A bridge too far? The influence of socio-cultural values on the adaptation responses of smallholders to a devastating pest outbreak in cocoa

The influence of socio-cultural factors on the adaptive capacity, resilience and trade-offs in decision-making of households and communities is receiving growing scholarly attention. In many partly transformed societies, where the market economy is not well developed, livelihood practices are heavily structured by kinship and indigenous social and economic values. Farm investment decisions and incentives to produce agricultural commodities are shaped by a host of considerations in addition to market imperatives like profit. In one such partly transformed society in East New Britain Province, Papua New Guinea, we examine the adaptation decisions of smallholders in response to the drastic drop of yield in their cocoa plots caused by the sudden outbreak of Cocoa Pod Borer. To explain why the impact of the pest has been so great we examine the interconnections between household responses, the local socio-cultural and economic context of smallholder commodity crop production and the wider institutional environment in which household choices and decisions are made. We argue that the significant lifestyle changes and labour intensive farming methods required for the effective control of Cocoa Pod Borer are incompatible with existing smallholder farming systems, values and livelihoods. To adopt a high input cropping system requires more than a technical fix and some training; it also requires abandoning a ‘way of life’ that provides status, identity and a moral order, and which is therefore highly resistant to change. The paper highlights the enduring influence and significance of local, culturally-specific beliefs and socio-economic values and their influence on how individuals and communities make adaptation decisions.     

Limits to adaptation to interacting global change risks among smallholder rice farmers in Northwest Costa Rica

In this paper, we discuss the theoretical relationships among interacting global change risks, valued livelihood goals, and adaptation limits. We build from research on the impacts of multiple and interacting global change risks in lesser-developed countries and seek to understand household adaptation limits in agrarian communities. We ask: What are valued livelihood goals among smallholder farmers in Northwest Costa Rica? How do socio-economic determinants of adaptive capacities determine their ability to meet these goals in the face of the impacts of interacting global change risks? Our data were based on focus groups, interviews, survey responses from 94 smallholder farmers, government statistics, and published literature. We analyzed our data using qualitative content analysis and quantitative logistic regression models. Our analysis showed that farmers perceived rice production as an identity, and that they were being forced to consider limits to their abilities to adapt to maintain that identity. We found that farm size, cattle ownership, years spent farming, and household income variety were determinants of their abilities to remain in rice production while maintaining sufficient levels of livelihood security. We also showed that for those households most vulnerable to water scarcity, their ability to successfully adapt to meet valued livelihood goals is diminished because adaptation to water scarcity increases vulnerability to decreased rice-market access. In this way, they become trapped by the inability to reduce their vulnerability to risks of the interaction between global changes and therefore abandon valued identities and livelihoods.     

Adaptation to climate change in Bangladesh

Climate change is expected to disproportionately affect agriculture in Bangladesh; however, there is limited information on smallholder farmers’ overall vulnerability and adaptation needs. This article estimates the impact of climatic shocks on the household agricultural income and, subsequently, on farmers’ adaptation strategies. Relying on data from a survey conducted in several communities in Bangladesh in 2011 and based on an IV probit approach, the results show that a 1 percentage point (pp) climate-induced decline in agricultural income pushes Bangladeshi households to adapt by almost 3 pp. Moreover, Bangladeshi farmers undertake a variety of adaptation options. However, several barriers to adaptation were identified, noticeably access to electricity and wealth. In this respect, policies can be implemented in order to assist the Bangladeshi farming community to adapt to climate change.

Policy relevance

This study contributes to the literature of adaptation to climate change by providing evidence of existing risk-coping strategies and by showing how a household’s ability to adapt to weather-related risk can be limited. This study helps to inform the design of policy in the context of increasing climatic stress on the smallholder farmers in Bangladesh.     

