Institut für Sozialwissenschaften des Agrarbereichs

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AKIS in England - overview and spotlights
(2024-11-11) Knierim, Andrea; Ingram, Julie
A situation analysis of the AKIS in England was undertaken in the time from January to May 2024 with a special focus on the private sector advisory subsystem’s actor constellation and performance based on grey and peer reviewed literature, expert and stakeholder interviews. Results show a particular diversity of actor types, characterised by different organisational features. Thus, it seems that in many places in England, farmers have many choices among service providers when it comes to making use of advisory services. Secondly, the public actor, the governmental department for environment, food and rural affairs (DEFRA) plays a fostering role for offering advisory services in combination with setting up ecosystem service and climate mitigation related measures. Thirdly, a shared conviction of the advantages of peer-to-peer learning formats among all service providing actors in the AKIS was observed as well as a readiness to collaborate with other AKIS actors across all organisational types and subsystems. On the other hand, there is a widely expressed need of coordination among AKIS actors, but no strategic planning or initiative in this regard. Former significant actors have shifted or reduced their roles and influence and, there is a considerable number of hybrid initiatives and innovation networks emerging, which represent and promote an array of new farming practices, technologies and food (production) styles and bridge various communities of farmers, researchers, consumers, citizens and other actors. Although the present study fulfils its objective of providing a (snapshot) overview of the AKIS in England, it equally reveals the blind spots and information deficits with respect to farmers’ needs and interests and the degree to which they are satisfied through the diversity of service actors.
Assessing human mobility and its climatic and socioeconomic factors for sustainable development in Sub-Saharan Africa
(2023) Li, Qirui; Samimi, Cyrus
Promoting human mobility and reducing inequality among countries are the Sustainable Development Goals’ (SDGs) targets. However, measuring human mobility, assessing its heterogeneity and changes, and exploring associated mechanisms and context effects are still key challenges, especially for developing countries. This study attempts to review the concept of human mobility with complex thinking, assess human mobility across forty countries in Sub-Saharan Africa (SSA), and examine the effect of climatic and socioeconomic factors. Based on the coined definition of human mobility, international migration and cross-border trips are taken to assess human mobility in terms of permanent migration and temporary moves. The forty SSA countries are hence classified into four mobility groups. Regression models are performed to identify key determinants and estimate their effects on mobility. The results reveal that seven of these forty countries had a high mobility, whereas most experienced a decline in permanent migration. Lesotho, Cabo Verde, and Namibia presented high temporary moves, while Eritrea, Rwanda, Equatorial Guinea, and Liberia had a high permanent migration. Climatic and socioeconomic conditions demonstrated significant effects on mobility but were different for temporary moves and permanent migration. Wet extremes reduced mobility, whereas extreme temperature variations had positive effects. Dry extremes promoted permanent migration but inhibited temporary moves. Economic wealth and political instability promoted permanent migration, while the young population counteracted temporary moves. Food insecurity and migrant networks stimulated human mobility. The analysis emphasises the interest in analysing human mobility for risk reduction and sustainability management at the multi-county level.
Social assessment of miscanthus cultivation in Croatia: Assessing farmers' preferences and willingness to cultivate the crop
(2023) Marting Vidaurre, Nirvana A.; Jurišić, Vanja; Bieling, Claudia; Magenau, Elena; Wagner, Moritz; Kiesel, Andreas; Lewandowski, Iris
Social aspects of miscanthus cultivation have been investigated in a limited way in the scientific literature. Adopting existing frameworks for social life‐cycle assessment enables assessments to include numerous social aspects; however, the relevance of these aspects depends on the local context. This study aims to identify the most relevant social aspects from the farmers' perspective using a previously proposed framework for the assessment of the stakeholder ‘farmer’. It is based on a case study for miscanthus production in Sisak Moslavina in Croatia. The existence of abandoned lands in Croatia presents an opportunity for the cultivation of miscanthus as a potential source of biomass for the production of bio‐based materials and fuels. The study seeks to assess the feasibility of cultivating miscanthus in the region, taking into account potential challenges and opportunities, as well as farmers' willingness to adopt the crop, and to understand the reasons behind land abandonment. We conducted a survey among 44 farmers in the region and used a scoring method to identify the most relevant social aspects. The aspects most valued by the farmers were health and safety, access to water, land consolidation and rights, income and local employment, and food security. Responses to the question of whether they would adopt the crop highlight the importance of an established market, good trading conditions and profitability of cultivation. The survey also enabled an understanding of farmers' preferences with respect to the production conditions of crops. The farmers regarded the provision of subsidies as one of the main factors that render a crop attractive. Opportunities for the adoption of the miscanthus cultivation include high yields and low input requirements. Barriers include land conflicts and land availability. Despite the opportunities for miscanthus development in the region, there are important challenges to consider for successful implementation of the crop.
Food justice in public-catering places: mapping social-ecological inequalities in the urban food systems
(2023) Hoinle, Birgit; Klosterkamp, Sarah
Departing from reflections and observations raised by Food Policy Councils (FPCs) within North America specifically, this article explores the complex material, discursive, and governance aspects of food provision on the urban-regional scale by highlighting recent accounts of public food provision within state-funded public-catering places in Germany. Based on a fieldwork in Southern Germany, and grounded in a methodological approach guided by participatory action research (PAR), participatory observation, feminist GIS, and 17 interviews with different actors within the regional food systems involved we would like to form the basis for pushing these new approaches further toward more food democracy and food justice as we are elevating the key factors and rewards, but also the downsides and challenges of food provision in public catering places regarding social-ecological inequalities. In doing so, the global intimacies of the urban food system on the local scale, their different modes of inclusions and exclusions, and their intersections of inequalities are unpacked by also shifting the focus to the economic and political entanglements at stake within the global sphere of food provision. By amplifying how producers, meal providers, and consumers within the urban food systems perceive (and perhaps contradict) issues of food justice and by coalescing their perspectives about local food system transformations and desires toward food justice and sustainability, not only the challenges at place but also the promises of hope within public-catering places are illustrated.
