Factors Influencing the Adoption of Soil and Water Conservation Technologies: a case study of two farming communities in rural Ethiopia Seth Kammer

Submitted in partial fulfillment of the requirements for the degree of MASTER OF FOREST RESOURCES University of Washington December 2014

Program Authorized to Offer Degree: School of Environmental and Forest Sciences College of the Environment

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Abstract

The majority of Ethiopians depend on agriculture for their livelihood. However, in many areas within the country, particularly where hillsides have been cultivated, land productivity is threatened by the effects of erosion and subsequent water and soil nutrient loss. There are numerous agricultural practices that Ethiopian farmers can use to reduce the damaging effects associated with erosion and water loss as it relates to hillside farming. However, despite the prospect of land degradation, not every farmer cultivating on unleveled ground will practice soil and water conservation (SWC) technologies.

This case study explores factors involved with the adoption of SWC technologies within the study areas of Magersa and Konso. Data were collected through interviews and participant observation. A mixed methods approach was used for data analyses. Results suggest that the practice of SWC technologies within the study areas of Magersa and Konso are significantly influenced by the awareness of SWC technologies and assistance with agricultural practices. Organizations with the objective of increasing the practice of SWC technologies within the communities of Magersa and Konso through heightening awareness or increasing cooperative work efforts are encouraged to adopt one or more of the following strategies: (1) use opinion leaders within the community to promote SWC technologies, (2) conduct training events to qualify community members as trainers of SWC technologies, (3) establish and maintain demonstration areas for SWC technologies, (4) encourage information and experience exchange between farmers who have extensive experience with SWC technologies and farmers who have relatively few experiences with SWC technologies, (5) promote cooperative work strategies among farmers who lack resources to perform SWC technologies, and (6) adapt SWC technologies to fit the needs and resource limitations of the farmers.

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Contents INTRODUCTION ....................................................................................................................................... 1

1. ETHIOPIA BACKGORUND ...................................................................................................................... 3

Geography & Climate........................................................................................................................... 5

Flora & Fauna ...................................................................................................................................... 8

History ................................................................................................................................................. 9

Economy & Resources ....................................................................................................................... 13

Land Tenure & Agriculture ................................................................................................................. 14

2. EROSION & WATER LOSS ................................................................................................................... 18

Soil & Water Conservation ................................................................................................................. 21

3. ADOPTION AND DIFFUSION OF INNOVATIONS ................................................................................... 27

Innovations ....................................................................................................................................... 28

Communication Channels .................................................................................................................. 29

Time and Innovativeness ................................................................................................................... 29

Social Systems ................................................................................................................................... 31

Understanding the Innovative-Decision Process ................................................................................ 31

4. METHODOLOGY ................................................................................................................................. 33

Sibboo & Magersa Bure Woreda ..................................................................................................... 34

Karat Town and Surrounding Communities Konso Special Woreda .................................................. 36

Data Collection .................................................................................................................................. 39

Soil & Water Conservation Technologies............................................................................................ 41

5. DATA ANALYSIS ................................................................................................................................. 44

6. RESULTS & DISCUSSION ..................................................................................................................... 52

Awareness & Practice of SWC Technologies ....................................................................................... 52

Needs & Awareness ........................................................................................................................... 55

Communication Channels & Awareness ............................................................................................. 57

Needs & Practice of SWC Technologies .............................................................................................. 62

Help Received & Practice of SWC Technologies .................................................................................. 63

Land Area Managed & Practice of SWC Technologies......................................................................... 65

Other Factors Influencing the Adoption & Practice of SWC Technologies ........................................... 67

Limitations of Research & Researcher Bias ......................................................................................... 68

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7. CONCLUSION & RECOMMENDATIONS ............................................................................................... 69

Increase Exposure of SWC Technologies & Maximize Outreach.......................................................... 69

Cooperative Farming Groups ............................................................................................................. 72

Adapting SWC Technologies to Site .................................................................................................... 73

Further Research ............................................................................................................................... 74

References ............................................................................................................................................ 76

Appendix A: Interview Guide ................................................................................................................. 83

Appendix B: Summary of Data Fields Used for Statistical Analysis in SAS ................................................ 86

Appendix C: Results from Statistical Analyses ........................................................................................ 89

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List of Figures

Figure 1.1: Political boundaries of Ethiopia (modified by author from Burron 2002) ................................ 3 Figure 1.2 Map of Ethiopia depicting regions and administrative cities (Golbez 2006) ............................. 4 Figure 1.3: cultural diversity at a glance by region: left to right - top: Afar, Harar, Gambela; middle: Oromiya, SNNPR, Amhara; bottom: Tigray, Benishangul-Gumuz, Somali (photo credit: Wiese; Huet; Kwekudee; Lafforgue; Furlan; OGS; Zandbergen, Santos; UNHCR) .................................................. 5 Figure 1.4: Topography of Ethiopia (Sadalmelik 2007) ............................................................................. 6 Figure 1.5: Annual precipitation in Ethiopia (adapted by author from UN-OCHA 2006) ............................ 7 Figure 1.6: Endemic flora and fauna of Ethiopia. From top left (clockwise) Ethiopian wolf (Canis simensis), mountain nyala (Tragelaphus buxtoni), Gelada baboon (Theropithecus gelada), birbira

raco (Turaco ruspolii) (photo credit: R. Jackrel; BFS; B. Shuchuck; S. Rooke; L. Peterson; Bekele-Tesemma) ............................... 8 Figure 1.7: Kingdom of Aksum, 4th - 7th centuries (Phillipson 2005) ........................................................ 10 Figure 1.8: Ethiopia, 19th century (Phillipson 2005) ................................................................................ 10 Figure 1.9: Ploughing field by oxen (photo credit: TFTFa) ....................................................................... 16 Figure 2.1: Erosion and siltation threaten this river in Ethiopia (photo credit: S. Kammer) ..................... 18 Figure 2.2: Agriculture extension worker looks over farmland expansion on erosion prone hillsides in Ethiopia (photo credit: TFTFb) ............................................................................................................... 20 Figure 2.3: Hillside farming near Lake Wenchi, Ethiopia (photo credit: S. Kammer) ................................ 20 Figure 2.4: Terracing in Konso, Ethiopia (photo credit: S. Kammer) ........................................................ 22 Figure 2.5: Construction of stone check dams in Konso, Ethiopia (photo credit: S. Kammer) .................. 23 Figure 2.6: A row of pigeon pea (Cajunus cajun) will support this soil bund in Wolkite, Ethiopia (photo credit: TFTFc) ......................................................................................................................................... 25 Figure 3.1: Categories of individuals related to innovativeness, the relative speed of innovation adoption. Inn

...................................................... 30 Figure 3.2: The innovation-decision process (Rogers 2003) .................................................................... 32 Figure 4.1: Bure Woreda and Konso Special Woreda, Ethiopia (adapted from Golbez 2006) .................. 33 Figure 4.2: The town of Sibboo, Bure Woreda (photo credit: S. Kammer) .............................................. 35 Figure 4.3: Rainy season within Magersa (photo credit: S. Kammer) ...................................................... 35 Figure 4.4: Landscape of Magersa at the start of the dry season (photo credit: S. Kammer) ................... 35 Figure 4.5: A village within Konso, a UNESCO world heritage site (photo credit: Y. Beyene) ................... 38 Figure 4.6: Traditional houses and terracing within Konso (photo credit: V. Brown)............................... 38 Figure 4.7: Town of Karat, capital of Konso (photo credit: B. Gagnon).................................................... 38 Figure 4.8: Trenches & berms (photo credit: TFTFd) .............................................................................. 41 Figure 4.9: Successive check dams slow water and trap sediment along this roadside during the rainy season (photo credit: TFTFe) ................................................................................................................. 42 Figure 4.10: Crop residuals are left within the fields, placed along the ridge of soil bowl structures (photo credit: S. Kammer) ................................................................................................................................. 42 Figure 4.11: A water reservoir made from concrete and tarpaulin (photo credit: S. Kammer) ................ 43 Figure 4.12: Vetiver grass (Chrysopogon zizanioides) helps stabilize this unleveled farm land (photo credit: A. McCausland) .......................................................................................................................... 43 Figure 4.13: Example of stone terracing within Konso (photo credit: S. Kammer) .................................. 44

