Ecosystem-based adaptation for smallholder farmers: Definitions, opportunities and constraints

Review

Ecosystem-based

adaptation

for

smallholder

farmers:

De

finitions,

opportunities

and

constraints

Raffaele

Vignola

*

_,

_Celia

_Alice

_Harvey

_,

_Pavel

_{Bautista-Solis}

_,

_Jacques

_Avelino

_,

Bruno

Rapidel

,

Camila

Donatti

,

Ruth

Martinez

a

TheTropicalAgriculturalResearchandHigherEducationCenter(CATIE),7170Turrialba,CostaRica

b

TheBettyandGordonMooreCenterforScienceandOceans,ConservationInternational,2011CrystalDriveSuite500,Arlington,22202VA,USA

c

CIRAD,UPRBioagresseurs,F-34398Montpellier,France

d_{IICA-PROMECAFE,AP.55,2200Coronado,SanJosé,CostaRica} e

CIRAD,UPRBioagresseursanalyseetmaıtrisedurisque,F-34398Montpellier,France

f

CIRAD,UMRSYSTEM(CIRAD-INRA-SupAgro),2PlaceViala,34060MontpellierCedex1,France

g

InstituteforEnvironment,ResourcesandSustainability,UniversityofBritishColumbia,Vancouver,Canada

ARTICLE INFO

Articlehistory:

Received13October2014

Receivedinrevisedform22April2015 Accepted29May2015

Availableonlinexxx

Keywords: Climatechange

Coffeeagroforestrysystems Conservationpractices Ecosystem-basedAdaptation Ecosystemservices Smallholders’agriculture

ABSTRACT

DespitethegrowinginterestinEcosystem-basedAdaptation,therehasbeenlittlediscussionofhowthis

approachcould be used tohelpsmallholder farmersadapt toclimatechange, whileensuring the

continuedprovisionofecosystemservicesonwhichfarmingdepends.Hereweprovideaframeworkfor

identifyingwhichagriculturalpracticescouldbeconsidered‘Ecosystem-basedAdaptation’practices,and

highlighttheopportunitiesandconstraintsforusingthesepracticestohelpsmallholderfarmersadaptto

climate change. We argue that thesepractices are (a) based on the conservation, restoration or

managementofbiodiversity,ecosystemprocessesorservices,and(b)improvetheabilityofcropsand

livestock tomaintain cropyieldsunderclimate changeand/or by bufferingbiophysical impactsof

extremeweathereventsorincreasedtemperatures.Tobeappropriateforsmallholderfarmers,these

practicesmust also helpincreasetheirfoodsecurity, increaseordiversifytheirsourcesof income

generation,takeadvantageoflocalortraditionalknowledge,bebasedonlocalinputs,andhavelow

implementation and labor costs. To illustrate the applicationof this definition, we provide some

examplesfromsmallholders’coffeemanagementpracticesinMesoamerica.Wealsohighlightthreekey

obstaclesthatcurrentlyconstraintheuseofEcosystem-basedAdaptationpractices(i)theneedfor

greater understanding of their effectiveness and the factors that drive their adoption, (ii) the

developmentsupportiveandintegratedagricultureandclimatechangepoliciesthatspecificallypromote

themaspartofabroaderagriculturaladaptationprogram;and(iii)theestablishmentandmaintaining

strongandinnovativeextensionprogramsforsmallholderfarmers.Ourframeworkisanimportant

starting point for identifying which Ecosystem-based Adaptation practices are appropriate for

smallholderfarmersandmeritattentionininternationalandnationaladaptationefforts.

ã2015Z.PublishedbyElsevierB.V.ThisisanopenaccessarticleundertheCCBY-NC-NDlicense(http://

creativecommons.org/licenses/by-nc-nd/4.0/).

Contents

1. Introduction ... 127

2. WhatareEbApracticesandwhicharepotentiallyappropriateforsmallholders’farmingsystems? ... 128

2.1. Anapplicationofthisdefinitiontopracticesusedinsmallholdercoffeesystems ... 129

*Corresponding author at: The Tropical Agricultural Research and Higher EducationCenter(CATIE),7170,Turrialba,CostaRica.Tel.:+50625582528;fax: +50625566355.

E-mailaddresses:[email protected],[email protected](R.Vignola),

[email protected](C.A.Harvey),[email protected](P.Bautista-Solis),

[email protected](J.Avelino),[email protected](B.Rapidel),

[email protected](C.Donatti),[email protected](R.Martinez).

