Agroforestry Primer 08

8
FROM PRINCIPLES
TO PRACTICE:
KEY SYSTEMS
F R O M P R IN CIP L ES T O P R AC T IC E: KEY SY ST EM S
W
hen applying the three principles of
agroforestry design (farmer-centredness;
aptness to place, people and purpose; and
synergy), it is important to recognize that each landscape
is unique and should therefore have its own unique
agroforestry systems. Trees in these systems can have very
different functions, ranging from being flotilla species in
systems that focus on food production, to being the flagship
species in systems that are designed to restore degraded
forested landscapes.
This chapter describes a small selection of featured

systems to illustrate the different functions of trees and
the resulting design and management implications. The
featured systems should not be read as blueprints for
direct application, but as examples of common and robust
systems that might be used in specific locations after
appropriate modifications.
AGROFORESTRY: A PRIMER 115

FR OM P RI NCI P LES T O P R AC T IC E: K EY SY ST EM S
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Annual crops with trees
(ACT)
In these systems, a tree component provides ecosystem services that

increase the productivity of the flagship component, an annual crop.
The selected tree species often also provide useful products. Because
annual crops are usually sun-loving, the design and management of
these systems seek to increase the numbers of trees on the farm without
creating competition for light.
ACT systems follow two main approaches. In intercropping, trees

are planted among the crops. In niche planting, the trees are planted in
‘niche’ locations, such as farm boundaries, places with low soil fertility,
riparian sections and home compounds. Niche planting is often preferred
when cropping areas are very small, or when the work needed to manage
competition would be out of proportion to the benefits gained from
the trees.
116 AGROFORESTRY: A PRIMER

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ACT systems are most appropriate for farms that have low productivity,
particularly when caused by the following factors:
u low soil fertility

u vulnerable soils – whether due to low organic matter or high
risk of erosion
u climates in which prolonged drought or irregular rainy seasons
are common.
Trees help to counteract these causes of low productivity by increasing

soil fertility, keeping moisture in the soil for longer periods, and preventing
soil erosion (see Chapter 3, Agroforestry systems as circular systems).
These pros need to be weighed against the following cons:
u loss of physical space for the flagship species (because trees will
occupy space where crops could be)
u reduction of crop yield due to shading
u in semi-arid regions, potential water competition between trees
and crops.
Design guidelines
ACT systems are often introduced to farmers as part of agroforestry

programmes that aim to restore or improve soil fertility, increase farm
productivity, and boost household income and well-being. ACT systems
are very variable and context specific. Institutions and individuals
supporting farmers should work with them, following guidelines such as
those outlined in Chapter 5, Co-design and establishment of agroforestry
systems. This will ensure that the system is aligned with the farmer’s goals
and their household’s needs.

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The benefits of tree flotilla species to the farm, crop and farmer will be
highest if the following rules are followed:
u select the right tree for the farmer

u select the right place for the tree
u select the right type of tree for the system,
considering growth rate, crown type and root systems.
On sloping land, trees should be planted along contour lines to stabilize

the slopes and prevent the soil from eroding. Tall trees and shrubs mixed
with grasses can be a good combination, because these each bind a
different layer of soil. Having species of different heights also reduces
shade. Where erosion is already a problem, trees should be planted at
close spacing so that as much as possible of the area benefits from the
soil-binding effect of their roots. Later, the trees can be thinned to manage
the canopy size and shade.
On flat areas, especially small fields, trees are usually scattered in with
crops. This allows the crops to directly benefit from the trees – particularly
nitrogen-fixing species – without receiving too much shade.

Planting niches should be identified with the farmer and other household
members, making sure that the practical aspects of management are
considered. For example, fodder trees should be close to livestock pens.
Fruit trees should be planted close to the house, both for ease of harvest
and for security reasons – the same applies to other high-value species.
Livestock are an essential part of some ACT systems

because their manure serves as organic fertilizer.
On steep slopes, zero-grazing strategies are more
appropriate, as they prevent livestock from damaging
both the soil and the system.
The components (crops, trees, livestock) and how they are best arranged
differ from farm to farm, but we list some general guidelines below:
u Trees are usually less demanding of nutrients than are crops. It is

generally desirable that trees growing with crops should have deep
roots, with fewer roots near the soil surface where most crop roots
are found.
u Competition effects can be reduced by watering, fertilizing and
mulching at competition zones.
u Farmers can correct excessive shade by pruning or thinning the
trees responsible.
u To minimize shading effects, tree rows should be planted parallel to
the path of the sun.
u Some tree species naturally produce less shade. Such trees may
have small leaves, have leaves that tend to go upwards rather than
outwards, or be bare or partly bare (the latter trait is particularly
useful if it coincides with the cropping season).

u The chosen species should have deep roots, grow quickly, preferably
fix nitrogen, and have a light crown that allows sunlight to pass
through easily.
u Highly productive, fast-growing types of trees such as eucalypts and
acacias use a lot of water, and they can reduce water availability for
other components in a system. These kinds of trees can best be used
on farm as a block or woodlot.
u High-yielding perennials that need a lot of light, such as oil palm,
are not suitable to be grown under trees, but they make excellent
shade trees for smaller plants such as cacao and coffee (see Multistrata
cacao agroforestry systems in Central America and the Philippines in
this chapter).
u In semi-arid areas, termites can cause serious damage to seedlings
and mature trees, so mitigation measures like selecting termite-resistant
species and employing protection strategies are very important.
Strategies include removing dead and damaged wood from trees
quickly after damage, mulching to provide alternative food sources,
and careful management of the tree (especially when it is young) to
keep it healthy and able to resist termites. Pesticides can be used, but
they tend to kill natural enemies, and are most effective when used to
kill termite colonies rather than to protect individual trees, which
is undesirable. Several botanical extracts can be used to control
termites.8
8
For more information on controlling termites in agroforestry, see Nkunika P, Sileshi G, Nyejeo P, Ahmed BM 2013.
Termite management in tropical agroforestry. Lusaka: University of Zambia Press.
http://dspace.unza.zm/handle/123456789/6496.