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Figure 5.1: Example of first cycle coding for one interview response ..................................................... 47 Figure 5.2: Creation of a categorical hierarchy from codes to theory (adapted from Saldaa 2013) ....... 49 Figure 6.1: Percent of respondents aware of specific technologies by study area .................................. 53 Figure 6.2: Percent of respondents practicing specific technologies within study areas ......................... 54 Figure 6.3: Starting with codes and developing categories, themes, and theories with respect to the interests of respondents (adapted from Saldaa 2013).......................................................................... 56 Figure 6.4: Sources for advisement on agricultural techniques identified by Konso respondents .......... 58 Figure 6.5: Sources for advisement on agricultural techniques identified by Magersa respondents ....... 59 Figure 6.6: Sources for assistance with agricultural activities reported by Magersa respondents ........... 64 Figure 6.7: Sources for assistance with agricultural activities reported by Konso respondents ............... 64

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List of Tables

Table 5.1: Example of codes used during deductive and inductive data analyses .................................... 46

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Acknowledgements

Thanks to Ivan Eastin, Stanley Asah, Patrick Tobin, and Miku Lenentine for their support

and guidance throughout the process of conducting this case study. Thanks also to my co-

workers from Trees for the Future, Gabriel Buttram and Derese Kochena, without which I would

not have had so many opportunities to participate in tree planting and agroforestry events within

Ethiopia. Thanks to Moti Kenu, Masgabu Motuma, and again for Derese for their patience with

translating, Kifyalow Admasu for his dedication within the agriculture extension service, and for

Kifle Bogale, who first introduced me to the people of Sibboo and Magersa. Lastly, I want to

give a big thanks to the people of Sibboo, Magersa, and Konso for their generous hospitality

during my stay in Ethiopia.

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INTRODUCTION

The majority of Ethiopians depend on agriculture for their livelihood. However, in many

areas within the country, particularly where hillsides have been cultivated, land productivity is

threatened by the effects of erosion and subsequent water and soil nutrient loss. Farmers who

lack the resources to amend their soils are subject to poverty, decreased household nutrition, and

incentives to emigrate (Haileslassie et al. 2005; USAID 2008; Yisehak et al. 2013; Mengistu

2006).

Farmers cultivating unleveled land can protect their farmlands and local environment

from the effects of erosion by employing a variety of mechanical or biological measures (Adgo

et al. 2013; Haileslassie et al. 2005). Although the benefits of practicing soil and water

conservation techniques through mechanical and biological means are clear, not every farmer

within hillside agricultural communities have adopted them.

opportunity to live and work beside Ethiopian farmers, agriculture extension workers,

government workers, non-governmental organizations (NGOs), and community based

organizations. The first community in which I served practiced very few soil and water

conservation (SWC) strategies although the threat of erosion in that region was substantial. In

other regions of the country, however, I was exposed to communities which made extensive use

of biological and mechanical technologies to reduce damaging effects of soil and water runoff.

The differences I observed between these communities with respect to their land use systems

made me question the factors that produced these dissimilarities. I resolved to conduct the

following case study with the objective of identifying influences related to the adoption and

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diffusion of SWC practices of two farming communities one representing little-to-no practice

of SWC technologies and the other representing extensive use of SWC technologies.

From data gathered through interviews and participant observation within two farming

communities, I sought to identify factors that positively or negatively influenced the adoption of

SWC technologies. Understanding these factors will enhance agriculture outreach by providing

insights to improve effectiveness and efficiency of agriculture extension strategies. Given the

need for soil and water land management and the benefits of SWC technologies, this study is

valuable for individuals and organizations employed in the agriculture sector of Ethiopia.

I anticipate that the conclusions and recommendations from this report will increase

understanding of the adoption and diffusion of SWC innovations, specifically within the study

areas where data were collected, and generally contribute to the body of knowledge related to the

dissemination of SWC technologies in rural Ethiopia.

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1. ETHIOPIA BACKGORUND

Ethiopia is a landlocked country located in the Horn of Africa, bordered by Eritrea

(north), Djibouti and Somalia (east), Sudan and South Sudan (west), and Kenya (south) (Figure

1.1). Ethiopia covers an area of 1,104,300 km2 (roughly twice the size of Texas) though some

of its nat ional borders shared with Somalia and Eritrea are in dispute (CIA 2014).

Figure 1.1: Political boundaries of Ethiopia (modified by author from Burron 2002)

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Administrative units within Ethiopia are made up of nine ethnically based regions and two

administrative cities. These regions consist of Afar, Amhara, Benishangul-Gumaz, Gambela,

Harar, Oromiya, Somali, Tigray, and Southern Nations, Nationalities,

(districts), and kebeles (municipalities, the smallest administrative unit). The two administrative

cities are Addis Ababa and Dire Dawa. See Figure 1.2 below for details of regional boundaries.

1. Addis Ababa (capital) 2. Afar 3. Amhara 4. Benishangul-Gumaz 5. Dire Dawa 6. Gambela 7. Harar 8. Oromiya 9. Somali 10. SNNPR 11. Tigray

Figure 1.2 Map of Ethiopia depicting regions and administrative cities (Golbez 2006)

Ethiopia has a population of 96,633,458 million with an annual growth rate of 2.89%.

Socially, the country is very diverse (Figure 1.3), reflected by over 70 languages spoken within

its borders. The largest ethnic groups are Oromo (34.4%), Amhara (27%), Somali (6.2%),

Tigray (6.1%), and Sidama (4%) (CIA 2014). Ethnicities are in no way bound to a particular

administrative area but tend to be more populated in one region over the next. The most widely

spoken languages reflect the population of these ethnicities: Oromo (33.8%), Amharic the

official language of Ethiopia (29.3%), Somali (6.2%), Tigrigna (5.9%), and Sidamo (4%).

English is the major foreign language taught in primary and secondary schools (CIA 2014).

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The major religions of Ethiopia are Ethiopian Orthodox (43.5%), Muslim (33.9%), and

Protestant (18.5%) (CIA 2014).

Figure 1.3: cultural diversity at a glance by region: left to right - top: Afar, Harar, Gambela; middle: Oromiya, SNNPR, Amhara; bottom: Tigray, Benishangul-Gumuz, Somali (photo credit: Wiese; Huet; Kwekudee; Lafforgue; Furlan; OGS; Zandbergen, Santos; UNHCR)

Geography & Climate

mountain at 4,620

meters above sea level (15,157 ft.) and located in the Amhara Region within Simian Mountain

National Park. The Danakil Depression, located in the Afar region, is 115 meters (377 ft.) below

sea level and is considered to be one of hottest places in the world, with a temperatures above

120 F annual temperature of (Orlowska 2008; CIA 2014

slope gradually to drier lowlands on the peripheries and are bisected from northeast to southwest

by the Great Rift Valley (Figure 1.4). The Great Rift Valley has an average width of 50

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kilometers and hosts a chain of lakes in southern Ethiopia (Turner et al. 2005). The plateaus on

either side of the Great Rift Valley range from 1,500 to 3,000 meters above sea level (3,280

Within Africa, 80% of land

elevations 3,000 meters or higher are located in Ethiopia (Bekele 2001).

Figure 1.4: Topography of Ethiopia (Sadalmelik 2007)

agricultural lands, provide potable water to villages or cities, and produce large amounts of

hydroelectrical energy (Solomon 2014). All of Ethiopia's rivers originate in the highlands. Most

Blue Nile flows into Sudan where it converges with the White Nile, accounting for over two

thirds of the Nile River. Other large river systems include the Tekez, and the Baro, which make

up nearly half of the water flow from Ethiopia (Turner et al. 2005).

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The Great Rift Valley is geologically active; earthquakes occur on occasion and there are

live volcanoes and steaming fissures in its more northern areas. Hot springs exist in several

regions throughout the country (Turner et al. 2005).

Figure 1.5: Annual precipitation in Ethiopia (adapted by author from UN-OCHA 2006)

As a result of its topographical variations, the climate in Ethiopia differs greatly from one

region to the next. Climatic regions can be divided into three basic groups: cool, temperate, and

hot, which generally correspond to the elevations: high, medium, and low lands, respectively. In

the highlands and midlands, temperatures range from 60F to 86F. In low lands, temperatures

range from 81F to 122F with varying humidity. In general, the primary rain season throughout

Ethiopia occurs between June and September. Precipitation is most frequent in the southwestern

region, less in the Great Rift Valley, and even less as one moves towards to lower elevations

(Turner et al. 2005). Refer to Figure 1.5 for details regarding annual precipitation throughout the

country.