1

Jointfirstauthor.

http://dx.doi.org/10.1016/j.agee.2015.05.013

0167-8809/ã2015Z.PublishedbyElsevierB.V.ThisisanopenaccessarticleundertheCCBY-NC-NDlicense(http://creativecommons.org/licenses/by-nc-nd/4.0/). ContentslistsavailableatScienceDirect

Agriculture,

Ecosystems

and

Environment

3. BenefitsandconstraintsofEbApracticesforsmallholders ... 129

4. WhatisneededtoscaleuptheuseofEbApracticesinsmallholderfarmingsystems? ... 130

5. Conclusions... 130

Acknowledgements ... 131

References... 131

1.Introduction

Agriculture is the main source of livelihood for 1.3 billion smallholder farmers worldwide (WB, 2008) and is highly vulnerabletoclimatechange,particularlyintheTropics(Salinger etal.,2005).Whilethereisnouniversally-acceptedde_finitionof ‘smallholderfarmers’(Morton,2007),mostcultivatesmallareasof land(usuallylessthan10ha,oftenlessthan2ha),usefamilylabor, and depend on their farms as their main source of both food securityandincomegeneration(Cornish,1998;Nagayets,2005).It isestimatedthatsmallholderfarmersrepresent85%oftheworld’s farms(Nagayets,2005)and providemorethan80%of thefood consumedinthedevelopingworld(IFAD,2013).Theyalsooccupya significantportionoftheworld’sfarmland rangingfrom62%in Africato85%inAsia(FAO,2014).Whathappens tosmallholder farmersinthefuture–astheclimatechanges–willthereforehave significant social, economic and environmental consequences globally.

Across theworld, smallholder farmers areconsidered to be disproportionatelyvulnerabletoclimatechangebecausechanges intemperature,rainfallandthefrequencyorintensityofextreme weathereventsdirectlyaffecttheircropandanimalproductivityas wellastheirhousehold’s foodsecurity, incomeand well-being. Whileinsomecases,climatechangemayincreasetheproductivity ofcertaincrops(e.g.,Rosenzweigetal.,2002;TubielloandFischer, 2007; Fuhrer and Gregory, 2014; Schultz and Jones, 2010), a growingnumber ofstudiesshowthattheproductivityofmany crops (e.g., maize, rice, sorghum, cassava) and livestock that smallholderfarmersindevelopingcountriesraiseareexpectedto besignificantlyreducedinthecomingdecadesduetoincreased climate variability and climate change, among other factors (Godfrayetal.,2010;vanNoordwijketal.,2011).

Most smallholder farmers, especially in developing coun-tries, have limited capacity to adaptto climate change, given theirloweducationlevels,lowincome,limitedland areas,and poor access to technical assistance, market and credits, and often chronic dependence onexternal support (Morton, 2007; Harveyet al., 2014).In addition,in many regions,smallholder farmersfarmonmarginallands(e.g.,steephillsideslopes,poor soils or areas prone to flooding or water scarcity) and are thereforehighlyvulnerabletotheimpactsofextremeweather events that can cause landslides, flooding, droughts or other problems.Moreover,manysmallholdersindevelopingcountries livein highlyremoteareaswithlow-qualityinfrastructurethat further hampers their access to markets, _financial assistance, disaster relief, technical assistance or government support (Harvey et al., 2014). As a result, although many smallholder farmershavebeen facingadverseclimatic eventsand,inmost cases taking corresponding action (Altieri and Koohafkan, 2008), most are ill-prepared for the challenge of adapting to the increased frequency and/or intensity of extreme climate eventsthatare expected with climatechange.

In light of both the observed and expected impacts of climatechangeonsmallholderfarmers,manygovernments,NGO’s and multilateral organizations are now actively promoting initiativestohelp smallholderfarmers adapt toclimatechange (FAO,2013).Mostofthoseinitiativesaimatstrengtheningand/or expandingfourmaintypesofactivitiesthataredeemedtoimprove

