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Environmental Sciences
Subsistence farming is defined as self-sufficient farming in which farmers focus on cultivating sufficient quantities of food for their families. However, there are still many cases of poverty among farmers due to a lack of ability to adopt advanced technology. Small land tenure, low literacy rates, and lack of forest maintenance are the main causes of the subsistence of small agroforestry farmers. Another reason is that subsistence-oriented agroforestry practices are considered a strong form of smallholder resilience. To reduce the subsistence level of farmers, government intervention is needed, especially in providing managerial assistance packages, capital assistance, and the marketing of forest products.
- agroforestry
- collaboration
- farmers
- subsistence
1. Introduction
Agroforestry has long been practiced in Indonesia. As a sustainable land-use practice [1], it increases overall agricultural productivity by combining woody perennial with food crops, including livestock on the same land [2]. When the concept is practiced appropriately, it can provide economic, ecological, social, and cultural benefits. The crop diversity in intercropping can provide a good income on a daily, monthly, and yearly basis. However, it depends on the agroforestry pattern adopted, such as agrisilviculture (forestry–agriculture), silvopasture (forestry–animal husbandry), agrisilvopasture (forestry–agriculture–livestock), silvofishery (forestry–fisheries), bee-forestry, sericulture (silkworm forestry), or multipurpose forest tree production systems (fusion complex). Ecologically, agroforestry supports soil and water conservation. With multi-strata plants, of course, it can minimize the occurrence of erosion, reduce runoff, and increase the effectiveness of water absorption. The spatial pattern of agroforestry can also function as a windbreak [3,4].
Sustainable agroforestry is thought to be a future agricultural practice as an alternative to unsustainable conventional agriculture [5]. In conventional agriculture, maximum tillage accelerates the decomposition of organic matter, thereby reducing its presence in the soil, while in the agroforestry pattern, the rate of decomposition of organic matter is slower due to a minimum tillage balance with the input of organic matter from trees as a complementary strategy [6]. Maximum tillage has the potential to reduce mycorrhizal fungi and increase runoff so that soil organic matter is reduced, while conservation tillage, by minimizing soil damage, can increase the presence of mycorrhizal fungi, as well as the absorption of phosphorus and soil aggregates [6,7]. The conservation agriculture principle is to have minimum soil disturbance and crop rotation while maximizing cover crops to obtain increased yields (30–200%) and labor efficiency (60%) [6]. Conservation agriculture with trees (CAWT) avoids maximum tillage to prevent the negative effects of intensive tillage, such as from ploughing (barren soil, erosion, heating, decomposition of organic matter, and damage to structures and nature) [6]. The top layer of soil, which is responsible for supporting crop life but is also the most susceptible to erosion and degradation, must be protected with particular care [6]. Crop rotations should include legumes, deep-rooted crops, and high-residue crops that have fixed nitrogen in the soil, and their biomass should add nitrogen through decomposition [6]. The litter and roots of tree components continuously add plant nutrients to the soil [8].
The function of trees in CAWT is potentially positive for agricultural crop production [6] and contributes to soil nutrient enrichment and crop production [8]. The function of trees in agroforestry, such as in fertilizer trees, can optimize the supply of native soil N and increase land productivity. The advantage of using fertilizer trees (Gliricidia sp., Calliandra sp., Leucaena sp., etc.) in agroforestry is that they ensure a multifunctional farm that provides wood, fodder, shade, soil improvement, and watershed breeding [9]. As an integrated, tree-based farming system, agroforestry is a reliable system due to its potential to address land degradation with additional environmental and social benefits [10,11]. In addition, agroforestry supports biodiversity conservation [12] and has higher financial returns than conventional agriculture [13]. Agroforestry also contributes significantly to climate change mitigation by increasing carbon sequestration and storage in the biosphere [14]. Furthermore, in contrast to conventional systems, agroforestry systems can better maintain biodiversity and provide food security, land security, and financial security [15].
Fertilization technology increases food crop production and provides additional income for households through sources such as the selling of tree seeds and firewood [16]. The choice of technology is driven by the size of the landownership, and more benefits are associated with larger landholdings. The adoption of agroforestry in subsistence agriculture is often limited by local social conditions and natural endowments [17].
Economically, agroforestry practices are a part of the livelihood strategies of farmers. In some cases, smallholder forests are the main source of income and even cause land owners to occupy a higher social status. Land size can be one of the factors that affects the economic value obtained from agroforestry systems. The larger the land area, the greater the economic value generated [18]. In addition, the adoption of agroforestry can diversify farmers’ livelihoods and increase their income [19]. Moreover, some agroforestry practitioners adjust to an economic focus while keeping an ecologically sound development orientation. However, they occasionally sacrifice the sociocultural aspect [20].