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Management guidelines
Many farmers deliberately maintain mature trees in their fields and/or

protect naturally occurring seedlings so that they grow into mature trees
(a technique known as ‘farmer-managed natural regeneration’). However,
farmers usually have little experience of managing trees that have been
reintroduced into landscapes dominated by annual crops. Unlike farmers
who specialize in tree crops such as fruit species, coffee or cacao, or
that have timber plantations, they may be unfamiliar with tree growth in
height, girth and roots over time, and may not have been trained in how to
maximize growth or productivity.
The following points are often key elements of successful management:
u The most important activity in managing ACT systems is the

management of the trees’ crowns to minimize shading of sun-loving
annual crops.
u Several factors affect the amount of time it takes before trees begin
to interfere with crop growth, including soil fertility, climate, crown
shape, root types and the shade tolerance of the crops in question.
Farmers need to be trained to understand how the various elements
of an agroforestry system respond to tree pruning and thinning (see
Chapter 7, Management of trees in agroforestry systems).
u Warning signs of light competition include yellowing of the crop

leaves – which suggests low photosynthesis and chlorophyll levels –
and, in cereal crops, stunting and thinness. Trees that are grown too
close together usually respond by putting all their energy into height
growth, rather than growth in diameter.
u Pruning, coppicing and pollarding are important in reducing

competition. They also provide useful products such as firewood,
mulch, green manure, fodder and stakes for climbing plants.

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Livestock with trees
Description of the system
We are focusing here specifically on livestock in mixed farming

systems. For the integration of trees in intensive cattle ranging systems,
see Box 7. As an integrated part of the agroforestry system, livestock
offer opportunities for increased profitability, risk reduction through
diversification, better human nutrition, improved land use and higher
agroecological efficiency. Trees are planted to provide ecosystem services
to the livestock; however, they also introduce some environmental and
health risks that must be mitigated by informed and careful management.

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Box 7. The untapped potential of living fences
An important use of linear planting of trees is as live fences to control

livestock. Fencing is very expensive, but live fences are cheaper to
establish than their dead post counterparts. Live fencing is widely
practiced on ranches around the world, including in Honduras and
Nicaragua, where the system has recently been studied in depth.9
Fencing prevents animals from straying and allows land to be

divided into grazing blocks for rotational grazing. Large-scale cattle
producers generally have low tolerance of trees in open pasture, and
in Honduras they usually remove them when canopy cover reaches
20%. However, they actively plant trees around field boundaries.
Live fences are very productive. An inventory of cattle ranches

across 25,000 hectares in Catacamas municipality, Honduras,
identified more than 10,000 fence segments spanning 1,730
kilometres, with a linear density of almost 70 metres per hectare,
covering 6.4% of the land. The potential for timber production from
live fences in the 2.9 million hectares of pasture in Honduras was
estimated to be equivalent to 200,709 hectares of conventional
timber plantations, given that one kilometre of live fence is
equivalent to the yield of one hectare of plantation.
i
9
Somarriba E and Quesada F. 2009. Agroforestry farm planning: manual for farming families. 1st Edition.
Costa Rica: CATIE.
Somarriba E, Orozco-Aguilar L, Cerda R, López-Sampson A. 2018. Analysis and design of the shade canopy
of cocoa-based agroforestry systems. In Umaharan P. ed. Achieving sustainable cultivation of cocoa. London:
Burleigh Dodds Science Publishing, 1–31. https://doi.org/10.1201/9781351114547.

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Livestock, especially browsers like goats, can cause serious damage to
crops and trees if not controlled. In sloping landscapes, free-grazing
livestock can seriously affect soil stability, and thereby undermine the
sustainability of the entire farm.
Zero-grazing systems, as opposed to free grazing, are those in which

livestock are not free to roam the farm to access grazing, browsing or
other feed resources. Usually, this means that animals are housed in
buildings or pens, to which their feed is carried. The system is particularly
appropriate for smallholder farmers that own livestock but have limited
lands and income. Livestock are often kept on small farms to provide
food for the farming household and income from milk, eggs or meat. The
animals that are kept are usually cows, sheep, goats, pigs, rabbits, and,
in some places, guinea pigs.
Although small-scale farmers often tether animals where feed can be

found, such as along farm boundaries, on roadsides or in other accessible
land, the limited space available on farm usually leads to animals being
kept under a ‘zero grazing’ regime. Trees and shrubs in the system are
selected to provide high protein alternatives to add to the basic crop-
residue animal feed. This improves the condition of the livestock and
avoids using all the available crop residues – some of which should be
left on the field as mulch and for soil erosion control – or buying costly
commercial feed supplements.

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Zero grazing offers farmers several advantages. It can improve livestock
management or make it easier, in the following ways:
It can allow livestock to be kept on farms that would otherwise

be too small.
Because zero-grazed animals are usually kept close to the
homestead, household members can more easily manage them
as part of their general activities.
Farmers are more likely to notice pests and diseases.
More accurate management of the nutrition of individual animals
is possible, by feeding them controlled amounts of different
foods. This can improve feed use and is an important first step
towards market orientation (for example, engagement in the
small-scale dairy sector).
It also offers advantages in overall farm management and other important

aspects:
Manure is easily collected

and recycled to crop fields,
increasing resource-use
efficiency across the whole
system. Animal manure is
rich in nitrogen and is a
particularly important source
of phosphorus.
Confinement of the livestock

prevents adverse effects on
soil and natural vegetation,
and damage to the crops of
farmers and their neighbours
is also minimized.
Housed animals are less vulnerable to theft and predation.