thecapacityofsmallholderstomanageclimaterisks,namely:(i) developing new technologies, such as satellite-based early warningsystems,(ii)facilitatinggovernmentsupport(subsidies, insurance, technical assistance, etc.), (iii) assisting farmers in accessingcredit,capital andrisk-insurance,and/or(iv) adapting farm management practices (Smit and Skinner, 2002; Howden etal.,2007).Whilealloftheseactivitiesareusefulandnecessary, thefirstthreeareoftendifficulttoimplementintheshort-term due totime requiredforand externalsupportneededtoputin place the necessary enabling conditions such as appropriate policies, governance structures, economic incentives and infra-structure. An immediate and direct way to help smallholder farmers ensuretheir farm-based livelihoods in the face of the increasing stresses posed by climate variability is to focus on helping them use farm management practices based on agro-biodiversity and ecosystem services that provide adaptation benefits (van Noordwijk et al., 2011). Thereis a wide array of agricultural practices that could help farmers improve their farming systemsandincrease theresiliencyoftheirsystemsto climatechange(Wezeletal.,2014).Manysmallholderfarmersare already implementing practices that maintain complex agro-biodiversityandthatresultinahighercapacityoftheirproduction unitstoresist,cope withand/or recoverfromextremeclimatic events(Lin,2007;AltieriandKoohafkan,2008).

Some of the most promising adaptation practices take advantageofexistingecologicalprocessesandbiologicaldiversity toprovideadaptationbenefitstoagriculturalproducersandcanbe potentially incorporated in many of the increasing number of initiatives that are promoting ecosystem-based responses to climate change and variability. While several authors (Altieri and Koohafkan, 2008; Munang et al., 2013) and international organizations (SCBD, 2009; FAO, 2013; UNFCCC, 2013) have highlighted thegeneral importance and benefits of ecosystem-basedstrategiesforclimatechangeadaptation,therehavebeenno studies that have defined what ‘Ecosystem-based Adaptation’ (EbA)meansinthecontextofagricultureandusedthisdefinition toidentifywhichsuchpracticesarealreadyinplace.Inaddition, there have been nostudiesthat have examined the associated benefitsandcostsofEbApracticesforsmallholders,orconsidered which processes are currently promoting or hampering the adoptionofthesepractices.

The objective of this paper is to provide a framework for identifying which agricultural practices can be considered Ecosystem-based Adaptation and to explore which of these practices aresuitable for smallholder farmers. Wedemonstrate theapplicationoftheframeworkusingexamplesofpracticesused bysmallholdercoffeefarmersinCentralAmerica.Wealsoexplore theopportunitiesandconstraintsforenhancingtheuseofEbAby smallholderfarmersandproviderecommendationsforhowEbA couldbescaledupacrosssmallholder farmingsystemsglobally. Identifying ecosystem-based practices which can both help farmers to adapt to climate change and also conserve the agroecosystems’ capacity to provide both on- and off-site ecosystemservicesisimportant,notonlybecauseoftheexpected increase of negativeimpacts of climatechange-on smallholder farmers,butalsobecauseoftheincreasingpressurethatwillcome fromtherapidlygrowinghumanpopulationonbothprovisioning (e.g.,food,fiber)and non-provisioning(e.g.,waterand nutrient

cycles)services in agriculturallandscapes(Tilman et al., 2002; Jacksonetal.,2007).

2.WhatareEbApracticesandwhicharepotentiallyappropriate forsmallholders’farmingsystems?

Ecosystem-basedadaptationhasgenerallybeendefinedasthe useof biodiversityand ecosystemservicesaspartofanoverall adaptationstrategytohelppeopleadapttotheadverseeffectsof climatechange(SCBD, 2009).While there is a rapidly growing interest in Ecosystem-based Adaptation for its potential social, environmental and economic bene_fits (e.g., Jones et al., 2012; Munangetal.,2013;Campos etal.,2014;Doswaldetal.,2014), almostallofthisliteraturehasfocusedontheadaptationbenefits thataccrue fromtheconservationand/orrestorationof natural habitats.WerefertoEcosystem-basedAdaptationinagricultural systems as the implementation of agricultural management practicesthat use or takeadvantageof biodiversity, ecosystem services or ecological processes (either at the plot, farm or landscapelevel)tohelpincreasetheabilityofcropsorlivestockto adapttoclimatevariability.Inthisrespect,adaptationcanbeseen asaprocesstopromotethemaintenanceorfurtheradoptionof ecologically-basedmanagementpracticesthatcanprovide adap-tationbenefits.Underthisdefinition,adaptationcanbeseenboth astheprocessofusingecologically-basedmanagementpractices that provide adaptation benefits, as well as a characteristic of diverseagroecosystemsthatarebasedontheuseofbiodiversity andecosystemservicesandwhichareresilienttotheimpactsof climatechange(Jacksonetal.,2010).