Landscape stewardship in under-use contexts : a transdisciplinary social-ecological analysis of common pastures in the Black Forest Biosphere Reserve
(2024) Brossette, Florian; Bieling, Claudia
The common pastures of the UNESCO Black Forest Biosphere Reserve are the ecological hotspot, identification element and key feature of the cultural landscape in the southern Black Forest, Germany. In the second half of the 20th century, the Black Forest has witnessed an ongoing decline in grazing activity and pastureland, so that diverse actors of civil society, politics and science are concerned with how the social-ecological importance of the Black Forest common pastures can be sustained. Declining land use and the abandonment of traditional land-use practices constitute an important threat to cultural landscapes not only in the Black Forest, but also in many places all across the world. However, sustainability sciences have been mostly concerned with questions of overexploitation so far. Research addressing the social and ecological drivers of under use, and their interplay, is still lacking. Recent studies on under-used cultural landscapes offer insights into governance arrangements. Still, the consideration of relationships between people and their environment, a key approach to analyse and lever sustainability, are yet missing in the context of under use. Against this background, this cumulative dissertation draws on common pastures in the Black Forest Biosphere Reserve as a case study to develop social-ecological perspectives for cultural landscapes threatened by under use. The three research articles that form the basis for this dissertation explore the diverse interactions between humans and their environment to ask the question what changes in terms of adaptations and transformations are required to sustain the common pastures. The dissertation asks how conceptual insights on organizational design of common pastures, adaptive governance and social-ecological resilience help to grasp and to advance farmers’ perspectives on future pathways for grassland which is endangered by under use. Furthermore, the dissertation poses the question on how resonance theory, a qualitative analysis of relationships between self and world, contributes to a better understanding of the different types of relationships that characterise action in pursuit of landscape sustainability, referred to by the term landscape stewardship. This dissertation follows a transdisciplinary research approach, in the sense that practitioners motivated this research, provided data and validated the findings. The author’s practical experience as staff of the Black Forest Biosphere Reserve links research, practice and landscape stewardship. The dissertation is rooted in social-ecological systems thinking. The notion of social-ecological systems understands common pastures in terms of interlinked social and ecological elements and processes. The research articles make use of the concepts of Ostrom Design Principles, Social-Ecological Systems Framework, social-ecological Resilience Principles, relational approaches in social-ecological thinking and Resonance Theory. Resonance characterizes the occurrence of meaningful relational encounters that potentially transform self-world relationships. The notion of landscape stewardship refers to the diversity of meanings that motivate action in pursuit of landscape sustainability. Landscape stewardship thus serves as a frame to connect the different concepts and research articles of the present work. Rooted in empirical social research, this dissertation adopts a qualitative methodology but includes quantitative data to illustrate and support qualitative findings. Given the rich conceptual foundation and transdisciplinary approach, the results of this dissertation allow for both conceptual advancements and practical recommendations. The results of the research articles show that place-based practical perspectives and social-ecological concepts reinforce one another. Practitioners’ central assertion that diverse small-scale farming initiatives are required to sustain common pastures illustrate and substantiate the conceptual groundings of adaptive governance, resilience, and Resonance Theory. Concerning adaptive governance, this research finds that a central element of organizational design in the under-use context of the Black Forest common pastures is to include all actors that take advantage of the cultural landscape. This implies to motivate and incentivize diverse actor groups, such as tourism and local population, to contribute to landscape stewardship in a way that corresponds to their benefits. Relational and resilience arguments emphasize the importance of multiple and diverse structures in grassland farming. This implies that specific support to match the needs and challenges of initiatives such as landcare groups, common pasture organizations or small-scale farming is required. The resilience perspective adds to this in highlighting that polycentric governance should find stronger application to encourage reciprocal learning and maintain the social-ecological diversity connected to common pastures. The introduction of Resonance Theory into social-ecological research provides important contributions to the debate on sustainability transformations. By emphasizing the uncontrollable and unpredictable character of meaningful relationships, Resonance Theory shifts the practical and conceptual focus on agency towards the quality of relationships. The axes of resonance provide a framework to analyse different types of relationships between self and world that are present in initiatives of landscape stewardship. From the perspective of Resonance Theory, adaptive governance should be directed towards enabling or favouring the emergence of meaningful relationships between people, livestock and the landscape. The practical and conceptual recommendations to sustain common pastures call for changes in terms of adaptations and transformations. The importance and consequences of these key changes, such as improved commercialization of pasture products, the integration of local people into landscape stewardship, or to fit the administrative frameworks and support schemes to the social-ecological reality of common pastures, depend on the social-ecological perspective of analysis. As grassland farmers or public administration have their specific view on common pastures, the anticipated effects of and the required commitment to these changes differ, so that they may appear as adaptations to one group, while constituting transformations to another. To conclude, this dissertation shows that the application of different social-ecological concepts to rich contextual data advances both conceptual and practical understandings of under use and the interconnectedness of humans and their environment. In bringing together science and practice, biosphere reserves are particularly suited for transdisciplinary approaches. For supporting landscape stewardship, the Black Forest Biosphere Reserve will need to include more actors benefiting from common pastures to contribute to their sustenance. Moreover, it is important to create conditions that enable meaningful relationships and resonance in landscape stewardship. There is a need for further place-based research in under-use contexts to provide more knowledge of the organizational and relational aspects that characterize under use. To benefit from the full potential of the resonance perspective, it is necessary to show how contextual, institutional and cultural conditions that foster or inhibit resonance can be accounted for in social-ecological research.
Seeing through two lenses: applying actor-centred and structural perspectives to understand farmer innovation and technological change
(2022) Pircher, Thomas; Knierim, Andrea
Science and technology can make a major contribution to ending hunger, achieving food security and improving nutrition. Developing and spreading of innovations in agriculture and nutrition therefore is a main objective of international agricultural research. Despite decades of research, understanding the complex processes around technological change by small-scale farmers remains a challenge for researchers. Whereas behavioural approaches often neglect the influence of the wider innovation systems, approaches that focus on larger systemic challenges tend to downplay human agency. Research approaches that analytically differentiate structural and actor-centred perspectives and their interplay hold potential for more nuanced understanding of farmer innovation and technological change. This thesis reviewed and explored the application of approaches that aim to understand farmer innovation and technological change through the interplay of two analytical lenses: actor-centred and structural. The three empirical research studies addressed different aspects of agriculture and nutrition, and included multiple study locations. Although each of the studies had its own objectives, they all relate to analytical dualism. In this regard, the study approaches separately focused on actor-centred and structural perspectives, and analysed how these influenced each other. Data collection and analysis in the empirical chapters followed these principles by developing and applying adapted conceptualisations of seed systems and agricultural innovation systems. The systematic literature review in Chapter 2 provided an overview on methods for studying farmers’ choices and demand for seed of roots, tuber and banana crops. The review identified 46 studies in which researchers studied various aspects and types of farmers’ demand for seed of five crops in 18 countries. The qualitative analysis and categorization of the identified studies have led into a classification scheme. In one type of studies farmers expressed their preferences and choices through surveys or engagements in trials, auctions, choice experiments and interviews (explicit demand articulation). In another types of studies, researchers characterized farmers’ use of varieties through determinants of adoption, current seed management practices or the functioning of their seed and farming systems (implicit demand articulation). The study of the cassava seed system in Chapter 3 developed and applied a research approach that recognizes the interplay between farmer’s demand for seed and the seed supply functions of the cassava seed system in Nigeria. The farmers maintained and gradually replaced a portfolio of varieties from multiple sources that reflected individual trait preferences. The national agriculture development program alone did not have the capacity to supply farmers with sufficient seed of desired varieties. Exchange between farmers and informal seed sellers contributed to the distribution of seed and new varieties. Informal seed sellers and decentralized seed multipliers have the potential to respond to farmers’ heterogeneous demands. However, they would need continuous support from formal seed system actors to reach underserved markets. The study of innovation and scaling in Kenya and Uganda in Chapter 4 analysed innovation processes in agriculture and nutrition through farmer-centred and structural perspectives. In an international research and development project, researchers introduced farmers to new agriculture and nutrition practices in action learning activities. The farmers selected, adapted and combined the promoted practices according to their individual preferences and needs. In addition to the researchers from the project, a wide range of innovation support providers encouraged farmers to develop innovations in farming, marketing, and nutrition. Promoting farmer innovation processes beyond the project sites and duration would require the engagement of multiple innovation support providers in creating an enabling environment for experimentation and demand articulation. Analysing the empirical chapters with the overarching theoretical framework of the thesis highlights how structural conditions of seed systems and agricultural innovation systems influenced farmer innovation or technological change processes. The cases also illustrate how farmers reacted upon these conditions through social interactions. As a major finding, the analysis points out that the process of structural elaboration – how the agency of farmers influenced structural conditions - remains limited across the empirical chapters. This indicates a need to empower actors in articulating their demands for research and extension services and shaping their institutional environments.
