Browsing by Person "Birner, Regina"

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Activating institutional innovations for hunger and poverty reduction : potential of applied international agricultural research
(2015) Kamanda, Josey; Birner, Regina
The CGIAR system has made several attempts to improve its organizational structure, the latest being a reform process initiated in 2009. A key issue that has been debated over the years is how the CGIAR centres are best placed within the range of institutions involved in agricultural research and development. The CGIAR still faces the unresolved dilemma between a focus on upstream research that produces international public goods versus downstream activities that ensure impact. Therefore, there is a need to review the CGIARs position on this important question, and to obtain the views of centre scientists and other actors on this question. It is equally important to develop objective approaches to assess the comparative advantage of the CGIAR within the spectrum from upstream research on IPGs to downstream technology dissemination, taking context-specific factors, such as national capacities into account. Case studies are suitable to better understand what works in diverse circumstances and the conditions that have, so far, driven centres to engage in downstream activities. To fill these knowledge gaps, this study used a comparative qualitative case study approach focusing on the legume breeding program of the International Crops Research Institute for the Semi-Arid Tropics (ICRISAT). The studies were conducted in India, Malawi and Ethiopia, a set of countries that makes it possible to study variation in the capacity of national systems. Data was gathered using a combination of methods including a participatory mapping technique called Net-map, expert opinion interviews and a review of relevant documents. Respondents were purposively selected and included ICRISAT scientists, national partners, non-governmental organizations (NGOs), seed corporations, male and female farmers and other stakeholders involved in the research and promotion of improved groundnut and chickpea varieties. The narrative policy analysis confirms that there are contrasting views on whether the CGIAR should primarily focus on the production of IPGs, or also conduct more uptake-oriented activities. The dominant story is that the IPG concept is ideal for framing CGIAR research in a niche that would not be served by the private sector or national systems. The counterstory is that the CGIAR can only achieve impact if attention is paid to both research and development-oriented activities. In view of these contrasting views, which cannot easily reconciled, there is a need to develop objective and practical criteria for assessing the comparative advantage of the CGIAR, taking context-specific factors into account. Using the case studies to illustrate the transactions involved in the development and uptake of technologies, propositions are derived regarding the attributes of transactions for which international agricultural research centres (IARCs) have a comparative advantage over national systems. The analysis indicates that basic and strategic research transactions, such as molecular breeding, have high economies of scale and spillover potential and should ideally be carried out by IARCs. On the other hand, adaptive research, promotion and seed multiplication transactions have low economies of scale and spillover potential and should therefore be ideally assigned to national systems. Besides these two attributes, which are also highlighted in the literature on international public goods, the analysis revealed that transaction intensity and the scope for elite capture and corruption also influence the comparative advantage of the CGIAR centres. Applying this normative framework to the case studies, the influence of contextual factors, especially capacity of national systems, emerges as critical factor. Even though the legume varieties developed by ICRISAT fitted agro-ecological conditions in the target countries, the adoption of these varieties was hampered by institutional constraints. All legumes varieties included in the case studies remained “on the shelf” after their release until ICRISAT got itself involved in seed production and promotion. Capacity building in national systems should be an important role of the CGIAR to ensure that improved varieties are sustainably adopted on a large scale. However, organizations that fund development were found to have a tendency to avoid the difficult and long-term task of capacity strengthening of national systems, and instead use the centres to fill the capacity gaps, which induced the centers to engage in downstream activities. Decision-making and resource allocation for research under the CGIAR Research Programs (CRPs) should therefore take into account the issue of NARES capacity. The centers should constantly assess capacities of national systems to carry out activities that will enable impact in their target locations, and for their mandate crops. Finally, the centres should also manage learning from their involvement in research, as well as complementary activities.
An analysis of institutional arrangements for providing animal health services : a theoretical framework and empirical evidence from Kenya and Uganda
(2015) Ilukor, John; Birner, Regina
Providing adequate animal health services to smallholder farmers in developing countries has remained a challenge, in spite of various reform efforts during the past decades, mainly because of governance challenges. Although good governance has been recognized as an important element in addressing emerging and re-emerging animal disease threats, animal health research has paid limited attention to the governance challenges inherent in the provision of animal health services. The existing frameworks for analyzing animal health services have mainly focused on market failures to decide what the public sector, private sector, and “third sector” (the community-based sector) should do with regard to providing animal health services. This thesis uses transaction cost economics to analyze institutional arrangements for providing animal health services since it captures both market failures and governance attributes. The objective of this thesis is threefold: (1) to develop a conceptual framework for analyzing animal health services using transaction cost theory of economic organization and to provide empirical evidence on its application using data collected on clinical veterinary services in Uganda and Kenya; (2) to identify governance challenges in the provision of animal health services and possible remedies to address them using a case study of Uganda; (3) to examine the quality of services provided by different service providers (paraprofessionals and veterinarians) and to gain insights into paraprofessional-veterinarian relations. This thesis is comprised of six chapters. The introductory chapter provides background information regarding the study areas in Uganda and Kenya, highlights the importance of strengthening and supporting the provision of veterinary services in developing countries, and presents the main research objectives and outline of the thesis. Chapter 2 presents a conceptual framework for analyzing institutional arrangements for providing veterinary services using Williamson’s discriminating alignment hypothesis and generates testable hypotheses regarding the cost effectiveness of various institutional arrangements. Using household survey data collected in Uganda and Kenya on clinical services, empirical tests of these hypotheses are presented. Chapter 3 examines the process of animal service delivery as well as identifies the main influential actors, important social relations, and main governance challenges encountered in the provision of clinical and preventive veterinary services in pastoral and intensive livestock productions systems in Uganda. Chapter 4 examines the determinants of referrals from veterinary paraprofessionals to professional veterinarians. The Chapter 5 examines whether veterinary paraprofessionals perform correct disease diagnosis and prescribe correct drugs for selected endemic diseases. The chapter also examines whether interaction between veterinary paraprofessionals and professional veterinarians would result in correct drug prescription and disease diagnosis. Chapter 6 concludes and offers policy recommendations and areas for further research. After presenting the importance of animal health services in developing countries, a framework for analyzing animal health services is developed in Chapter 2 based on Williamson’s discriminating alignment hypothesis. This framework combines both market failure and governance attributes to assess the cost-effectiveness of different institutional arrangements