We argue, along withotherauthors (Altieriand Koohafkan, 2008;Harveyetal., 2013; Lavorel etal., 2015), thatthe useof ecosystem-basedmanagement practices in agriculturalsystems and landscapes can help smallholder farmers adapt to climate changebyprovidingbothon-site(e.g.,farmlevel)andoff-site(e.g., landscape level) benefits. Agriculture depends on ecosystem services(suchaspollination,nutrientcycling,pestcontrol,Swift etal.,2004;Barrios,2007),butalsoservesasanimportantsource ofecosystemservicestopeople(Tscharntkeetal.,2005;Swinton etal.,2007).Ecosystem-basedmanagementpracticesthatfocuson conservation,restorationand sustainablemanagement of biodi-versityand ecosystemservices couldthereforepotentially help farmersadapt bothtoclimatechangein thelongterm(i.e.,by ensuring the continuedprovision of on and off-site ecosystem services)aswellastoclimatevariabilityintheshortterm(i.e.,by improving the resilience of production units to the increasing impactsofextremeweatherevents;Howdenetal.,2007;Altieri andKoohafkan,2008).Manysmallholdersarealready implement-ingecosystem-basedpracticesthatarealreadyhelpingthemadapt

toclimateextremes(e.g.,Holt-Giménez,2002;Lin,2007),however there is a tendency for development-oriented initiatives to promotetechnologicalpackagesthat simplifythesesmallholder farmerssystems,makingthemmorevulnerabletomarketand/or climate-variability stresses (Eakin, 2005). The promotion of practicesthatareecosystem-basedcouldhelpreversethistrend and promote farming systems that are more ecologically and sociallysustainable,andresilienttoclimatechange(van Noord-wijketal.,2011).

WedefineEcosystem-basedAdaptationinagriculturalsystems asagriculturalmanagementpracticeswhichuseortakeadvantage ofbiodiversityorecosystemservicesorprocesses(eitheratthe plot,farmorlandscapelevel)tohelpincreasetheabilityofcropsor livestocktoadapttoclimatechangeandvariability.

Under this definition ecosystem-based agriculturalpractices mustbebasedontheconservation,restorationormanagementof biodiversity (at the genetic, species or ecosystem level) and ecosystemprocessesandservices(suchasnutrientcycling,water regulation). Examples of agricultural practices that meet these criteria include practices that use both agro-biodiversity and ecosystem processes include the management of trees in agroforestryorsilvopastoralsystems,theuseofmulchingorlocal speciesascovercropstohelpconservesoilstructure,humidityand nutrients,ortheconservationofriparianvegetationinfarmsto ensurewaterprovision,amongothers.In contrast,practicesthat substitutetheroleofbiodiversityinprovidingecosystemfunctions and services for agricultural production such as inorganic fertilization,orapplicationoffungicidesarenotecosystem-based. Second,EbApracticesarepracticeswhichhavebeenprovento improve the ability of crops and livestock to adapt to climate change and variability. These practices can be implemented at variousscales-fromplottofarmtolandscape.Forexample, on-farmmanagementofgenetic biodiversity(e.g.,diversificationof cropvarietiesorinclusionofwildrelatives)canensureabroader sourceof cropresistance-capacity touncertain occurrence and effectsofextremeweatherevents(Lewisetal.,1997;Jacksonetal., 2010;Ratnadassetal.,2012).Otherfarm-levelpracticesinclude the use of integrated pest-management strategies (i.e. the integrationofcultural,biological,andchemicalcontrolmethods), or new cropping systems to reduce the impacts of pests and diseases(WayandvanEmden,2000;Lamichhaneetal.,2015),the plantingofwindbreaks,agroforestrysystemsorcovercropstohelp reducetheevapotranspirationeffectofextremeradiationand/or wind,ortheenergeticforceofextremerainfallandstrongwinds onsoil structure (e.g., Lin, 2007; Altieriand Koohafkan, 2008), amongothers.Atthelandscapelevel,EbApracticescaninclude those that use biodiversity and ecological processes to help regulatewaterandnutrientcycling(e.g.,byensuringtreecoveror

Table1

SummaryofthreekeydimensionsandunderlyingcriteriathatagriculturalpracticesneedtosatisfytobeconsideredEcosystem-basedAdaptationpracticesthatare appropriateforsmallholderfarmers.Practicesthatfulfillatleastonecriterioninthe‘ecosystem-based’and‘adaptationbenefits’dimensionscanbeconsidered ‘Ecosystem-basedAdaptationpractices.PracticesthatalsofulfillatleastonecriterioninthethirddimensionareEbApracticesappropriateforsmallholderfarmers.