Privatization of agricultural advisory services and innovation systems : the case of Brandenburg, Germany
(2021) Knuth, Ulrike; Knierim, Andrea
The European regulations on Rural Development of the last two decades brought Agricultural Advisory Systems back onto the political agenda. Along with the introduction of Cross Compliance (CC), Member states were obliged to review their Farm Advisory System or to build up new infrastructure. The importance of innovation generation, knowledge dissemination and on-going learning in rural areas has been emphasized, and Agricultural Advisory Systems are regarded one important partner. A further development over the last 30 years has been a wave of privatization of Agricultural Advisory Systems (AAS) in Europe due to the pressure of decreasing public budgets. This cumulative dissertation examines the dialectic of increased and changing demands on Farm Advisory Systems on the one hand and the effects of privatization on the other hand. Privatization of agricultural advisory services in European Member States has been a process for decades. Both within Europe and Germany, the German federal state of Brandenburg has an Agricultural Advisory System with a comparatively high level of privatization and commercialization. It was therefore selected as an excellent case to address the development and the impacts of privatization. The goal of this dissertation is to answer the following leading research questions i) What were the consequences of privatization specifically for the situation of advisors, their capacities and competences?, ii) What are the responsibilities of public authorities to steer a (privatized) advisory system and innovation networks within pluralistic Agricultural Knowledge and Innovations Systems (AKIS)?, iii) How was the EU’s obligation to establish Farm Advisory Systems (FAS) implemented and thus, how is advice on Cross Compliance with Farm Management Systems (FMS) as a policy-induced innovation implemented and adopted in Brandenburg and Germany?, iv) How successful are innovation networks as an instrument to fill the interaction gap of the AAS in Brandenburg?. This dissertation contributes to the empirical evidence on the functioning of AKIS and Advisory Systems and provides public authorities in Brandenburg with longitudinal information to be used for future farm advice- and innovation-related policies. The cumulative thesis builds on 4 articles published from 2013 till 2018. The articles analyze qualitatively and discuss the view of agricultural advisors and farmers through a series of semi-structured interviews, analyze applied Farm Management Tools and assess new cooperation forms like innovation networks. Chapter 2 describes the development of the situation of private farm advisors in Brandenburg over a longer period of more than 15 years, from before until complete commercialization of the service in 2000. It shows which topics advisors (can) address and which they cannot, which clients they work with and which they do not, and it provides data on their basic work situation. It also gives insights on their networking activities. The following chapter 3 provides recommendations for public authorities regarding their responsibilities in pluralistic AKIS in Europe, which can also be applied to Brandenburg. Chapter 4 provides an analysis of Cross Compliance advice to farmers with Farm Management Systems (FMS) as one public responsibility in AKIS. A special focus is pointed to farmers’ usage of FMS in Brandenburg and qualitative comparison of FMS in Germany. In chapter 5 the cooperation of various actors from science and practice in Brandenburg is examined using the example of the innovation network for climate change adaptation. Innovation networks can be considered as one important instrument to cope with the challenges of AKIS privatization in Brandenburg by filling the interaction gap. This chapter presents an analysis of collaboration success factors and shows how crucial repeated participation, appropriate information management, and inclusive as well as responsive network practices are. Chapter 6 discusses the results regarding the development of Brandenburg’s AKIS and its Agricultural Advisory System (AAS) during the period of complete privatization (2002 until 2017), in which the research of chapter 2 thru 5 was conducted. Chapter 7 gives an update of Brandenburg’s AKIS and advisory system development from 2017 on, when AKIS and advisory services returned on the political agenda, and new policies emerged, which support innovation networks and advisory services. Chapter 8 concludes policy and research recommendations.
The potential of social innovation in rural revitalisation : a comparative case study from Taiwan
(2022) Chen, Hsi-Chun; Knierim, Andrea
Social innovations have been frequently discussed in the context of rural development and even viewed as a key toward rural revitalisation, promising to cope with such societal challenges. However, to what extent and how social innovation can contribute to rural development, especially under the future challenge of rural decline, still remains an ongoing concern. This research aims to explore the potential of social innovation in rural revitalisation by clarifying the actors’ roles in social innovation processes. In particular, the study made use of four cases of rural development practice in Taiwan. The special attention of these case studies draws on the four objectives, which are: (1) to explore the role of actors in community-driven social innovation; (2) to clarify the role of actors in external support-driven rural social innovation; (3) to provide recommendations for integrating the concept of social innovation into rural development policies and programmes; (4) to further theoretical and methodological insights for the study of rural social innovation. The study concludes that the internal actors may not aim to innovate society — they intend to solve practical local issues. Therefore, the outcomes of social innovation can be unintentional; tangible and material outcomes are crucial for internal actors, which may challenge the literature’s perspective that treats material outcomes as supplementary results. Furthermore, external actors could play a key role as helpers in fuelling social innovation only if they get sufficient support from rural areas and the public sector, resulting in their growth while facing upcoming challenges. The study also discussed the pros, cons, and differences between community-driven and external support-driven approaches. These two approaches―are like two sides of the same coin―while the former is more local-oriented in terms of local targeted problems and local joint actors, the latter is rather issue-oriented that can focus on the targeted problems and the joint actors without geographical boundaries. In addition, the external support-driven approach conducted by this research to a certain degree reflects the “nexogenous approach.” From the empirical experiences of this study, this approach might not guarantee the success of rural social innovation―however, it did provide a bright chance for the public sector to participate not only as a partner or sponsor in rural areas but they can actively be as a bridge to link potential partners somewhere beyond geographical boundaries. Three strategies are provided for the public sector, encompassing: (1) the public sector should actively play a bridging role to provide opportunities for connecting external actors; (2) the public sector could use programmes, such as village competitions or other innovative activities, to provide a reachable share vision for people to participate; (3) rural development related programmes should draw more attentions om educational and learning types of programmes to develop self-learning mechanism in local communities. For theoretical and methodological insights, the ANT can be better used to explore research with inequality consideration and without initial social explanation assumptions. The actor-oriented approach may be suitably used to study interactions among clear differentiation of social actors with initial social explanation assumptions. From the findings of this case study, it can be concluded that social innovation in terms of rural revitalisation is valuable in its outcomes, uncertain in its emergence, challenged by the marginalising rural reality, and promising on external connections without geographical boundaries. Since the future of rural marginalisation is considered inevitable, to survive in its effects is essential. In other words, rural social innovation may not be able to eliminate the causes of rural marginalisation; however, it provides an approach to adapt its effects, that is, to weave a future that rural areas might not have many inhabitants―however, they have more self-organisation―initiators, actors, more external partners and connections are driven by needs to solve common societal problems―without geographical boundaries.
Public agriculture extension and information and communication technologies : a case study in South Wollo, Ethiopia
(2020) Birke, Fanos Mekonnen; Knierim, Andrea
Effective agriculture extension services require a continuous transformation and introduction of new and effective interventions, approaches, methods, and tools. Information Communication Technologies (ICT) are given immense expectations to address some of the challenges of agriculture extension by improving the capacity and effectiveness of extension advisors through new modes of communication and easier ways of accessing up-to-date and relevant information. There is ample knowledge on adoption rates, use intensity, and impact of ICTs for agriculture extension, specifically in a farmers’ context. However, there is limited research on experts’ perceptions of ICT’s usefulness, as well as organizational dimensions that facilitate ICT use. In particular, the interdependency between ICT tools and the social and organizational aspects in the context of agriculture extension is poorly understood. This thesis aims to provide evidence on the implementation process of ICT initiatives in agriculture extension organizations and their use. The three specific objectives of the thesis are the following: (i) to provide empirical evidence on the complex interaction of social and technical actors and their assemblage to set up an ICT-based initiatives called Agricultural Knowledge Centers (AKCs); (ii) to provide empirical evidence on experts’ perceptions and their use of ICTs in agriculture extension offices; and (iii) to bring insights on organizational characteristics that facilitate or hinder the learning of an organization for successfully applying ICTs in agriculture extension services. This thesis analyzes the innovation process of ICT-based initiatives in agriculture extension by building on the definition of innovation as an alignment of hardware (technical devices, bodily skills), software (mode of thinking, discourse, perceptions) and orgware (rules, structure, and standards). The thesis adopted a research approach that can be broadly labeled as an interpretive research approach that allows for understanding a phenomenon by interpreting stakeholders’ and research participants’ experiences. It relied on a case study methodology and review of existing knowledge on ICTs in agriculture extension. The case studies are AKCs located in agriculture extension offices in South Wollo, in the Amhara region of Ethiopia. The research-for-development project, ‘Livestock and Irrigation Value Chains for Ethiopian Smallholders’ (LIVES) from the International Livestock Research Institute (ILRI), piloted AKCs to contribute to the government’s effort to strengthen the extension system. This thesis contains three empirical chapters in addition to the introduction and general discussion. The first empirical chapter analyzes the process of establishing AKCs in five extension organizations in South Wollo by capturing the role of human actors (employees of the project, experts in the extension offices, and the ICT managers) and the role of the non-human actors (computers, internet connectivity, texts, and office infrastructure) in carrying out the AKC initiative. The Actor Network Theory (ANT) framed the analysis of the results. The findings show how people and technology came together to establish AKCs that provide access to digital knowledge. Conditions that contributed to creating and stabilizing the AKC actor network were the following: (i) the presence of an actor to facilitate the process, (ii) alignment of interests among actors in the network, (iii) building the capacities and motivation of the various actors to execute their roles, and (iv) availability of computers with strong internet connections. The second empirical chapter analyzes extension experts’ perceptions of ICT’s usefulness