FR OM P RI NCI P L ES T O P R AC T IC E: K EY SY ST EM S
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Zero-grazing systems also have some potential disadvantages. They are
labour intensive, and availability of labour may limit the number of
animals that can be kept. Furthermore, buildings and equipment cost
money. The investments needed may be recouped by greater future
profits, but nevertheless may be unacceptable to more risk-averse farmers.
Although the monetary costs may be reduced by using local materials and
building methods, they will rarely be zero.
Zero grazing can also have adverse effects on the health of animals and
their keepers. For the farming family, close contact with livestock brings an
increased risk of zoonotic disease. The livestock, too, are at greater risk of
disease and transfer of parasites. For the animals, however, the effects on
health and welfare can be more far reaching. Unfortunately, zero-grazed
animals are often kept in inhumane conditions, with inadequate space,
lack of bedding and insufficient shelter from the weather. Confinement is
not healthy for any animal, and a lack of exercise can lead to long-term
discomfort and psychological impacts. Where possible, steps should be
taken to minimize these animal welfare problems. Those supporting and
advising farmers can contribute to this by pointing out the advantages of
avoiding adverse effects like foot damage, joint damage, skin damage,
increased aggression, other behavioural changes and poor reproductive
performance. All of these are distressing to the animal and result in
reduced longevity and lower productivity.

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Design guidelines
Fodder tree production

Fodder for zero-grazed animals is often provided in the form of grasses,
fodder legumes, and branches cut from shrubs and trees. There are many
ways to include fodder trees for zero-grazed livestock in agroforestry
systems, such as in ACT systems or as living fences. Good candidate
species produce large amounts of high-quality, palatable fodder; grow
relatively fast; remain productive during the dry season when fodder grass
is scarcer; and tolerate frequent coppicing or pollarding. Species that are
going to be planted with the main food crops should have small, sparse
crowns (to reduce shade) and roots deeper than those of the crop (to
reduce competition for nutrients and water). Some leguminous species
offer the additional benefit of improving soil fertility by fixing nitrogen.
On sloping fields, as in the

aforementioned ACT systems,
trees and shrubs should be
planted along contour lines to
prevent soil erosion. In locations
such as field boundaries, riparian
stretches and small vacant
plots, trees and shrubs can be
grown more densely in fodder
banks, which are permanent
plots that maximize foliage
production. Associated grass
species should be fast growing;
highly productive; well adapted
to frequent cutting or defoliation;
able to provide good soil cover;
palatable to livestock; high in
nutritional value; and either easy
to conserve as hay or silage,
or able to stay green in the dry
season.

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Livestock type
Any type of livestock species or breed may be kept under a zero-grazing
system. However, zero grazing requires relatively high capital investment
and ongoing managerial and material inputs. Therefore, farmers are more
likely to use the system for animals that generate substantial returns, such
as dairy cows or sheep reared for meat that will be marketed. Eggs, which
can be produced in large numbers from improved hen breeds, often have
ready demand and can command a high price. On the other hand, the
ease and efficiency of feeding small livestock, such as rabbits, can make
them an attractive simple option, both for the family diet and for sale.
Investment in improved breeds (such as crossbred dairy animals or

specialized sheep breeds) allows farmers to make the most of the
opportunities for higher incomes that zero grazing offers. However, these
animals do not automatically produce more: they require much improved
feed management (see below) to reach their potential, as well as careful
attention to their health and well-being.

Location
The siting of a zero-grazing unit will be influenced by several factors,
which need to be balanced. Closeness to the homestead makes monitoring
of animals simple, but if many animals are kept, and feed and water
sources are not close, the labour needed may be beyond the capacity of
the farming family. Other considerations include road access, electric
power and availability of local building materials. Each farmer needs to
consider their own situation with respect to location and try to identify the
most appropriate compromise.
Housing and associated infrastructure

A variety of housing designs can be used for zero-grazing livestock,
depending on the farmer’s wider objectives. For example, slatted floors
can greatly improve manure recycling efficiency, if this is an important
consideration. However, slatted housing for large ruminants must be
extremely robust, and is therefore relatively expensive to construct. The
importance of well-designed equipment, such as feed troughs, should not
be underestimated. Inadequate feeders can cause wastage of up to
30 percent of offered feed, and this wastage will reduce profitability.

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Tree and shrub management

Effective management for animal feed of trees, shrubs and other fodder
plants can be quite complex: it requires experience and access to good,
reliable information – for example from extension services. Indonesia’s
three-strata forage zero-grazing system, developed for dry areas, is a good
example. It combines fodder plants, grasses, ground legumes, fodder
shrubs and fodder trees. Its components have differing life cycles or
growth patterns, so high-quality fodder is available all year round. Grass
and ground legumes are harvested during the wet season, shrub legumes
during the dry season, and fodder trees during the late dry season when
little else grows.10 In Rwanda, fodder banks are less complex, as farmers
prefer to plant leguminous shrubs such as calliandra with the crops to
support soil fertility. Fodder banks are usually designed and planted around
a main fodder grass, such as Napier grass, but in rotation with other grass
species that are used for other purposes. They are also grown in permanent
positions on land not used for cropping, for example along rivers.
10
For an example of planting for year-round fodder see Nitin IM, Lana K, Sukanten W, Suarna M, Putra S. 1989.
The concept and development of three-strata forage systems. In Proceedings of the IDRC workshop Shrubs and Tree
Fodders for Farm Animals, Denpasar, Indonesia, 24–29 July 1989. 92–102
https://idl-bnc-idrc.dspacedirect.org/bitstream/handle/10625/18656/IDL-18656.pdf.