for animal health services. Some of these attributes include externality, transaction intensity, care intensity, measurability, and state and community capacity. Using this attributes, testable hypotheses regarding the appropriateness of institutional arrangements for providing animal health services are developed. Using data from Uganda and Kenya on clinical veterinary services, empirical tests of these hypotheses are performed to demonstrate the application of Williamson’s transaction cost theory to veterinary service delivery. The empirical results show that paraprofessionals are desirable because they offer needed care and attention to clients since they are located closer to livestock producers and thus have lower transaction costs and may be trusted more by farmers. Professional veterinarians, on the other hand, are preferred by farmers when cases require technical expertise (high measurability). The use of paraprofessional services is found to be positively associated with the availability of veterinarians, implying the existence of synergistic relationship between veterinarians and paraprofessionals. In other words, a referral system may be the most costs effective approach for building state and community capacity to provide veterinary services. After developing the framework for analyzing the provision of animal health services, Chapter 3 examines the process of providing animal health services using Uganda as a case study. A participatory mapping tool called Process Net-Map is used to identify relevant actors and assess their influence in the delivery of clinical and preventive veterinary services in both pastoral and intensive livestock production systems. The tool also helps elicit governance challenges in veterinary service delivery. The results reveal that important social relations in ensuring the provision of quality veterinary services and the timely reporting of animal disease in veterinary service delivery include: (1) cooperation between private veterinarians and paraprofessionals, as well as private veterinarians and government veterinarians in intensive production systems; and (2) cooperation between NGOs, government veterinarians, and community based animal health workers (CAHWs) in pastoral areas. The limited number of trained paraprofessionals and professional veterinarians, absenteeism by government veterinarians, insufficient and unpredictable budgets, weak legislation, exclusion of technical staff from the decision making process, and policy illogicality are identified as major governance problems in veterinary service delivery. Respondents also noted that the quality of veterinary services is very low because paraprofessionals without animal health training have dominated animal health markets in Uganda and the key to improve veterinary services is to build referral arrangements between paraprofessional and veterinarians. Although the literature on animal health service delivery recognizes that referrals between paraprofessionals and veterinarians are important in ensuring correct drug prescriptions and in improving disease surveillance, detection, and reporting, little is known about determinants of referrals between paraprofessionals and professional veterinarians. Chapter 4 analyzes data collected from paraprofessionals in Kenya and Uganda to identify factors influencing referrals from paraprofessionals to veterinarians using a probit regression model. The results show that the determinants of paraprofessional referrals to veterinarians include: paraprofessional’s mobile phone ownership, gender, attendance of short term trainings, annual assessments, and membership in paraprofessional associations. This chapter argues that policy makers should invest in legislation for paraprofessionals, supervision of paraprofessionals, the expansion of mobile phone ownership by paraprofessionals, the formation of paraprofessional associations, and short term training for paraprofessionals to build and strengthen referrals from paraprofessionals to veterinarians. The question of the quality of veterinary services provided by paraprofessionals has been contested in the animal health service delivery literature. Chapter 5 examines this question by using a role play experiment to analyze how the interaction of farmers and service providers influences the quality and demand for clinical services. The quality of clinical services is measured by scoring the accuracy of a service provider prescribing the appropriate drug for selected endemic animal diseases in each of the game’s four rounds. Statistical tests establish whether the quality of services provided by different types of paraprofessionals and veterinarians differ. Learning curves for service providers are constructed to examine whether the quality of services provided by paraprofessionals improves as they continue to interact with veterinarians. Belief updating curves are constructed for farmers to examine whether they change their beliefs about paraprofessionals after receiving information about the quality of they (farmers) receive from service providers. A probit regression model for binary panel data is estimated to determine the factors that influence farmers’ decisions to change service providers. The results show that the ability to identify the signs of different diseases and the accuracy of prescriptions by veterinarians is not significantly different from that of paraprofessionals trained in veterinary science. However, the ability of service providers who are not trained in veterinary medicine to perform these tasks is significantly lower than that of service providers trained in veterinary science. The continued interaction between paraprofessionals and veterinarians gradually leads to an improvement in the ability of paraprofessionals trained in general agriculture and social sciences to perform these tasks. This is not the case for paraprofessionals with no formal training or education. Farmers do not easily change their beliefs about paraprofessionals, even if they receive information on their lack of ability to diagnose diseases and prescribe drugs correctly. Belief updating depends not only on the outcome of the previous round, but also on the gender of the farmer and on the livestock production system. This paper argues that the slow pace in which farmers update their beliefs about paraprofessionals limits paraprofessionals’ willingness to learn and to consult with veterinarians. However, the use of “animal health cards” (records of diagnoses and treatments) could induce paraprofessionals to provide better quality services as well as enable farmers to measure the quality of services, thus improving the quality of veterinary services in the long run. The main policy recommendation generated from this thesis are the following: (1) There is a need for developing countries to invest and create an enabling environment that supports paraprofessionals and professional veterinarians’ relations to ensure timely reporting, treatment, and control of animal disease. This would help reduce wastes and efficiencies in animal production as well as human health risks. (2) The provision of veterinary extension services should focus not only on household heads, but on other household members as well, such as spouses/wives and herdsmen. This could contribute to improved reporting, treatment, and disease control, thus reducing the risks of animal loss and the spreading of diseases to other animals, livestock farms, and humans. (3) Stronger government engagement in the provision of veterinary services in pastoral or extensive livestock is required because the market has failed to attract private and trained paraprofessionals. Our findings indicate that the effort to close this gap by promoting community animal health workers with rather limited informal training has proven to be a rather problematic answer to this problem. This is especially true when these service providers are expected to fulfill a major role in providing curative services since this may lead to the inefficient use or potentially dangerous misuse of veterinary drugs. (4) Farmers need to be empowered to hold service providers accountable by developing and experimenting with tools, such as animal medical cards, that would enable them to measure the quality of services they receive and distinguish qualifications of different services providers. (5) Investment in veterinary education is needed to ensure that enough qualified veterinary staff (both diploma and degree holders) are available to offer veterinary services. This could be achieved by supporting and encouraging recognized universities or tertiary institutions to establish training centers in livestock producing areas and by offering scholarships targeting training community-based animal health workers or students from marginalized/pastoral livestock areas.