Climate change and the transgenic adaptation strategy: Smallholder livelihoods,climate justice,and maize landraces in Mexico

Climate change will affect agricultural production by subsistence farms in crop centers of origin, where landraces are conserved in situ. Various strategies for adaptation to climate change have been proposed. In this paper we examine the prospects of what we call the ‘transgenic adaptation strategy’, i.e. the appeal to use transgenic seeds to adapt to climate change, through the lens of smallholder maize farming in Mexico. Landraces are the bedrock of maize production in Mexico. We consider how maize farmers may respond to climate change and the effects of those responses on crop diversity. In this paper, we argue that the promotion of the transgenic adaptation strategy is problematic for biological and social reasons. Smallholder livelihoods in southern Mexico could suffer a disproportionate negative impact if transgenic technology is privileged as a response to climate change. Agroecological and evolutionary approaches to addressing the effects of climate change on smallholder agriculture provides an alternative adaptive strategy.     

Smallholder farmer cropping decisions related to climate variability across multiple regions

A long history of household-level research has provided important local-level insights into climate adaptation strategies in the agricultural sector. It remains unclear to what extent these strategies are generalizable or vary across regions. In this study we ask about three potential key factors influencing farming households’ ability to adapt: access to weather information, household and agricultural production-related assets, and participation in local social institutions. We use a 12-country data set from sub-Saharan Africa and South Asia to explore the links between these three potential drivers of agricultural change and the likelihood that farmers made farm-associated changes, such as adopting improved crop varieties, increasing fertilizer use, investing in improved land management practices, and changing the timing of agricultural activities. We find evidence that access to weather information, assets, and participation in social institutions are associated with households that have reported making farming changes in recent years, although these results vary across countries and types of practices. Understanding these drivers and outcomes of farm-associated changes across different socio-economic and environmental conditions is critical for ongoing dialogues for climate-resilient strategies and policies for increasing the adaptive capacity of smallholders under climate change.     

Policy support,social capital,and farmers’ adaptation to drought in China

Increasingly severe drought has not only threatened food security but also resulted in massive socio-economic losses. In the face of increasingly serious drought conditions, the question of how to mitigate its impacts through appropriate measures has received great attention. The overall goal of this study is to examine the influence of policies and social capital on farmers’ decisions to adopt adaptation measures against drought. The study is based on a large-scale household and village survey conducted in six provinces nationwide. The survey results show that 86% of rural households have taken adaptive measures to protect crop production against drought, most of which are non-engineering measures. In the case of non-engineering measures, changing agricultural production inputs and adjusting seeding or harvesting dates are two popular options. A multivariate regression analysis reveals that government policy support against drought such as releasing early warning information and post-disaster services, technical assistance, financial and physical supports have significantly improved farmers’ ability to adapt to drought. However, since only 5% of villages benefited from such supports, the government in China still has significant room to implement these assistances. Moreover, having a higher level of social capital in a farm household significantly increases their adaptation capacity against drought. Therefore, the government should pay particular attention to the farming communities, and farmers within a community who have a low level of social capital. Finally, farmers’ ability to adapt to drought is also associated with the characteristics of their households and local communities. The results of this study also have implications for national adaptation plans for agriculture under climate change in other developing countries.     

Adaptation in agriculture: lessons for resilience from eastern regions of New Zealand

Assessments of adaptation in agriculture have evolved considerably from early, top-down, impact assessments. These early assessments, internationally and in New Zealand, provided a limited view of ‘smart farmer’ adaptation. While impact assessment provides some useful insights, experience with vulnerability and adaptation assessment provides a more appropriate foundation for understanding and characterising practical smart farmer adaptation. Findings are presented from 8 years of engagement with farmers in eastern regions of New Zealand. A comprehensive farm resilience picture has emerged from this work. This picture reflects a strong belief from real-world smart farmers that there is sufficient knowledge and experience to adapt to climate change. Proactive farmers are already reading multiple signals, including changes in climate, and are responding. The farm resilience picture provides a foundation for exploring alternative adaptation options and pathways for agriculture. These are presented and discussed in response to two proposed climate change scenarios, a high carbon world scenario and a rapidly decarbonising world scenario. Knowledge intensive, low input systems are consistent with the resilience picture drawn from farmers. Such systems are also consistent with a rapidly decarbonising world scenario and, it is argued, are likely to become increasingly attractive under a high carbon world scenario. A smart farming approach, focused on resilience, provides the basis for development of a response capacity, with potentially significant co-benefits in terms of adaptation and mitigation to climate change. Wider issues and needs to support the further development of farm resilience, and more widely landscape or regional resilience, are identified and discussed. It is apparent from this work that ongoing engagement with smart farmers, focused on resilience, can contribute significantly to development of a coordinated ‘bottom up’ and ‘top down’ response capacity. Addressing the psychology of change is a fundamental need to ensure wider engagement.     

