, maintaining healthy soil

[53]

is essential to reducing erosion. Sole crops may also be planted on some plots

forming part AF systems. The extensive rooting of species such as maize,

coupled with their dense canopy cover and consequent shelter from rain-splash

and wind, leads to an increase in stability compared to other farming practices.

Narain et al (1997) found that runoff and soil loss were reduced by 27 and 45%

respectively by contour cultivation of maize, whilst contour-planted tree rows or

Leucaena hedges reduced the runoff and soil loss by 40 and 48% respectively

during the wet and dry seasons. Clearly, contour-planted barriers in the form of

trees or hedgerows are the most effective method of combating soil degradation

on hillsides.

The topography of large parts of the Himalaya dictates that the planting of trees

is unattainable; rice paddy fields provide an excellent example of this due to the

small riser area between paddies. In such instances, nitrogen-fixing grasses are

far more suitable for providing stability through the binding effects of their root

systems and symbiotic interactions with the soil. Figure 5.11 shows an example

of this practice in the mid-hills of Nepal.

Nitrogen-fixing grasses are traditionally grown throughout the Himalaya, many

of which are endemic to the region and thought to have medicinal properties.

Parandial et al. (2005) found more than 300 rare and endangered species of

medicinal plants with therapeutic properties and concluded that the “over

exploitation of these precious materials from Himalayan forest ecosystems over

the last few decades has not only pushed these species towards extinction but

also enhanced the problem of soil erosion, land degradation and loss of

biodiversity in the area. Introduction of nitrogen fixing plants may provide an

important tool for the ecorestoration attempts in this area. Advocating nitrogen

fixing plants having medicinal uses may provide wider acceptability among the

local populace from an economic as well as soil conservation point of view. The

adoptability of indigenous species may be useful for planting and rejuvenating

the degraded sites in different altitudinal zones of the Himalayan ecosystem.”

[54]

Figure 5.11: Communal paddy fields in the Nepal mid-hills. The risers for the upper paddies have been planted with nitrogen-fixing grasses to help provide stability and combat degradation. The lower area shows the exposed risers of un-treated paddies, which are vulnerable to erosion caused by rain-splash and

wind.

In the Sikkim Himalaya, Sharma et al. (2001) found that more than 72% of

nutrient losses were attributable to agricultural land use and concluded that

forests and agroforestry techniques, including the introduction of cardamom

trees, provided more effective soil conservation than other forms of land use.

Other interventions such as the cultivation of broom grass on terrace risers,

nitrogen-fixing Albizia trees for maintenance of soil fertility and plantation of

horticulture trees reduced soil loss by 22%.

5.5 Sustaining and improving Himalayan water flow

Soil and water conservation in the Himalaya are closely interlinked. The

techniques described in the previous section for reducing soil degradation and

increasing stability often lead to a reduction in surface run-off as well as

protecting the surface from wind and rain-splash (Young, 1989). Dhruva

Narayana (1987), Director of the Central Soil and Water Conservation Research

and Training Institute, provided a valuable overview of the downstream impacts

of soil conservation in the Himalayan region. He indicated that, of India's 328

[55]

mha of land area, approximately 175 mha are suffering from intense soil erosion

(Ives and Messerli, 1989). In the past 20 years, soil erosion and run-off have

become even more of a pressing issue, leading to the International Centre for

Integrated Mountain Development (ICIMOD) initiating the Too Much Too Little

Water project to assess local adaption strategies for minimising water stress and

associated hazards in the Himalayan region. As explained in Section 5.1, water

distribution across the region is by no means uniform, with some areas regularly

facing drought whilst others experience floods.

The implications of problems with Himalayan water supplies range from localised

crop failure caused by one-off events to the environmentally-induced onset of

progressively lower yields, unpredictable downstream water availability,

widespread soil erosion and regional water shortages.

The world’s water resources have come under increasing pressure in recent

years due to rising global populations and realisation of the impacts of climate

change. The socio-economic implications of changes in Himalayan water flow

and their likely link with anthropogenically-induced climate change were

considered in Chapter 2.

The Intergovernmental Panel on Climate Change (IPCC) 2007 Assessment of

Climate Impacts provides the most up-to-date and thorough analysis of possible

methods for sustaining and improving Himalayan water flow. The document

focused on the concepts of adaption and mitigation. The IPCC definition of the

latter is “an anthropogenic intervention to reduce the sources or enhance the

sinks of greenhouse gases”, whereas adaption could be referred to as the ability

of a system to adjust to changes whilst moderating potential damage and taking

advantage of opportunities. It could also refer to coping with the consequences.