Agroforestry has numerous advantageous effects on the environment, including on how land is used, which leads to ecological, economic, and social benefits [21]. As a result, its sustainability must be preserved. In the case of food security, smallholder farming with commercial agroforestry systems tends to focus on income production, whereas traditional systems concentrate on the benefits of nutritional diversity. Agroforestry benefits the environment and promotes stability [22]. The mixed garden, the most popular agroforestry pattern in Indonesia, also has the highest carbon stock compared to other tree-crops patterns [23].
In Indonesia, subsistence farmers are accustomed to going into debt to obtain the initial capital for farming, which will then be paid off at the time of harvest. When there is asymmetrical information between farmers and creditors about price knowledge and market access, a debt-bondage system to help farmers with financial capital does not appear to be a viable aid to the farmers [24]. Related to income, interactions in factor markets cause price shocks in these markets, which subsequently allow for essential products to reach subsistence producers. Additionally, this lowers wages and land rentals, boosting household subsistence production. As a result, subsistence households’ real income decreases [25]. However, under certain circumstances, subsistence farming can operate as a stabilizer and benefit all agriculture [26]. From a macroeconomic perspective, an improvement in semi-subsistence agricultural production might boost economic growth overall, lower the trade deficit, enhance household incomes, and boost government revenue [27].
Despite all these advantages, the adoption of agroforestry systems is still low, and the adoption gap remains largely unexplained [17]. There are disincentives for planting trees among the understory, including a lack of knowledge, upfront costs, long periods of time before there is a return, and reduced short-to-medium-term cash flow and/or household food production [28]. For subsistence farmers, the existence of trees will be detrimental to agricultural crop production if soil tillage is carried out as in conventional agriculture. The ability to integrate trees on agricultural land is strongly influenced by the perception and knowledge of farmers [29], where farmer managerial skills in implementing agroforestry are still low [30]. In a limited treatment of trees, the presence of trees can reduce the growth of commercial food crops [31], while no-tillage can produce higher maize and cassava yields than tillage [32]. As a result, farmers who are unable to produce enough food for their livelihood, and who depend on cash income to meet many expenses, engage in irregular, nonagricultural commercial activities to generate income for the provision of food and other necessities [33].
Likewise, the adoption of such promising land-use practices has been slow in terms of achievement [1]. Agroforestry programs should not be considered a poverty alleviation strategy [1]. This is because smallholders may not be able to cope with the initial production losses resulting from the transition from conventional agriculture to agroforestry. Hence, policy interventions are essential in order to involve smallholders in the promotion of agroforestry. Attention and incentives should be given to traditional smallholder agroforestry farmers who have helped to balance between biodiversity conservation and economic growth [8].
Most agroforestry programs in Indonesia prioritize land rehabilitation and are focused on generating long-term economic benefits from a particular crop. Little is known about whether and how poor farmers behave differently from nonpoor farmers in adopting agroforestry practices. To reap the greatest benefits from agroforestry systems, a fundamental understanding of how and why farmers make long-term land-use decisions is required [34].
2. Smallholder Agroforestry Systems in Indonesia
3.1. Development Phase of Agroforestry Practices
Historically, there were three phases of agroforestry development, namely, classical, premodern, and modern agroforestry. Classical agroforestry was practiced in approximately 700 BC in the form of slash-and-burn, including shifting cultivation, which was a transformation from a hunting lifestyle and food gathering into plant and animal domestication. Premodern agroforestry, recognized as Taungya, was mainly aimed at producing forest products, and in Indonesia, it was introduced by the colonial government in the form of teak forest development at the end of the 19th century. Attention to agricultural components, farmers, and crop production in the Taungya system was low, but it was designed more to benefit the government’s agenda. This philosophy was intended to mobilize landless and jobless laborers in rural areas to work in state forests, with compensation granting them the right to utilize space among the trees to plant crops. Therefore, rural communities felt fewer benefits from such systems. Several international organizations were generated to provide policy and programs to improve food productivity and environmental conservation, such as Social Forestry (SF) by the World Bank, Forestry for Rural Development (FRD) by the FAO, and the agroforestry research institute ICRAF by the World Agroforestry Centre.