Risk perception and decision-making: do farmers consider risks from climate change?

This paper provides one of the first empirical studies that examine the impact of climate change adaptation practices on technical efficiency (TE) among smallholder farmers in Nepal. An adaptation index is used to explore the impact of farmers’ adaptation on TE using the stochastic frontier analysis framework. Data for six districts of Nepal representing all three agro-ecological regions (terai, hill, and mountain) were collected from a focus group discussion, a stakeholder workshop and a household survey. The survey shows that about 91% of the farming households have adopted at least one practice to minimize the adverse impacts of climate change. Empirical results reveal that adaptation is an important factor explaining efficiency differentials among farming households. Those adopting a greater number of adaptation practices on a larger scale are, on average, found to be 13% more technically efficient than those adopting fewer practices on smaller scale. The empirical results also show that average TE is only 0.72, indicating that there are opportunities for farming households in Nepal to further improve productive efficiency, on average by 28%. Other important factors that explain variations in the productive efficiency across farming households include farmer’s education level, irrigation facilities, market access, and social capital such as farmer’s participations in relevant agricultural organizations and clubs. This study provides empirical evidence to policy makers that small scale adjustments made by farmers in response to climate change impacts are effective in improving farmers’ efficiency in agriculture production. This indicates a need for farmers’ involvement in climate change adaptation planning.     

陕北黄土丘陵沟壑区农户气候变化的适应行为及影响因素分析

从农户个体微观视角,研究农业的活动主体--农户的气候变化适应行为。选择陕北黄土丘陵沟壑区,采用问卷调查和半结构式访谈相结合的方法研究农户气候变化感知与适应行为,运用二元逻辑回归模型分析影响该地区农户适应行为的因素。结果表明：农户对气候变化趋势感知比较一致,认为近5 年夏季和冬季气温升高,降水减少,但与实际观测存在一定偏差。农户应对气候变化采取适应行为的比重并不高,只有57.8% 的农户表示采取了相应的措施来应对气候变化。农户适应行为受气候变化感知的影响,此外,家庭社会经济属性对农户采取适应行为的概率影响显著,而性别、年龄、文化程度等人口属性因素与农户采取适应行为的概率关系不大。     

Smallholder farmers’ participation in climate change adaptation programmes: understanding preferences in Nepal

Globally, adaptation policies and programmes are being formulated to address climate change issues. However, in the agricultural sector, and particularly in least developed countries (LDCs), concerns remain as to whether these policies and programmes are consistent with farmers’ preferences. This study empirically investigates Nepalese farmers’ willingness to support the implementation of adaptation programmes. To this end, we first developed suggested adaptation programmes in accordance with the adaptation measures identified by LDCs in their National Adaptation Programmes of Actions. We then employed a choice experiment framework to estimate farmers’ willingness to pay (WTP) for adaptation benefits. The findings indicate that the substantial benefits of the adaptation programmes for farmers result in a sizeable WTP to participate, which would appear to justify the programmes’ widespread implementation.

Key policy insights

• Farmers are willing to participate in, and contribute to, the suggested adaptation programmes in the form of increased access to climate adaptive crop species and varieties, improved soil quality and irrigation and the provision of training in climate adaptive farming.

• Key socio-economic factors influence farmers’ support of adaptation programmes. Older farmers, those households closer to government extension services, larger land holders, those involved in household labour exchange, farmers located in drought and flood-prone regions and those who perceive that the climate has changed are more likely to participate.

• The more farmers are aware of climate change impacts, the greater their preference for adaptation programmes. Increasing farmer awareness prior to implementation of such programmes is therefore an obvious means of further raising participation rates.

