In this chapter we introduce the conceptual framework that underlies the case studies presented in this book and discuss hypotheses about the effects of key factors on community and household decisions concerning income strategies and land management. We also discuss the influence of such decisions on outcomes such as agricultural production, household income, and land degradation (or improvement). This chapter is adapted from Scherr et al. (1996); Pender, Place, and Ehui (1999); Pender, Scherr, and Durón (2001); and Nkonya et al. (2004).

Common property resources1 are important sources of timber, fuelwood, and grazing land in developing countries. When community members have unrestricted access to the resource, or when use regulations are ineffective, these resources are exploited on a first-come, first-served basis. Each individual user of the resource will tend to continue to use the resource until her average revenue is equal to the marginal cost of using the resource (Gordon 1954).

The highlands of East Africa have been endowed with a combination of moderate temperatures, adequate rainfall (falling in two distinct seasons for much of the highlands), and productive soils that make the region one of the best suited for agricultural development in all of Africa. As a consequence, the area has a long history of human habitation and supports some of the highest rural population densities in Africa (Hoekstra and Corbett 1995; Pender, Place, and Ehui 1999).

Numerous methods are available for increasing crop and livestock production in the Ethiopian highlands. Both national and international research institutes have developed technologies that are technically appropriate for these conditions. Examples of such technologies are the broad-bed maker for vertisols and cow traction (Zerbini, Woldu, and Shapiro 1999) and use of a single ox to pull the plow (Ouwerkerk 1990). However, farmers’ adoption of these technologies has been very limited, and farming is still characterized in most areas by low input use and limited use of improved technologies.

Increasing agricultural productivity is an important challenge in Sub-Saharan Africa (SSA). Since the 1960s, agricultural production in SSA has failed to keep up with population growth.

Ethiopia is one of the poorest countries in the world, and its population of more than 70 million people lives mostly in the highlands. The food security of these people is threatened by land degradation and droughts that cause declining and highly variable land productivity. Changes in the global climate may also have caused an increase in the incidence of drought that has occurred recently in areas that were not affected by the earlier droughts.

Under the regimes of Idi Amin (1971–79) and Milton Obote (1980–85), Uganda’s economy plunged into a prolonged crisis with negative real growth rates of GDP (Baffoe 2000). In 1987, under Yoweri Musevini, the Ugandan government introduced an economic recovery program in cooperation with the IMF and the World Bank, aiming at market liberalization, privatization, and de-centralization.

Many countries in Sub-Saharan Africa suffer from problems related to poverty, natural resource degradation, and the complex interactions between these phenomena (Cleaver and Schreiber 1994). In the northern Ethiopian highlands of Tigray region, problems of poverty and degradation are extremely severe: population density is very high, rainfall is scarce and erratic, and soil fertility is low. Under such conditions, farmers need to rely on external inputs and soil conservation practices in order to stabilize or increase yields.

This chapter focuses on the management of agricultural land by smallholder households in the highlands of Kenya. It draws mainly from several recent studies from the central highland areas near to the south and west of Mt. Kenya and the western highland areas to the north and west of Kisumu, which were led by the authors. The chapter also draws from a set of studies under the KAMPAP project.1 See the appendix for a description of the key papers used in this synthesis.

Livestock have diverse functions for the livelihood of farmers in mixed croplivestock systems in the highlands of East Africa. Livestock provide food in the form of meat and milk, nonfood items such as draft power, manure, and transport services as inputs into food crop production, and fuel for cooking. Livestock are also a source of cash income through sale of the above items, animals, hides, and skins. Furthermore, they act as a store of wealth and determine social status within the community.

Land degradation is a severe problem in the densely populated highlands of East Africa and elsewhere on the African continent. Soil erosion resulting from cultivation on steeply sloping terrain, mining of soil fertility due to continuous cultivation with limited application of inorganic or organic sources of soil nutrients, and deforestation and overgrazing of rangelands are among the key factors causing low agricultural productivity, widespread poverty, and food insecurity in the region.

This book includes a series of studies of income strategies, land use, and agricultural dynamics and their impacts on welfare and natural resources in the highlands of Ethiopia, Kenya, and Uganda. There are several reasons for focusing on the highlands. First, the complex problems of severe poverty, low productivity, and poor natural resource management seem to be the rule rather than the exception. This is critical because the highlands support the majority of rural populations in the region. Second, within the highlands are some of the most densely populated areas in all of Africa.