for their extension job and how they used ICTs in four AKCs in South Wollo. The three concepts from the Theory of Planned Behavior: attitude, social norms, and perceived behavioral control framed the analysis of the results. Extension experts had a positive attitude towards the usefulness of ICTs for personal benefits. However, they did not perceive ICTs as useful for searching and exchanging agricultural information because the rigid extension approach used in their organizations allows primarily for specific printed knowledge resources. The results show that while access to the ICT hardware is a prerequisite, it is not a guarantee that extension experts will apply ICTs for professional use. For ICTs to be used by agriculture extension experts, there needs to be greater flexibility for experts’ response to farmers’ needs and favorable conditions that facilitate self-initiated knowledge-seeking behavior among extension experts. The third empirical chapter analyzes the organizational characteristics identified in the existing literature for accelerating or hindering ICT use for agriculture extension. The qualitative review of 49 articles highlights that most of the scientific studies focus on individuals’ characteristics to explain ICT use and only partially investigate organizational aspects. Organizational characteristics identified in these 49 articles were further analyzed using the seven dimensions of the learning organization concept. The analysis showed that opportunities for training and creating structures to encourage learning were prominent characteristics limiting or supporting ICT use. However, the literature documented no evidence on characteristics such as collaboration, leadership style, and empowerment for creating a shared vision for improving services via ICT use. The review results illustrate the importance of strategizing ICT use in agricultural advisory organizations and following principles of organizational learning for capacity development at an individual, team, and organizational level. Based on the three empirical chapters, chapter five discusses that optimal ICT use for agriculture extension can be achieved when the introduction of technology is supported by new rules and organizational structures, and when the intended purpose fits the shared way of thinking and the future vision employees have for their extension work. This section highlights that successful ICT use in agriculture extension organizations requires not only the technical devices, individuals’ attitudes, or institutions, but also the alignment of all the three dimensions. Therefore, aiming to improve the extension services only through the provision of ICT devices would be too simplistic; it ignores the complex interaction of the various components. This thesis makes the following recommendations for the design and implementation of future ICT-based initiatives in Ethiopia and other countries with a similar context: (i) a project initiator should create awareness on the purpose of ICT for agriculture extension and develop the capacity of targeted beneficiaries on ICT use; (ii) organizations that aim to utilize ICT should create organizational conditions that facilitate learning at the levels of the individual, team, and organization; (iii) development projects and programs should recognize and stimulate interaction between innovation components to successfully implement ICT in agriculture extension and ensure their utilization; and (iv) the government should create an enabling environment that provides support structures for knowledge sharing and information exchange to respond to farmers’ needs.
Agricultural education in Honduras : return on investment, quality, and efficiency
(2020) Flores Rios, Maria Delfina; Knierim, Andrea
The Agri-food sector, like any other economic sector, requires competent workers and entrepreneurs able to maximize productivity and cope with the various challenges the sector is facing. Agricultural education prepares these actors to acquire knowledge, identify options that optimize their productivity, and adapt to changing environments. However, the importance of agricultural education is declining in education policies, and nowadays, it is no longer an attractive field of study for the youth. There is a need to re-invent agricultural careers to the new demands of the agri-food and labor market sectors. As there is a limited number of studies available that analyze agricultural education in Latin-American and other developing countries, this research provides new insights by examining the determinants for return to investment, quality, and efficiency of agricultural education, taking Honduras as a case study. The present dissertation encompasses three interrelated studies. The first study addresses the research question on how the educational attainment on agricultural education, years of experience, age, sex, geographical region of residence, and work sector, affect the graduates earnings. This study computes the return to agricultural education by educational level, using several econometric techniques, such as the instrumental variables, Heckman’s two-step procedure, and the multinomial logit to tackle endogeneity of education, sample selection bias, and selection bias for choosing this field of study, respectively. The results show that regardless of the economic activity in which the individuals work, graduates from agricultural educational programs receive positive returns on their investment in education. High school graduates from these programs, have higher earnings within the economic activity of agriculture than non-graduates. At the university level, the graduates competencies are better paid in economic activities outside agriculture than inside, for example, in fields of manufacturing, public administration, and education. The second study addresses the question of what competencies employers require from graduates of agricultural education programs. Interviews and workshops were conducted, addressing employers from agricultural value chains, purposely selected, and using maximum variation sampling. The results show that graduates perform at an intermediate level in technical competencies. Of the 20 competencies identified, graduates perform poorly in at least six areas of competence, which requires immediate action. Although the analysis of academic curricula shows that the competencies included are relevant for employers to cope with the challenges faced by the agri-food sector, there is room for improvement. Finally, the third study addressed the question about the level of efficiency of the public institutions delivering agricultural educational programs, and the factors influencing it. This study computes the efficiency using the non-parametric approach data envelopment analysis (DEA). The model used is output-oriented, variable return to scale, and two-stage where controllable and non-controllable inputs are included in the first and second stages, respectively. This study follows a double bootstrapping procedure to avoid the caveats of the conventional DEA analysis. The evidence showed that none of the agriculture education centers in the sample is considered a full efficient entity. However, there is a potential to improve the usage of the current resources. It is possible by expanding the outcomes in a range of 1% to 50% without changing the existing resources. In summary, the findings of this dissertation provide compelling evidence that each additional level of agricultural education in Honduras is a worthwhile investment, and that graduates from both education levels, secondary and tertiary levels, are necessary to support Honduras economy. Nevertheless, improvements should be made in terms of the quality and the resources used in the provision of agricultural education. Based on the research findings, it is recommended to revise the academic curricula, with the aim of better matching education and labor market requirements. Secondly, a closer analysis of the implementation of the educational processes is necessary in order to enhance the competencies requested and identify better management of the resources available. Finally, setting formal collaboration mechanisms between the education centers, authorities, and the private sector could strongly improve agricultural education systems’ contribution to the performance of the sector. To further refine this research, it would be beneficial to increase the sample sizes to expand further the techniques used.
Measurement of sustainability at farm-level : stakeholders perceptions and indicators of the social dimension
(2020) Herrera Sabillon, Beatriz Soledad; Knierim, Andrea
While there is a consensus between researchers, decision makers and consumers that an operationalization of the concept of sustainability is necessary, there exist huge disagreements on how to transform the multidimensional concept of sustainability into usable metrics. Due to the multiple actors involved, diverse objectives and complex interactions, the selection of metrics to be monitored is expected to be science-based, but also relevant to the main concerns of the stakeholders. This dissertation address these gaps investigating stakeholders’ arguments about the suitability of a set of sustainability indicators in an accountancy agricultural information system for policy evaluation. The research is framed in the FP7 EU-Project Farm Level Indicators for New Topics in Policy Evaluation (FLINT). The thesis pursues two objectives: i)to elicit stakeholders’ perceptions about the adoption of sustainability indicators into an established farm accountancy data system and ii)to contribute to assess the usefulness of collecting indicators of social sustainability at farm-level. The first objective is reached by exploring the Farm Accountancy Data Network (FADN) stakeholders’ perceptions on feasibility and usefulness of a set of sustainability indicators. Using discussion groups and semi-structured interviews in nine European countries, we collected arguments about the measurement of sustainability at farm level. Participant stakeholders identified that the request of sustainability information of the farm is already taking place under simultaneous, embedded and sometimes overlapping requirements from regulations, markets or research agents. We found that stakeholders have diverging perceptions toward the value of that information, especially for those indicators not expected to be used for farm-level decision making. For the second objective, two empirical studies were conducted using an integrated data set of FADN and FLINT project in a sample of 1100 FADN farms distributed in nine countries. In the first study we explored the linkage between the use of advisory services by farm managers and the economic, environmental and social performance of farms. We identified three clusters of farms that have a different sustainability performance and that relate differently to advisory services. In the three groups of farms, the number of contacts with advisory services is positively correlated with the adoption of innovations, the number of information sources and the adoption of farm risk management measures. We failed to find linear relationship between advisory services and environmental and social sustainability. The second study investigated the influence of farm-level factors in farmers’ satisfaction with farming and its relationship with the level of satisfaction they have with their overall quality of life. We propose a path model using a Structural Equation Model-Partial Least Squares approach, testing the validity and reliability of a farmers’ work satisfaction construct and determining on how far the farm variables are related with it. Results suggest that while it is valid and reliable to measure work satisfaction as a construct, the farm level data that is currently available explains farmers’ satisfaction with their own standard and values only partially. Therefore a metric that measures those values should be further developed and tested. This doctoral dissertation contributes to the identification and prioritization of standardized indicators of farm-level sustainability. Two main learnings can be implied from the findings. The first one is that ontological differences between the agents that are involved in the functioning and evolvement of an information system can be identified (but not solved) applying inter and transdisciplinary research methods. The second one is that standardized indicators of social sustainability are desirable, feasible and useful to be collected and integrated in the same data sets with economic and environmental indicators. That said, due to the complexity of the relationship between sustainability dimensions, the value of standardization of indicators is limited by how are they going to be used.