Asylum migration of Afghans and Syrians to Germany : opportunities and challenges during transit and integration
(2022) Torfa, Masooma; Birner, Regina
Refugee migration continues to receive considerable attention in the literature, primarily due to its escalating importance. According to the United Nations (UN), forced displacements in 2021 are the highest ever recorded. Since 2015, Afghans and Syrians have been the two largest internationally displaced populations, not only globally, but also within the European Union (EU). In the last seven years, the number of Afghans applying for asylum in Europe has continued to rise despite the EU’s efforts to discourage them. There are major knowledge gaps in the literature with regard to the experiences of migration from the perspective of the refugees themselves and about the driving factors and actors behind fragmented migration journeys. There is also limited literature on Afghan refugees, even though they constitute the second-largest nationality in asylum migration to Europe. Moreover, there are knowledge gaps on the role that different actors, particularly private companies, play for refugees’ integration in the receiving societies. Addressing these knowledge gaps, the research objectives of this thesis were (1) to explore the trajectories of fragmented migration undertaken by Afghan and Syrian refugees to Germany; (2) to better understand the opportunities and challenges of their adaptation to new societies; and (3) to explore the role of private companies in integrating refugees into the labour market. This dissertation uses a qualitative case study design, with individual in-depth interviews and Focus Group Discussions with newly arrived Afghans and Syrians, experts from the public sector, non-governmental organizations (NGOs), social workers, volunteers, translators/interpreters and private companies. In total, 91 refugees and 69 respondents from the public and private sector and civil society organizations participated in this research. The findings on the first objective showed that three-quarters of Afghan respondents did not plan to travel to Germany before their departure; in contrast, the majority of Syrian respondents did have Germany as a destination in mind when departing from their origin or a transit country. There were different factors behind origin migration (i.e. direct migration from the country of origin to the country of destination) and transit migration (i.e. migration with extended stays in other countries before reaching the destination country). The majority of the respondents migrating directly from Afghanistan and Syria left their countries of origin mainly due to political prosecution, violent conflict, personal security, and socio-economic pressure. The major reasons that led to the departure from transit countries were lack of prospects, lack of legal residence permits, fear of deportation, barriers to education and employment, exploitation of their labour, explicit racism, and ethnic and racial discrimination. Moreover, there were some temporary factors such as the so-called opening of borders to Europe in 2015 and expectations for the protection of Syrians in Germany that were seen as an opportunity for both transit and origin migration to Europe. Smugglers, other asylum seekers in transit, and social media contacts were the most influential actors and played very important roles at the beginning, transit, and endpoints of refugees’ journeys. To address the root causes of migration, European countries including Germany could facilitate regular migration pathways. Moreover, with regard to transit migration, Germany and other European countries could support improving the conditions of refugees in the first countries of refuge, e.g., by creating more favourable reception and living conditions there, improving access to residence and work permits as well as opportunities for employment and education. The findings of the interviews suggest that this may change the decisions of many about undergoing the risky onward migration to Europe. The findings with regard to the second research objective show interesting differences in the integration of the two nationalities included in the study. Syrians were found to be better integrated into their communities as compared to Afghans. The study showed that the shorter the asylum application process is and the more secure the residency status is (which is typically the case for Syrians), the faster refugees gained access to language and integration courses, which gave them a better opportunity to get integrated into the labour market, to find housing and to make better connections to the receiving society. Among the challenges faced by Afghan refugees were the lengthy asylum application process, the difficulty in securing housing, and the long-term residence in reception centres, which caused considerable stress and hardship for the refugees. The opportunities for refugees’ adaptation into the new societies were facilitated by diverse volunteer services, social and cultural events, and labour market integration services besides the government-provided German language integration courses. Although Stuttgart was found to be a pioneering city in terms of integration facilities for refugees, there is still room for improvements, such as timely accommodation of refugees outside of refuge centres, better coordination of integration offers, and systematic employment of volunteer services for social and labour market integration purposes. Regarding the third objective, the study showed that the engagement of private companies in the labour market integration of refugees increased with the larger arrival of refugees during 2015/2016. This was due to several factors, including the following: the discursive environment; the government call to private sector participation; corporate social responsibility of large-scale international companies; and shortages of skilled workers for small and medium-sized businesses, specifically in the care and service sector. However, the findings indicate that bureaucratic administrative employment procedures, challenges related to cooperation with the public sector, and lack of secure work permits have not only discouraged companies from engagement but also decreased the effectiveness of their engagement.
Challenges of sustainable wastewater management in Pakistan : a case study of Faisalabad
(2021) Jabeen, Saima; Birner, Regina
For several decades, achieving global development goals that reflect community needs has been the focus of development and conservation approaches; currently, special attention has been paid to water- and sanitation-related goals. Sustainable wastewater management, a target under the Sustainable Development Goals (SDG 6, 6.3) has fostered a debate on its complex role in sustainable development. Exploring the gaps between the real situation and the proposed one regarding sustainable wastewater management (zero pollution) would guide the developing world towards the right steps for improvements in the water and sanitation sector. Gaps exist in the literature about sustainable wastewater management, particularly with reference to developing countries. Against this background, the aim of this study was to investigate the challenges in sustainable wastewater management in Pakistan, more specifically in Faisalabad. These challenges, which require the attention of policymakers in Pakistan, include the following: untreated dumping of wastewater (domestic or industrial); overexploitation of groundwater; lacking clean drinking water and sanitation facilities; a weak legal framework to prosecute polluters; governance challenges in administrative agencies; and public health concerns. The study was conducted in urban and peri-urban areas of Faisalabad, Pakistan. Faisalabad is located in a semiarid region and is facing water scarcity issues. Industrial development, particularly in the textile sector, and rapid urbanization within this region, are posing threats to groundwater sources (due to intensive pumping), surface water sources (due to untreated dumping of wastewater), human health, and the environment (due to untreated reuse of wastewater). While these problems are widely recognized, there are major knowledge gaps on how to address them so as to ensure a sustainable wastewater management. The case study examines four main aspects of wastewater management: the interaction of wastewater with human health and the environment, existing formal rules for wastewater management, the institutional framework that governs wastewater management, and future development schemes and policies for better management. The first objective of the study was to evaluate the influence of poor wastewater management on the community and natural resources (at the micro-level). For this purpose, wastewater-irrigated areas were selected. The second goal was to evaluate gaps in the legal framework of wastewater management in Faisalabad. Identifying the challenges in urban wastewater management in Faisalabad was the third objective. The last objective was to review the current and potential future policy interventions within the context of the study area. Applying a case study design, this in-depth study explored the role of all stakeholders (administrative departments, individuals, industrialist, wastewater irrigators, etc.) linked with wastewater management. A multiphase data collection approach using mixed methods was used for the in-depth investigation. A framework was developed, which enabled the researcher to evaluate the current state of wastewater management and to identify the gaps to achieve sustainable wastewater management. The first phase of data collection comprised a household survey and a chemical analysis of soil, irrigation water and groundwater across three categories of different sources of irrigation water: industrial wastewater, domestic wastewater, and canal water. Data was collected in the peri-urban areas of Faisalabad. The household survey data were analyzed using descriptive analysis, statistical comparative analysis, and econometric analysis techniques. For the review of the current legal framework, desk research was carried out with the aim to critically analyze regulations, based on secondary sources. The second phase of data collection incorporated qualitative data collection tools, specifically in-depth interviews, focus group discussions, and a participatory mapping tool called net-mapping. These data collected from diverse stakeholders were evaluated using a content analysis approach to explore and identify the challenges in wastewater management. The institutional analysis was based on a conceptual framework, which was derived from the Institutional Analysis and Development (IAD) Framework. In addition to institutional analysis, historical developments of institutions (historical institutionalism approach) and their governance failures (discourse analysis of newspaper articles) were also analyzed. Finally, on this basis, possible policies to improve the current situation of wastewater management in Faisalabad were derived. The review of secondary data of wastewater management in Faisalabad showed that only 20 percent of the wastewater generated in Faisalabad was treated. A single treatment plant treated only domestic wastewater. The study showed that mostfarmers preferred to apply untreated domestic wastewater because the treated wastewater was more saline and had less organic content as compared to untreated domestic wastewater. During the last decade, without any drastic change in demographics and industries in Faisalabad, the volume of generated wastewater doubled. Most industry plants dilute their effluents by adding saline groundwater to their effluents before dumping it to drains. Evidence showed that wastewater reuse and dumping of untreated wastewater in Faisalabad increased. The evidence indicates that, despite all efforts to resolve the problem, wastewater management (generation, collection, treatment, and reuse) in Faisalabad has deteriorated in recent years. The results from the household survey across three categories of water (industrial wastewater, domestic wastewater, and canal water) in Faisalabad confirmed the problematic use of untreated wastewater for irrigation and its impact on human health and the environment. Irrigation with domestic wastewater was associated with a higher income and therefore contributed to food security, which underlines the farmers preference for this type of water. On the contrary, industrial wastewater negatively affected farm households. Thus, the results showed that there is a demand to reuse wastewater in agriculture, which needs proper management to reduce the risks involved. It was concluded that policies required for each site will be different depending on the quality of the wastewater and local conditions of the sites. No single model is fit for all conditions. The review of the current legislation led to the identification of several gaps, which favored violators or rules and polluters. Although sustainable wastewater management had been addressed through scattered clauses in various pieces of formal legislation, rules were not comprehensively legislated or enforced. The study showed that the difficulty in timely testing disposed wastewater and the lengthy legal process made proper law enforcement practically impossible. Therefore, violators used these implementation gaps to avoid fines and punishments. Local awareness and presence of a local pressure groups at the time of legislation could have reduced gaps in legislation and in law enforcement. Using governance and evaluative criteria (derived from the IAD framework), social and governance challenges regarding wastewater management in Faisalabad were comprehensively assessed. Furthermore, the historical institutionalism approach helped to identify the in-built challenges of administrative institutions. The most important challenge identified in the study was the low capacity of implementing agencies due to human, technical, and financial limitations. Moreover, the urban planning of Faisalabad completely failed during the previous decades, which resulted in scattered industrial clusters throughout the residential areas. Such poor planning restricted proper management, treatment, and reuse of effluents. In addition, the institutional analysis showed that the public organizations and agencies had weak administrative linkages among each other. The study also indicated that a problematic institutional environment, including nepotism and interference in office affairs, influenced how the public organizations operated. It was concluded that a comprehensive strategy is needed for improved wastewater management, which needs to address simultaneously issues of institutional and technical feasibility, economics, social acceptability and environmental sustainability. Future studies could further explore such comprehensive strategies within the context of developing countries.