Dimension1:ecosystem-basedness Dimension2:adaptationbenefits Dimension3:livelihoodsecurity Is based on the conservation, restoration and

sustainablemanagementofbiodiversity(e.g., genet-ic,speciesandecosystemdiversity)

Is based on the conservation, restoration and sustainable management of ecological functions andprocesses(suchasnutrientcycling,soil forma-tion,waterinfiltration,carbonsequestration,etc.)

Maintains or improves crop, animal or farm productivity in face of climate variability and climatechange

Reducesthebiophysicalimpactsofextreme weath-erevents(heavyrainfall,extremelyhigh tempera-tures,strongwinds,etc.)andhightemperatureson crops,animalsorfarmingsystem

Reduces crop pest and disease hazards due to climatechange

Increasesfoodsecurityofsmallholderhouseholds Increases or diversifies income generation of

smallholderhouseholds

Takesadvantageoflocalortraditionalknowledgeof smallholderfarmers

Uses local, available andrenewable inputs(e.g., using local materials from within the farm or landscape, rather than external inputs such as pesticides,inorganicfertilizers,etc.)

Requiresimplementationcostsandlaboraffordable tosmallholderfarmers

naturalvegetationinkeyhydrologicalhotspots),ortoreducethe incidenceorseverityofcroppestanddiseaseoutbreaksrelatedto extreme weather events (e.g., by enhancing the structural complexityoftheagriculturallandscapesthroughdiverse crop-pingsystems,orinclusionofnaturalvegetationandon-farmtree covertopromotepestregulation;Jacksonetal.,2010;Juroszekand vonTiedemann,2011;Pautassoetal.,2012;Jaramilloetal.,2013). Practicesthatmeetatleastoneofthecriteria(seeTable1)in eachofthesetwodimensions(i.e.,thosethatareecosystem-based, andthosethatprovideadaptationbenefits)canbeconsideredtobe Ecosystem-basedAdaptationpractices.

However, in order for an EbA practice to be considered appropriateor usefulforsmallholder farmers it mustalsohelp improvetheirlivelihoodsand takeintoaccounttheir socioeco-nomicrealities.Thereisampleevidencethatdiverseagroforestry systemscanincreasethefoodsecurityofsmallholderfarmersand households, and increase or diversify their sources of income generation(Sanchez,2000;AltieriandNicholls,2008). Ecosystem-based Adaptation practices often take advantage of local or traditional knowledge, and can therefore be easily used by smallholder farmers. In addition, these practices typically are basedonlocal,availableandrenewableinputs,suchasusinglocal materialsfromthefarmorthelandscape.Last,butnotleast,they shouldbepracticesthathavelowimplementationcostsandlabor needs, which smallholder farmers can meet, and not increase farmerdependenceonexternalproductioninputs(i.e.,machinery, fertilizers,labor,etc.)(Munangetal.,2014).

Insummary,inourproposedframework,ifagivenagricultural practices meetsatleast onecriteria in eachof the ‘ecosystem-based’ and the ‘adaptation benefits’ dimensions, it can be consideredanEcosystem-based Adaptationpractice.If it meets atleastonecriterion inallthreedimensions (ecosystem-based, adaptation,andlivelihoods),itcanbeconsideredan Ecosystem-based Adaptation practice that is appropriate for smallholder farmers.

2.1.Anapplicationofthisdefinitiontopracticesusedinsmallholder coffeesystems

Todemonstratetheusefulnessofourproposedframeworkfor identifyingEbApracticesforsmallholderfarmers,weapplieditto agricultural practices used in smallholder coffee production system,acommonfarmingsysteminmuch oftropicalAmerica (Jha et al., 2014). Using information from a related extensive literaturereview(n>300papers)onpracticesusedbysmallscale coffeecombinedwithelicitationofexpertopinion(Bautista-Solís etal.,2014),weidentifiedthekeypracticesusedinsmallholder coffee productionand then evaluatedeach practiceagainst the proposedcriteria inTable 1 to identifywhich practices can be considered ‘EbA’ practices and which of these are suitable for smallholder farmers. In Annex 1 we provide the detailed information ontheevidencethat was usedfor evaluatingeach practiceagainsttheproposedcriteria,includingthefull bibliogra-phy ofthe literaturereviewed.Here, we present a higher-level summary of this information to illustrate how the different practicesmeetdifferentcriteria.

Supplementarymaterial related to this article found,in the onlineversion,athttp://dx.doi.org/10.1016/j.agee.2015.05.013.