     

The implications of ignoring smallholder agriculture in climate-financed forestry projects: empirical evidence from two REDD+ pilot projects

ABSTRACT

Changes in agricultural practices can play a pivotal role in climate change mitigation by reducing the need for land use change as one of the biggest sources of GHG emissions, and by enabling carbon sequestration in farmers’ fields. Expansion of smallholder and commercial agriculture is often one of the main driving forces behind deforestation and forest degradation. However, mitigation programmes such as REDD+ are geared towards conservation efforts in the forestry sector without prominently taking into account smallholder agricultural interests in project design and implementation. REDD+ projects often build on existing re- and afforestation projects without major changes in their principles, interests and assumptions. Informed by case study research and interviews with national and international experts, we illustrate with examples from Ethiopia and Indonesia how REDD+ projects are implemented, how they fail to adequately incorporate the demands of smallholder farmers and how this leads to a loss of livelihoods and diminishing interest in participating in REDD+ by local farming communities. The study shows how the conservation-based benefits and insecure funding base in REDD+ projects do not compensate for the contraction in livelihoods from agriculture. Combined with exclusive benefit-sharing mechanisms, this results in an increased pressure on forest resources, diverging from the principal objective of REDD+. We note a gap between the REDD+ narratives at international level (i.e. coupling development with a climate agenda) and the livelihood interests of farming communities on the ground. We argue that without incorporating agricultural interests and a review of financial incentives in the design of future climate finance mechanisms, objectives of both livelihood improvements and GHG emission reductions will be missed.

Key policy insights

• REDD+ is positioned as a promising tool to meet climate, conservation and development targets. However, these expectations are not being met in practice as the interests of smallholder farmers are poorly addressed.

• REDD+ policy developers and implementers need more focus on understanding the interests and dynamics of smallholder agriculturalists to enable inclusive, realistic and long-lasting projects.

• For REDD+ to succeed, funders need to consider how to better ensure long-term livelihood security for farming communities.

     

Enabling adaptation? Lessons from the new ‘Green Revolution’ in Malawi and Kenya

This article explores the extent to which efforts to improve productivity of smallholder agriculture through a new ‘Green Revolution’ in Sub Saharan Africa are likely to enhance the capacity of smallholder farmers to adapt to the impacts of climate change. Drawing on empirical material from Malawi and Kenya, the paper finds more conflicts than synergies between the pursuit of higher productivity through the promotion of hybrid maize adoption and crop diversification as a strategy for climate change adaptation. This is despite an oft-assumed causal link between escape from the ‘low maize productivity trap’ and progression towards crop diversification as an adaptive strategy. In both countries, a convergence of interests between governments, donors and seed companies, combined with a historical preference for, and dependence on maize as the primary staple, has led to a narrowing of options for smallholder farmers, undermining the development of adaptive capacities in the longer term. This dynamic is linked to the conflation of market-based variety of agricultural technologies, as viewed ‘from the top down’, with diversity-in-context, as represented by site-specific and locally derived and adapted technologies and institutions that can only be developed ‘from the bottom up’.     

Adaptation,adaptive capacity and vulnerability

This paper reviews the concept of adaptation of human communities to global changes, especially climate change, in the context of adaptive capacity and vulnerability. It focuses on scholarship that contributes to practical implementation of adaptations at the community scale. In numerous social science fields, adaptations are considered as responses to risks associated with the interaction of environmental hazards and human vulnerability or adaptive capacity. In the climate change field, adaptation analyses have been undertaken for several distinct purposes. Impact assessments assume adaptations to estimate damages to longer term climate scenarios with and without adjustments. Evaluations of specified adaptation options aim to identify preferred measures. Vulnerability indices seek to provide relative vulnerability scores for countries, regions or communities. The main purpose of participatory vulnerability assessments is to identify adaptation strategies that are feasible and practical in communities. The distinctive features of adaptation analyses with this purpose are outlined, and common elements of this approach are described. Practical adaptation initiatives tend to focus on risks that are already problematic, climate is considered together with other environmental and social stresses, and adaptations are mostly integrated or mainstreamed into other resource management, disaster preparedness and sustainable development programs.     