Exploring the governance of traditional water reservoirs in the Mazandaran province, Northern Iran
(2019) Mirzaei, Arezoo; Knierim, Andrea
This study explores the governance of water reservoirs in the Mazandaran province, Northern Iran, from the perspective of public and private sectors at the regional level, as well as local stakeholders within the communities. Although water management in Iran has been frequently investigated, research which specifically addresses the governance of water reservoirs in the Mazandaran province from perspective of various stakeholders is not existent. The traditional water reservoirs in the Mazandaran province called Ab-bandan are used to collect the precipitation during autumn and winter seasons to be used for irrigating rice fields during the growing seasons (spring and summer). In spite of these reservoirs, a significant amount of precipitation runs off into the sea through rivers and only less than 10% of precipitation is being stored in Ab-bandans. This is due to the challenges in governing these water reservoirs such as lack of strategic planning of administrative bodies. This draws attention to the poor governance of water reservoirs in the Mazandaran province, which presents a major challenge to ensure the security of water supply, and in particular for rice production. Thus, the objectives of this study are: 1) to identify gaps in the governance of Ab-bandans, 2) to identify and assess the policy instruments for the improvement of the governance of Ab-bandans, and 3) to investigate the influence of social capital components on the governance of Ab-bandans among local stakeholders. These objectives form the papers of this cumulative Ph.D. dissertation. The first paper reveals water governance gaps with the focus on Ab-bandans using the ‘OECDs Multi-level Governance Framework’ as a conceptual basis. This framework is a guideline for policy-makers in all countries in order to distinguish public governance gaps regardless of the institutional setting. Identifying the gaps could provide an input for policy-makers in order to prioritize options to strengthen the governance of Ab-bandans. A modified Delphi technique was used to identify these gaps by face-to-face interviews and ranking round. Interviews were conducted with individuals working in public agencies and the private sector pertaining to water management. The results show that the lack of a specific law for Ab-bandans is perceived as the most acute gap. However, the significant issue is that there is interdependence among all the gaps and they can strengthen one another. Therefore, a holistic perspective is needed to understand and resolve the gaps in the governance of Ab-bandans. There is no magic or ‘one-size-fits-all’ approach to overcome the gaps and a mix of solutions is required. The second paper refers to identify relevant water policy instruments and assessing the suitability of these multiple instruments in an integrated way towards good governance of Ab-bandans. Water policy instruments are tools, strategies, and mechanisms for policy-makers to overcome governance obstacles in water policy; for instance, involving sub-national governments in designing water policy beyond their roles as implementers is a policy instrument to foster effective water management. An exploratory sequential design was realized as a mixed methods approach (qualitative and quantitative) for the purpose of research. The results reveal that policy instruments identified properly contribute to the improvement of the governance of Ab-bandans. Participation and collective action among farmers have the highest priority for the improvement of water governance. Therefore, it can be seen as the starting point for the desired transformation. Moreover, the policy instruments are interdependent and shouldn’t be addressed in isolation. The improvement of the governance of Ab-bandans should be systematic and it is not possible to apply a single policy instrument without considering the impact of other policy instruments. It is necessary to adopt the policy instruments in a holistic way to solve difficulties in the governance of Ab-bandans. The third paper explores aspects of social capital in the governance of Ab-bandans seeking explanations as to how and why components of social capital among various local stakeholders influence the water reservoirs-related interactions within the communities. Social capital is an important factor, which facilitates collective interaction of the local community’ members for water system sustainability. Therefore, this study investigates key social capital components (i.e. trust, co-operation, social network cohesion, leaders and their roles, and conflict resolution) affecting the governance of Ab-bandans among local stakeholders. The qualitative method was applied to achieve the purpose of research. Semi-structured, face-to-face interviews were conducted with a range of local key stakeholders of Ab-bandans. The study shows that the level of social capital and its importance can differ depending on which component is under investigation. According to the results, mechanisms for conflict resolution are the most important aspect of social capital which plays a significant role for the other components. Social relationships and cohesion are being reduced due to the conflicts in water management and lack of appropriate mechanisms for resolution. Therefore, resolution of conflicts can bring people together in the group events to communicate and address their common issues and promote their co-operation for collective decision-making and planning. The results of the study support the idea that the management of Ab-bandans in a collective manner at the local level in the Mazandaran province needs to take all components of social capital into consideration. This would enable local communities to be more resilient in the face of collective action problems. Overall, it can be concluded that managing water reservoirs in the Mazandaran province, Northern Iran requires collaborative efforts between various stakeholders within and between the local communities. The government should undertake the role of facilitator rather than governmentality, by using participatory and bottom-up processes for decision-making, planning, and resolving conflicts among local stakeholders. The government should establish effective strategies of governance to engage farmers in management decisions and empower and integrate them to be able to solve their problems in water-related issues. There is also an urgent need for co-operation and participation not only between local stakeholders and responsive public agencies at the regional level, but also among public agencies in charge of water policy design and implementation. As the government is the owner and manager of water resources, better management and utilization of Ab-bandans will only succeed if accompanied by a shift in public governance through the engagement of all relevant actors.