3.2. Existing Conditions of Agroforestry in Indonesia
The practice of agroforestry in private forests plays a pivotal role in cultivating trees outside the state forest areas, providing a farmer safety net in terms of economic value through production functions [40], and serving as the last bastion of biodiversity conservation for flora and fauna amid the accelerated deforestation rate in natural forests [41,42,43,44]. Agroforestry has contributed to strengthening smallholder farmers’ resilience to climate change in Indonesia by offering 20% more food variety in the traditional pattern and a fivefold income increase in the commercial pattern [22]. Agroforestry systems also provide environmental service benefits, such as increasing soil organic content; improving soil health through nutrient repair and fertility processes; improving soil biological dynamics; improving soil carbon sequestration and climate change mitigation; and improving water quality, climate change mitigation, and adaptation [39,45,46].
Some of the benefits related to soil nutrients and fertility, as well as soil carbon sequestration, can be obtained from minimal or no-tillage practices, even without trees. However, the presence of trees in agroforestry systems can add more benefits. The presence of trees and perennial plants in agroforestry produces the highest aboveground carbon stocks, including belowground carbon stocks, thereby improving carbon sequestration and mitigating climate change [23,39]. Trees in agroforestry also enhance soil organic content, increase soil nutrients and fertility, and increase soil microbial dynamics, which have a positive effect on soil health [45]. Trees improve soil quality in agroforestry through three main processes, namely, increasing input with tree fertilizers (N2-fixing), increasing soil nutrients from the production and decomposition of tree biomass (falling of leaves, branches, twigs), absorption, and the utilization of nutrients from deep tree roots, thus creating a nutrient cycle in the agroforestry system [46].
Along with the socioeconomic, cultural, and policy development of rural communities, some agroforestry patterns have also improved from traditional subsistence management to business–commercial management with the selection of several types of commercial or industrial crops, such as coffee [52] and porang [53], or integration with ecotourism [54]. The relative profitability of agroforestry business models can be measured based on the associated risks and timeframes [55]. However, the basis of the farmers’ considerations in choosing the type of crop is influenced by economic, occupational, cultural, and educational background [56,57]. It is common to have a combination of commercial and noncommercial crops to optimize land use in order to fulfill household needs in terms of subsistence or as a source of daily, monthly, and annual financial income [3,4]. In general, farmer preferences are more biased toward economic benefits and mindfully maintaining the availability of a food supply, but they pay less attention to ecological aspects [19]. Crops that provide instant extra income are more desirable to farmers [58].
The main objective of silviculture is to improve timber productivity by applying tree improvement, site manipulation, and plant protection [63]. With agroforestry, the science of silviculture is expected to encounter issues beyond timber production [64]. Moreover, silviculture treatment on timber-based versus nontimber-based forest products provides a different result for land productivity [22]. Traditional agroforestry practices are usually subsistence and are conducted in a small area of land with minimal silviculture treatments [65,66].
The recognition to apply agroforestry also arises when the benefits of ancient integrated agricultural systems survive after a series of land problems, such as deforestation, soil degradation, and biodiversity decline [46]. This implies that agroforestry contributes to the environment by reducing erosion rates, restoring degraded land, reducing landslide risk, increasing carbon stock, and affecting microclimate and soil moisture [67,68,69]. The agroforestry systems developed in several locations in West Java are able to decrease soil erosion and restore land degradation, while the highest carbon stock is produced from mixed types with a larger number of trees [23]. Agroforestry, which dominates the foothills of volcanic mountains prone to landslides in Java, can reduce landslide reactivation by selecting species of trees and plants with certain ecological functions to reduce surface runoff, water absorption, and soil moisture without compromising the social and economic value of farms [70]. A mixture of deep-rooted tree species and grasses with smooth and dense rooting can maintain the stability of riverbanks and high hillsides [71]. The diversity of tree root distribution between species can reduce the landslide risk in productive coffee agroforestry systems [71]. The agroforestry system is an easy and affordable way to mitigate microclimate instability and soil moisture degradation, and it can be potentially employed as an adaptive strategy to counter extreme climate impacts through shade cover arrangements [72].