Drought and famine are intrinsically linked because the vast majority of Ethiopians

depend on rain-fed subsistence agriculture. Within the last 50 years, the effects of drought, in

combination with warfare within Ethiopia, have cost hundreds of thousands of Ethiopians their

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lives and/or homes. In 1973, famine caused the death of 300,000 Ethiopians while more sought

refuge by abandoning their homes. From 1984-85, famine resulted in over a million deaths and a

massive migration from Ethiopia to Somalia, Djibouti, and Sudan (Purdy 2006).

Flora & Fauna

Ethiopia is home to many endemic species of flora and fauna, including 20 mammals, at

least 30 bird species, and 13 amphibians (WWF). Among these are the critically endangered

Ethiopian wolf (Canis simensis), walia ibex (Capra walie), mountain nyala (Tragelaphus

buxtoni), giant root rat (Tachyoryctes macrocephalus), gelada baboon (Theropithecus gelada),

Abyssinian catbird (Paraphasma galinieri), and Prince Ruspoli's turaco (Turaco ruspolii)

(Redman et al. 2009). Ethiopia also hosts hundreds of endemic plant species, including birbira

(Millettia ferruginea), addessa (Vepris dainellii), and Boswellia ogadensis (Bekele-Tesemma

2007). A selection of endemic species in Ethiopia can be seen in in Figure 1.6 below.

Figure 1.6: Endemic flora and fauna of Ethiopia. From top left (clockwise) Ethiopian wolf (Canis simensis), mountain nyala (Tragelaphus buxtoni), Gelada baboon (Theropithecus gelada), birbira (Millettia ferruginea), Abyssinian Catbird (Paraphasma (Turaco ruspolii) (photo credit: R. Jackrel; BFS; B. Shuchuck; S. Rooke; L. Peterson; Bekele-Tesemma)

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Although there are a large number of endemic species, information on the quantity and

ting bio-

sensitive areas, attribute to the neglect of biodiversity and its current threatened state (Tadesse

1997). Aside from endemic species, Arabic coffee (Coffea Arabica), teff (Eragrostis tef), ensete

(Ensete ventricosum), noug (Guizotia abyssinica) have great, if not the greatest, genetic diversity

within Ethiopia (Dejene 2003).

History

According to fossil records, our distant ancestors, Ardi (Ardipithecus ramidus) and Lucy

(Australopithecus afarensis), lived in what is currently northern Ethiopia millions of years ago.

(Gibbons 2010). Early human settlement began with hunter-gatherer societies that gave way to

more sedentary lifestyles as agriculture and animal husbandry were practiced. The

archaeological evidence suggests that humans practiced animal husbandry within the region of

Ethiopia about 8,000 years ago here and practiced agriculture roughly 2,000 or more years ago

(Aguiar 2010).

Ethiopia is one of the oldest nations in Africa, although its governance and political

borders have changed considerably over time. By the fourth century A.D., the Aksumite Empire

had developed a strong trading state that had control over the Red Sea (Figure 1.7). At its height,

the Aksumite Empire spread throughout southwest Arabia, the Nile Valley, and to what is now

Sudan, Eritrea, and northern Ethiopia. Its influence over trade controlled commerce between the

Nile Valley and Arabia, and the India and the Roman Empire. In the seventh century the

Aksumite Empire declined and moved southward where it was eventually replaced by the

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Zagwe. The Aksumite Empire left an imprint on the succeeding dynasties by spreading

Christianity, its Semitic language, and the concept of a multi-ethnic empire-state governed by a

monarch (Turner et al. 2005). Today its heritage and cultural legacy can be see, in part, in the

giant pillars, some of which still stand erect, in Aksum.

Until the seventeenth and eighteenth centuries, ethnic groups and religious factions were

in regular conflict. In the mid-nineteenth century, Tewodros II was successful with reuniting the

kingdom modern scholars have referred to this moment as the beginning of modern Ethiopian

history (Turner et al. 2005). Tewodros II was eventually succeeded by Menelik II in 1889.

Menelik II is known for his efforts to modernize the country and for successfully defending

Ethiopia from invading Italian forces (Figure 1.8). After the battle of Adwa in 1896, historically

rights to the Ethiopian region bordering the Red Sea (Eritrea) in exchange for the recognition

that Ethiopia was a sovereign country (Turner et al. 2005).

Figure 1.7: Kingdom of Aksum, 4th - 7th centuries (Phillipson 2005)

Figure 1.8: Ethiopia, 19th century (Phillipson 2005)

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Menelik II spread his reign over the southern and eastern territories to form the current

nation-

and purposefully linking Ethiopia to foreign influences and technologies. After the death of

Menelik II in 1913, power struggles ensued but eventually brought Haile Selassie (cousin of

Menelik II) to the throne in 1930. Haile Selassie pushed to modernize Ethiopia, introducing

various Western-inspired reforms but this effort was interrupted when Italian forces again

pursued the colonization of Ethiopia in 1935. An overwhelming Italian victory forced Haile

occupation of Ethiopia from 1936 to 1941, the Italians constructed buildings and roadways but

remained limited with control throughout the country (Turner et al. 2005).

In 1941, Haile Selassie successfully acquired foreign aid to rid Ethiopia of Italian forces.

After his reinstatement, Haile Selassie was able to reclaim Eritrea and recommence his plans to

modernize Ethiopia. However, many Ethiopians felt resentment towards his imperial rule and

military officials. In

1974, this resentment set the stage for a military coup d'tat led by a socialist organization that

came to be known as the Derg. In 1975, the Derg assumed governance over Ethiopia and

claimed Ethiopia a socialist state (Orlowska 2008).

The Derg initially received support by many Ethiopians because of its land tenure reform

and thorough nationalization of industries and services. However, through eliminating and

intimidating opposition parties, animosity quickly mounted against the Derg. The collapse of the

Derg in 1991 is attributed to the collapse and subsequent end of support from the Soviet Union,

famine within Ethiopia, and growing strength and resistance from Ethiopian opposition parties

(Aguiar 2010; Orlowska 2008).

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In 1991, Haile Mariam Mengistu, head chairman of the Derg, fled Ethiopia for Zimbabwe

to escape rebel forces, chiefly the Ethiopian Revolutionary Democratic Movement (ERDM) and

Tigray Peoples' Liberation Front (TPLF). Megnistu was granted asylum in Zimbabwe. Despite

through which thousands of people were tortured and

killed as suspected enemies of the state, he remains in Zimbabwe today (Orlowska 2008).

After the collapse of the Derg regime, the ERDM and TPLF joined to create the

Ethiopian Peoples' Revolutionary Democratic Front (EPRDF), which developed the Transitional

Government of Ethiopia (TGE). The TGE created a new constitution, declared Ethiopia a

Federal State, drew ethnic boundaries throughout the country, and aimed to oversee elections. In

1993, after years of developing its own identity influenced by Italian occupation, Eritrea gained

its independence from Ethiopia, leaving the country landlocked (Turner et al. 2005).

In 1994 the Ethiopian parliament approved a new constitution. Ethiopia has since been a

federal republic consisting of executive, legislative, and judicial branches. The executive branch

consists of the prime minister, who has executive power; the Council of state; and the Council of

Ministries. The legislative branch consists of a bicameral parliament, represented by the House

ade up of

federal and regional courts. There is universal suffrage for Ethiopians of and over the age of 18

(Turner et al. 2005).

Minister in 1995 (Aguiar 2010). The EPRDF won the elections in 2000, 2005, and 2010. Many

opposition parties have claimed that the EPRDF uses intimidation, force, and ballot rigging to

win elections. After the 2005 elections, the EPRDF win sparked protests that triggered nearly

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200 casualties among civilian protesters in Addis Ababa (Aguiar 2010; U.S. Gov Press Release

2006). Meles Zenawi maintained his role as prime minister until his illness and death in 2012.

Hailemariam Desalegn succeeded Meles Zenawi and is the current Prime minister of Ethiopia.

The next elections will take place in 2015.