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Feed management
Decisions regarding the appropriate feeding of livestock always involve
a compromise between production objectives (which can be multiple
and conflicting) and the range and quantities of feeds that can be
made available. Some cut-and-carry systems operate efficiently on feed
resources that are collected locally from common land (such as roadside
grasses), while others may be wholly dependent on planted forages and
other feed or food-feed11 crops. Trees and shrubs, particularly legumes,
provide high-quality, nitrogen-rich feed to complement crop residues.
Manure collection and handling

Zero grazing offers an important opportunity for farmers to make more
effective use of the manure produced by their animals. In some cases, it
may be used as fuel, but recycling nutrients by applying it to croplands
is also a very widespread practice. In addition to improving resource
use efficiency through the system, manure recycling can deliver direct
financial benefits by reducing expenditure on purchased fertilizer. Direct
application to crops should be avoided. Farmers need knowledge on good
composting practice to maximize the value of manure.
Watering
Watering is often overlooked, but is of critical importance for housed
livestock, which are unable to find water for themselves. Water
requirements have been discussed in the livestock section under the
High needs for care and maintenance subsection. Common sense is also
helpful: if a farmer expects a dairy cow to produce 20 litres of milk each
day, but only offers her 10 litres of water, disappointment is going to be
the only outcome!
11
Food-feed crops are those consumed by both people (food) and animals (feed).

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Multistrata perennial
agroforestry
Multistrata perennial agroforestry systems are the most complex of all

kinds of agroforestry. They include both simultaneous and successional
systems. In a simultaneous system, the same species, with their horizontal
and vertical arrangements, are maintained for the system’s entire
productive lifetime. In a successional system, species composition and
structure change over time.
Both systems take advantage of species’ differing needs for water, light and
nutrients. Simultaneous systems deliberately combine species that reach
different heights, dividing into different layers the vertical space between
soil and sun. Plants and trees are selected in such a way that, at any given
moment, each species or group of species ideally occupies a specific
layer based on its relative height and its need for sunlight (see Chapter 7,
Management of trees in agroforestry systems). However, as tree height

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changes over time, management is needed to maintain the different layers.
In successional systems, this resource-sharing strategy is taken further by
planting species with different life cycles. Over time, the species succeed
each other; plants with shorter lives develop alongside longer-lived ones.
When they are pruned or complete their life cycle, they leave a beneficial
legacy: organic matter in the soil, and the results of their interactions
with other plant, animal and microbial species. These improve the soil’s
structure, fertility and moisture content.
Multistrata systems vary greatly in their design and species composition,

depending on the region and the type of farming community. However,
they are usually designed around one flagship crop that represents the
main production objective for the farmer or the farming community. Often,
the production objectives change over time as different products become
available, as different components of the system mature, and as market
conditions and product values change. Because of the high investment
required in labour and planning, it is essential that the farmer is closely
involved in design and planning. Only farming communities that fully
understand the time and commitment needed to manage these systems
will be successful in reaping their benefits.
Design of multistrata systems entails optimization of the use of space by

arranging plants in space and time, thereby ensuring maximum productivity
of the flagship crop through careful management of the density of the
different layers. Well-designed multistrata systems take advantage of existing
seed stocks by supporting the natural regeneration of native tree species,
while deliberately adding new components with important livelihood
potential, such as fruit trees or commodities like oil palm and rubber.

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Design guidelines
A carefully designed canopy structure is required to optimize the use of

horizontal and vertical space. This is done based on the productive life
cycles and heights of different species.
In hilly terrain, trees should be planted following contour lines, to

minimize soil erosion.
The system is initially designed around optimization of the productivity of

the flagship species (which varies from place to place), with flotilla species
chosen to maximize synergies. This requires detailed knowledge of the
flagship’s physiological needs and productive stages.
Trees that produce a lot of foliage, and nitrogen-fixing species, enhance

nutrient circulation in the system. In successional systems, these functional
groups of species should be represented in each stage of the succession
to reduce dependency on commercial fertilizers. The life cycles and
productivity ranges of the different species should be mapped out to time

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the planting of the successional stages. This avoids productivity gaps and
cash flow shortages. It is important to avoid production gaps between the
end of one succession’s lifespan and the productive period of the next.
Components need to be managed continuously throughout the

productive cycle of the system to regulate their population density,
minimize competition, and enhance complementarity. Farmers need
to be aware that managing such a system is a full-time job. It is very
demanding in terms of labour requirements at all stages (planning,
planting and management). These demands need to be compatible with
labour availability and the farmer’s knowledge, experience, learning
capacity and aspirations.
Livestock can be included in the system, but plant species then need to
be protected from damage and overgrazing. In uplands with steep slopes,
zero-grazing strategies are more appropriate, as they prevent livestock
damage to both the land and the system.
The basic principle for managing multistrata systems is to manipulate the

species composition and the spatial and temporal structure to provide
the right amount of shade at the right time for the plants in the system.
This requires detailed knowledge of the phenology of each species – that
is, about the timing of leaf loss, production of new leaves and shoots,
flowering and fruiting.
Light triggers plant growth and, therefore, extraction of nutrients from the
soil. In low-fertility sites, and if fertilizer has not been added, excess light
will stress the plant, leading to poor growth and low yield. Signs of stress
include discoloration or death of leaves, and general weakness; highly
stressed plants can die. Farmers can achieve maximum production for a
given level of soil fertility by managing light penetration.

