Rural market imperfections and the role of institutions in collective action to improve markets for the poor

Many countries in sub‐Saharan Africa have liberalized markets to improve efficiency and enhance market linkages for smallholder farmers. The expected positive response by the private sector in areas with limited market infrastructure has however been very limited. The functioning of markets is constrained by high transaction costs and coordination problems along the production‐to‐consumption value chain. New kinds of institutional arrangements are needed to reduce these costs and fill the vacuum left when governments withdrew from markets in the era of structural adjustments. One of these institutional innovations has been the strengthening of producer organizations and formation of collective marketing groups as instruments to remedy pervasive market failures in rural economies. The analysis presented here with a case study from eastern Kenya has shown that marketing groups pay 20–25% higher prices than other buyers to farmers while participation was also positively correlated with adoption of improved dryland legume varieties, crops not targeted by the formal extension system. However the effectiveness of marketing groups is undermined by external shocks and structural constraints that limit the volume of trade and access to capital and information, and require investments in complementary institutions and coordination mechanisms to exploit scale economies. Successful groups have shown high levels of collective action in the form of increased participatory decision making, member contributions and initial start‐up capital. Failure to pay on delivery, resulting from lack of capital credit, is a major constraint that stifles competitiveness of marketing groups relative to other buyers. These findings call for interventions that improve governance and participation; mechanisms for improving access to operating capital; and effective strategies for risk management and enhancing the business skills of farmer marketing groups.     

Dynamics of local governance in natural resource conservation in the Okavango Delta,Botswana

There has been a shift in natural resource management worldwide. This paper describes how modern institutions and policies influence management and shape access to and utilization of resources by rural communities in the Okavango Delta, Botswana. It is rooted in the framework of adaptive co‐governance within social‐ecological systems, and employs a critical literature review to analyse access to and use of natural resources in rural Botswana. Prior to the establishment of community‐based natural resource management (CBNRM) in Botswana in 1989, resource governance was dominated by strong traditional institutions that were responsible for natural resource management and decision‐making. Contemporary natural resource governance is characterized by a bureaucratic system that invariably undermines the role of traditional institutions in natural resource governance. Findings indicate that policies and regulatory instruments deny rural communities adequate access to and utilization of resources available within their immediate environment. In spite of an orientation towards an anthropocentric approach to natural resource management (as in the case of CBNRM), the current governance system continues to undermine the inclusion of local resource users as legitimate stakeholders in the decision‐making process.     

Analysis of a rural water supply project in three communities in Mali: Participation and sustainability

This paper presents a qualitative assessment of the participatory water management strategies implemented at the community level in rural Mali through a water supply project — The West Africa Water Initiative (WAWI) — coordinated by World Vision International, a non‐governmental and humanitarian organization. Data for the study were generated through a combination of primary and secondary sources in three villages. Results of the study indicate that while community‐based rural water supply is a positive step in responding to the needs of rural Malians, the installation of boreholes with hand pumps informed merely by consultative participatory approaches and limited extension involvement will not necessarily proffer sustainable rural water supply in the region. A “platform” approach to rural water supply management that can mobilize the assets and insights of different social actors to influence decision making at all stages, including the design and choice‐of‐technology stages, in water supply interventions is instead advocated.     

Identifying potential stakeholders for the management of Lower Mgeta and Upper Zigi water catchments of Tanzania,East Africa

Community participation in natural resources management is a basis for sustainable management of these resources. However, the question of which actors/assets within communities are more connected to the natural resources based on their knowledge, skills and talents is not well captured. This study, therefore, combines Asset Based Community Development approach and Bio-Cultural approach, to identify influential stakeholders in the utilization of catchment resources in Upper Zigi and Lower Mngeta catchments, in the United Republic of Tanzania. Participatory rural appraisal tools; participatory bio-physical resource mapping (PBRM) and participatory community asset mapping (PCAM) were used for data collection. Similar observations were made in both study sites, that, the most influential community assets were traditional healers, traditional dancers, hunters, Village Government, fishermen, farmers and family, and therefore, these most influential community assets should get involved in the management of catchment resources because they are true representatives of the community.     