Economy & Resources

(CIA 2014). The most lucrative exported crop is coffee, which supports roughly half of the

co

pulses, oilseeds, sugar, and chaat. The most important form of agriculture is subsistence

farming, which produces mostly staple grains (Orlowska 2008). The service sector makes up

42.2% of GDP (CIA 2014) and consists of wholesale, retail trade, real estate, renting and

business activities. The

exported products include gold, marble, limestone, and small amounts of tantalum. Potential

export products include potash, hydroelectricity, natural gas, oil, iron ore, and geothermal energy

(Burron 2002).

of 10.6% each year between 2004 and 2011. GDP growth increased 8.7% in 2012, 9.7% in

2013, and is predicted to increase by 7.4% in 2014 (World Bank 2014). This progress was

attributed to agricultural modernization, new export sectors, international commodity demand,

and development investments by the government (World Bank 2012). However, while GDP

growth has remained high, per capita income is among the lowest in the world (CIA 2014) and

still faces many development challenges. Major obstacles in the way of continued economic

growth and stability include risks of drought, soil degradation, high population density, poor

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transport infrastructure, and an underdeveloped private sector (USAID 2012). Only 19% of

transportation over longer distances has proven difficult and expensive (Aguiar 2010). The

frequent droughts that plague the country also prevent the creation of a self-sufficient

agricultural economy. Consequently, many Ethiopians rely on annual food assistance provided

by foreign countries and international institutions (USAID 2012).

Recent energy needs within Ethiopia have spawned projects to introduce alternative

sources, such as hydro-electricity (Solomon 2014), more efficient energy uses (e.g., more

efficient wood burning stoves, and reforestation efforts to increase fuel wood production (Holden

et al. 2003). The most notable of these projects is the Grand Ethiopian Renaissance Dam

(GERD). When completed, the GERD could

and have enough residual for export. However, the hydrological variability and the lack of

reservoir storage capacity in its immediate location are threatened by unpredictable drought

events. The World Bank and other international donors have refused to fund GERD construction

because of this and the additional concern that the GERD has an inability to be used for anything

except for energy production. Neighboring countries, Egypt and Sudan, are opposed to the

on for centuries (Hammond 2013).

Land Tenure & Agriculture

Before Haile Salasie was removed from power in 1974, there were many forms of land

tenure. Many of these land tenure systems can be classified into one of three categories:

communal (rist), grant land (gult), and a combination of both (rist gult) (Crewett et al. 2008).

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Rist land rights were communal and meant that both male and female descendants would

inherit land through their family membership. Inherited land was forbidden to be sold or

distributed in any way that would mean the loss of land from the family or clan to whom it

collectively belonged. Rist land rights provided general land tenure security for a community

because it guaranteed land to community members. However, through inheritance and time, land

under the rist system was fragmented and subject to competitive bargaining for land use rights

(Crewett et al. 2008).

In Gult land right systems, farmers worked the land for a tenant much like a landlord,

were those of organizations, such as the church, or they were acquired by nobles and aristocrats.

Often gult rights would be given by the Imperil State to military personal as compensation for

their service. These landowners could place arbitrary taxes on peasant farmers who lived on

their land (Jemma 2004). Where land was given by the state, land tenure was not secure, as

ownership was dependent on the ruling party remaining in power. When an individual was

granted gult land rights on top of their preexisting rist rights (rist-gult), security in continued land

ownership was greater (Crewett et al. 2008).

The exploitation of peasant farmers by their landowners in areas where gult land rights

were instated created resentment for the acting government. In 1974, after the overthrow of

Haile Selassie, the Derg introduced the agrarian reform t

the Public Ownership of Rural Lands which declared that all land belonged to the state. Once

instated, land was then distributed to each peasant family (Crewett et al. 2008).

Land reform was greeted with mixed responses. In the south, where the gult system

meant exploitation to peasant farmers, it was welcomed. In the northern regions, where families

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generally felt they had a good land use system in place, the agrarian reform was received

negatively. Though the agrarian reform ensured peasant farmers had land to farm, efforts to

increase farming productivity failed. In some areas, land was fractured and redistributed

continuously to make up for population growth. Though the maximum land size for farmers was

set at 10 hectares, one study around Addis Ababa in 1979 showed that farmland ranged from 1 to

1.6 hectares (Crewett et al. 2008).

The fall of the Derg in 1991 brought with it expectations for land privatization.

Howev

reform (Crewett et al. 2008). The ratification of the constitution of the Federal Republic of

onuse of land for

agricultural productivity (except for cases in restoring soil fertility) could result with a

redistribution of that land at the loss of the current tenant (Crewett et al. 2008).

Figure 1.9: Ploughing field by oxen (photo credit: TFTFa)

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The current land tenure system is debated today. The main arguments in favor for the

privatization of land claim that the current system is keeping Ethiopia from developing too

quickly, and that people with capital should be encouraged to invest in land so that they can

make it more productive. They further argue that if privatization of land was a reality, peasants

could be given loans on collateral to invest in their lands and increase their productivity.

Additionally it would allow peasants to sell their land and give it to those that have the will and

capability to make that land more productive. The argument against privatization of privately

owned land argue that the ability for peasants to sell their land would lead to their exploitation by

commercial investors or aggressive loan agencies that would leave many peasants destitute in

urban areas (Pausewang). In it uncertain what will happen to land tenure rights within the next

decade but both sides make compelling arguments.

Agriculture is the

Ethiopians. Geography and culture play a significant role in farming systems within Ethiopia.

Traditions vary from one village to the next and rural areas are often limited by their

environment, local infrastructure, and access to markets. The majority of Ethiopian farmers rely

on rain fed agriculture systems, which employ traditional technology commonly making use of

ox-and-plow cultivation (Figure 1.9). Small-scale farmers produce 94 percent

agriculture techniques are mostly limited to pesticide and fertilizer use (Gebre-Selassie & Bekele

2012). On average, 83 percent of rural households cultivate crops on less than 2 hectares and 52

percent on less than 1 hectare (FAO 2011).

Between small-scale farmers and pastoralists, Ethiopia has the greatest livestock

population size of any African nation (Negassa et al. 2011). Many Ethiopian farmers rely on

18

their livestock to supplement their household income and nutritional needs. Smallholder mixed

farming systems use their livestock for additional emergency and cash income, transportation,

farm outputs and inputs, and fuels for cooking food (Negassa et al. 2011).

2. EROSION & WATER LOSS Soil erosion threatens agrarian societies with a loss in productivity and by undermining

long-term land management strategies and livelihoods. Erosion reduces soil health and arable

land, producing a multiplicity of negative consequences for farmer communities worldwide

(Ananda & Herath 2003). In Ethiopia soil erosion is the leading cause of land degradation,

contributing to loss of crop production, a decrease in biodiversity, food and livelihood insecurity,

siltation of waterways (Figure 2.1), shortage of fodder, and reduction of livestock productivity

(Haileslassie et al. 2005; USAID 2008; Yisehak et al. 2013; Juying 2009; Mengistu 2006).

Figure 2.1: Erosion and siltation threaten this river in Ethiopia (photo credit: S. Kammer)

Erosion is a naturally occurring process. The dynamics involved with soil erosion

include the erosivity of the eroding agent (mainly wind and water forces), the erodibility of the

soil, the slope of the land, and vegetation cover (Morgan 2005). Erosivity is the relative degree

19

of an erosive force. Water erosion commonly occurs in the form of rain, entrainment and

channeling, and flooding. During rain events, erosivity has a positive correlation with rain drop

size as well as the duration and intensity of a rain event. Waterways and floods have a greater

erosive impact when provided steeper and longer slopes (Morgan 2005; Hudson 1995). An

example of a steep slope that prone to erosion can be seen in Figure 2.1 above. The erosivity of

wind depends on wind strength, barriers (such as vegetation or intentional windbreaks), and the

aridness of the land. Wind erosion occurs through the separation of soil aggregates, suspension

and translocation of soil particles, and the creation abrasive impacts along the trajectory of the

wind (Morgan 2005; Hudson 1995).

In relation to agriculture, erodibility is the resistance of soil to detachment and transport.

Soil texture, aggregate stability, shear strength, infiltration capacity, and organic and chemical

content influence the erodibility of a given soil (Morgan 2005). Above ground, vegetation cover

reduces the impact of rain on the soil. Within the earth, roots bind the soil together, adding

structural stability and infiltrability (Valentin et al. 2005). Denuded soil is at a higher risk of soil

erosion than land with dense and uniform vegetation cover (Morgan 2005). The formation of

gullies in the Debre-Mawi watershed, Ethiopia, is largely attributed to the surface and subsurface

runoff caused by removal of vegetation (Tebebu et al. 2010).