Civil war and agrarian contexts. Land accumulation, rebel groups’ behavior, and collective action post-war in Colombia
(2021) Navarrete Cruz, Angela Patricia; Birner, Regina
Agriculture in developing countries is especially vulnerable to social and political constraints, particularly, to armed conflict and violence. Intrastate conflict, which accounts for the majority of violent conflicts since the second half of the 20th century, occurs mainly in the rural areas of these countries. In 2018, 52 intrastate conflicts were active in 36 countries, most of them with the potentiality to spark large-scale violence. Around 79.5 million people fled from their homes, 100 civilians were killed a day, and 60% of the food-insecure people worldwide lived-in war-torn areas. Intrastate conflicts greatly affect rural areas and have deep agrarian roots. Civil war onset, for instance, is usually anchored in unfair land distribution patterns and land tenure regimes that originate peasant grievances that give place to large-scale violence. The rural scenario in which civil wars occur also offers a suitable environment for insurgent activities (e.g., complex geography far from the radar of the state), funding sources (e.g., looting of natural resources), and a source of combatants (e.g., aggrieved peasants). However, the nexus between violent conflict and rural areas in the developing world is not straightforward. Moreover, intrastate conflicts unevenly affect local contexts and subsequently, their effects on agriculture and the livelihoods of rural inhabitants are unequal at the sub-national level. This means that the processes through which armed conflict and agriculture dovetail in developing countries emerge under certain conditions and must be grasped at various scales, including the local level. In order to understand these processes, this cumulative dissertation aims at exploring the intersections between civil war and the agrarian settings in which they occur. The contribution of this thesis is twofold. First, different paths through which armed conflict influences agrarian societies and the livelihoods of people living in rural areas are discerned. Complementary, the theoretical implications of having rural areas as the main scenario of both civil war and peacebuilding processes are examined. A qualitative approach bearing on a case study was applied, by focusing on Colombia, where a protracted armed conflict has created around eight million victims and 260,000 casualties. Three main gaps found in the literature are tackled in each of the articles that compounds the thesis: first, how land is accumulated in wartime. Second, why the behavior of one rebel group varies across its territories of influence. Third, why collective action is possible post-war. Regarding the first question, land accumulation dynamics during civil wars are poorly understood because the land-violent conflict nexus has been constructed around linear causations that go from aggrieved peasants to violence. In focusing on the mechanisms of land dispossession in Colombia, defined as land usurpation by taking advantage of the context of widespread violence that civil war spawns, this paper aims to shed light on how land is accumulated during an armed conflict. Based on a literature review, more than 50 different methods for dispossessing land are identified. The methods show how actors develop complex strategies for profiting from the civil war setting -often depicted as irrational-; how violent conflict benefits more certain sectors of the agrarian elites than the peasantry that initiates it; and how rural inequality is reinforced in civil war with the support of state institutions and bureaucracy. Concerning the second question, wartime social order has shown that civil wars are not exclusively chaotic but are complex phenomena that unevenly affect local contexts. Important evidence for order in civil wars are the governance regimes established by insurgents to manage civilians’ affairs. However, even if this is a desirable outcome for rebel groups, not all of them are able to build such regimes, and even armed groups that succeed are often unable to do so across their entire territory of influence. Instead, rebels also negotiate agreements with civilians and local authorities, or simply deal with disorder. Why? This paper explores the factors influencing these various outcomes by focusing on three neighboring territories in southern Tolima, Colombia, where the former communist guerrilla Revolutionary Armed Forces of Colombia – People’s Army – FARC-EP was present for more than 50 years. The results lessen the assumptions of current theories on determinants of rebel governance, identifying that the behavior of rebel groups varies according to its own strategies and resources, intersected with the strategies and resources of the actors they interact with (whether civilians, other armed actors, or incumbent governments) in specific territories. The active role of both civilians and the state, often neglected by the explanations on the determinants of both rebel governance and the diversity of behaviors deployed by the same armed actor, is underscored. Situational, organizational, ideational, and strategic factors shaped the possibility for rebel groups to establish order or, on the contrary, to engage in widespread violence in specific locales. Regarding the third question, civil wars hit rural areas intensely and Rural Producer Organizations (RPO) -as forms of long-term collective action or cooperation among small farmers- are considered essential for peacebuilding. However, the factors underpinning the formation and performance of RPO post-war are unclear. Based on a case study in the municipality of Planadas, Colombia, where the former communist guerrilla FARC-EP was formed and several associations flourished post-war, this article identifies 14 contextual factors facilitating the rise of RPO. Contrasting the findings with variables identified by collective action, commons theory, and literature on RPO, it was determined that four additional contextual variables play a critical role in RPO development post-war, namely, legacies of war, resilience strategies, institutional intermediaries, and discourses. Legacies of war refer to the vestiges left by the kind of relationship developed between the main armed actor and the civilians in wartime. Economic activity as a resilience strategy indicates civilians’ strategies to stay aside from the confrontation, reducing the probability of being harmed and preventing their involvement in the war or illegal economic activities. Intermediary institutions are third-party organizations that influence RPO. In the case considered, this role was developed by certification schemes known as Voluntary Sustainability Standards. Controverting critical literature on the effects of the standards, the results suggest that they can enhance self-organizing capacities post-conflict at the local level. Finally, discourses refer to additional incentives for RPO development regarding what participants consider valuable beyond economic benefits, in this case, environmental protection. Consequently, the article presents the foundations of an expanded framework to understand and foster RPO growth in post-war settings. To qualify our understanding of civil war is imperative in a world at the edge of new forms of violence. Knowledge that illuminates public policies attempting to strengthen food systems, alleviate poverty, decrease inequalities, and build a more peaceful world, is fundamental for the future of humankind. This dissertation is intended to be a contribution in this path.