Evidently, a combination of mitigation and adaption processes must be put into

place on a global scale for the human population to overcome the numerous

adverse effects of climate change. Figure 5.12 is taken from the IPCC AR4

synthesis report and shows the suggested adaption options available in the

sectors of water and agriculture. Demonstrating compatability between these

suggestions and the use of agroforestry systems across the Himalaya is crucial

in providing confidence that such systems offer viable methods for improving

water flow in the context of a changing global and regional climate.

[56]

Figure 5.12: The adaption options, underlying policy frameworks and key constraints and opportunities to implementation with regard to water and

agriculture suggested by IPCC (2007).

Reducing run-off

Conserving water involves controlling its overland flow which may be achieved

by reducing run-off and the potentially detrimental associated effects of

leaching, eutrophication and erosion. Limited studies have been undertaken

which directly link run-off with land use for various Himalayan watersheds.

Sharma et al. (2007) examined five watersheds representing the mid-hills of the

Himalaya in both China and India to gain an understanding of hydro-ecological

linkages of changes in land use. The natural forest decreased in both countries

between 1988 and 1997, with the greatest change of 20% being found in

Mamlay Watershed, India. The area under open forests increased in most cases

during this period. In the Indian watersheds, the area of agricultural land

increased, with the highest value of 16% being recorded in the Mamlay

watershed. The reverse trend was recorded in the Chinese watershed where the

area occupied by cropland and tea gardens declined substantially, whereas the

area of forest increased by 38% between 1982 and 1998. It was concluded that

the “promotion of forests and agroforestry in combination with rehabilitation of

degraded land in the mountain watersheds could improve land husbandry for

providing hydrological benefits to both upstream and downstream users.” Thus,

it could be determined that not all agroforestry systems necessarily provide

innate hydrological benefits, but if managed properly and with due consideration

for factors such as run-off and the overall flow of water, upstream and

downstream populations will both benefit. Other studies have reached similar

conclusions (Rai and Sharma, 1998a; 1998b).

[57]

Fertile soils which are adequately protected against rain-splash and wind erosion

by contour hedges and other agroforestry techniques help to reduce run-off.

Nutrient leaching associated with the process of run-off also causes problems

with crop production. The strategy of maintaining soil fertility through

appropriate biotic and abiotic interactions is once again paramount to the

success of agroforestry.

Water harvesting

Water supplies in the Himalaya are most commonly sourced from upstream

locations, be it through direct piping for human use or irrigation, or through the

natural flow of water from the mountains to the foothills. In the Indian

Himalaya, there is evidence of pre-colonial community ownership rights over the

use of local natural resources such as water, whereby local communities

managed their own water supplies, giving rise to a unique water harvesting

culture. Water was revered and regarded as sacred, as evidenced by the

exquisite ornamentations and architecture of the structures surrounding bodies

of water. These structures have shown incredible longevity, providing historical

confidence for the sustainability of such systems. The colonial intrusion disturbed

the community mode of management, leading to private and state property

rights over common property rights, and this situation has not changed since

Independence (Rawat and Sah, 2009).

Himalayan environments are ecologically fragile due to altitudinal, climatic and

topographical variations. The consequent variety of crops grown and number of

traditional farming methods used is huge. Localised water harvesting may not,

therefore, be appropriate for all parts of the Himalaya, or even applicable for the

same uses; different communities have different water use patterns and needs,

depending on population, whether irrigation is used, and so on. Specific

combinations of water harvesting and irrigation have been shown to reduce

environmental impacts and benefit downstream water flow (Kumar et al., 2009).

The economic cost of water harvesting must be explored through detailed design

of water-harvesting structures using locally available materials and adaptable to

the socio-economic conditions of the beneficiaries, although there is little

research in this area applicable to the Himalaya. This may be due to the overall

availability of water through high rainfall in the monsoon season. Such studies

have been undertaken in semi-arid Indian regions such as Rajasthan, which

found that cost-effective water-harvesting systems are gaining wide acceptance

[58]

and popularity in the region through the activities of some non-governmental

organisations (Machiwal et al., 2004).

A combination of utilising available water and controlling its flow throughout the

Himalaya will help to sustain communities with sufficient water supplies without

affecting downstream users. Specific agricultural practices employed through

agroforestry systems can help to reduce run-off and so decrease the numerous

detrimental effects currently being felt throughout the Lesser Himalaya.