In Ethiopia, the exploitation of natural resources and removal of vegetation for growing

crops or raising livestock are the main drivers exposing soil to wind and water erosion (Mengistu

2006). Land conversion from forests and meadows to crop and grazing land are the result of

between farmers, markets, and remote areas (Dessie & Kinlund 2008). Population pressure has

20

also contributed to the cultivation of marginal lands, consisting of naturally poor soils or steep

slopes especially susceptible to erosion (Figures 2.2, 2.3) (USAID 2008).

Figure 2.2: Agriculture extension worker looks over farmland expansion on erosion prone hillsides in Ethiopia (photo credit: TFTFb)

Figure 2.3: Hillside farming near Lake Wenchi, Ethiopia (photo credit: S. Kammer)

21

Exploitive agricultural practices are largely motivated by poverty and land tenure

insecurity. Thirty-nine percent of Ethiopians are below the national poverty line (CIA 2014).

Poverty is closely related to environment degradation as a lack of capital restricts opportunities

to invest in land management technologies and discourages fallow periods for want of turning

quick profits (Aguiar 2010).

h lands, overstocking in communal grazing land is a

which nobody has direct responsibility and whose utilization is open to all members of a

community, and thus is Yisehak et al. 2013). Livestock

pressures on vegetation beyond the carrying capacity compacts soil and prevents regeneration of

vegetative cover through over grazing. As with cultivated areas, the grazing lands that occupy

steep slopes are especially prone to erosion damage (Mengistu 2006).

In addition to the risk of soil loss on unleveled ground from erosion events, water loss is

also a concern. The majority of Ethiopian farmers rely on rain fed agriculture but the erratic rain

seasons that characterize the country threaten many with drought, low agricultural productivity,

and famine (FAO 2005). Soil erosion and water runoff are natural events, clearly observed on

unleveled ground and areas where vegetation is scarce or absent. However, erosion and water

loss threaten the livelihoods of hillside farmers throughout Ethiopia. Fortunately, the rate at

which erosion and water loss occur can be reduced significantly with appropriately applied SWC

technologies (Wolka 2014).

Soil & Water Conservation

The need for soil and water conservation efforts in Ethiopia was largely overlooked prior

to a drought and famine in Wollo in 1973 (McCann 1995). In response to its devastating effects,

22

the acting government (the Derg) established the Relief and Rehabilitation Commission (RRC).

address long term land management concerns through promoting reforestation and implementing

SWC technologies. Since then, the country has made considerable investments in soil and water

conservation (Adgo et al. 2010; McCann 1995; Munro 2008). A study in Tigray, northern

Ethiopia, which spanned over 30 years of documenting changes in land cover, erosion rates, and

the effects of SWC technologies through photography demonstrated soil degradation is not

irreversible; SWC technologies that employ conservation structures can have a positive impact

on land management practices (Munro 2008).

Figure 2.4: Terracing in Konso, Ethiopia (photo credit: S. Kammer)

There are many SWC technologies that have demonstrated an ability to significantly

reduce the effects of soil erosion. SWC technologies with specific regard to erosion control can

be categorized into one of three basic groups: mechanical structures, biological structures, and

23

mixed structures. Common mechanical SWC structures include terracing (Figure 2.4), stone/soil

bunds, check dams, ditches, and exclosures. Biological SWC technologies offer inexpensive

means to control erosion through the use of trees, shrubs, and grasses within land management

systems. Although biological SWC measures take more time to establish, they often provide

additional products and services aside form erosion control.

Exclosures and restricted grazing work by completely excluding animals from grazing, or

from overstocking levels that would promote erosion. A study within the Blue Nile Basin of

Ethiopia that focused on different grazing land management systems found that

grazing reduced surface runoff by more than 40% and curbed the rate of soil erosion by more

than 50% compared to freely open communal grazing systems. Its vegetation cover persisted

above 70% throughout the year, meeting the threshold level recommended to keep surface runoff

and soil loss to a mi ). Exclosures that are completely restrictive to

(Mekuria 2007).

Figure 2.5: Construction of stone check dams in Konso, Ethiopia (photo credit: S. Kammer)

24

Stone bunds and soil bunds reduce the steepness or length of a slope in intervals along a

hillside. Bunds are created by forming continuous rows of ditches and mounds along the

contours of sloped land (Figure 2.5). There are many varieties of bunds but they generally

operate in the same fashion: over time, bunds form terraces as erosive processes build up soil

behind them. In Ethiopia, a study comparing terrace adopters and non-adopters within the

highlands of the Amhara Region demonstrated that terraces have a positive impact on soil and

water conservation activities, increasing overall crop productivity, household income, and food

security (Adgo et al. 2013). Established soil and stone bunds have been demonstrated as a viable

technology in the Ethiopian highlands for reducing sheet and rill erosion while at the same time

enhancing water infiltration and increasing crop production (Juying et al. 2009).

Check dams are made from a variety of materials, such as loose rock, wire-mesh gabions,

wood, and/or concrete. Check dams are constructed within ditches or gullies and function by

segmenting water channels at intervals to reduce the velocity and erosive force of water. Over

time, sediment is deposited uphill of these structures and the steepness of slope and erosivity of

the water channels are further reduced (Nyssen et al. 2004).

Vegetation cover can reduce the effects of surface and subsurface erosion. Foliage, crop

residue, and mulch reduce the erosivity of rainsplash by intercepting rain drops. Vegetative

stocks and stems disrupt the flow of surface water and prevent entraining from forming gathering

force and becoming destructive channels. Below ground, roots keep soil aggregates intact,

reduce the leaching of macro-nutrients, and resist the translocation of soil aggregates (Morgan

2005; Zhang & Shao 2003; Mulumba & Lal 2008).

Contour farming is the practice of ploughing land, sowing seeds, and establishing crops

along the contour of sloped land (Figure 2.6). The direction of tillage can have a significant

25

influence on the translocation of soil. In a study observing the differences between vertical and

contour tilling in the Sichuan Basin of China, contour tilling reduced erosion rates between 77-

84% (Zhang et al. 2004). Planted densely along contour lines, certain tree, shrub, and grass

species effectively create living barriers that perform similarly to terraces, check dams, or berms

when established (Stroosnijder 2009; Dalton et al. 1996; Tadesse & Morgan 1996).

Figure 2.6: A row of pigeon pea (Cajunus cajun) will support this soil bund in Wolkite, Ethiopia (photo credit: TFTFc)

In many SWC systems that employ vegetative control over erosion, plant species are

deliberately chosen to provide multiple benefits to make up for the crop space they require.

Additional products and services from tree and shrub species might include, but are not limited

to, fuel wood, charcoal, food, fodder, local medicine, bee forage, live fencing, windbreaks,

26

construction materials, tools, beautification, shade, mulch, and nitrogen fixation (Lasco et al.

2014; Rosenstock et al. 2014 ; Bekele-Tesemma 2007; Cornelis & Gabriels 2005).

Moringa (Moringa stenopetela) and Terminalia (Terminalia brownii) are examples of

tree species commonly grown in the southern areas of Ethiopia that provide soil stabilization and

much more. Moringa is a food staple, rich in calcium and vitamins. It also affixes nitrogen to

the soil and is useful as bee fodder. Moringa is drought resistant and can be pruned to grow well

between crops or provide shading (Jahn 1991). Terminalia coppices grow well and quickly,

providing firewood, charcoal, timber, tools and tool handles, traditional medicines, fodder, and

mulch (Bekele-Tesemma 2007). Grasses are employed in SWC designs because they can reduce

soil erosion and provide fodder, thatch for housing/shelter, and, in the case of vetiver grass

(Vetiveria zizanioides), aromatic/marketable oils (Dalton et al. 1996).

In mixed structure SWC technologies, biological and mechanical measures work together

to support each other and further reduce erosion. Mixed structure systems can better control

drainage and reduce erosion than either one alone (Herweg & Ludi 1999). Vegetative strips that

are planted alongside berms, check dams, and terraces allow water to infiltrate deeper soil and

reduce surface runoff, which is then made easier to control by the mechanical structures in place

(Nyssen et al. 2004; Belay & Bewket 2012; Gebretsadik 2014; Herweg & Ludi 1999).

Although the benefits of practicing soil and water conservation techniques through

mechanical and biological means are clear, not every hillside farming community has adopted

them. Surprisingly, SWC initiatives have had many setbacks within Ethiopia. Until the last

decade, the participation of SWC projects initiated by the Ethiopian government and outside

agencies underemphasized individual farmer investments. These programs often ignored the

perspectives and needs of farmers, resulting in cases where SWC technologies were pushed upon

27

farmers without their genuine involvement or interest and in some cases using coercion or food

incentives as the implementing strategy (Bewket 2007).