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To assess whether the shading of the system is optimal, extension workers
can follow an easy, three-step procedure:
1
Assess the exposure to sunlight of the system at different times
of the day. Even on the same farm, different areas can receive
very different amounts of sunlight, depending on their position
in the landscape.
2 Walk through the system at different times of the day and observe
the light penetration on the ground. This will tell you whether the
system is too dense and if it requires thinning or pruning.
Discuss with the farmer the level of productivity that they
3
can manage. How fertile is the soil? Can they afford to buy and
apply additional fertilizer? Based on the available sunshine
hours, decide on an optimal shade regime to achieve that
productivity level.
Using the assessments made in the above three steps, work with the farmer
to develop an optimal monthly routine for managing the canopy and stock
density.

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Multistrata cacao agroforestry
systems in Central America
and the Philippines
Cacao was first cultivated as a shade crop under the canopies of native
trees. In many countries, however, the availability of full-sun varieties,
coupled with pressure to increase production, eventually led to
replacement of these systems. Yield in unshaded systems can be five times
greater than in shaded systems, but they also demand a lot of nutrients,
leading to soil exhaustion. As a result, cacao farmers tend to open new
fields when establishing plantations, often leading to deforestation.
Because of its shade tolerance, cacao is one of the crops most suited to
agroforestry systems, especially for farming families who prefer diversified
income streams to reliance on one crop. There is also renewed interest
among large chocolate producers in agroforestry, because climate change
is beginning to affect plantations in traditional cacao growing areas. Cacao
plants are highly sensitive to variation in climate, particularly temperature,
but also changes in rainfall and in the number of hours of sunlight.
Concern is also growing over deforestation caused by cacao expansion.
The diversity, botanical composition and structural complexity of cacao

agroforestry systems varies widely between geographical regions, between
farms within a region, and even between sections within a plantation.
Across regions, design and management are often deficient, leading to
suboptimal shade (excessive, deficient or uneven).

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Design guidelines
In this multistrata system, cacao is grown as an understorey of the canopy

and emergent layers (Figure 6). In a well-managed system, ground-cover
crops such as forage legumes and grasses can also be grown beneath the
cacao.
The layers optimize the use of light, water, nutrients and space. The
emergent and canopy layers maximize light utilization and provide shade
to the cacao trees, which absorb both direct and diffused light.
Below ground, the range in root depth allows the system to exploit more
water and nutrients, and protects the soil against erosion and landslides.
Deep rooted trees bring up nutrients such as nitrate, phosphate and
organic acids from deep in the soil, and make these available to shallow-
rooted trees, including cacao, through their litter.
To ensure maximum health and productivity of the plants, shade levels

must be carefully planned, monitored and managed over the lifetime of a
shade cacao system.
Inappropriate shade levels have dramatic effects. Under-shaded trees

will show stunting, signs of water stress, scalded leaves and stems, flower
cushions damaged by scalding, fewer leaves and low yield. Over-shaded
trees will also show stunted growth, together with elongated stems and
leaves, low flowering rates, fewer pods, higher incidence of disease
(including Phytopthora, cherelle rot, pod rot and swollen-shoot virus),
and higher incidence of pests such as pod borers.

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The amount of shade required in a particular plantation depends on the
degree of self shading, phenological stage, site conditions and canopy
characteristics, as explained below.
Self shading
In the crown of a cacao tree, upper leaves and branches cast shade
on lower leaves, while neighbouring cacao trees cast shade on each
other. Both are examples of self shading. If self shading is high, then less
overstorey shade is needed. If this happens, fewer shade trees will be
required and the farmer loses the option of producing additional goods
(timber, fruit, etc.) and services (cultural, environmental) in the cacao plot.
Self shading is determined by factors related to the form and size of the
cacao tree, and to planting configurations and spacings, alone and in
combination. Important ones include:
u age of cacao plants (young plants have small crowns, hence low self
shading – overstorey shade is needed)
u pruning frequency and intensity (infrequent and light pruning results in
tall cacao trees, crown overlap between neighbouring cacao trees and
high self shading)
u whether the trees are grafted or grown from seed (grafted cacao trees
tend to be shorter and more open crowned than trees grown from
seed, resulting in less self shading if the plantation is well managed)
u tree spacing (triangular planting arrangements allow more cacao trees
per hectare than square or rectangular configurations. Self shading is
higher in such ‘packed’ planting configurations).

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Temporal dynamics
In addition to the changes in self shading that occur as cacao plants grow
older and bigger, the light requirements of a cacao tree vary according to
its annual cycle: light is particularly needed at the flowering and pod-
filling stages. For optimal cacao performance, shade must be adjusted to
the monthly rhythms of the cacao plant by timely pruning or pollarding of
the shade trees.
Site conditions
Several site factors influence the amount of light reaching the cacao plot
and the optimal level of shade required:
u the latitude, exposure and slope of the land determine the amount of
sunlight reaching it
u high prevalence of cloud reduces sunlight
u the topography of the surrounding land and the height of the
surrounding vegetation affect the degree of lateral shade cast on a plot
u soil fertility: in infertile soils, farmers can only grow low-shade cacao
if they apply fertilizers. If they are unable to buy fertilizers, then more
shade is needed, because it reduces sunlight and demand for soil
nutrients
u rainfall: for each location, it is important to establish the annual
rainfall below which the introduction of trees to unshaded cacao
would result in poor crop performance due to competition for water
u altitude: cacao can be planted from 50–1,200 metres above sea level.
The optimum elevation is around 400–800 metres. Above 500 metres,
cacao requires less shade than at lower elevations
u temperature: the higher the
temperature, the more shade is
required, so cacao trees generally
require more shade during the dry
season. This has implications for
pruning practice: shade trees should
be pruned at the onset of the rainy
season and allowed to regrow during
the dry season to provide the required
shade during this period.