Capacity development of tribal forest dwellers through Participatory Forest Management in Bangladesh
(2018) Kabir, Khondokar Humayun; Knierim, Andrea
This thesis examines the Participatory Forest Management (PFM) approach in the micro-scale context of the Madhupur Sal forest in Bangladesh. In Bangladesh, PFM has been the main policy instrument for managing natural forest areas in the last two decades. The present national forest policy in Bangladesh emphasizes the importance of the participation of different actors, especially forest dwellers, in forest management programs. The overall aim of PFM is to capacitate and to improve the livelihood conditions of forest dwellers through different forestry extension programs. Since its outset, many PFM programs have been conducted within the context of Madhupur Sal forest. Scientific studies have examined PFM contexts using a wide range of indicators, focusing on outcomes such as change in forest coverage, change in income level, poverty reduction and livelihood improvement to evaluate the impact of a PFM program. Few studies have also focused on institutional analysis and looked at formal and informal institutions and their role in natural resource management. According to scientific evidence, the impacts of PFM programs on livelihood and forest improvement remain contested. Despite the execution of different PFM programs over the last two decades in Madhupur Sal forest, the forest area reduced dramatically, the livelihood of forest dwellers became more vulnerable and forest dwellers engaged in conflicts with officials of the forest department (FD) concerning their rights. In the past, most studies considered that problem from the narrow perspective of a lack of ‘knowledge or empowerment’ of forest dwellers without systemic consideration of forest development agencies, and the roles of other actors in PFM. To date, there is still limited research which considers the capacity issue at the individual, organizational, and ‘enabling environment’ level. An improved understanding of the role of people’s capacity level is, however, vital to guide future PFM programs. Therefore, this study considers the PFM context from a holistic perspective that focuses not on forest dwellers but other actors within this system. Thus, the objectives of this study are: (1) to determine the changes in capacity level of participants in PFM programs and to explore the factors that influence changes in capacity level of forest dwellers, (2) to assess the role and performance of the pluralistic forest advisory systems, and (3) to explore the potential of a rights-based approach to create an enabling environment for collaborative action and cooperative conflict management. This thesis is composed of five chapters. The introductory chapter provides background information, the problem statement, the main research objectives, information about the study area and population, the theoretical embedding, and presents the outline of the thesis. The thesis combines qualitative and quantitative methods for collecting and analyzing data to deal with the three interrelated research objectives. The work on the first objective is based on a mixed methods approach (face-to-face survey, focus group discussions, key informant interviews, and participatory observation). The second objective is pursued using qualitative methods (stakeholder analysis, semi-structured interviews, participatory workshops) while the third objective is followed employing a case study approach. In Chapter 2, a modified analytical framework is used to explore the assertion that capacity is the outcome of a process-oriented approach like PFM. This revised framework combines different components of social learning platforms with essential components derived from a capacity development framework developed by the Tropical Agriculture Platform (TAP). Key capacities include the capacity to navigate complexity, capacity to collaborate, capacity to learn and reflect, and capacity to engage in political and strategical processes. Changes in the capacity level of forest dwellers were investigated with regard to the PFM initiative ‘Re-vegetation of Madhupur Forests” (RMF). The findings show that this PFM approach has brought desired changes in different dimensions of capacity development, i.e., capacity to collaborate, capacity to learn and reflect, and capacity to engage in strategic and political processes. The initiative did not bring changes to the capacity to navigate complexity. Furthermore, the long-run engagement and a range of participatory activities with different development organizations increased the understanding of participants and kept them up-to-date about their rights in forest management. The results also reveal that the FD worked through existing social capital within the community and took initiatives like several group discussions and meetings with the tribal community and their leaders before the RMF program. This initiative resulted in a common consensus of the tribal forest dwellers and reduced conflicts between FD and tribal forest dwellers. Findings regarding factors that influence changes in the capacity level of forest dwellers reveal that extension services, credit support, trust within society, information and communication influence the level of capacities to adapt and respond to changes among the tribal forest dwellers. Chapter 3 presents the role and performance of a pluralistic forest advisory system, considering the influence and importance of advisory service providers for managing natural resources, their organizational characteristics, and their service quality. A stakeholder analysis was conducted to identify advisory organizations along with the dynamics of power relations with forest dwellers. A ‘best-fit’ framework was used to explore the characteristics and service quality of the existing organizations. The findings reveal that a range of organizations including public, private, and social organizations was working with tribal forest dwellers and followed the common objective of improving forest management and the livelihoods of the local forest dwellers. Also, a number of organizations involved in the provision of advisory services were still struggling with lack of capacities such as a limited number of advisors, lack of training facilities for the advisors and a lack of need-based technological contents. The findings further reveal that the FD had limited linkages and partnerships with other actors at the local level, despite being a central coordinating and executing agency for furthering forest policies and programs. At the same time, analysis of the organizational pluralism highlights that some NGOs worked for the livelihood improvement of forest dwellers by providing a range of technologies and information. Here, social organizations collaborated closely with forest dwellers and provided necessary information about the rights of forest dwellers. The overall assessment suggests that public sector organizations should take more proactive roles in integrating the important services of NGOs and other social organizations with forest dwellers within the pluralistic system. The study on exploring the potential of the rights-based approach to creating an enabling environment (chapter 4) reveal that neglecting rights of the forest dwellers before the initiation of RMF program led to ineffective policies and programs and subsequently to long-running conflicts. Different development programs implemented by the FD without any prior concern of tribal forest dwellers’ rights and interests, such as social forestry, eco-park and rubber garden establishment, became subject to conflicts. Results further revealed that several tribal forest dwellers died due to the clashes with the police when they steered the action of social movements for the sake of their rights. Tribal forest dwellers experienced top-down, non-cooperative, and even aggressive interventions from the FD which brought uncertainties into their daily lives. In contrast, participants of the RMF program reported that the FD initiated several meetings with tribal people and their leaders to know about their needs and expectations and engaged them in RMF program by offering several promises. During the execution of the RMF program, the FD contributed to welfare provisions like financial support, jobs, training, social forestry plots, healthcare cards, and similar offers. The results also reveal that the FD acknowledged different non-material issues like mutual respects, mobility in the forest, freedom to make decisions as a community forest worker, individual and social security, harassment-free life, access to information and regular communication between FD’s and forest dwellers. Based on the above findings, this study provides some recommendations for the future design and implementation of PFM in Bangladesh which are: (i) the government should integrate the rights-based approach in the policy development since this can transform long-run disputes into collaborative action; (ii) more attention needs to be paid by the FD for the establishment of coordinated advisory services with other advisory service providers; (iii) the importance and influence of social organizations to mobilize the tribal forest dwellers towards cooperation and action should not be overlooked by the FD; (iv) any participatory forest management intervention in the future should be designed in such a way that it implies changes in the capacity level of the forest-dependent people, (v) the FD should integrate other public sector organizations in the provision of advisory services for forest management, because they are providing a range of technologies and information and working closely with forest dwellers, and (vi) the Government should move away from ‘one-size-fits-all’ thinking to a ‘best fit’ thinking.
Assessment of stakeholder perception of implementing power-to-gas in the biogas sector : implications for risk governance
(2019) Pestalozzi, Johanny Arilexis; Bieling, Claudia
The connection of power-to-gas (PtG) with biogas facilities to convert excess renewable electricity into biomethane represents an innovation in the biogas industry. This concept could play a role in stabilizing the German renewable energy system and make the biogas value chain and derived products more competitive and environmentally friendly. With increasing interest in this technology, potential risks, uncertainties and challenges associated with the implementation of PtG in the biogas industry need to be assessed. The biogas sector is controversial in German society mainly due to its environmental and economic impacts and its critical safety deficiencies. Against this background, this thesis aims at analyzing how the German biogas chain could be transformed with the emergence of a PtG concept and at identifying approaches to efficiently tackle potential risks, uncertainties and challenges accompanying this renewable energy concept. The investigation draws on notions of risk perception and risk governance as a theoretical framework to identify and assess influential factors determining risk management for the implementation of PtG in the biogas sector and characterize essential requirements in the process of diffusion of the technology, its acceptance and legitimation. Following a random as well as a purposive sampling strategy, 27 experts representing key interest groups of the German biogas sector, i.e., industry, politics, research and associations, were interviewed face-to-face. Their perspectives on potential environmental, safety, sociopolitical and techno-economic risks and challenges that could hinder the implementation of PtG in the biogas value chain were systematically examined with the method of qualitative content analysis. With this technique, conclusions were derived based on a thorough scrutiny of the data collected. Overall, the participants of this study perceived a low risk of accidents, such as fires, explosions and environmental pollution, from biogas installations running with a PtG concept. They identified a lack of business models, missing political incentives as well as stigmatization of the sector as the main challenges in the adoption of PtG in the biogas sector. The stakeholders emphasized a knowledge gap in the general public to explain the low popularity of the biogas sector and its biobased products. In a successful deployment of this technological concept, the interviewees envisioned a replacement of farm-based biogas plants with fully industrialized facilities. The interviewed experts strongly emphasized the existence of regulations as the principal means to avoid potential technological risks. The perception of the stakeholders corresponds with hierarchists as in the Cultural Theory of Risk. This mindset influences the way the experts recognize, manage and communicate risks. The participants prominently identified politicians as the primary accountable actors to handle risks, challenges and uncertainties of biogas associated with PtG. Although the media was broadly seen as a knowledge broker, the interviewees did not consider it as an instrument for effective risk communication to deal with distrust and stigmatization in the public and the controversies influencing the biogas sector, which could potentially affect the diffusion of PtG in the industry. The present study delivers key insights for the governance of the adoption of this technological concept in German society. In order to create a joint understanding among relevant stakeholders, facilitate informed decision-making and ultimately promote legitimacy for this technology, it is recommended to increase risk awareness among actors dealing with biogas and PtG. It is essential to foster deliberate communication among the multiple interest groups on diverging perceptions of risk and corresponding management options, so that an effective, accountable and participatory strategy to risk governance can be developed.