Research spanning across several communities within Ethiopia has identified the

following factors influencing whether or not SWC technologies are adopted by small-scale

farmers: the amount of labor required, perceived risks involved, a greater need for quick returns

over long term gains, land tenure issues, the degree of appropriateness of the technology to the

local environment, off-farm employment opportunities, size and quality of land cultivated, age of

the farmer, access to SWC education or training, and the complexity of design of the SWC

technology (Amsalu & Graaff 2007; Deressa et al. 2009; Herweg & Ludi 1999; Tesfaye &

Brouwer 2012). Because each farming community is situated within a unique set of

environmental, cultural, and economic circumstances, the extent to which these factors have an

influence over the practice of a SWC technology is limited to the study areas where the research

was conducted.

In the following section, an adoption and diffusion theory popularized by Everett Rogers

(2003) will be diffusion model is useful because it provides a general

understanding of the factors associated with adopting technologies despite the characteristics of a

technology or the community to which it is introduced.

3. ADOPTION AND DIFFUSION OF INNOVATIONS There are many reasons a technology could be rejected, or adopted and spread throughout

a community, region, nation, or beyond. One of the most popular models that simplifies the

complexity describing the adoption and diffusion processes is Everett Rogers diffusion and

innovation theory. According to Rogers , the diffusion of an innovation consists of four main

28

components: an innovation, communication channels, time, and members of a social system

(Rogers 2003). Each of these components has important qualities and will be discussed below.

Innovations

Rogers defines innovation as any idea, practice, technology or program that is perceived

as new by an individual or unit of adoption (i.e. community or organization) (Rogers 2003).

However general innovation is defined, each innovation is different in terms of its unique set of

attributes that can increase the likelihood and rate of its adoption. Rogers identifies five

attributes of an innovation that influence its adoption: (1) relative advantage, (2) compatibility,

(3) complexity, (4) trialability, and (5) observability.

Relative advantage is the degree of which an innovation is perceived as being superior to

a former innovation it aims to replace. Rogers stresses that it is not important whether an

innovation is objectively more efficient or productive than another innovation but that it is only

perceived as such. Further, perceived advantages can be related to social factors, convenience,

atibility is the degree to which

an innovation is perceived as being consistent with existing values, past experiences, and needs

of potential adopters. Compatible innovations address specific needs of a group or individual

within an approved social structure. Incompatible innovations run contrary to the beliefs,

attitudes, norms, or environment in some way, which produces resistance to adoption.

Innovation complexity is the degree of difficulty perceived in the use or understanding of

an innovation. Simply stated, the easier it is to understand or use an innovation, the more likely

that innovation will be adopted. Trialability is the degree to which an innovation can be tested

or experimented within a given amount of time. Potential adopters reduce uncertainty related to

an innovation if they are able to investigate for themselves how the innovation can affect their

29

lives through experimentation. Observability is the degree to which the results of an innovation

are made visible to others. Observability plays a large role in the diffusion process because it

stimulates discussion about innovations throughout the communities in which they are practiced

(Rogers 2003).

Communication Channels

The attributes of an innovation cannot be conveyed by their merits alone. Innovations

rely on communication channels that allow the transfer of information from one person or group

to another, either creating knowledge about an innovation, forming and changing attitudes, or

otherwise influencing a decision to accept or reject the adoption of that innovation.

Communication channels can consist of a variety of possibilities for knowledge transfer,

including mass media (T.V., radio, internet, newspapers, etc.) and/or interpersonal connections

(Rogers 2003).

Time and Innovativeness

Because all decisions to adopt or reject an innovation requires passing through stages,

time is intrinsically involved with the diffusion of innovation theory. Through time we can

measure the rate of adoption, categorize individuals or groups by their innovativeness, and better

understand the innovation-decision process (described later). Rogers defines innovativeness as

the relative time for an individual to adopt an innovation compared to the entire population of

adopters. In cases where an innovation is successfully diffused within a social system, the

number of adoptees can be graphed over time, which eventually approaches a Gaussian

distribution (Figure 3.1). Innovativeness categories are defined by the point at which adopters

dev

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adopters include: innovators, early adopters, early majority, late majority, and laggards (Figure

3.1; Rogers 2003).

Figure 3.1:

)

Earlier adopters consist of the innovators, early adopters, and the early majority. Later

adopters consist of the late majority and the laggards. Over the past several decades, diffusion

research has identified general characteristics for each category of innovativeness involving their

socioeconomic status, personality values, and communication behavior (Rogers 2003).

Innovators are primarily venturesome individuals. They are gatekeepers that introduce

new ideas from outside to the community they reside. Innovators typically are able to cope with

the risk and uncertainty involved with the adoption of innovations. Because they are not strictly

bound to the values and practices of their immediate community, they may not be well respected.

Early adopters are most noted as role models that maintain respect within their community.

They often play an advisory or leadership role and influence opinions on whether others should

adopt or reject innovations. The early majority consist of one third of total adopters and are

quicker to adopt than the average person within the adopting population. These individuals are

31

thought to be deliberate with adoption and interact regularly with their peers. However, they are

not often in the role of opinion leadership as the early adopters are.

The late majority comprise a third of the total adopting population and consist of those

who adopted just after the average time of adoption. Their later adoption is related to economic

restraints, skepticism, and peer pressure. Laggards are the last to adopt within the categories of

innovativeness. Laggards are not opinion leaders; they often have a closed network of peers, a

lack of resources, and want to be sure an innovation works before adopting it.

Social Systems

All diffusion occurs within a social boundary. This boundary is defined by Rogers as the

are engaged in joint problem solving to accomplish

2003). The units that make up a social system can be individuals or

group of any size so long as these units are invested within a common goal related to an

innovation. Social systems can either facilitate or create obstructions for the diffusion process

(Rogers 2003).

Understanding the Innovative-Decision Process

The innovation-decision model is useful for conceptualizing how the spread of ideas,

practices, technologies, or programs within a community generally occur and what factors may

be promoting or hampering their diffusion. The innovation-decision process begins with an

awareness of an innovation. Awareness is created either through chance encounters with an

innovation or through actively seeking innovation exposure according to interests, needs, or

existing attitudes. (Rogers 2003).

32

Figure 3.2: The innovation-decision process (Rogers 2003)

The innovative-decision process proceeds through five stages: acquiring knowledge,

developing an attitude towards accepting or rejecting an innovation, deciding to adopt or reject

an innovation, implementing the innovation, and confirming the results of an innovation with the

expectations that motivated its adoption (Figure 3.2). Those who adopt an innovation may find

that after implementation they are not satisfied and so discontinue its use. Similarly, those who

reject an innovation may adopt it at a later time (Rogers 2003).

The social systems that change agents interact with represent many social structures,

needs, interests, and geophysical landscapes. As such, a thorough understanding of these factors

and how they relate to the adoption of an innovation within a given community is important.

Within Ethiopia, agriculture extension agents, researchers, international government and

nongovernmental entities have spent a substantial amount of time and energy towards the

diffusion of agriculture innovations for the benefit of small-scale farmers. A site-specific

33

understanding of the adoption-decision processes within the communities where these change

agents work could save considerable resources while improving the efficacy of their outreach.

This study investigates factors influencing the adoption of SWC technologies within two

rural areas of Ethiopia so that agricultural outreach involving soil and water conservation may be

enhanced. In the proceeding section I will describe the study areas where I collected data and

provide detail as to the methods I employed to investigate factors influencing the practice of

SWC technologies.

4. METHODOLOGY During the course of my Peace Corps service (December 2010 April, 2014), I was

exposed to farming communities that responded differently to the threat of soil erosion and

water runoff in their farms. During my initial service as a Peace Corps Volunteer I was

assigned to the kebele (smallest administrative unit) of Sibboo. Sibboo belongs to the Bure

Woreda (district) within the Oromiya Region (Figure 4.1). Within this district I worked with

agricultural extension agents and observed few SWC technologies being practiced despite the

recognition of erosion and siltation problems identified by the local agricultural extension

office.