Targeting Climate Forecasts for Agricultural Applications in Sub-Saharan Africa: Situating Farmers in User-Space

Several meteorological services in Africa now issue seasonal climate forecasts on an operational basis. However, the failure to develop a comprehensive profile of users has resulted in a considerable gap between the information that is likely to be useful to farmers and that provided and disseminated by these services. The present study develops a methodology to characterize smallholder production systems in order to identify farmer groups who may adopt and benefit from the climate forecast information in sub-Saharan Africa. Through an extensive literature review, data and information was derived from a national household survey of 1540 smallholders in 1995–1997 by the Kenya Agricultural Research Institute and spatial georeferenced data from leading world data centers. The data were analysed and synthesized using the GIS. Considerable opportunities exist for farming communities to improve their profitability using climate forecasts. Although the needs and demand for climate forecasts vary according to the production systems and market forces that determine credit, demand and input availability and, thus, the usability of forecasts depend on the characteristics of the farmers and their place in space. Based on production strategies and options available to farmers, three zones were identified grouping farmers with highly probable, probable and less probable potential of adopting climate forecasts to alter their production practices. Although a climate forecast may be useful to all farmers in the region considered, due to different options available to individual groups of farmers, however, the benefits derived from its use may not be equitable. Some of the options available to farmers in Kenya were considered in this study with a view to highlighting why some may benefit more than others. The methodology demonstrated here could be adopted for other parts of the world for: (1) selecting survey sites to determine the benefits of climate forecasts using farmers participatory rapid rural appraisals and simulation approach, and (2) target climate information where it would be most useful.     

Adaptive environmental governance of changing social-ecological systems: Empirical insights from the Okavango Delta,Botswana

Adaptive management and related fields have theorized new governance strategies that embrace complexity and are able to respond effectively to changing and unpredictable biophysical dynamics. However, this body of work pays inadequate attention to important on-the-ground realities, including feasibility of implementation and the power dynamics embedded in multi-scalar systems of environmental governance. This paper presents findings from a research project on challenges to adaptive management in the variable wetland ecosystem of the Okavango Delta, Botswana. Many residents of this rural region rely on transitional agricultural practices, shifting between dryland and floodplain farming in response to dynamic precipitation and flooding patterns. Higher than average floods in 2009–2011 inundated many floodplain fields past the point of production, causing farmers to shift to the dryland for multiplem seasons. At the same time, the highly centralized Government of Botswana began to implement stricter regulations over floodplain resources, which stemmed in part from a new adaptive management plan developed for the region. As a result, many farmers felt pressured by the government to abandon transitional livelihood practices and to shift permanently to dryland agriculture even though many preferred to continue floodplain farming. This loss of a responsive livelihood strategy will likely result in decreased long-term adaptive capacity for many residents. Drawing on these findings, this paper advances the argument that if adaptive management is to become a viable option for communities in changing environments, more attention must be given to the role of unequal power relations in multi-scalar systems of environmental governance.     

Smallholder Maize Production and Climatic Risk: A Case Study from Mexico

The article explores the strategies employed by smallholder farmers in Mexico to cope with the affects of climatic variability, and how seasonal climate forecasts may assist these farmers in mitigating climatic risk. Recognizing that the decisions of smallholder farmers are intricately tied to the political-economic circumstances in which they operate, the article discusses how agricultural policy in Mexico affects the vulnerability of small-scale producers and may inhibit their ability to use climatic forecasts to their advantage. The article first reviews the literature on smallholder adaptation in Mexico, and discusses briefly policy and institutional issues affecting adaptation at the farm-level. Using the case of small-scale maize producers in Tlaxcala, Mexico, as an illustration, the article then argues that political-economic uncertainty outweighs climatic variability as a determinant of the production strategies of small-scale producers. In these circumstances, the farmers are unlikely to use new seasonal climate forecasts.     