Collective action in crop-livestock farming systems : a case study from Burkina Faso
(2022) Yameogo, Guesbeogo Viviane; Birner, Regina
To end hunger and increase food security, substantial investments will be required. In sub-Saharan Africa, smallholder agricultural households have a major role to play. However, finding the right instruments to stimulate agricultural growth at the household level requires an accurate understanding of agrarian households’ behaviour. This thesis aimed to contribute to a better understanding of agrarian households, focusing on the institutional conditions shaping cooperation within polygynous households. Indeed, polygynous households are widespread in African societies, but their specific features are relatively neglected in the agricultural development literature. Moreover, the theory of collective action has, so far, been applied at the community-level, but rarely at the intra-household level. To address this knowledge gap, case studies of two ethnic communities, the Fulani and the Mossi, were conducted. The research explored the institutional arrangements shaping the allocation of resources within polygynous households and examined the structural conditions under which cooperation occurs. The second chapter of this thesis reviews the discourse on agricultural households’ behaviour. Reviewing the empirical evidence, the chapter examines the adequacy of existing economic conceptualisations of agricultural households and their generalisability to West-African settings. Drawing on insights from anthropology and feminist perspectives, the chapter highlights the shortcomings of conventional household models, and the failure to consider gender and intergenerational relations of production. The third chapter analyses the challenges underlying cooperation in agricultural households. The chapter uncovers the contractual arrangements shaping the allocation of resources for food production. Drawing on the natural resource management literature, the chapter examines how households’ member’s characteristics, including their socially accepted roles and responsibilities, shape their incentive structures and determine resource pooling. Chapter 4 examines an essential determinant of collective action: trust. The chapter investigates the correlation between trust and productive and reproductive activities. The chapter makes an innovative methodological contribution to the study of cooperation, applying an experimental trust game to co-wives in polygynous households. The critical review of the economic literature challenges the existing representations of agrarian households in sub-Saharan Africa. The review calls for a redefinition of the units of production and for cautious assessment of conventional economic theories. The review recommends a framework that encompasses the complexities and diversity of behaviour in agrarian households. Integrating theories from feminist and anthropological literature can support this endeavour. Chapter 3 reveals that the contractual arrangements embedded in the rules and norms defining socially-accepted behaviour, influence the patterns of intrahousehold resource mobilisation and the likelihood of cooperation among household members. Agricultural household members were found to pool, exchange or split resources based on their roles and positions within the household arena. Implicit monitoring and sanction systems were identified, which shape the incentive structures of agrarian household member and determine whether cooperation will occur. The final chapter revealed that trust can mediate cooperation between co-wives, depending on the nature of the activity. No correlation was found between trust and co-wives’ likelihood to pool labour on individual plots. However, a strong correlation was identified between trust among co-wives and income pooling for food purchase, highlighting the importance of uncertainty and of existing norms on the outcomes of cooperation in agricultural households. The thesis concludes that collective action in polygynous agrarian households does not occur in a vacuum. Rather, collective action is the outcome of several processes and mechanisms. Policymakers should be aware of these internal arrangements, and their implications for intra-household resource allocation. The success of agricultural policies depends on these considerations.
Comparison of institutional arrangements for inclusive dairy market development in India
(2019) Ravichandran, Thanammal; Birner, Regina
Future projections show that by 2025, the demand for dairy products in developing countries will increase by 25 percent due to population growth, urbanization and increased incomes. This increase in demand offers a unique opportunity for smallholder dairy farmers, who may achieve higher levels of income and well-being if they are able to increase their milk production. Currently, smallholder dairy producers in developing countries face severe constraints caused by low productivity, lack of market access and high transaction costs. Hence, investments in dairy production that aim to overcome these constraints can serve as a powerful tool for poverty reduction and rural development. Many donors have already invested in reducing poverty by stimulating growth of dairy sector, but the success of such development projects has been variable and largely dependent on local circumstances. India is a good example of the challenges faced by the promotion of dairy development. Remarkable growth in the dairy sector has been achieved by “Operation Flood”, a large-scale government-funded program to promote smallholder dairy production and market integration. However, growth in the dairy sector was not equally distributed among the different regions of India. Moreover, depending on the region, marginalized farmers, including female farmers, still face barriers to access technological innovations (e.g., breed improvement and better feeding practices) as well as access to institutions (e.g., credit and markets). Therefore, India presents a good case for a comparative study that aims to identify what types of institutional arrangements are most suitable to promote inclusive growth of the dairy sector, depending on local circumstances. Against this background, it is the main objective of this thesis to analyze institutional arrangements for inclusive dairy sector development and to explore the factors that influence or hinder inclusive growth, using India as a case study country. The focus is placed on institutional arrangements that have the potential to address governance challenges and gender inequality in dairy development. Data for this thesis was collected in three Indian states that differ with regard to the overall governance conditions: Telangana, which enjoys favorable governance conditions, Bihar, which can be classified as intermediate, and Uttarakhand, a state with rather unfavorable governance conditions. The thesis is composed of five chapters. Following an introductory chapter, Chapter 2 explores the governance challenges that different institutional arrangements of dairy marketing pose for inclusive growth. Chapter 3 focuses on the barriers faced by women to participate in institutional arrangements for dairy marketing and to access and control the income derived from dairy production. Chapter 4 presents a case study of the MilkIT project, an internationally funded project that used the institutional arrangement of the “Innovation Platform” to promote dairy development. Chapter 5 discusses the overall findings of the thesis in a comparative perspective and identifies the success factors, which influence inclusive growth of the dairy sector. The final chapter also presents policy recommendations for inclusive dairy development. The institutional arrangements for dairy marketing that were examined in Bihar and Telangana include different types of dairy cooperatives (with mixed membership and women-only membership), a private dairy company and informal marketing arrangements. A qualitative research approach using Grounded Theory was applied to identify the factors that influence participation of women and marginalized groups in different institutional arrangements. The researcher stayed for two weeks in each of the selected villages and collected data using participant observation as well as other research tools: semi-structured interviews, focus group discussions and the application of Net-Map, a participatory mapping technique. In Uttarakhand, data from a baseline household survey and focus group discussions conducted for the MilkIT project were compared with a post-intervention household survey to assess the impact of Innovation Platforms on institutional and technological innovations. Furthermore, the documentation of meetings held in the context of the Innovation Platforms was analyzed. The findings of the study underline that gender inequality and governance challenges are major constraints to achieving inclusive growth, which require context-specific interventions. In Telangana, dairy cooperatives that have only women as members proved to be an appropriate institutional arrangement for inclusive dairy development. These women-only cooperatives performed better than cooperatives with mixed membership. The study showed that women and lower caste producers were often not able to participate in cooperatives with mixed membership, and those who participated had limited access to leadership roles and training opportunities. The results for Bihar were rather different, which underlines the need for a context-specific approach. Women-only cooperatives allowed females and low-caste members to participate, but all leadership roles were occupied by men who dominated the management of those cooperatives. As in Telangana, the mixed dairy cooperative in Bihar were not fully inclusive, but those women and low caste members who were able to join benefitted relatively more from access to inputs and training as was the case in Telangana. Exclusion of women and marginalized groups was particularly evident in the case of a private dairy company in Telangana, which mainly focused on marketing of milk and did not engage in services for productivity enhancement. Informal dairy market arrangements were found to be easily accessible for women and marginalized groups, but they did not facilitate access to inputs and services either. The Innovation Platform approach was found to be effective in facilitating market access and promoting technical innovations. By design and in practice, women were given a chance to participate in this approach not only by attending meetings but also by participating in decision-making. The study demonstrates that both the institutional set-up and the prevailing governance processes are key aspects of institutional arrangements for inclusive dairy development. Success factors include decentralized governance structures; low state interference; participation of women not only at the village level, but also higher levels of the cooperative arrangement (union or federation level); democratic practices, especially transparency, in the election of leaders; and involvement of all types of members in decision making. Effectiveness and inclusiveness in the provision of economic services also mattered, most notably with regard to input supply and support services to all members. The type of institutional arrangements required to realize these success factors may differ across regions, as the comparison of Telangana and Bihar shows. Overall, the study suggests that performing a context-specific social and gender analysis is essential for the design of formal institutional arrangements for dairy markets, a finding that likely applies to all agricultural markets. The study clearly shows that creating organizations with women-only membership is not a sufficient condition to promote inclusive agricultural development. What matters is women’s participation in leadership position of agricultural marketing organizations (which may require quotas), capacity building, networking through self-help groups and extension services that are accessible to women. The study also shows that innovative institutional arrangements, such as Innovation Platforms, also have a promising potential to foster inclusive agricultural development.