Managing fodder trees as a solution to human–livestock food conflicts and their contribution to income generation for smallholder farmers in southern Africa

Livestock production is an integral part of smallholder farming systems in southern Africa. While goats and sheep play some role in the smallholder farmer household economy, cattle are the predominant livestock species supplying draught power, milk, manure and meat. Production of cattle is based on range grazing. However, the nutritive value of the range is generally low depending on vegetation type and season. With the rapid increase in human population in southern Africa and the increasing need to produce staple food on a sustainable basis, smallholder farmers are increasingly encroaching onto lands formerly reserved for livestock grazing. Therefore, livestock subsisting on the range require supplementation. Conventional bought‐in supplements are expensive. Fodder trees and shrubs have been integrated within some farming systems of southern Africa as fodder banks with varying degrees of success. Work carried out in Tanzania, Malawi and Zimbabwe is reviewed to provide evidence on how the fodder tree technology has impacted on livestock production with special reference to smallholder dairy production, human food production and smallholder farmers’ income. For the wider adoption of the technology, a synopsis of the different scaling up pathways and approaches adopted by research and development agencies is presented.     

Framing community forestry challenges with a broader lens: case studies from the Brazilian Amazon

Community forestry initiatives have been shown to reduce rural poverty while promoting the conservation and sustainable use of forests. However, a number of challenges face communities wanting to initiate or maintain formal, community-based forest management. Through a grounded theory approach, this paper uses three case studies of community forest management models in the eastern Amazon to create a framework showing challenges faced by communities at different phases of formal management. The framework shows that, in the development phase, four root problems (land ownership, knowledge acquisition, community organization, and adequate capital) need to be addressed to obtain legal management permission. With this permission in hand, further challenges to operationalization are presented (deterring illegal loggers, maintaining infrastructure, obtaining necessary managerial skills and accessing markets). The interrelatedness of these challenges emphasizes that all challenges need to be addressed in a holistic manner for communities to maintain a profitable and self-sufficient operation. This contradicts current development approaches that only address part of this framework. The framework proposed here can be used as a starting point for community forestry initiatives in other regions.     

Creating and sustaining community capacity for ecosystem-based management: Is local government the key?

Recently, collaborative approaches to natural resource management have been widely promoted as ways to broaden participation and community involvement in furthering the goals of ecosystem management. The language of collaboration has even been incorporated into controversial legislation, such as the US Healthy Forests Restoration Act of 2003. This research examines collaboration and sharing management responsibility for federal public land with local communities through a case study of the Ashland Municipal Watershed in southern Oregon. A policy sciences approach is used to analyze community participation and institutional relationships between the US Department of Agriculture, Forest Service, and local city government in the planning processes of five land management actions occurring over a 7-year period. The knowledge gained from examining differing approaches to planning and decision making in the Ashland watershed is used to suggest future planning processes to develop and sustain the community capacity necessary to support implementation of community-based ecosystem management.     

Integrated Land and Water Management in the United Kingdom: Narrowing the Implementation Gap

Riparian buffer zones have been incorporated in land and water management policy for England since 1994, when the Ministry of Agriculture, Fisheries and Food introduced a Water Fringe Option (WFO) as part of a broader habitat conservation scheme. Whilst natural scientists have examined the functioning of riparian buffer zones, understanding of farmers' decision making regarding the adoption or non-adoption of voluntary buffer zone policies is very limited. This paper examines the factors influencing the decision making of farmers who were eligible to join the WFO in three river catchments. Quantitative and qualitative information was collected from farmers using semi-structured interviews and was supplemented with in-depth interviews with representatives of public agencies, agricultural groups and independent experts. Data analysis was completed using the 'Framework' analytical approach and the Statistical Package for the Social Sciences 8.0 computer software. The research revealed that decisions to participate in the WFO were influenced by a mix of situational, psychological and sociological characteristics, which suggests that policy makers must attach greater importance to implementation conditions and farmers decision making if riparian buffer zones are to play a more prominent role in the management of land and water in rural catchments. Tightly structured schemes will only appeal to a narrow segment of the farming population and will not lead to widespread re-creation of riparian habitats. A more flexible and collaborative style of policy development is needed in order for riparian buffer zone policies to meet the circumstances and needs of the diverse UK farming community.     