Figure 4.1: Bure Woreda and Konso Special Woreda, Ethiopia (adapted from Golbez 2006)

34

After completion of my two-year contract as a Peace Corps Volunteer in Sibboo, I

opted to extend my Peace Corps service and provide support to Trees for the Future (TFTF), an

international NGO based out of Maryland, USA. The largest TFTF projects were located in

the Konso Special Woreda (an autonomous district) within the Southern Nations, Nationalities,

SNNPR) of Ethiopia (see Figure 4.1 above). Starting in January, 2013, I

made several project related trips to Konso and eventually relocated there until the close of my

Peace Corps service in April, 2014. Within Konso I observed farmers who made extensive use

of biological and physical structures designed to reduce erosion. Below I will provide a brief

description of the two study areas.

Sibboo & Magersa Bure Woreda

During my initial Peace Corps assignment I lived in the town of Sibboo within the

Bure Woreda (Figure 4.2). Sibboo is roughly 660km west of Addis Ababa by road and is one

of the many small towns between the cities of Gambela (to the west) and Metu (to the east).

According to the most recent population and housing census, the town of Sibboo has a

population of 2,003 people (Central Statistical Agency, Ethiopia 2007).

Incentives for stopping in Sibboo, as with most small towns throughout the country,

relate principally to the lower costs of agricultural commodities produced locally, such as

coffee, tea, honey, local produce, and chaat (a social drug consisting of leaves which are

chewed to produce a stimulant effect). Sibboo has no bus station and less than a dozen of its

citizens own a motorized vehicle. Travel from Sibboo entails walking or hailing a bus,

motorcycle taxi, or private vehicle from the road. However, since the construction of the

Metu-Gambella Road in 2011, travel through the area has improved significantly.

35

Figure 4.2: The town of Sibboo, Bure Woreda (photo credit: S. Kammer)

Figure 4.3: Rainy season within Magersa (photo credit: S. Kammer)

Figure 4.4: Landscape of Magersa at the start of the dry season (photo credit: S. Kammer)

36

The administrative area of Sibboo consists of several smaller communities including

the village of Magersa (Figures 4.3, 4.4). Magersa consists of nearly 6,000 hectares of

undulating land, predominately loam and clay soils. Of this area, 2% is classified as flat

whereas the majority (86%) has a grade between 3 and 15%. Land use is primarily

agricultural (coffee production and animal husbandry are the most popular) although there is

an increasing trend towards growing chaat. Other commonly grown crops include corn,

sorghum, local varieties of beans, chick pea, pepper, black cumin, ginger, peanut, and sesame.

Magersa has an elevation of 1,700 meters and an average annual precipitation of 1980 mm (78

inches) (Bure Administration 2010).

Shortly after arriving, I began working with the agricultural extension agents in

Magersa whose responsibilities include advising farmers and promoting the use of beneficial

agricultural technologies. In collaboration with extension agents, I assisted in promoting

contour planting and the use of multi-purpose tree species and grasses, which are able to

mitigate the effects of soil erosion while providing additional benefits and services, such

as fuel wood, charcoal, food, fodder, local medicine, bee forage, live fencing, windbreaks,

construction materials, tools, beautification, shade, mulch, and nitrogen fixation.

Karat Town and Surrounding Communities Konso Special Woreda

Following the conclusion of my initial two year Peace Corps contract, I extended my

service and was reassigned to work in Addis Ababa where I supported TFTF projects within

the country. The largest TFTF projects were located in the Konso Special Woreda within

SNNPR. During the period between January and April 2014, I lived in Karat (Figure 4.7), the

capital of Konso, to facilitate TFTF related activities. In association with a local NGO, the

Konso Development Association (KDA), joint TFTF-KDA projects included watershed

37

restoration, afforestation, tree nursery management, seedling distribution, modern apiculture

workshops, and several other community outreach programs designed to enhance livelihood

strategies for the Konso people.

In 2011, the United Nations Educational, Scientific, and Cultural Organization

(UNESCO) designated 5,500 hectares within Konso as a world heritage site in recognition of

within the harsh and arid environments that characterize this region (UNESCO 2014). Rural

villages within Konso are typically fortified settlements that are surrounded by stone terraces

(Figures 4.5, 4.6.). The landscape of Konso is undulating and mountainous and covers a total

of 202,286 hectares. The soils vary according to location but are typically 35% sandy, 30%

clay, and 35% loamy over the total area of Konso (Mulat 2013). Elevations within Konso

range from 500 to 2,000 meters (1,640 ft to 6541 ft) above sea level. Most of the year Konso

is dry with an erratic rainy season that produces an average annual precipitation of 623 mm

(24.5 inches) (KDA 2014).

Land use in Konso is primarily agricultural, and consists of a mixed cropping system

that makes use of an extensive area of terraced fields or otherwise modified areas of land

designed to trap water and reduce soil erosion. Sorghum, coffee, chaat, yam, corn, cassava,

sweet potato, taro and cotton are the more commonly grown crops in Konso. Trees are also

integrated within the farmlands and include various multi-purpose species such as moringa

(Moringa stenopetala), African pencil cedar (Juniperus procera), Terminalia (Terminalia

browenii), African wild olive (Olea africana), wanza (Cordia africana), Mopopaja tree

(Sterculia africana), and girar (Acacia abyssinica) (Mulat 2013).

38

Figure 4.5: A village within Konso, a UNESCO world heritage site (photo credit: Y. Beyene)

Figure 4.6: Traditional houses and terracing within Konso (photo credit: V. Brown)

Figure 4.7: Town of Karat, capital of Konso (photo credit: B. Gagnon)

39

The observed differences in the use of SWC technologies between Bure Woreda and

Konso Special Woreda represented an opportunity to define and consequently better

understand the factors that influence the adoption and diffusion of SWC technologies. To

accomplish this objective, it was essential to become familiar with small-scale farmers. To

gain insights into their agricultural practices, personal interviews and participant observation

were conducted within the two study areas that generally characterized the adoption (Konso) or

non-adoption (Bure) of SWC technologies.

Data Collection

study is at least in part

2007). More specifically, a case study focuses on a contemporary phenomenon and considers

behavioral events of which a researcher has little or no control (Yin 1994). In addition to these

qualities, case studies are generally more accessible across a diverse audience than other types

of research and are informative to policymakers, specialists, and the general public alike (Yin

1994). The case study approach was the preferred methodology for the research design

because this study focuses on a current concern within the study areas (erosion), the data

collected was primarily qualitative, the researcher had little control over the behaviors

investigated, and the results drawn from this research were meant to provide insights to

individuals and organizations involved in the agricultural sector of study areas so that

agricultural practices could be enhanced.

The bulk of my data collection involved nearly 100 interviews performed in the village

of Magersa (49 interviews) and communities within the Konso Woreda (50 interviews). Before

40

Human Subjects Division to conduct this study (Exemption #43180). In accordance with this

exemption, individual names and the precise locations of each interview participant were kept

confidential during the interview process. After my interviews were completed, all information

that could be used to identify interviewees was destroyed to ensure participant anonymity.

I made extensive efforts to meet with farmers throughout the communities located within

the study areas. However, a lack of infrastructure and resources made this task problematic. For

this reason, interviews occurred where ever possible within houses, on farms, in market areas,

along roadsides, in fields, and in cafes, offices, and restaurants. Interview participants were

identified through non-randomized, purposive sampling. Criterion sampling was used to qualify

interview participants; each participant was 18 years of age or older, managed farmland within the

study areas, and gave voluntary, informed consent to participate in the interviews.

Interviews were semi-structured, included open and closed ended questions, and lasted

between 25-45 minutes each. The interviews were both exploratory and structured, inquiring on a

range of factors including land size, household size, area farmed, access to resources, knowledge of

SWC technologies, practice of SWC technologies, and general outlooks related to the ability of

farmers to improve soil health (see Appendix 1 for complete interview guide).

Interpreters assisted in translating the majority of the interviews and were native speakers of

the languages used in the study areas. Prior to working with the interpreters, I reviewed each

question within the interview guide to clarify what was being asked. I deviated from the interview

guide when I needed explanations to clarify questions or responses during the interview process.

This study is also informed by extensive participant-observations made throughout my

service as a Peace Corps Volunteer and as a resident living within the study areas. As a Peace

41

Corps Volunteer I closely interacted with the agriculture extension agents, NGOs and community

based associations who focused their efforts primarily in rural locations. As a resident living in

the study areas I was able to learn the local languages and cultures while developing rapport with

community members. Together my work activities and daily social interactions within the study

areas provided me with a more comprehensive understanding of farmers and farming practices

than interviews alone could have achieved.