8
Canopy characteristics
The shade cover should be similar in the different parts of a cacao
plantation. In practice, however, many cacao plantations have patches
with either too much shade or no shade at all. In part, this results from
variation in the vertical and horizontal distribution of the canopy cover
and its botanical composition. Tall trees cast less intense shade than
short ones, and tree species differ both in the time of the year when they
become leafless and in the duration of leafless periods.
Case studies
Cacao agroforestry in Central America

Several Indigenous Peoples of the Mesoamerican Biological Corridor,
including the Chibchas and Mayas, cultivate shade cacao. These cacao
plantations usually harbour between 125 and 145 tree species at densities
of 85–166 trees per hectare. Most trees are planted (except in rustic cacao
systems, which make use of thinned natural forest), although some are
derived from natural regeneration. Shade trees are used for timber (Cordia
alliodora, Cedrela odorata), fruit (Musa spp., citrus, avocado, coconut,
peach palm, mango), and shade (Inga spp., gliricidia, leucaena). Tree
canopies have three vertical strata (low <10 metres, medium 10–20 metres
and high >20 metres), containing about 50%, 30% and 20% of total tree
density, respectively.
In these systems, cacao is cultivated at 100–800 metres of elevation in

small plots (1.2 hectares per farm). Cacao trees are typically spaced at
4 × 4 metres (625 plants per hectare) in most countries. They are usually
produced using hybrid seed from either controlled pollination or from
pods selected on local farms. Grafted cacao has been used only since
around 2010 and is still scarce. Most farmers have two or more cacao
plots per farm.

8
Five basic types of shade canopy are used in the region:
1
cacao under shade of one species, either a timber species
(for example, Cordia alliodora) or a nitrogen-fixing legume
(for example, Inga species)
2 cacao under two shade strata composed of a mixture of fruit

(for example, citrus, Nephelium lappaceum, peach palm),
legume, and timber species (C. alliodora)
3 cacao intercropped with banana and fruit species under one

shade species (timber or legume)
4 diversified home gardens with cacao, fruit, timber and

legume species
5 rustic cacao (‘cabruca’): cacao planted under thinned

natural forest.

8
Cacao agroforestry in Claveria, the Philippines
Claveria is an upper-watershed town in eastern Misamis Oriental
Province on the island of Mindanao. Land-use practices in the region
affect lives and livelihoods of people living in the 13 downstream coastal
municipalities: soil erosion from poor land management contributes to the
siltation and pollution of downstream water bodies, and affects the quality
and availability of marine resources.
In this context, cacao agroforestry is particularly important, because it

provides permanent soil cover and reduces erosion, landslides and runoff.
Due to its multiple components, the system acts as a climate adaptation
and mitigation measure, ensuring climate-resilient, sustainable streams of
products and services. It also helps to buffer farmers against fluctuations in
commodity prices.
Cacao combined with rubber, fruits and forage legumes is common in

sloping lands in the region. In this system, contour lines with 0.5-metre
natural vegetative filter strips are laid out every 10 metres. Rubber trees
are planted at a spacing of two metres apart, approximately 25 centimetres
above the grass strips; about 500 such trees can be accommodated on one
hectare. Two rows of cacao trees at three-metre spacing are planted in the
alleys (between the grass strips), 3.5 metres from the rubber rows, resulting
in around 660 cacao trees per hectare. Bananas are then planted between
the rubber trees at a density of 500 per hectare. Fruit trees such as durian
or langsat are then planted in the middle of each cacao row, spaced at 10
metres apart (100 per hectare). Pinto peanut, a forage legume, can also be
planted as a ground-cover crop.
Cacao with coconut and fruit trees is

also used on sloping lands, while cacao
with rubber, vanilla and banana is used
on flatter areas. Cacao is also used in
parkland systems, both on sloping and
flat areas.

8
i
Oil palm agroforestry
Agroforestry systems for commercial oil palm are multistrata systems that
offer an alternative to farmers and companies that want to produce palm
oil, but do not want to specialize in just one crop – or who would like their
oil to have a smaller environmental footprint.
The system was developed with farmers in Brazil. Individuals had a

strong influence on the spatial design of the systems and the selection
of the species, so no two systems are the same. They require agricultural
technology packages different from conventional oil palm models. Instead
of maximizing palm oil yields per hectare, they aim to diversify livelihood
options by combining oil palm with other crops of commercial value,
allowing simultaneous production of food crops. They also aim to improve
nutrient and water flows
by taking advantage of
the synergies between the
different components. To
provide space for the other
components, palm density
varies from 60 to 100 trees
per hectare, whereas the
density in conventional
systems is 144 per hectare.

8
Management of oil palm agroforestry systems requires considerable
knowledge, so training and technical assistance for farmers are important
elements of creating, implementing and maintaining systems that will be
successful and profitable.
Design guidelines
Oil palm agroforestry is suitable for all soil types and land types that are
suitable for oil palm – that is, well-drained soil in flat areas.
The components and spacing are designed around the flagship crop,
oil palm. Flotilla species are selected based on how each farmer prioritizes
objectives such as incomes, food provision, and contributions to soil
health and biodiversity. In Brazil, farmers selected cash crops such as
cacao and fertilizer species, including inga, gliricidia and Mexican
sunflower.
To simplify the harvesting and transport of fresh fruit bunches from the oil
palm, it is advisable to plant oil palm rows in sections, with light-loving
crops and trees interspersed between the sections. In Brazil, farmers
have opted for double, triple or quadruple rows of oil palm, keeping the
conventional 7–9 metre spacing between the palms.
Oil palm is the most productive oil producing plant and has very high
light and nutrient requirements. It is therefore important to avoid creating
competition for these resources. As in all multistrata systems, competition
for light is managed by selecting species that reach different heights,
effectively dividing the horizontal space between soil and sun into
different layers (see Multistrata perennial agroforestry in this chapter), and
by actively managing the system once the components grow. Oil palm
trees should not receive more than 10–15% shade, so high-strata trees
should be placed at maximum distance from the oil palm rows and be
carefully chosen for a crown shape that is as porous to light as possible.