Using a social learning configuration to increase Vietnamese smallholder farmers’ adaptive capacity to respond to climate change

Social learning is crucial for local smallholder farmers in developing countries to improve their adaptive capacity and to adapt to the current and projected impacts of climate change. While it is widely acknowledged that social learning is a necessary condition for adaptation, few studies have systematically investigated under which conditions particular forms of social learning are most successful in improving adaptive capacity of the most vulnerable groups. This study aims to design, implement and evaluate a social learning configuration in a coastal community in Vietnam. We make use of various methods during four workshop-based interventions with local smallholder farmers: interviews with key farmers and commune leaders, farmer-to-farmer learning, participatory observations and focus group discussions. The methods for evaluation of social learning configuration include in-depth interviews, focus group discussions and structured survey interviews. Our findings show that the social learning configuration used in this study leads to an increased problem ownership, an enhanced knowledge-base with regard to climate change impacts and production adaptation options, improved ability to see connections and interdependencies and finally, strengthened relationships and social cohesion. The results suggest that increased social learning in the community leads to increase in adaptive capacity of smallholder farmers and improves both their economic and environmental sustainability. We discuss the key lessons for designing learning configurations that can successfully enhance adaptive capacity and smallholder farmers’ agency and responsiveness to the challenges posed by climate change impacts.     

Nikinake: the mobilization of labour and skill development in rural Ethiopia

A public mobilization approach known as nikinake drives implementation and technology upscaling in Ethiopia's agricultural extension. This study investigates and describes the processes and effectiveness of nikinake as an extension method used for natural resource management (NRM). The paper draws on empirical field research conducted in Oromia and the southern region of Ethiopia by looking at nikinake in the context of a watershed management campaign in 2015 and 2016. Nikinake is used as an approach to mobilize the public and to promote the skills of farmers and development actors. In principle, the implementation of NRM is voluntary; however, it is largely planned top‐down and enforced through state actors and informal institutions. This study suggests effective integration of social mobilization with reliable extension and a paradigm shift in emphasis from spatial coverage to an effective outcome. Additionally, sustainability and scalability of NRM interventions could be ameliorated by improving experts’ technical skills, raising farmers’ awareness, improving an incentive system, building trust, and better integrating past watershed management and future planning activities. We reflect on the significance of the nikinake experience in Ethiopia for a broader theory of extension‐as‐mobilization for rural development. From the Ethiopian case, a more general recommendation emerges for extension‐as‐mobilization schemes. For long‐term development, it is worthwhile to consider the fit between yearly campaigns as ad hoc project organizations and the existing pattern of actors and institutions responsible for rural development.     

Analysis of livelihood security: a case study in the Kali-Khola watershed of Nepal

This paper examines household livelihoods in highland and lowland communities of the Kali-Khola agricultural watershed in western Nepal on the basis of economic, ecological and social security indicators. Significant differences were found in soil fertility status, pests and diseases management, risk and uncertainties, use of agrochemicals and access to social services. No remarkable variations were found in crop diversification, annual agricultural income and food sufficiency. However, uncertainty and risk in agricultural production is relatively low in highland communities. The findings reveal that agriculture production alone is not a viable livelihood option for agricultural watershed communities in Nepal. The households growing crops with hired labour have relatively sustainable livelihoods in Nepal's agricultural watersheds. Insufficient agricultural land, insufficient working manpower within a family, and lack of access to ecological agricultural services are prime factors in being livelihood insecure in agricultural watershed communities. Therefore, long-term policies and plans need to be developed for the empowerment of local farmers and to support rural livelihoods with adaptable and flexible income-generating strategies, resilient resource management institutions and enhancement of knowledge, skills and social capital.     

Managing Drought Through Water Markets: Farmer Preferences in the Rio Grande Basin1

Abstract: Managing drought in agriculture has taken on growing importance as population growth and environmental concerns place increasing pressures on agricultural water use. One alternative for agricultural water resource management in areas of recurrent drought is allocation through market mechanisms. While past research has aimed to explain why farmers are reluctant to participate in already established water markets, this research seeks to identify the appropriate market mechanism given farmers’ preexisting attitudes toward water markets. Statistical analysis of survey data from 166 farmer interviews in the Rio Grande Basin indicate that farmers are significantly more likely to participate in short‐term water mechanisms, such as spot water markets and water banks than in permanent transfer mechanisms, particularly those that fully separate water rights from land. In sharp contrast to expectations, the choice of market mechanism did not differ significantly between farmers based on their a priori intention to buy, sell or both buy and sell in these markets. Choice of market mechanism also did not differ among farmer types although small, lifestyle or hobby farmers clearly preferred spot water markets to other types of short‐term mechanisms. Evaluating these attitudes a priori may help to design more suitable water market mechanisms for the basin.     