Soil & Water Conservation Technologies

For the benefit of the reader, pictures and brief descriptions of SWC technologies mentioned in

this report are provided below. Many SWC techniques are used with others to enhance the

performance of one another.

Figure 4.8: Trenches & berms (photo

credit: TFTFd)

Trenches & Berms Trenches and berms are

established along the contour of unlevelled ground to

form barriers which prevent water and soil from

moving freely downslope. Trenches and berms are

often paired together to enhance their function of

slowing water and trapping sediment but are effective

as separate SWC technologies. Over time, as more

sediment is deposited upslope, these structures begin

to look similar to terracing. Berms are often

reinforced with vegetation, as seen in Figure 4.7.

Stone bunds function in the same way that berms do

but use stones instead of soil.

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Figure 4.9: Successive check dams slow water and trap sediment along this roadside during the rainy season (photo credit: TFTFe)

Check Dams - Check dams are barriers designed to prevent the widening and further erosion of trenches

and gullies created from water erosion. Check dams

are typically constructed from wood posts and forest

residuals and/or stone but can be made from a variety

of material as seen in Figure 4.9. Where extensive

erosion has occurred and resources are available,

stronger check dams can be used. Gabions, for

example, which consist of stones encased in metal

cages can add substantial resistance to erosive water

events. To reinforce check dams, vegetation is often

incorporated. Over time, trapped sediment will be

deposited behind a check dam and form an elevated

and more level ground.

Figure 4.10: Crop residuals are left within the fields, placed along the ridge of soil bowl structures (photo credit: S. Kammer)

Applied Organics & Soil Bowls - Organic material provides soil nutrients and establishes cohesive soil

structure that provides resistance to wind and water

erosion. The most common forms of applied organics

within the study areas included crop residues,

compost, and animal manure. Within Konso,

organics are often applied to soil bowl structures to

provide support to the soil, as seen in Figure 4.10.

Soil bowls are land forms which clearly resemble

their name. Their bowl shape allows for water to be

retained after rain events.

43

Figure 4.11: A water reservoir made from concrete and tarpaulin (photo credit: S. Kammer)

Water Reservoirs - Water reservoirs are areas designated to store water

from directing runoff from rain

events. The majority of farmers do

not have the resources to create a

private water reservoir as seen in

Figure 4.11. Within Konso, several

large communal water reservoirs

have been built and are maintained

entirely by the community.

Figure 4.12: Vetiver grass (Chrysopogon zizanioides) helps stabilize this unleveled farm land (photo credit: A. McCausland)

Vegetation Strips & Contour Planting - Contour planting is the

practice of planting crops, trees,

and/or shrubs along the contour of a

slope (Figure 4.12). Water and soil

moving downslope are slowed by

vegetation above and below ground.

Established vegetation following the

contour of unleveled ground reduces

the occurrence of water entrainment

and channeling and subsequently the

destructive waterways that can result

within farm lands.

44

Figure 4.13: Example of stone terracing within Konso (photo credit: S. Kammer)

Terracing - Terracing is a technique employed on hillsides to create leveled

ground. Terracing is commonly performed

by stacking stones in successive walls along

the contours of a hillside (Figure 4.13).

Terracing requires a lot of labor with

establishment and maintenance. Overtime,

vegetative strips can also create terracing as

sediments are deposited upslope.

Figure 4.14: An example of intercropping trees (Acacia saligna) within cropland (photo credit: S. Kammer)

Tree Planting - Many tree species provide soil stabilization for unleveled ground while

supplying additional products and services,

such as food, fodder, bee forage, shade and

beautification, firewood, fencing, and

construction material. Trees commonly used

for SWC designs also affix nitrogen (such as

Acacia saligna in Figure 4.14), provide

shade for coffee, and give mulch from their

fallen leaves.

5. DATA ANALYSIS Data analysis began in the field where the majority of the interviews were translated from

the local language (chiefly Amharic, Oromo, or Konso) into English. Although the interpreters

were proficient in English and in some cases had previous formal work experience as

interpreters, some data might have been altered during translation. I recorded interview

responses hand and structured responses into the categories based on the layout of the interview

45

hat did not

relate directly to the questions asked. These statements were subsequently categorized as

. Shortly after the interviews were conducted, I transcribed responses

electronically into a Microsoft Word document. Transcription of interviews involved further

organizing responses so that they fit into a uniform format that could facilitate subsequent

analysis.

Many of the questions used during the interviews were open-ended and elicited short

narrative responses. To assist with the qualitative data analysis, I used

NVivo 10 qualitative data analysis software (2012). Within NVivo, interview responses were

coded, which involved a meticulous examination of words, phrases, and passages that conveyed

ideas or broad themes for the researcher

diffusion theory, previous research on the adoption of SWC technologies and from interview

responses themselves. Data were coded using a mixed methods approach guided by inductive

and deductive analyses in a rigorous iterative process. Several coding strategies described by

Saldaa (2013) were employed within NVivo to help interpret the data - primarily structured,

attribute, evaluation, initial, and holistic coding.

The deductive data analysis used structured coding based on components of the

adoption-

factors of SWC adoption recognized by previous research in Ethiopia. Data were examined for

words and phrases that were characterized by these labels (see Table 5.1 for an example of the

codes used and the descriptions associated with them). This process continued until I could no

longer identify data that fit into the deductive-based themes and categories. At the end of this

46

process, the frequency of data collected under each coded label was used to determine the extent

technologies in the study areas.

Table 5.1: Example of codes used during deductive and inductive data analyses Label Description

Stru

ctur

ed C

odin

g

Opinion Leader Individual or group referred to as a source of information or advice for agricultural practices

Relative Advantage Whether the SWC technology mentioned by the respondent had a relative advantage over the traditional/conventional technology

Compatibility Whether the SWC technology was compatible with existing societal norms, the local environment, and/or the needs of respondent

Complexity Whether the SWC technology was easy to learn, perform, or replicate

Initi

al C

odin

g

Expensive The respondent identified an item, service, or technology as being expensive

Labor Intensive The respondent identified an agriculture technology as requiring a lot of effort, labor, or assistance from others

Lack of Grass The respondent state that there was a problem with not having enough vetiver or elephant grass (a grass used in many contour planting projects to reduce erosion)

Inductive analysis was based on grounded theory which asserts that hypotheses can be

generated from qualitative data and are not dependent on a preconceived theory to explain a

phenomenon under investigation (Glasser & Strauss 1967). Where codes based on theory driven

explanations could not account for the data, inductive analysis provided a means to generate

hypotheses or provide further description of how specific factors could be contributing to the

practice of SWC technologies. Two distinct coding cycles were used to process the data in this

way.

The first coding cycle entailed a subjective process of decoding and encoding the data.

Decoding involves analyzing portions of data for its essential meaning while encoding assigns

47

words or short phrases that best describe this meaning (Saldaa 2013). Inductive data analysis

primarily involved initial coding, starting with emergent words, concepts, or phrases which the

researcher identified as being significant based on their observed frequency, patterns within the

data, and/or their relationship to the adoption of SWC technologies (see Table 5.1 above for an

example of initial coding labels and their descriptions).

Throughout the first coding cycle, the data was analyzed repeatedly to better define

codes. In many cases, codes were merged or were split to form new codes or subcategories,

depending on the broader context of the data they represented. Codes were not mutually

exclusive and data were frequently shared between two or more codes. An excerpt from the

data and an example of how interview responses were coded during the first coding cycle is

presented in Figure 5.1.

resources vary from one distribution to the next. 1Some farmers are given good seeds and others are not. 2It is not consistent. The resources come from many places, from the extension workers and from nurseries. 3It is like a lottery, whether or not seeds will germinate well or the crops will grow as they are described. 4Sometimes this is a result of the climate and the crops not doing well in this community because this site has an unfavorable climate and 5those that gave the resource did

1 DEFECTIVE SEEDS 2 RISK

3

4 LACK OF RAIN

5 CRITICISM

Figure 5.1: Example of first cycle coding for one interview response

In the above example (Figure 5.1), the respondent described problems he encountered

with seeds and other resources provided by agriculture extension agents and tree nursery

48

managers. The codes assigned within this excerpt were chosen based on the factors I felt

might influence the adoption of SWC technologies. These codes were later grouped and

categorized with other codes.

The first cycle coding ended when I could no longer identify distinct codes and further

analysis of the data required a broader approach to determine how the codes related to each

other as well as the objectives of the research. Although first