Development potential of smallholder livestock production in Zambia
(2019) Lubungu, Mary; Birner, Regina
The continued increase in the demand for livestock products in Africa presents a development opportunity for smallholder livestock farmers. If this opportunity is harnessed well, it can contribute to rural poverty reduction. However, translating this opportunity into reality requires unlocking smallholder farmers productivity potential, considering that livestock performs numerous functions beyond just serving as an income source. To support this development opportunity for smallholder livestock farmers, it is essential to enable a large share of small-scale farmers to engage in livestock farming and increase the productivity of smallholder livestock farming systems in an equitable and environmentally sustainable way. Taking Zambia as an example, this thesis aims to identify and analyze factors that have been obstacles to livestock development. Based on two rounds of panel data collected from smallholder farm households in Zambia, it was observed that the share of farmers who keep cattle is limited and that farmers move in and out of cattle production, despite the many benefits that livestock offers. Therefore, there is a need to identify what enables and disables farmers to keep livestock. There is also a need to identify the driving factors of livestock herd growth since small herd size is one factor that prevents farmers from participating in the market for livestock products. To better understand how livestock production systems can be developed equitably, it is also necessary to understand the gender dimensions of livestock farming to ensure that women will not be left out of the growth process. Moreover, to be able to support livestock production effectively, it is also essential to identify the governance challenges that are likely to occur in the implementation of livestock development interventions. Against this backdrop, the thesiss overall goal was to identify options to promote sustainable livestock production systems. The thesis focused on cattle, which is the most valuable large asset among smallholder farmers in Zambia. The thesis had four specific objectives, which are addressed in separate chapters: (i) To unravel the mystery of moving in and out of cattle keeping; (ii) to identify the factors determining the livestock herd size among smallholder farmers in Zambia; (iii) to understand the gender dimensions in cattle production; and (iv) To uncover the governance challenges of implementing the vaccination campaigns in Zambia To achieve these objectives, a mixed-method research approach was used, involving both quantitative and qualitative methods. The quantitative analysis was based on an existing household survey data set, which is representative at the national level. Various econometric techniques were applied, including probit, correlated random effect, and zero-one inflated beta regressions. For the qualitative component of the study, a combination of empirical data collection methods was applied, which included focus group discussions, individual household in-depth interviews, key informant interviews, and a participatory mapping method called Process-Net-Map. Analytical methods for the qualitative component of the study included content analysis as well as causal narratives. The analysis showed that moving in or out of cattle production is influenced by human population growth, climatic variability, livestock population density, male household labor availability, and institutional support. The findings indicate that household-level factors and regional factors and their interaction influence households ability to take up cattle production and continue this activity over time. One can derive from this analysis that regional incentives, such as an increase in the demand for draft power, are important to encourage cattle production, but household level challenges, such as labor availability, need to be addressed, as well. The analysis also indicated that loss of cattle due to death, rather than cattle sales, was a major reason for the reduction in herd size. Mortality rates were found to be responsive to animal health interventions, which underlines the need for effective animal health services as a precondition for improved productivity in livestock production. The analysis also showed that farmers mainly increased their herd size by keeping the off-spring of their herd rather than by buying animals. Low conception rates due to limited feed resources during the dry season were identified as a major obstacle to a faster increase in herd size. Farmers who were able to enter into cattle production typically used their income from crop farming to acquire the first stock. This finding indicates that, in the absence of well-functioning rural financial markets, smallholders who cannot generate a surplus from crop farming will not be able to move into cattle production. The analysis also threw light on the factors that enable women to own cattle. These factors included financial independence and the accumulation of other assets. Women were also more likely to own cattle in households with larger herd sizes. Perceived intra-household conflicts were identified as an obstacle to female cattle ownership. Considering the important role of livestock support programs, an in-depth analysis of a program was carried out that supported livestock vaccination campaigns. The Process Net-Map method served to identify the governance challenges faced by the program. The findings established that the complexity of the procurement procedure, the limited capacity of the central actors, and a lack of urgency from influential actors resulted in procurement delays, and a diversion of funds caused delays in the release of funds. Lack of influence by the farmers also contributed to the inefficiency of the implementation procedure. The findings are likely to be relevant for implementing other livestock development programs that involve the distribution of publicly procured inputs. Overall, it was concluded that the problems identified in the thesis need to be addressed. Otherwise, smallholder livestock farmers will not be able to exploit the opportunity of rising demand for livestock products. A number of policy recommendations were derived from the findings. These include the provision of institutional and technical support for the intensification of smallholder cattle production, strategies to bridge the gender gap in cattle production in a way that does not result in household conflicts; and innovative approaches to improve the efficiency in the implementation of livestock development programs.