Real-time irrigation diversion data delivery can benefit adaptive capacity in communal irrigation systems

There is a need to support applied, community-relevant hydrologic research within changing climate, population, and socioeconomic conditions to better inform water policy and management. We hypothesized that providing a rural agricultural community in a semiarid valley with the necessary monitoring tool to meet local water management needs would increase adaptive capacity within the context of long-term drought. Through a community science approach, researchers installed a telemetry monitoring system at participating acequia irrigation diversions that remotely sent water data to a web interface every 15 min. Two surveys distributed before and after web interface access targeted seven adaptive capacity indicators. After the first season of improved data accessibility, the following adaptive capacity indicators significantly increased: information diversity, cognitive social capital, leadership, and proactivity. Rather than focusing on the water savings aspect of real-time monitoring, this paper summarizes a novel water resources study that assessed the social impact of real-time irrigation water delivery monitoring on adaptive capacity. This study suggests that bridging the gap between community need and hydrologic research through community science, sociologic analysis, and stakeholder engagement provides significant benefits for communities facing water management challenges, further supporting problem-driven water resources research.     

DEVELOPMENT AND EVALUATION OF MULTIPLE‐OBJECTIVE DECISION‐MAKING METHODS FOR WATERSHED MANAGEMENT PLANNING1

ABSTRACT: Making decisions for environmental management is a complex task due to the multiplicity and diversity of technological choices. Furthermore, the exploitation of natural resources and the preservation of the natural environment imply objectives that are often in conflict within a sustainable development paradigm. Managers and other decision makers require techniques to assist them in understanding strategic decision making. This paper illustrates the use of a multiple‐objective decision‐making methodology and an integrative geographical information system‐based decision‐making tool developed to help watershed councils prioritize and evaluate restoration activities at the watershed level. Both were developed through a multidisciplinary approach. The decision‐making tool is being applied in two watersheds of Oregon's Willamette River Basin. The results suggest that multiple‐objective methods can provide a valuable tool in analyzing complex watershed management issues.     

Barriers and enablers to climate change adaptation in hierarchical governance systems: the case of Vietnam

Governments fulfil important roles in increasing the adaptive capacity of local communities to respond to climate change impacts, particularly in developing countries. Existing studies on how governments enable and constrain the ways in which local level communities learn and build their adaptive capacity, however, generally adopt network or market-oriented types of governance. However, the most vulnerable regions to climate change impact in the world are generally governed through hierarchical policy systems. This research aims to understand how the hierarchical policy system in Vietnam creates enables and/or constrains the policy capacity of policy actors to contribute to effective climate change adaptation. We conducted interviews (n?=?26) with key actors at multiple levels of government. Our findings show the importance of clear legal institutions, available financing for implementing policies, and the training of governmental staff, particularly at district and commune levels where the policy capacities are generally too low to deal with climate change impacts. We conclude that any efforts to support local actors (i.e. smallholder farmers) should include investments in policy capacity to ensure uptake and upscaling of adaptation actions more broadly.     

ASSEMBLY OF MAP‐BASED STREAM NARRATIVES TO FACILITATE STAKEHOLDER INVOLVEMENT IN WATERSHED MANAGEMENT1

ABSTRACT: Watershed stewardship activities throughout North America have evolved into a process that requires more involvement in planning and decision making by community stakeholders. Active involvement of all stakeholders in the process of watershed stewardship is dependent on effective exchange of information among participants, and active involvement of a wide range of stakeholders from “communities of place” as well as those from “communities of interest.” We developed a map‐based stream narrative tool as a means to: (a) assemble a wealth of incompletely documented, “traditional” ecological or natural history observations for rivers or streams; and (b) promote a higher level of active involvement by community stakeholders in contributing to information‐based, watershed management. Creation of stream narratives is intended for use as a tool to actively engage local stakeholders in the development of a more comprehensive information system to improve management for multiple stewardship objectives in watersheds. Completion of map‐based stream narrative atlases provides a valuable supplement to other independent efforts to assemble observations and knowledge about land‐based natural resources covering entire watersheds. We are confident that completion of stream narrative projects will make a valuable addition to the information and decision making tools that are currently available to the public and resource agencies interested in advancing the cause of community‐based approaches to watershed and ecosystem management.     

Understanding local community attitudes toward industrial development in the Great Barrier Reef region World Heritage Area: are environmental impacts perceived to overshadow economic benefits?