Rights-based approaches and social capital in addressing food and nutrition security of the poor and women : a mixed-methods study of NGOs in Armenia and Georgia
(2015) Jenderedjian, Anna; Bellows, Anne
The role of non-governmental organizations (NGOs) for the improvement of women’s and the poor’s food and nutrition security and advancement of their human rights is gaining prominence in academic and public discourse. NGOs as civil society actors ideally should advocate for greater accountability of states’ food and nutrition-related security programs and policies, support grass-roots efforts for democratized and improved food systems, and represent and protect the most food insecure groups. NGOs, nevertheless, have been criticized for creating dependency among the most food insecure, offering donor-driven top-down solutions and discouraging social mobilization efforts among the most disadvantaged and discriminated against groups. In this study we asked what encourages or prevents NGOs’ engagement with the most marginalized and discriminated against groups, such as women and the poor, and what are the approaches NGOs use in addressing these groups’ food and nutrition security. Applying a mixed quantitative and qualitative comparative analysis, this dissertation focused on NGOs in two post-Soviet countries: Armenia and Georgia. This study has produced three main sets of findings. First, possible determinants for NGOs’: involvement in food-oriented work; adoption of human rights-based approaches, including the right to adequate food; and gender mainstreaming were studied using results from an on-line electronic survey of 228 NGOs in Armenia and Georgia. The adoption of development and human rights concepts by national NGOs was associated with their involvement in networks with transnational donors or civil society organizations. NGO involvement was not determined by public demand alone, but rather as a compromise between various factors, including but not limited to the availability and support of donor funding and the organization’s involvement in a relevant transnational network. These findings confirm and reinforce previous studies on vertical discursive flows from transnational actors to national NGOs. Organizations’ self-reported engagement with the right to adequate food was rare in both countries, implying both absent or weak ties with transnational actors propagating the right to adequate food on the one hand, and on the other hand to low priority paid to the right to adequate food by the food security oriented international organizations cooperating with NGOs in the South Caucasus. Second, a qualitative study of 57 local and international NGOs in Armenia and Georgia explored operational and institutional characteristics of NGOs involved in food and nutrition security. The research found that NGOs’ preferences in building networks and targeting specific groups were determined mainly by the identities of organization core members, most specifically by their gender and their social and economic status. National and international NGOs operating in Armenia and Georgia with male leadership pursued the collective organization of economically better-off male farmers and entrepreneurs, whereas female-led NGOs targeted better educated rural women. The overarching objective of male-led NGO interventions was improved economic gain, whereas female-led NGOs aimed to improve community-wellbeing through promotion of social justice and charity. The study reconfirmed existing concerns that women’s leadership, involvement, and participation is hampered in male-dominated groups. In addition to gender-based segregation, the extremely poor were represented neither by male or female NGO members, nor were they included in NGO attempts to encourage group formation or social mobilization. The findings support Bourdieu’s argument that social capital accumulation is determined by social and economic proximities. Lastly, the case study of a female-led NGO working with internally displaced rural women in Georgia demonstrated how the improvement of women’s food and nutrition status was achievable when social isolation and structural discrimination in public and private spaces were acknowledged and addressed. Supporting bottom-up livelihood strengthening initiatives and addressing violence contributed to internally displaced rural women’s potential to realize the right to adequate food. The dissertation findings represent an advance in the understanding of the role of national and international civil society actors in improving food and nutrition security of the most marginalized and discriminated groups. The study enriches the limited but growing research on rights-based approaches in development as an alternative to technocratic solutions. The dissertation contributes to the research in international development, agriculture and rural development, and broader social theory.
Recording, validating and scaling up local ecological knowledge of ethnic minority farmers in Northern Thailand and Northern Laos
(2015) Choocharoen, Chalathon; Hoffmann, Volker
Conceptually, local knowledge is recognized and investigated by a wide array of disciplines, and the focus has shifted from definition of ‘indigenous’ or ‘traditional’ knowledge to a perception of local knowledge as a dynamic concept and a principal basis for decision-making processes. This enables the creation of a research environment that is conducive to participatory approaches seeking to bridge the division between local and scientific knowledge. This thesis explains how local knowledge systems are composed by different know-ledge types, such as practices and beliefs, values, and worldviews. The knowledge systems change constantly under the influence of power relations and cross-scale linkages both within and outside the community. Likewise, local knowledge and practices need to be understood as adaptive responses to internal and external changes which result e.g. in disaster preparedness or sustainable growth of livelihoods at the local level. This thesis is based on interviews and using PRA tools about local knowledge and practices and attempts to give an overview and framework of local knowledge in sustainable land use and an understanding of the benefits and problems involved. Local knowledge systems (LKS) are an important part of the lives of the poor. They are the basis for decision-making of communities in food security, human and animal health, education, and natural resource management. LKS point to how indigenous people manipulate their knowledge, which has accumulated, evolved and practiced for generations. They epitomize the relationship and interaction between local peoples and their natural surroundings. In the study shown in paper I (Chapter 4), results based on group discussions shows farmers use 6 out of 8 scientific soil classifications. Through participatory soil mapping exercises, it was sought to develop a single, comprehensive soil classification reflecting the main soil types in the village territory. This process helped to explore the potential for using local soil classification towards regional soil mapping. It was concluded that the comparison of scientific soil classification and soil survey maps with local knowledge of soils can generate valuable synergies through integrating the perceptions of soil properties of scientists and farmers. Moreover, villagers in this research area will be able to have alternative or complementary options to grow plants and to generate improved revenues in the future. In paper II (Chapter 5), it was found that traditional silvopastoral systems are a key component of sustainable forest management. Forestry and forst use is a part of the established activities of upland farmers, who show interest in sustainable management and utilization of their natural resources. Local farmers knowledge has been so far excluded from governmental development policies. A country comparative analysis shows similar strategies of farmers but different (promoting / prohibiting) national policies. Local ecological knowledge about sylvo-pastoral systems can provide useful resources for striving towards more sustainable highland agro-ecosystems, if it is integrated into scientific analysis and policy making. Paper III (Chapter 6) found that cardamom plantations/collections are considered as an effective approach to poverty alleviation and sustainable rural development under conditions of increased resource scarcity in the uplands of Northern Laos. The analysis of the value chain revealed various potentials for development. The main policy implication is that protecting the remaining of natural and secondary forests, for instance through making use of evolving international support mechanisms for community based forest protection including REDD-plus, will not only be of advantage for biodiversity conservation and climate change mitigation, but would also improve the livelihoods of the poorest in the uplands of Northern Laos. The challenge for national resource managers is to combine the management of agricultural functions with ecological benefits through sustainable agriculture practices to enhance the livelihoods of local people. Local ecological knowledge can offer proven alternatives and complementary explanations of ecological cause-and-effect relationships. It may prove useful in further scientific investigation and can be utilized as a cross-reference with other findings and therefore contribute to sustainable resource management and improve the quality of local resources and livelihoods.
Conversion of subsistence farming to sustainable agroforestry in the Midhills of Nepal : participatory action research in system development
(2015) Schick, Alina; Hoffmann, Volker
In the Midhills of Nepal, agriculture is practiced mostly as subsistence farming on often small-sized terraces. Nowadays there are often only a few trees left in cultivated areas, which leaves the soil bare for several months of the year, mostly in winter. Degeneration processes by environmental influences on bare terraces, and a deficiency of organic material lead to poor soils and consequently to a reduced harvest. A rising population leads to a fragmentation of farms by spreading estates, thus leading to ever smaller-sized cultivated land areas. These often and increasingly do not produce enough food to feed farmers and their families. The possibilities of work in other income sectors are limited. Consequently, some farmers leave their land and move to Kathmandu. To break this chain it is necessary to develop new survival strategies. One solution is to ensure that existing farms can produce enough food to feed themselves and sell to make a living. This can theoretically be achieved by alternative farming methods and the introduction of new techniques. Agroforestry with its mixed farming styles and aspects of permaculture can eventually help to ameliorate the soils and provide extra nutrition and income through a perennially mixed plant production system that also includes several cash crops. The objective of the present study is to evaluate the actual situation of farmers in the region of Kaule, Nepal, and to assess the system change from subsistence farming to agroforestry. An existing agroforestry farm established in Kaule about 15 years ago will serve as a reference. For the system change to agroforestry several hypotheses were put forward on the assumption of the stated problems. These hypotheses have been tested by several methods such as socioeconomic and ecological field surveys, in combination with qualitative social research methods like interviews, questionnaires, protocols and direct observations. The results were then ordered in case studies per household and later accumulated into comparative group observations. The system change was then contextualised to a situation-based functional theory of adoption and diffusion of innovations in social systems. This study report is the written monitoring result of the three initial project years from 2009 to 2011 in Kaule, and in some cases supplemented by additional data from earlier and later years. Data on income and expenses, work distribution within the families, soil quality and biodiversity have been selected. General descriptions of farming methods and reports on several training sessions are also included, as well as the assessment of terrace sizes and meteorological data. After comparing single household situations in the case studies with those of accumulative group observations, two different livelihood strategies were found that seemed to be sustainable for the current situation in Kaule. One strategy is where several parts of families merge together to create bigger social structures and combine their land in bigger scales to produce their livelihood. Alternatively, like the case of the agroforestry farm, the other strategy is part-time farming with enhanced cultivation methods for nutrition and income production, in addition to external work based on higher education. When agroforestry was compared to a situation-based functional approach to describe its potential for adaption and diffusion, it was found that agroforestry in its complexity is difficult to establish and places high expectations on adopters. For households that cultivate only a few plants for personal consumption, agroforestry is not suitable, although they can adopt single elements of the package. The introduction of new plants and methods into farming systems needs to be preferentially planned by marketing prospects. The potential of diffusion of the innovation depends on the necessary support. Even though agroforestry, in the form it has been promoted by the project, is relatively complex, it allows farmers to choose out of its multitude of elements which ones to adopt. The adoption of further farming methods and plants and also additional components like composting or beekeeping can be further developed over time. The potential of agroforestry to enhance soil quality and to contribute to better crop production became apparent when it was compared to other project farms. The potential of diffusion of agroforestry to other farms in the area is possible, as long as suitable local structures like demonstration farms and locally organized project structures are established and continual trainings are organized. A mixture of self-help and external support is therefore favorable.