8
Shade-loving crops like cacao, ginger, turmeric, some woody ornamentals
and – possibly – coffee can be grown underneath oil palm trees. As oil
palm seedlings have very fast-growing, aggressive, shallow roots, perennial
components such as cacao must be planted simultaneously to make sure
that they establish good root systems and are able to thrive.
The components need to be arranged both to avoid shading the oil palm,
and to ensure appropriate light levels for other components in the system.
Sun-loving plants should not be planted directly under oil palm. However,
it is generally advisable to err on the side of planting too many at the start:
it is easier to get rid of surplus plants than to establish them later.
When integrating food crops, it is important to take advantage of the oil

palm’s life cycle. The palms take five years to reach maximum height and
crown cover. During this period, they do not cast much shade, and sun-
loving crops like maize and cassava can be easily grown between the oil
palm and the other perennials in the system. Beyond this time frame, and
depending on the system design and spacing, many understorey crops
– particularly the annuals and biennials – will only have adequate light
to grow for a few more years. Once the system matures, perennial and
semi-perennial food crops like bananas can be planted and can stay in the
system for about 8–10 years.
Oil palm agroforestry is relatively labour intensive, and, as in all

agroforestry systems, the more integrated the components, the more labour
is generally required – especially in the first few years. This adds to the
labour demand for the oil palm itself, which tends to increase over time,
in contrast to many other crops. As such, it is important to design and
implement the system at a scale that is manageable, given the amount of
labour that is available to the household or landowner.

8
Some of the shade-loving crops that can be grown in an oil palm

agroforestry system, such as cacao and cut flowers, may be financially
almost as important as the oil palm itself, so their needs and light
requirements must be carefully managed. At times when oil palm prices
are low and those for other cash crops are higher, farmers can prune their
palms more intensively than usual to provide more light and increase the
yield of the understorey crops.
Pruning is an important element in any kind of oil palm cultivation,

and farmers need to be well trained in the basic principles of managing
productive adult oil palms.
Because oil palm is a ‘hungry’ crop, it will require fertilizer, especially

during the first five years, to ensure good yields and prevent stunting –
particularly when farmers are working on degraded soils. Organic fertilizer
can be created on-site by composting available biomass, though the
system will not be able to supply adequate on-site fertilizer for the first
few years.
A biodiverse, successional oil palm

agroforest can reduce or eliminate the
need for pesticides, though particular
organic inputs and agroecological
techniques will be required to address
these issues, particularly in the shorter-
term.
‘Slash-and-mulch’ of fertilizer species

(which produce biomass very efficiently)
is an important element of soil health
management. This feeds the system on
a continuing basis.

8
i
Rainforestation farming
System description
Rainforestion farming is a successional, multistrata agroforestry system

developed to restore native forest cover and forest diversity, while
providing diverse income streams to farmers from multiple crop and
tree products, including timber. Such systems are designed to shift the
livelihood component gradually from crops to trees, ensuring that farmers
have an incentive to contribute to forest restoration.

Rainforestion farming was developed in the Philippines in the 1990s as

a solution for community forest areas. Exploitation of the natural mixed
dipterocarp forests had turned these areas into highly degraded biological
and agronomical ‘deserts’. Upland areas without trees were dominated by
highly invasive grasses such as Imperata cylindrica, a land cover type that
does not adequately support the needs of local communities.
Initially, fast-growing exotic species were used to reforest government

land, but these proved ill-suited to withstand the typhoons that regularly
hit the archipelago. So, researchers – together with communities – began
exploring the use of more resilient pioneer and hardwood native tree
species, particularly those from the dipterocarp family. The rainforestion
farming systems they developed proved to be relatively resilient to
environmental shocks such as extreme weather events, as well as
livelihood challenges such as market fluctuations and food insecurity.
Rainforest farming is often used on government land, so specific

attention needs to be given to tenure rights. On land where the
community does not have the right to harvest the timber,
farmers must be compensated for their labour in planting and
managing native timber trees. In this way, the community
becomes a partner in a private–public restoration effort.
Seedling sales have also provided a major source of income

for many rainforestion farming communities, especially if
governments actively promote procurement from community
managed nurseries in national reforestation programmes.

8
Design guidelines
u Rainforestation farming systems build on traditional community

knowledge. Soil types, whether of ultramafic, sedimentary or volcanic
origin, affect what species can be grown in the system. A good
knowledge of the site, the forest species, and their interaction is
essential.
u It can also be extremely valuable to involve all family members –

including children – in the development of a rainforestion farming
system, because the management needs and benefits from a successful
system will span generations.
u For areas with little tree cover, a successional model in which

agricultural crops give way to fruit trees, which in turn give way
to timber trees is common. The spatial layout must be adjusted to
the individual growth of the trees to ensure that fruit trees aren’t
too quickly overtopped by the timber trees, which could lead to an
unacceptable decline in production. In open areas, native tree spacing
of 2,500 trees per hectare is currently recommended, as this allows
quick canopy closure and site capture.
u Many dipterocarp seedlings are sensitive to light and temperature. For

this reason, they are grown under a canopy of nurse trees. This canopy
is made up of fast-growing, native, pioneer species planted together
with the fruit trees. The shade of any pre-existing exotic tree species,
such as mahogany or mangium, can be taken advantage of, but these
should be slowly replaced by native trees. Existing trees can be used as
supports for other crops such as yams and black pepper.
u Sun-loving root and ground crops, such as cassava, sweet potato,

taro, yam and pineapple are planted at the early stages, but once
trees grow taller and denser, and light infiltration is less than 70%, they
need to be replaced with shade-tolerant crops such as coffee, cacao
and ginger.