Conflicts between industrial development and environmental conservation can be particularly acute when such development occurs in the vicinity of World Heritage sites. A key example is the Great Barrier Reef World Heritage Area (GBRWHA) in northeastern Australia, where a 2012 review by the World Heritage Council found that rapid port development inshore of the coral reef posed significant risks to local marine ecosystems. Such instances pose pressing challenges for decision‐makers seeking to manage World Heritage sites for multiple values and needs, including those of key stakeholder groups, such as local communities. There is increasingly a societal expectation that public decision‐making takes into account local views and priorities, and that companies seek a ‘social license to operate’. This research explored local community attitudes toward port development associated with the export of liquefied natural gas (LNG) and coal through the GBRWHA. Using data drawn from a survey and interviews, the research examined how a range of geographical factors, including proximity to gas infrastructure and the perceived impacts and risks of development to the local community, economy and environment shape community perceptions of the industry. Findings suggest that local attitudes toward gas and coal terminal development inshore of the GBRWHA are shaped predominantly by community perceptions of environmental impacts and risks associated with such infrastructure, in contrast to a broader public narrative that focuses largely on economic benefits. A complex combination of other factors, including social impacts, personal environmental values, community trust in industry, and equity in decision‐making and distribution of the risks and benefits of industrial development also contribute. Placed in a broader, global context, the findings have important implications for public decision‐making processes in Australia and elsewhere as they suggest that, for local communities, the perceived impacts of gas development on the environment may overshadow the benefits of industry.     

An integrated approach to modeling resource utilization for rural communities in developing countries

Resource consumption in developing countries has been the focus of a considerable amount of research. What has been understudied however, has been the feedback affects of resource consumption on resource availability to both households and communities. Heavy reliance on natural resources and intensive smallholder agriculture common to many rural communities in developing countries has forced people to fulfill short-term needs to the detriment of long-term ecological and livelihood sustainability. This paper introduces a conceptual framework to examine how individuals and households fulfill daily caloric needs and the aggregate effects on resource availability and consumption. Data were collected from a large number of published case studies of rural land-use dynamics, growth and yield models, and human livelihoods were reviewed from scientific journals, reports published by NGOs, and government reports. Using inputs defined by the user, the model tracks annual fuelwood and agricultural land use based on meeting individual energy demands. A case-study-based analysis was patterned after smallholder agriculturalists at the family and community level. Three scenarios are presented in this paper using data from Uganda to illustrate the application of this model.     

Land management in rural Burkina Faso: the role of socio‐cultural and institutional factors

Farmers in the Sahel have been acknowledged for reclaiming degraded lands and improving food security by ingeniously modifying traditional agroforestry, water, and soil management practices. Despite the advantages offered by this range of farming techniques, their adoption rate is influenced by several factors. Using multivariate probit models and a correlation coefficient, this article examines the factors influencing the adoption of five land management practices based on 220 household and 40 farm surveys in four adjacent rural communities in southern Burkina Faso. The model results indicate that household labor force, education of household head, land tenure security, livestock holding, and membership in farmers’ groups influence the adoption of zaï practice, composting, improved fallow, stone bunds, and live hedges. However, two of the surveyed factors ‐ number of farms and visit by agricultural extension staff during the 12 months prior to the survey ‐ were not significant. Furthermore, a significant correlation was found between different land management practices, e.g., the decision to practice zaï is significantly linked to that of live hedges and composting. Zaï practice and stone bunds are considered labor intensive, which explains their significant correlations with household labor force at the 1% and 5% levels of significance, respectively.     

Women and biodiversity: The long journey from users to policy-makers

Although there has been a broad acknowledgment that women's local and traditional knowledge is fundamental to guarantee food security and conserve biological diversity, few women are represented at the managerial and decision‐making level of environmental movements and organizations. The United Nations, its agencies and agreements have long promoted the full and effective participation of women in decision‐making processes. So how can commitments contained in international agreements be translated into concrete actions? By using the case of the Convention on Biological Diversity, one of the key agreements adopted at the 1992 Earth Summit in Rio de Janeiro, this article analyses how gender‐equitable initiatives tend to assume an ad hoc character with few governments effectively involving women in their sustainable development strategies. The views expressed in this article are those of the authors and do not necessarily reflect the official position of the United Nations or its subsidiary bodies.