The transition from subsistence to semicommercial or commercial agroforestry is not a simple process. Problems regarding landownership and access, market opportunities, and farmer regeneration always arise from farmers. It is common knowledge that rural farmers are generally villagers over the age of 50 who need guidance on how to maintain their agricultural businesses, especially in regard to utilizing wireless networks. Currently, few among the young generations want to continue working as farmers. Ironically, most parents who work as rural farmers are also unwilling to pass down the profession [73]. The factors that hinder farmer regeneration are the low income generated by the agricultural sector, demanding and laborious work, the perception that farming is only suited to those from a poor background with limited education, and the type of work chosen as the last alternative [74]. This results in only 26.67% of farmers’ children having high motivation to become farmers [75]. The education level of farmers, according to Statistics Indonesia (BPS), is still dominated by elementary and junior high school levels. Meanwhile, college graduates and diplomas only account for 0.57%. This low education level can affect farmers’ managerial abilities in developing agroforestry. Farmers’ managerial capacity in planning, implementing, and evaluating the application of agroforestry systems is a major factor that influences their motivation to apply technology [76]. The low quality of human resources is a drawback in the agricultural sector, which may lower agricultural productivity [77].
3.3. Why Subsistence
3.3.1. Subsistence Outlook
Subsistence farming is defined as self-sufficient farming in which farmers focus on cultivating sufficient quantities of food for their families. In addition, subsistence agriculture is characterized by such things as having a wide variety of crops and livestock to eat, and sometimes fiber for clothing and building materials. The decision in determining the type of plant to use usually depends on the type of food that will be consumed in the coming year. It is also determined by market prices, where if the price of a commodity is considered too high, they choose to plant their own [98]. Although they are considered to prioritize self-sufficiency for their families, most subsistence farmers also trade a few of their agricultural products, especially for obtaining goods that cannot be produced from the land, such as salt and kitchen equipment. Most subsistence farmers currently live in developing countries. Numerous subsistence farmers grow alternative crops and have agricultural capabilities that are not found in advanced agricultural methods [99]. Subsistence refers to those who are periodically food insecure, relying on irregular cash income from diversification into a range of sources [100].
Some farmers apply agroforestry systems based on economic considerations rather than social and ecological considerations [30]. This is indicated by the selection of plant species that make up agroforestry with the main objective of utilizing the results to meet the needs of farmer households in the short, medium, and long term. Agroforestry is widely adopted by farmers because this system can increase income while also diversifying their livelihoods [19]. Agroforestry provides income to farmers in the form of weekly, monthly, and annual income [101]. Farmers in Wonogiri earn weekly income from cayenne pepper, monthly income from secondary crops, and annual income from timber plantations [101]. Farmers apply simple agroforestry by intercropping trees with one or more seasonal crop types. Sengon (Paracerianthes moluccana) is the main crop because it is considered to possess high economic value and is a form of family savings that can be used for certain urgent needs [102]. Sengon and salak (Salacca zalacca) agroforestry can meet the daily needs of families and can support a balanced work structure [103]. The traditional agroforestry system is carried out to meet daily needs, and some of the surpluses are sold to collectors and weekly village markets, such as palm sugar (Arenga pinnata), banana (Musa paradisiaca), sapodilla (Manilkara sp.), mango (Mangifera indica), avocado (Persea americana), petai (Parkia speciosa), and jengkol (Archidendron pauciflorum) [104].
3.3.2. Factors Related to Subsistence in Agroforestry
The subsistence level of agroforestry can be seen from the perceived benefits of the agroforestry system, which are limited to meeting the needs of the family, not for commercial purposes. Two factors influence the agroforestry farming system, namely, internal factors such as farmer experience, motivation, landownership area, number, and type of plants, as well as external factors in the form of support from agroforestry extension institutions and community leaders [106]. Likewise, the subsistence of farmers is also influenced by these two factors.
Internal factors
The internal factors that influence the subsistence of agroforestry farmers are presented in Table 2.
Table 2. Internal factors that lead to the subsistence of agroforestry farmers.
| No | Internal Factor | Source |
|---|---|---|
| 1. | Limited landownership | [18,107,108] |
| 2. | The character of farmers who are less willing to take risks | [17] |
| 3. | Low education level and poor agroforestry knowledge | [21,38,101] |
| 4. | Limited financial capital | [109,110] |
| 5. | Farmer preferences related to gender and cultural identity | [108,111] |
External Factors
External factors that affect the subsistence of agroforestry farmers are presented in Table 3.