Collaborative water governance in Thailand : much ado about nothing?
(2015) Kanjina, Sukit; Hoffmann, Volker
The river basin committee (RBC) framework was first introduced in Thailand in 2002, and the current one adopted in 2007 has been implemented in all 25 river basins located in the country ever since. By all accounts, the RBC framework is innovative as far as Thailand’s administrative system and water resource sector are concerned. It was only recently that the former started to promote non-public sector participation, and the underlying legal framework expressly requires that representatives of the non-public sector, such as water user organizations and local experts, be included in the RBC together with those representing the public agencies concerned. The latter envisions the RBC as a new mechanism for managing water resources by using a river basin as a managerial unit. Based on the RBC framework’s prescription, it can be seen that Thailand is moving toward collaborative water governance, where both public and non-public sector representatives take part in decision making on water resource-related issues in their respective river basin. This study empirically examines the implementation process and outcomes of the RBC framework by using the Ping RBC arrangement as an illustrative case. It aims specifically to explore the formation and management of the RBC, its collaborative processes and participation, and the outcomes it generates. To this end, semi-structured interviews were conducted with key informants such as the officials responsible from Water Resources Regional Office 1 (WRO 1), and Ping RBC members; and an informal interview was applied as well with some DWR officials. In addition, relevant activities were observed through non-participant observation, while related documentary data, e.g. documents on the RBC framework, also were collected. The data gathered were analyzed by means of qualitative content analysis. It was found overall that the Ping RBC framework was established by following relevant directives. Ping RBC members include representatives from the public sector such as the Royal Irrigation Department (RID) and Department of Water Resources (DWR), as well as the provincial governors concerned and representatives from the non-public sector, including water user organizations (agricultural, industrial, commercial, service, and tourism sectors), local government organizations (LGOs), and the expert group; while WRO 1 serves as the secretariat. In addition, other governing bodies were established as well, including one river basin sub-committee, five provincial river basin working groups, and 20 sub-river basin working groups who, similar to Ping RBC members, represented both the public and non-public sector at the river basin, provincial, and sub-river basin level. It was discovered that regarding RBC management the Ping RBC and its governing bodies were governed by the lead organization-governed form, where WRO 1 played the leading role and left no room for involvement from other members. For example, it called the meetings and prepared their agenda. Indeed, meetings were the only activity organized for these river basin governing bodies and they were infrequent (e.g. twice per year for the Ping RBC). Furthermore, they were organized with a formal format, where the officer responsible normally provided information to the meeting, with virtually no deliberation or discussion. With these meetings being the only activity where members of the river basin governing bodies could get together, it was apparent that face-to-face dialogue, which is a crucial element in leading to others elements in a collaborative process, such as trust and shared understanding, was simply non-existent. Interaction between the secretariat and members of the river basin governing bodies, as well as among the members also failed to occur. Participation in the Ping RBC setup involved just information sharing, as members of the Ping RBC and its governing bodies were provided with only data on, for example, drought and flood situations. The governing bodies of the Ping River Basin, especially the Ping RBC, took part in approving river basin management and development frameworks as well as annual river basin management and development plans. However, their approval was unnecessary because the frameworks and annual plans in question were a collection of project plans gathered from the public agencies concerned and LGOs located in the river basin. They were prepared based on relevant policies and directives, with no need for approval from the Ping RBC setup before submission for national budget allocation. Since the frameworks and annual plans were the only outputs produced, it was therefore apparent that the Ping RBC framework performed virtually no functions to fulfill its mandates such as a water resource management plan, water user priority or water allocation. Evidently, the Ping RBC framework is an ineffective mechanism that is characterized by lack of collaboration, participation and outcomes, which have impacts on water resource management in the river basin. A similar result can be expected from the other 24 RBCs operating under the same administrative system and legal framework. Therefore, Thailand is still far from achieving collaborative governance in its water resource sector. Clearly, this unsuccessful RBC framework was influenced by the Thai administrative system; for instance, the public agencies involved have to follow their own policies and directives, thereby failing to make the RBC framework their top priority and only passively participating in the setup. However, the underlying cause is due largely to the RBC framework’s lack of authority. This is because the legal framework regulating the RBC framework has limited legal authority; consequently, virtually no authority is delegated to this arrangement. Accordingly, the RBC framework has no full authority regarding water resource management as its decisions, if any, can be enforced upon only public agencies and state-owned enterprises. Furthermore, it also has less authority when compared to other public bodies governed by superior legal frameworks; as such, it cannot force active participation in the RBC arrangement, and is not officially recognized (e.g. by the budget allocation system). It can be seen as important that with no authority delegated, non-public sector representatives do not share any decision making power despite their inclusion into the framework concerned. Therefore, to avert the same result generated by the RBC framework in moving toward collaborative water governance, policy changes are needed regarding its authority and implementation process at the national level, or at the DWR. Ideally, a change is required at the national level by passing a comprehensive legal framework, i.e. a Water Act. By this law, the RBC framework’s authority in managing water resources is secured and the framework itself is officially recognized. Arrangements for implementation of the RBC framework also can be prescribed, e.g. a budget allocation system recognizing the RBC framework and creating the RBC’s own office. However, this option is rather difficult to achieve, if not impossible, due to the lack of political support. A more probable change at the national level would be to issue a new regulation that revises the RBC framework, which can be done more easily than passing a law. Essentially, under this new regulation, the new RBC framework would be based at the provincial level. As such, the RBC would be abolished, while the provincial RBC and its governing bodies would be transformed to ‘collaborative watershed partnerships’ focused on a provincial river basin master/action plan. By this new regulation, the public bodies concerned would be obliged to follow the plan mentioned when preparing their water resource-related projects/programs, which would be applicable within authority of the regulation. In addition, diverse activities (e.g. meetings and capacity building) should be organized in order to support both the river basin governing bodies and implementing units of the DWR. The DWR should change its policies regarding implementation of the RBC framework, if there is no change at the national level, and the RBC framework continues to be carried out under the current regulation. It is essential in this circumstance for the DWR to encourage a revision of the RBC structure in order to make it less complex and more manageable, and shift the focus from the RBC itself to the river basin governing bodies at the provincial and sub-river basin level. Besides capacity building activities, and frequent and less formal meetings, the DWR should also direct its implementing units to facilitate the river basin governing bodies in order to develop a river basin management plan for respective provinces. This should be based on the problems and needs of the sub-river basins located in those particular provinces; and presented through the public agencies and LGOs concerned for consideration and inclusion in their own plans. This might be the only way to increase the likelihood of some elements of the river basin management plan being realized, given that the RBC framework has no authority or official recognition.
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