Farming forest enclosures : contestations, practices and implications for tackling deforestation in Ghana
(2022) Kumeh, Eric Mensah; Birner, Regina
Scientists and policymakers are waking to the menacing impacts of deforestation on biodiversity and the livelihoods of the over one billion people reliant on forests. Concurrently, an upward trend in population and its corresponding rise in the global demand for feed, food, fuel, and fibre exerts new demands on limited land resources available to multiple stakeholders. As the competition over land intensifies, many farmers in the tropics employ several strategies to cultivate areas designated as forest reserves for their livelihoods, leading to further deforestation and conflicts with state forestry agencies. Moreover, despite decades of investments in institutions to directly fund smallholder farmers’ participation in rehabilitating deforested landscapes, little is known about the reach and performance of existing financial incentive mechanisms. This dissertation adds to filling these knowledge gaps based on qualitative case studies embedded in multiple analytical and data collection approaches in Ghana, which loses near 2% (135,000 ha) of its forests annually despite several efforts to overcome the challenge. Following a brief introduction and clarification of conceptual underpinning in Chapter 1, the knowledge gaps are addressed with three empirical publications (chapters 2-4). Chapter two examines why and how farmers in forest communities gain and secure access to their farmlands within forest reserves to produce food and cash crops against state law. Through process-net maps, focus group discussions, interviews, and field observation, data were gathered through an extended field stay in Ghana’s Juabeso district. The findings unbridle the multiple structural and relational mechanisms farmers apply to evade state attempts to rein in illegal farming in the area and how institutional deficiencies, notably corruption and elite capture of farming benefits by native chiefs, reinforce farming in forest reserves. The chapter discusses the broader implications of the findings for the Ghanaian government’s attempts to accelerate forest landscape rehabilitation, noting that such efforts will need to adapt to the multiple struggles and latent actor interests to succeed. Chapter three disentangles the narratives and experiences of forest communities and compares them with the current assumptions underlying forest policy in Ghana from the perspective of the most dominant forest policy actors. The results contend with current assumptions that portray forest communities as environmentally destructive. Alternatively, it reveals that while several factors combine to drive forest-dependent communities to cultivate forest reserves, the challenge of food insecurity is paramount but unconveyed to the forest policy arena. The chapter proposes a novel concept of food security corridors (FSCs) as a meta-narrative for harmonising competing actor interests in forest reserves. The chapter also discusses the feasibility of FSCs and calls for further efforts to refine and pilot the concept in the global search for solutions to forest and agriculture land-use conflicts in the tropics. Chapter four examines the governance of Ghana’s Forest Plantation Development Fund as an incentive system instituted to attract smallholders into landscape rehabilitation based on interviews with tree growers, forestry officials and NGO staff. The study revealed that the legal provisions instituted to ensure the fund’s transparent operation were not implemented by fund administrators. Many stakeholders were clueless about the Fund and could neither access nor demand accountability in its administration. The chapter clarifies the information needs of various fund stakeholders, such as eligibility criteria, funding cycles, annual inflows and outflows, and a list of beneficiaries. It also discusses the implications of the findings, including mechanisms required to trigger the transparent running of the fund by its administrators. The thesis reveals new patterns of perennial land competition between state and traditional institutions. It demonstrates how prevailing institutional challenges reinforce this competition and enable unsustainable land use to flourish. At the same, it points to lapses in governance, including state failure to evolve its forest policies to meet changing demands and needs among contemporary actors and how the same challenges curtail access and ability to support forestation rehabilitation efforts in Ghana. Overall, the thesis notes that while tackling farming in forest reserves can be challenging due to its multiple drivers and the competing actor interests, FSCs have the potential to serve as an entry point that enables government and other actors to resolve their differences and find lasting solutions that enable local communities to achieve their livelihoods needs while contributing to sustainable land use. However, for this potential to be realised, actors need to invest in refining and piloting FSCs in specific localities.
Gender and equity in market-based environmental programs : case studies from Kenya
(2016) Kariuki, Juliet; Birner, Regina
Reconciling global environmental goals with local community needs has been the focus of conservation approaches for several decades now; however scant attention has been paid to the role of gendered – men’s and women’s - dynamics within these environmental contexts. Although well-intentioned, the tendency has been to direct practical attention to only women, which offers an inadequate account of the gender-differentiated access to, and control over natural resources. Against this background, the objective of this thesis is to analyse how formal and informal institutions interact with the design of market-based environmental programs to influence gender and equity outcomes. Payments for Ecosystem Services (PES), a new addition to the suite of environmental conservation approaches, are market-based instruments that include “Reduced Emissions from Deforestation and Forest Degradation - plus - sustainable management of forests, conservation of forest carbon stocks and enhancement of forest carbon stocks” (REDD+). PES/REDD+ are considered promising tools that reward resource users financially or in-kind, on the condition that conservation of natural resources and/or a reduction in carbon emissions is achieved through the adoption of stipulated resource-use regulations. PES/REDD+ programs are therefore heralded for their ‘win-win’ potential to overcome the flaws of previous coercive state-led and community-based approaches. The case studies analyse four PES/REDD+ programs in Kenya, namely the Kitengela Wildlife Lease Program, the Mara North Conservancy, the Kasigau Corridor REDD+ Project and Imbirikani Group Ranch. The study sites host mainly pastoral and agro-pastoral communities and are adjacent to some of the most prominent protected areas in the country. The thesis concludes that more attention to the historical processes leading up to PES/REDD+ establishment is required if more equitable outcomes are to be achieved. Deliberate efforts by implementing agencies that consider the multi-dimensional nature of equity can play a crucial role in addressing distributional and procedural equity, especially in contexts where land is unevenly distributed. However, as secure land tenure is not the only determinant of equity outcomes, the study advocates for a nuanced understanding of gendered norms in an effort to contribute to selecting suitable gender strategies for PES/REDD+ programs. Ultimately, greater effort is also required to challenge prevailing—yet flawed—gender discourses if participation in, and benefits from PES/REDD+ are to become more gender balanced.
Governance challenges in post-conflict agricultural recovery programs in Northern Uganda : a comparative study of the Northern Uganda Social Action Fund (NUSAF) and the National Agricultural Advisory Services (NAADS)
(2015) Wassajja, Emmy; Birner, Regina
Violent conflicts are a major constraint to food security and agricultural development in many regions of the developing world. Rebuilding agriculture is a primary task after a conflict comes to an end yet agricultural recovery projects are challenging to implement because governance challenges such as corruption and elite capture are wide spread in post-conflict projects. This thesis presents a detailed case study of such governance challenges taking two agricultural recovery projects in Northern Uganda as examples. Overall, the study concludes that there is no ‘‘silverbullet‘‘ in improving governance of livelihoods programs in post-conflict areas. However, when both demand and supply-side strategies are implemented in a well-coordinated way, the governance challenges inherent in post-conflict recovery programs can be confronted more effectively.This will make an important contribution to rebuilding the agricultural livelihoods and ensuring food security in conflict-affected regions.