Ofthe16coffeemanagementpracticesevaluated,ninecanbe consideredEcosystem-basedAdaptationpractices,astheyclearly are based on the conservation, restoration or management of biodiversityandecosystemservices,andconferadaptivebenefits (Annex 1). On the other hand, some practices are clearly not ecosystem-based (e.g., irrigation systems, use of inorganic fertilizersandpesticides,geneticallymodifiedvarieties,relocation of crops,drainagechannels), while two (resistant varietiesand

mulches)fallintoagrayzonewiththeirclassificationdepending onexactlyhowthesepracticesareimplemented.OfthenineEbA practices identified,sixcanbeconsideredtobeappropriate for smallholderfarmers, duetotheirability tohelpimprovefamily food security, diversity income generation, or their ease of adoption by smallholder farmers with limited resources. One EbAadaptationpracticethatstandsoutasparticularlypromising forsmallholderfarmersistheuseofshadetrees(i.e.,producing coffeeasanagroforestrysystem),asthispracticecanhelpensure the continuedprovisionof key ecosystemservices (pollination, naturalpestcontrol,conservationofwaterandsoils,etc.),buffers coffee from extreme temperatures and rainfall, ensures more stable production under climate-related stresses (Lin, 2007; Philpottetal.,2008), andprovidesclearsocioeconomicbenefits tosmallholderfarmers (Jhaetal.,2014).However,thispractice oftenresultsinloweryieldsinnormalyears(Lopez-Bravoetal., 2012),and hasvariableimpacts ondifferentpestsand diseases (Avelino et al., 2011; Lopez-Bravo et al., 2012).It also requires significantknowledge,technicalskillsand laborforsite-specific managementofshade(Avelinoetal.,2011;Ratnadassetal.,2012). Ourframeworkappearstodoagoodjobofidentifyingexisting practiceswhichcanbeconsidered‘Ecosystem-basedAdaptation’. ItalsopermitstheidentificationofEbApracticesforsmallholder farmers,althoughthelackofreadilyavailableinformationabout someofthesocioeconomicimpactsofthesepracticesandthehuge variabilityinsmallholderfarmingcontextsmakesthisdimension somewhathardertoquantify.Nonetheless,weproposethatthe frameworkisausefulstartingpointforidentifyingEbAoptionsand couldbeappliedtothewidevarietyofagriculturalsystemsthat existglobally,andcouldatleaststimulatecarefulconsiderationof whichofthesepracticesaresuitableforsmallholderfarmers. 3.BenefitsandconstraintsofEbApracticesforsmallholders

Ecosystem-basedAdaptationpracticescanpotentiallybenefit smallholders in multiple ways beyond helping them adapt to climatechange.ThemostobviousbenefitsofEbApracticesarethat they help ensure the continued provision of key ecosystem services(waterprovision,foodprovision,nutrientregulation,pest control, pollination) onwhich farming depends (Lavorel et al., 2015)Thisisincontrasttoother(non-EbA)adaptationmeasures, such as the construction of dams for water irrigation or the increased use of agrochemicals, which also confer adaptation benefits butmay negativelyimpact theprovisionof ecosystem services,whilealsohavingadditionalnegativeenvironmental off-siteeffects(e.g.,lossofbiodiversityorcontaminationofstreams, Graymoreet al.,2001; Battaglinet al.,2003; Carabias-Martinez etal.,2003)andsocioeconomicimpacts(suchasnegativeimpacts on health, Wesseling et al., 1997). In addition, the use of EbA practices can help diversify production systems and sources of income generation, providing more stability to smallholder farmers(Munangetal.,2014).Forexample,theuseofagroforestry incoffee,cocoaorcattleproductionsystemscandiversifyrevenue byprovidingtimber,fruits,fuelwoodandbuildingmaterials(e.g., LagemannandHeuveldop,1983;Somarribaetal.,2004;Herzog, 1994; Rice, 2008) that farmers can use for additional income, especially in years when income from the main cash crop is reduced(Jhaetal.,2011).Theseadditionalproductsreducefarmer vulnerabilitytomarketchanges(Jhaetal.,2011)aswellastheir dependenceonoutsideproducts(ToledoandMoguel,2012),thus helpingimprovefarmerfoodsecuritydirectlyandindirectly.The useofagroforestrypracticescanalsomakesignificant contribu-tionstobiodiversityconservationefforts(Harveyetal.,2008;Jha et al.,2014).Inaddition,many EbA practicescanhelp mitigate climatechangebyeither reducing theamountof GHGemitted fromagriculturalsystems(e.g.,byreducingtheuseofinorganic

fertilizers,agrochemicals,machineryandassociatedemissions),or byincreasing theoverall farm biomass (e.g., by increasingsoil carbonstocksorabove-groundbiomass;DoswaldandOsti,2011; Harveyetal., 2014).Overall,theco-benefitsofEbA practicesin termsofclimateregulation,waterpurification,habitatcreation, biodiversity conservation and landscape amenities are often significantlygreaterthanthose ofengineeringalternatives (e.g., flooddefensesinfrastructure,watertreatmentplants)(Naumann etal.,2013).