5.6 Introducing livestock

Livestock is bred sporadically in the Himalaya. Whilst commercial ventures exist

to supply urban areas with meat and dairy products, the vast rural population

relies predominantly on local markets and passing trade. Hindus often follow

ahimsā in rural areas and this, coupled with Buddhist beliefs, means that

vegetarianism is relatively widespread, reducing the demand for meat. Meat is

also an expensive commodity in such a poor region and protein intake is mostly

from non-meat products such as lentils. There are many potential advantages to

keeping livestock for poor land-owners, provided they are introduced into a

system in which their lives and well-being are sustainable and affordable.

Nutrition is provided for subsistence communities through dairy products such as

eggs and milk from buffaloes, goats and chicken and fish ponds may be included

in modified land use systems to provide a further food source to farmers.

Surplus supplies can be sold or traded with other community members. Animal

waste can also be applied as manure, giving constant supplies of fertiliser. An

initial investment of economic capital is evidently required to purchase animals

and this first hurdle is already being widely subsidised by non-governmental

organisations (NGOs) throughout the Himalaya. The types of animals which can

feasibly be introduced to various communities is shown in respect to altitude in

Figure 5.13, along with the opportunities within specific agroforestry systems,

depending on available resources.

[59]

Figure 5.13: Feasible crops and livestock across the Himalayan region, according to altitude (Adapted from Baidya et al., 1992).

An obvious limitation to raising livestock is their nutritional requirements.

Maintaining efficient land management should ensure that enough food is

produced to facilitate a net benefit from the animal’s presence. For many

species, including buffalo and goat, nitrogen-fixing grasses used to alleviate land

degradation can be harvested as a food-stuff for a substantial period of the year.

Many agroforestry systems already incorporate livestock as indicated by Figure

5.14, which shows livestock in Kaule, Nepal.

Figure 5.14: (a) A buffalo, used for milk production, being bathed by Tamang boy on his family’s land (Schick, 2009). (b) Chickens being transported from

local farmer’s land to a community market for sale.

[60]

Chapter 6: Conclusions

Successful, sustainable agriculture showing high productivity in the Himalaya

faces a number of constraints brought about by the biotic and abiotic

environments. Social constraints are also shown to dictate land use. Current

land use practices, particularly reliance on traditional subsistence agriculture as

well as the unflinching use of sole crops in many Himalayan localities, have

contributed to widespread land degradation and depletion of land resources.

Fluctuations in upland water supplies and increasing inconsistency in monsoon

duration and rainfall, have been widely attributed to climate change and

demonstrate another facet affecting the currently low levels of crop productivity.

The most limiting abiotic factors in the region are usually inadequate water

supplies and poor soil fertility. Declining productivity and increased relative

poverty have led to the social phenomenon of rural-urban migration; the

potential economic benefits of an urban lifestyle often more alluring than the

hardships of traditional subsistence. The massive increase in urban populations

and population growth in general, also means there is more demand than ever

before for food, water and resources which has led to unsustainable farming

practices such as deforestation for timber and fuel. Deforestation and removal of

vegetation has been shown to adversely affect the fragile Himalayan ecosystem,

further increasing soil degradation, run-off and other detrimental effects. Moving

forwards, it is therefore essential for the concept of sustainability to be at the

forefront of agricultural development in the region.

Sustainable agriculture is well-suited to the Himalaya as it is imperative that

poor land-owners farm within their means and develop farming techniques to be

sustained for years or generations to come. If a system is sustainable, this

inherently means the environment must remain largely undamaged whilst

maintaining social and economic acceptability. Low-external-input agriculture

reduces the financial burden placed on rural communities and will also ensure

the adverse effects of mechanised agriculture in more developed countries (i.e.

further soil degradation, nutrient loss, acidification and salinisation) do not come

to fruition.

Agroforestry as a sustainable system has been employed in various global

locations for some decades, although detailed scientific analysis of each specific,

interrelated aspect or technique has only recently occurred.

Over-estimations of productivity increases and the general successes of the

system may be to blame for its somewhat gradual and sporadic acceptance

[61]

throughout developing nations. With an increased level of research into the

many aspects of tree-crop interactions, specific agroforestry systems may now

be expertly designed for any given Himalayan location. The specificity required

in system design to achieve an overall increase in the desired outcomes of

increasing living standards, biodiversity and sustainability, may be seen as a

drawback. However, there are few viable alternatives to traditional land use

systems and whilst specificity may, in one sense, be a drawback, it also results

in huge flexibility between physical environments and social needs. As numerous

studies have shown, agroforestry is also an affordable alternative practice.