Winter crop sensitivity to inter-annual climate variability in central India

India is predicted to be one of the most vulnerable agricultural regions to future climate changes. Here, we examined the sensitivity of winter cropping systems to inter-annual climate variability in a local market and subsistence-based agricultural system in central India, a data-rich validation site, in order to identify the climate parameters to which winter crops – mainly wheat and pulses in this region – might be sensitive in the future. We used satellite time-series data to quantify inter-annual variability in multiple climate parameters and in winter crop cover, agricultural census data to quantify irrigation, and field observations to identify locations for specific crop types. We developed three mixed-effect models (250 m to 1 km scale) to identify correlations between crop cover (wheat and pulses) and twenty-two climate and environmental parameters for 2001-2013. We find that winter daytime mean temperature (November–January) is the most significant factor affecting winter crops, irrespective of crop type, and is negatively associated with winter crop cover. With pronounced winter warming projected in the coming decades, effective adaptation by smallholder farmers in similar landscapes would require additional strategies, such as access to fine-scale temperature forecasts and heat-tolerant winter crop varieties.     

Reducing Vulnerability of Agriculture and Forestry to Climate Variability and Change: Workshop Summary and Recommendations

The International Workshop on Reducing Vulnerability of Agriculture and Forestry to Climate Variability and Climate Change held in Ljubljana, Solvenia, from 7 to 9 October 2002 addressed a range of important issues relating to climate variability, climate change, agriculture, and forestry including the state of agriculture and forestry and agrometeological information, and potential adaptation strategies for agriculture and forestry to changing climate conditions and other pressures. There is evidence that global warming over the last millennium has already resulted in increased global average annual temperature and changes in rainfall, with the 1990s being likely the warmest decade in the Northern Hemisphere at least. During the past century, changes in temperature patterns have, for example, had a direct impact on the number of frost days and the length of growing seasons with significant implications for agriculture and forestry. Land cover changes, changes in global ocean circulation and sea surface temperature patterns, and changes in the composition of the global atmosphere are leading to changes in rainfall. These changes may be more pronounced in the tropics. For example, crop varieties grown in the Sahel may not be able to withstand the projected warming trends and will certainly be at risk due to projected lower amounts of rainfall as well. Seasonal to interannual climate forecasts will definitely improve in the future with a better understanding of dynamic relationships. However, the main issue at present is how to make better use of the existing information and dispersion of knowledge to the farm level. Direct participation by the farming communities in pilot projects on agrometeorological services will be essential to determine the actual value of forecasts and to better identify the specific user needs. Old (visits, extension radio) and new (internet) communication techniques, when adapted to local applications, may assist in the dissemination of useful information to the farmers and decision makers. Some farming systems with an inherent resilience may adapt more readily to climate pressures, making long-term adjustments to varying and changing conditions. Other systems will need interventions for adaptation that should be more strongly supported by agrometeorological services for agricultural producers. This applies, among others, to systems where pests and diseases play an important role. Scientists have to guide policy makers in fostering an environment in which adaptation strategies can be effected. There is a clear need for integrating preparedness for climate variability and climate change. In developed countries, a trend of higher yields, but with greater annual fluctuations and changes in cropping patterns and crop calendars can be expected with changing climate scenarios. Shifts in projected cropping patterns can be disruptive to rural societies in general. However, developed countries have the technology to adapt more readily to the projected climate changes. In many developing countries, the present conditions of agriculture and forestry are already marginal, due to degradation of natural resources, the use of inappropriate technologies and other stresses. For these reasons, the ability to adapt will be more difficult in the tropics and subtropics and in countries in transition. Food security will remain a problem in many developing countries. Nevertheless, there are many examples of traditional knowledge, indigenous technologies and local innovations that can be used effectively as a foundation for improved farming systems. Before developing adaptation strategies, it is essential to learn from the actual difficulties faced by farmers to cope with risk management at the farm level. Agrometeorologists must play an important role in assisting farmers with the development of feasible strategies to adapt to climate variability and climate change. Agrometeorologists should also advise national policy makers on the urgent need to cope with the vulnerabilities of agriculture and forestry to climate variability and climate change. The workshop recommendations were largely limited to adaptation. Adaptation to the adverse effects of climate variability and climate change is of high priority for nearly all countries, but developing countries are particularly vulnerable. Effective measures to cope with vulnerability and adaptation need to be developed at all levels. Capacity building must be integrated into adaptation measures for sustainable agricultural development strategies. Consequently, nations must develop strategies that effectively focus on specific regional issues to promote sustainable development.