Table 3. External factors that lead to the subsistence of agroforestry farmers.
| No | External Factors | Sources |
|---|---|---|
| 1. | Government policies that are not responsive to household interests (increases in the price of seeds, fertilizers, and medicines). | [17] |
| 2. | Bad weather/climate change. | [140,141,142] |
| 3. | Labor shortage. | [101] |
| 4. | Limited market access: | |
|
[143,144,145] | |
|
[146,147,148] | |
|
[143,149,150,151] | |
|
[152,153,154] | |
|
[155] | |
| 5. | Food import. | [156,157,158,159] |
3.4. Sustainable Agroforestry Management Strategies for Smallholder Farmers
Agroforestry has become a common practice for farmers in Indonesia. The contribution of agroforestry to the household economy of farmers is one of the determining factors for the sustainability of the agroforestry system. Improving agroforestry governance from subsistence to commercial ones requires a comprehensive strategy and involves many stakeholders. Internal and external factors from the farmers’ side are presented in Table 4.
Table 4. SWOT analysis of smallholder agroforestry in Indonesia.
| Strength (S) | Weakness (W) |
|---|---|
|
|
| Opportunity (O) | Threat (T) |
|
|
3.5. Enabling Smallholder of Agroforestry Practices in Indonesia
3.5.1. Selection of Agroforestry Plant Species
The existence of agroforestry outside the state forest area (private forest) is proven to provide great benefits for landowners. Cultivated tree species provide yields for building wood, firewood, animal feed, species, and medicinal plants [212]. The use of native species with multiple benefits needs to be encouraged with research and policy interventions because native trees can maintain biodiversity [213]. The greater the plant diversity in agroforestry, the greater the value of the forest from the yield variety and the environmental benefits. In rubber plantations, more shrubs will increase soil C and N as well as the infiltration rate from soil pores [214].
3.5.2. Integrated Farming (Agrosilvopasture/Livestock and Plants)
Product diversification from agriculture–livestock–forestry (agrosilvopasture), with market access and management efficiency, will result in income stability [215,216]. In agrosilvopasture, the use of livestock manure (fertilizer) and crop waste (animal feed) residues is an efficiency that can reduce tradeoffs between agriculture and the environment [217]. The integration of livestock and crops can increase economic efficiency by 38.4% [218,219]. The existence of plants for forage can supply animal feed needs during the dry season [220]. This system can also maintain the N content in the soil, the bacterial community cycle, and the N cycle process [221].
3.5.3. Soil and Water Conservation
The use of trees, especially legume trees, plays a pivotal role in maintaining soil fertility. Tree roots increase the rate of soil infiltration and the availability of water as a reserve during the dry season, thereby reducing plant stress [222]. The management of agroforestry plant biomass is a key factor in maintaining soil fertility. Cocoa leaf waste can be decomposed quickly when mixed with gliricidia leaves so that it can maintain soil nutrient input [208]. Farmers in mountainous areas need to apply alley cropping as a soil conservation technique. The productivity of annual crops in the tree aisles hanging 48 m and 96 m is still quite high even despite tree canopy cover; however, it still possesses high environmental value [223].
3.5.4. Improved Access to Land and Markets
Population growth and economic pressures have caused the availability of agricultural land to be increasingly limited. This has become an obstacle in the development of the agroforestry business in Java, Indonesia. Governments can provide access to forest land, community participation-based planning, and agricultural diversification [105]. The Indonesian government has made efforts to distribute access to land resources for the community by granting state forest land management permits through the social forestry program.
3.5.5. Climate Change Adaptation
Adaptation to climate change is required to reduce the risk of failure in crop cultivation. Farmers adapting to climate change will be influenced by farmer institutions, access to finance, information on climate, and extension [211]. Farmer adaptation practices to increase land productivity include the application of soil and water conservation techniques, the use of varieties that are resistant to high temperatures/shade, and the use of mulch [227]. The use of shade trees in agroforestry patterns is needed to deal with climate change that causes an increase in temperature [228]. Agroforestry has proven to be a technique that is suitable for farmers to apply in the era of climate change.
3.5.6. Intensification of Smallholder Agroforestry
Previous research shows that intensive agroforestry practices (with environmental manipulations) result in higher productivity than traditional practices [229,230,231]. Meanwhile, the agroforestry patterns in smallholder forests vary, including border trees, alley cropping, mix patterns, and alternate rows [232]. Yard agroforestry and complex agroforestry forms are still focused on experimental forms of intensive silvicultural applications such as fertilization, spacing, and pruning [233,234]. Both agroforestry forms are associated with the development of private forests with various characteristics on a household scale with limited lands, such as in Indonesia today. As a matter of course, many findings are not necessarily suitable for general application and produce trial/experimental results that are either not suitable or error-prone. Discretion in selecting research recommendations to suit the specific characteristics of private forest development is the key to success.
This entry is adapted from the peer-reviewed paper 10.3390/su14148631
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