A holistic approach to agroforestry can prioritise and address specific lifestyle

factors. For example, livestock may be introduced for nutritional benefit or

financial security. A net gain in productivity is achievable through better use of

available resources and careful management of each biological component. The

ability to determine both temporal and spatial factors to increase net gain is also

an advantage. Studies into simultaneous techniques such as alley-cropping

provide insight into the need for effective management of each component,

however, as the implications of competition must never outweigh the overall

benefits.

Further understanding of the physiological interactions between various species

is needed to conclusively determine the overall effectiveness of such systems.

Factors like root and shoot pruning, management of vegetation canopies,

understanding allelopathic interactions and managing species’ root profiles, all

require research to ensure the correct balance between tree and crop growth is

achieved, to suit the farmer’s needs.

There is a wealth of information supporting the positive correlation between

agroforestry implementation and increased environmental stability and

sustainability. Decreased soil degradation means that the system maintains

more predictable water flow throughout and increases soil fertility due to

reduced run off. Up and downstream water users also benefit. Regional erosion

and the associated problems of crop failure, diverted water flow and severed

transport links could be greatly reduced with the introduction of a more

biodiverse and edaphically stable agricultural system.

The need for external intervention (governmental, non-governmental; national,

international) to educate and empower indigenous and isolated populations is

innate when attempting to solve the concurrent environmental and social

problems of the region; unavoidable if necessary changes are to be made.

[62]

Economic development and agricultural sustainability are irrefutably linked for

this reason. Various organisations representing each respective sector must

work together to achieve a balance between economic prosperity and long-term

environmental sustainability in the region.

[63]

Chapter 7: Glossary of key organisations

Himalayan Research and Cultural Foundation

A “multi-disciplinary research, cultural and development facilitative organisation

set up by eminent area specialists, environmentalists, development experts,

literateurs and cultural personalities” running in conjunction with UNESCO.

(www.himalayanresearch.org, cf. W10)

International Centre for Integrated Mountain Development (ICIMOD)

“A regional knowledge development and learning centre serving the eight

regional member countries of the Hindu Kush-Himalayas”, focussing particularly

on the effects of globalisation and climate change. (www.icimod.org, cf. W11)

International Fund for Agricultural Development (IFAD)

“A specialised agency of the United Nations, established as an international

financial institution in 1977 as one of the major outcomes of the 1974 World

Food Conference.” The institution works in developing countries around the

globe, with the aim of eradicating rural poverty. (www.ifad.org, cf. W12)

Nepal Agroforestry Foundation (NAF)

Working across Nepal, NAF takes “a holistic approach to the long-term goal of

sustainable community forest management”, most notably through home

nursery training and women’s cooperatives. (www.forestrynepal.org, cf. W13)

United Nations Development Program (UNDP)

A United Nations program which aims to promote democratic governance as well

as researching poverty reduction and increasing affordable energy services for

the poor. (www.undp.org, cf. W14)

United Nations Educational, Scientific and Cultural Organisation (UNESCO)

UNESCO runs several developmental and environmental programmes across the

region, including the International Hydrological Program (IHP), an “international

scientific cooperative programme in water research, water resources

management, education and capacity-building” and Flow Regimes from

International Experimental and Network Data (FRIEND) which aims to provide a

“better understanding of hydrological variability and similarity across time and

space [in the Himalaya]”. The Great Himalayan National Park is a UNESCO World

Heritage Site due to its “exquisite floral and faunal biodiversity”.

(www.unesco.org, cf. W15)

[64]

The World Conservation Union (IUCN)

The IUCN works towards developmental and environmental improvements

throughout the world by supporting scientific research as well as managing field

projects which “consolidate governments, non-government organizations, United

Nations agencies, companies and local communities to develop and implement

policy, laws and best practice.” (www.icun.org, cf. W16)

World Meteorological Organisation (WMO)

The WMO is a worldwide organisation which aims to ensure that “basic weather,

climate and water services are made available to anyone who needs them, when

they need them.” In the Himalayan region, the WMO has been responsible for

launching the Operational Hydrological program (OHP) and Hindu Kush

Himalayas (HKH)-FRIEND project. (www.wmo.int, cf. W17)

[65]

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Note: Figures 1.3, 5.6, 5.11 and 5.14b by author.