However,therearealsosomekeylimitationstoEbApractices which can hamper their adoption by smallholder farmers, especiallyindeveloping countries.Someofthesepractices(e.g. usingcovercrops)canrequirefarmerstomakedifficulttrade-offs betweentheadaptationbenefitstheycanprovidein thelonger term and the significant labor investment needed for their establishment (in the short term) or their maintenance (Jha et al., 2014). Another potential limitation is that some EbA practices(e.g.,someIPMpracticesforMaizearebasedonexternal technicalassistance;Wyckhuysand O’Neil,2007)require infor-mationorknowledgethatisnotavailabletoproducersinmarginal areaswheretechnicalassistanceislimitedorinexistent(Anderson andFeder,2004).Forexample,practices thatusecomplexpest managementstrategies suchasthepush-pull system (asystem basedonacombinationofrepellentandtrapplantstoeliminate insectpests) havebeenproventoimproveharvestsandcontrol maizestem-borer inEasternAfricausinglocally-availableplant species but require significant technical assistance and multi-stakeholderengagement(Khanetal.,2011).

4.WhatisneededtoscaleuptheuseofEbApracticesin smallholderfarmingsystems?

InorderforEbAtobescaledup,itisimportanttopromotethe adoptionofEbAinappropriatefarmingsystemsandcontexts,to encouragethecontinueduseoftheseapproachesinareaswhere farmersarealreadyusingEbAapproaches,andalsotoreducethe on-going loss of biodiversity and ecological integrity within farming systems. We suggest three ways in which the use of EbApracticesbysmallholderfarmerscanbepromotedandscaled uptohelp expandtheiradoption or,where theyarealready in place,stopon-goingtrendsinsimplifyingbiodiversityresourcesof smallholderfarmingsystems.

First, we need toimprove our understanding and scientific evidenceofthelong-termeffectivenessofdifferentEbApractices inenhancingtheresilienceofcrops,livestockandfarmingsystems inthefaceofclimatechangeandextremeweatherevents,either individuallyorin combinationwithotherpractices(FAO,2013). Therearestilllimitedstudiesthatexplicitlycomparetherelative performanceandcost-effectivenessofEbAvsnon-EbAoptions(an exception is Jones et al., 2012)under differentclimate-related stressesandagriculturalsystems.Inaddition,moreinformationis neededonwhichEbAoptionsaremostappropriateforsmallholder farmers living in different socioeconomic and agroecological contexts, as the relative merits and drawbacks of individual practicesarelikelytobehighlycontext-dependent.

Second,weneedbetterarticulationofagriculturalandclimate change policies to promote incentives or actions that, while achieving production targets, also help maintainthe ability of agroecosystemstoprovideon-andoff-siteecosystemservicesand help improvefarmer livelihoodsin theface of climate change. Indeed,smallholderfarmersarelikelytomaintainEbApractices (oradoptthemifnotalreadyinplace)iftheyperceivethatthese practiceswillhelpthemachievetheirproductiongoalsevenunder theimpactofclimatechange,oriftheyreceivedirectincentives (e.g.,paymentforecosystemservices)fortheirimplementation. More specifically, governments and developmentorganizations

could promote greater use of EbA through a mix of policies, incentives,training, capacity-building,andtechnicalsupport,so thatsmallholderfarmershaveboththenecessaryresourcesand therequiredknowledgetomakeinformeddecisionsabouthowto adopt and effectively useEbA practices toenhance the overall resiliency of their farm. Recent efforts, such as those of the ColombiangovernmentwhoseSecondCommunicationtoUNFCCC explicitlyincludesEbAactivitiesinagroecosystems(Cabrera-Leal et al., 2010) and the South African Expanded Public Works Programme(Midgleyetal.,2012)thatpromotestherehabilitation and restorationof ecosystems asa meansof reducing environ-mental and social vulnerability of communities (including smallholder farmers) toclimatechange,areimportant stepsin this direction. Atthe sametime, governmentsshould carefully revisit existing policies that, at the farm level, are currently undermining the maintenance or adoption of ecosystem-based approachessuchasongoingsubsidiesthatpromotethesimpli fi-cationofagro-ecosystemsandtheincreaseduseofagrochemicals and fossilfuel(Altieriand Koohafkan,2008).Similarly, govern-ments should also revisit policies that, at the landscape level, downplaytheroleofagro-ecosystemstofocusonlyontheuseof hard infrastructure (e.g.,dams, seawalls, roads) to reduce the impactsofextremeclimaticevents(Pramovaetal.,2012).