8
u On Leyte Island in the Philippines, abaca has been a particularly
successful cash crop for rainforestion farming. This endemic relative
of bananas is harvested for its high-quality fibre, which is widely used
and valued internationally in products such as teabags. Traditionally, it
is grown under nitrogen-fixing trees such as Erythrina fusca and narra.
It is fast growing and quick to recover after extreme weather events
such as typhoons, and is most productive in an environment with
around 50% shade. The fibre extracted from the abaca’s pseudostems
amounts to only around 2% of the plant’s biomass; the rest is left on
the farm as mulch, so abaca can be cultivated in one spot for around
40 years. One option for integrating abaca into a rainforestion farming
system is to plant it a couple of years before planting canopy trees,
so that it then provides useful shade for the tree seedlings when they
are small.
u Integration of animals such as chickens and small ruminants is

encouraged to enable nutrient cycling from their manure.

8
u The guiding principle for managing rainforestion systems is the same

as for all other multistrata systems: that is, to manipulate the canopy
structure through spacing, thinning and pruning to provide the right
amount of shade at the right time for all the plants in the system.
u The strong emphasis on timber trees is a distinguishing characteristic of

rainforestation systems. Consequently, silvicultural treatments such as
thinning and pruning to remove overhead shade, and cutting of vines
and climbing bamboo, need to be done continuously.
u Naturally occurring tree seedlings need to be actively managed and

protected by controlling competing grasses, shrubs and climbers
(assisted natural regeneration).
u On degraded sites, the natural

dipterocarp seedling stock is usually
very scarce or absent. Dipterocarps
therefore must be planted, a process
called ‘enrichment planting’, using
seeds and seedlings collected from
or near mother trees in natural
forest.
u Dipterocarps do not produce seeds

every year. Rather, seed is produced
every 2–10 years. In such ‘mast
years’, all trees of a species produce
their seeds at the same time.
Dipterocarp seeds are recalcitrant,
so seed storage is not possible.

8
u In years when there is no seed
production, wildlings (small seedlings
from natural regeneration) can be
extracted from the natural forest.
This practice is not harmful in places
where natural regeneration is abundant
(for example, under mature trees).
Wildlings are often damaged during
extraction and transport, but if they are
placed in a shaded recovery chamber
– a small, closed structure of bamboo
and acetate plastic sheets, with
relatively constant temperature and
high humidity – their survival rate
will be close to 100%.

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8

This chapter describes a small selection of featured

AGROFORESTRY: A PRIMER 115

In these systems, a tree component provides ecosystem services that

ACT systems follow two main approaches. In intercropping, trees

116 AGROFORESTRY: A PRIMER

u low soil fertility

Trees help to counteract these causes of low productivity by increasing

ACT systems are often introduced to farmers as part of agroforestry

AGROFORESTRY: A PRIMER 117

u select the right tree for the farmer

On sloping land, trees should be planted along contour lines to stabilize

118 AGROFORESTRY: A PRIMER

Livestock are an essential part of some ACT systems

u Trees are usually less demanding of nutrients than are crops. It is

AGROFORESTRY: A PRIMER 119

120 AGROFORESTRY: A PRIMER

Many farmers deliberately maintain mature trees in their fields and/or

The following points are often key elements of successful management:

u The most important activity in managing ACT systems is the

u Warning signs of light competition include yellowing of the crop

u Pruning, coppicing and pollarding are important in reducing

AGROFORESTRY: A PRIMER 121

Description of the system

We are focusing here specifically on livestock in mixed farming

122 AGROFORESTRY: A PRIMER

An important use of linear planting of trees is as live fences to control

Fencing prevents animals from straying and allows land to be

Live fences are very productive. An inventory of cattle ranches

AGROFORESTRY: A PRIMER 123

Zero-grazing systems, as opposed to free grazing, are those in which

Although small-scale farmers often tether animals where feed can be

124 AGROFORESTRY: A PRIMER

It can allow livestock to be kept on farms that would otherwise

It also offers advantages in overall farm management and other important

Manure is easily collected

Confinement of the livestock

Housed animals are less vulnerable to theft and predation.

AGROFORESTRY: A PRIMER 125

126 AGROFORESTRY: A PRIMER

Fodder tree production

On sloping fields, as in the

AGROFORESTRY: A PRIMER 127

Investment in improved breeds (such as crossbred dairy animals or

128 AGROFORESTRY: A PRIMER

Housing and associated infrastructure

AGROFORESTRY: A PRIMER 129

Tree and shrub management

130 AGROFORESTRY: A PRIMER

Manure collection and handling

AGROFORESTRY: A PRIMER 131

Description of the system

Multistrata perennial agroforestry systems are the most complex of all

132 AGROFORESTRY: A PRIMER

Multistrata systems vary greatly in their design and species composition,

Design of multistrata systems entails optimization of the use of space by

AGROFORESTRY: A PRIMER 133

A carefully designed canopy structure is required to optimize the use of

In hilly terrain, trees should be planted following contour lines, to

The system is initially designed around optimization of the productivity of