Third,itisimportantthatgovernmentsstrengthenandprovide ongoingsupporttoagriculturalextensionprograms,farmerfield schools, agricultural technical programs and universities, and ensure that their curricula and outreach activities include the promotion of EbA practices. Globally, many countries have dismantled or significant reduced their extension programs (Chang, 2009), yet the need for such support (especially for smallholder farmers facing the impacts of climate change) is greaterthanever (Porter etal.,2014).Farmerfield schoolsand effective extension programs are needed to foster information exchangeonEbApracticesfromtechnicalinstitutionstoproducers andviceversaaswellasamongsmallholders(BraunandDuveskog, 2011; Vignola et al., 2010). Greater investment in extension servicesis urgently needed toensurethat smallholder farmers haveaccesstobestavailableinformation onadaptionstrategies andcanmakeinformeddecisionsabouttheirfarmingsystemsand actuallyincreaseadoption ratesofEbApractices(Vignolaet al., 2010).Inaddition,innovativealliances(e.g.,amongfarmers,NGOs, governments, scientists and the private sector) could play a valuableroleinfillingtheextensionservicesgapsandhelpingto promoteappropriateEbApractices(Munangetal.,2014). 5.Conclusions

TheuseofEcosystem-basedAdaptationpracticesinagriculture offersanimportantopportunitytohelpsmallholderfarmersadapt to climate change, while providing important livelihood and environmental co-bene_fits. Our framework is designed tohelp identifywhichagriculturalpracticescouldbeconsideredEbAand which of these practices may be appropriate for smallholder farmingsystems.ManyofthepracticesthatcanbeconsideredEbA (e.g.,agroforestrypractices,soilandwaterconservationpractices, etc.) are already well known and have been proven to help smallholderfarmersadapttoclimatechange,butcurrentfinancial, political and technical constraints limit a more widespread adoptionofthesepracticesamongsmallholderfarmers.Forthose challengestobeovercome,itiscriticalthatpolicymakersatall levels(local,national andinternational) recognizeand promote theuseof EbAapproaches inagriculturaldevelopment,climate change and environmental strategies, and support their wide-spread adoption. Key strategies for promoting EbA include (i) improvingourunderstandingontheeffectivenessofdifferentEbA practicesandofwhatfactorsdrivetheiradoption,(ii)developing

supportiveandintegratedagricultureandclimatechangepolicies that specifically promote EbA options as part of a broader adaptationprogram;and(iii)establishingandmaintainingstrong andinnovativeextensionprogramsforsmallholderfarmers. Acknowledgements

Wewanttothankthetwoanonymousreviewersthathelpedto significantlyimprovethemanuscriptandclarifyitsmessage.This workwasfundedbytheInternationalClimateInitiative(ICI)ofthe GermanFederalMinistryfortheEnvironment,Nature Conserva-tionBuildingandNuclearSafety(BMUB),aspartoftheCASCADE project(“Ecosystem-basedAdaptationforSmallholderSubsistence and Coffee Farming Communities in Central America”). The GermanFederalMinistryfortheEnvironment,Nature Conserva-tion,BuildingandNuclearSafety(BMUB)supportsthisinitiative onthebasisofadecisionadoptedbytheGermanBundestag.This work was also supported by the Agroforestry Systems with PerennialCropScientificPartnershipPlatformledbyCIRADand CATIE.ContributionsbyC.Harveywerealsopartiallyfundedbythe ASSETSproject,whichisfundedundertheEcosystemServicesfor PovertyAlleviationProgramme(ESPA)projectno.NE-J002267-1. TheESPAprogrammeis fundedbytheDepartmentfor Interna-tional Development (DFID), the Economic and Social Research Council (ESRC) and the Natural Environment Research Council (NERC), as part of the UK’s Living withEnvironmental Change Programme(LWEC).

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