Governance challenges of developing biomass-based value webs : the case of maize in Ethiopia
(2018) Mengistu, Tilahun Woldie; Birner, Regina
In recent years, the need to move from an economy based on fossil resources to an economy based on biological resources has gained increasing attention. The bioeconomy has the potential to ensure sustainable growth by enhancing the usage of untapped biomass resources. This potential is particularly pronounced in sub-Saharan Africa and has attracted the attention of both governments and the international donor community. To use the potential of the bioeconomy in a sustainable way without jeopardizing food security, it is essential to increase the productivity and the efficiency of the production and utilization of biomass. Using the maize production in Ethiopia as a case study, this thesis aims to identify strategies that will contribute to a higher productivity and better utilization of biomass in the emerging bioeconomy. Maize has been selected for this case study because it is on one the one hand a major food crop in Africa while it has, on the other hand, the potential to provide biomass for multiple uses in the bioeconomy. Ethiopia is well suited for the case study because it is confronted with major challenges of food security, while it has at the same time a large underutilized potential to increase the production of biomass for the bioeconomy. The thesis focuses on two themes: One is an analysis of the seed system, because maize seed supply has been identified as a major bottleneck to increasing productivity in the production of biomass. Ethiopias seed sector has been plagued with problems of seed quality regulation, certification, dominance of informal seed sourcing, and inefficient distribution system, among other governance challenges. There have been major reform efforts in recent years, but there is not sufficient empirical evidence on how these reforms have fared. The second theme to the thesis is the utilization of the biomass from maize. This topic has been selected because there is a dearth of empirical evidence on the usage of the different components of maize (e.g. cob, stalk, leaves etc.) for several purposes, and its implications for household food security. Against this background, the broad objective of this thesis is threefold: (1) to analyze the institutional arrangements for maize seed quality regulation, and uncover the governance challenges therein; (2) to identify the governance challenges in the hybrid maize seed distribution system and analyze farmers’ preferences of the select attributes for hybrid seed distribution; and (3) to assess usages of the different components of maize biomass, and examine its implications for food security. The thesis is based on a mixed methods approach. Data were collected using both qualitative and quantitative techniques. The study of seed quality regulation relies primarily on qualitative data collected through Process Net-Maps, focus group discussions, key informant interviews and direct observation in three maize growing districts. For the second and third objectives, data were collected using household survey and a choice experiment covering 325 farmers, Process Net-Maps, focus group discussions and key informant interviews. We employ the latent class and endogenous switching regression models to analyze the choice experiment data on farmers’ preference for the distribution attributes and effect of farmers’ diverse biomass use decision on food security, respectively. The findings of the thesis contribute to the wider debates on governance and institutional challenges of ensuring food security through development of the bioeconomy, taking maize as an important bioeconomy crop. By investigating the roles of different stakeholders in the seed system, the study finds that the systems suffer from a number of governance and institutional challenges such as corruption, implementation gaps that arise due to capacity limitation and lack of political will to support private sector participation. The study suggests ways to overcome the governance challenges, which include enhancing internal as well as external quality control mechanisms, redefining certification standards, making certification services transparent, participatory and cost-effective, and a strong political will to fully implement reforms by promoting private sector participation. Additionally, the positive and homogeneous preferences for attributes like seed quality, types of sales outlets and access to credit that are shared by the majority of the surveyed farmers’ show the extent to which reform outcomes deviated from the needs of farmers. The study identified farmers’ preferences regarding the question of how they would like to access hybrid seeds and recommends ways to overcome the governance challenges in seed distribution in Ethiopia. In addition to examining problems regarding production, the study confirmed that maize biomass utilization is crucial for food security and development of bioeconomy. The findings show that maize biomass is underutilized in the country because of lack of enabling conditions such as access to extension and information, marketing channels, availability of multi-purposes maize varieties and value-adding technologies. The findings led to the recommendation that policy innovation to provide better access to these conditions is essential to achieve growth in the maize sector and food security.
Governance conundrum : understanding the dynamics of petty corruption in Bihar, India
(2016) Verma, Rajiv; Birner, Regina
This thesis examines the dynamics of petty corruption in the Indian state of Bihar. It illustrates how the problem of petty corruption is manifested in the delivery of welfare services to the poor; explains the reasons for the perpetuation of systemic corruption in public dealings; investigates the strategies of civil society-led mobilization of the poor against corruption; unravels what happens when well-meaning anti-corruption policies and reforms hit the ground; and explores the attitudes of future bureaucrats toward bribery and corruption. These inquiries become crucial, as in the last few decades, scholars have identified the problem of corruption as one of the toughest governance challenges in developing countries, wherein welfare services often get trapped in ‘corruption cycle’ (see Rose-Ackerman, 1999; Debiel et al., 2011; Villoria et al., 2013). While corruption is widely acknowledged as a problem and some attempts have been made to quantify it, there is a dearth of empirically grounded research on the dynamics of corruption, its persistence, and the probable solution for curbing it. This thesis is an attempt in that direction. Bihar is chosen as the site of investigation because it has covered a long journey from being one of the most corrupt states in India about a decade back to have become a leading state in undertaking governance reforms for curbing corruption. The findings of the thesis contribute to the wider debates on good governance and corruption. It takes forward the discourse on corruption, which is largely dominated by the works that tend to quantify it, by unravelling the dynamics of corruption as well as presenting the narration and explanation for its persistence. The thesis compliments the literature on the role of civil society in preventing corruption by providing empirical evidence on the dynamics of civil society-led mobilisation of the poorest citizens in Bihar. It advocates the support of international agencies as well as the state in this endeavour, and argues for the nurturing of second rung of leadership in the facilitating organisation for the longevity of the movement. The thesis challenges the present fixation with strict monitoring and vigilance-focused reforms in anti-corruption measures. While acknowledging the need for better monitoring and accountability, it identifies the entry points for corruption in welfare schemes and suggests ways of curbing systemic corruption. It emphasises the need for communicating well to the target population the changes in rules and regulations of welfare programmes, alongside redressing the problems of poor working conditions and low remuneration of over-worked frontline workers. Finally, the thesis, in a novel attempt of its kind, presents the attitudes of future civil servants toward bribery and corruption. It argues that the anti-corruption efforts should not only focus on stringent action and speedy trial of erring officials but also strive for changing the ‘social acceptance’ of corruption through value-based education in wider society.
Governance of emerging biomass-based value webs in Africa : case studies from Ghana
(2018) Poku, Adu-Gyamfi; Birner, Regina
Rising global demand for food as well as for feed and biomass-based raw materials such as fuel and fibre crops has increased pressure on the agricultural sector, especially in Sub-Saharan Africa. The expected trend of increased demand for more diverse biomass-based produce from agricultural land effectively transforms the agriculture sector from just a food-supplying to a biomass-supplying sector in the growing international bioeconomy. This transition is leading to the development of biomass-based value webs whereby there are complex systems of interlinked value chains in which food, fodder, fuels, and other raw materials are produced, processed, traded and consumed. Against this background, this thesis aims to evaluate the appropriate roles of the public, private and third (civil society) sectors in facilitating the transformation of the agricultural sector in the developing bioeconomy in Ghana. The study focuses on the emerging value webs of cassava (Manihot esculenta) and maize (Zea mays), which are the two most important staple crops in Ghana.
Landwirtschaft im Wandel - wie innovativ war die württembergische Landwirtschaft in den Jahren 1818 - 1877?
(2023) Veh, Christine; Birner, Regina
Agriculture accounted for more than half of Wuerttemberg’s economic activity throughout the 19th century. Innovations were highly regarded as the most significant drivers of economic growth. Regional areas within the Kingdom of Wuerttemberg played a significant role in the agricultural advancements. The economic policy conditions for agricultural growth gradually increased throughout this period due to the gradual introduction of freedom of trade from 1828 onwards, the accession to the German Customs Union in 1834 and the liberation of the peasants through the abolition of serfdom in the 1840s. This thesis comprises three interrelated research topics. to contribute in the field of in-novation research, specifically in the field of agricultural science. The first topic addresses the research question of how technical innovations in Wuerttemberg agriculture can be measured. The second research topic addresses the history of the patent system, while the third topic discusses the strategic patent allocation of the Wuerttemberg Patent Office. Patents are used as a potential determinant of innovation and remain one of the determining output indicators. For the Kingdom of Wuerttemberg, reliable research exists between 1830 and 1866 as well as from 1877 onwards. Presently science and research in Wuerttemberg focuses primarily on questions regarding the period after 1877, while ignoring or missing out the discussion about the time before the Common Patent Act in 1877. A complete list of patents until the first Common Patent Act was enacted in 1877 could not yet be presented. The results proved that the Kingdom of Wuerttemberg was at the top of all German states in terms of patent intensity, irrespective of the poor state of agriculture. This analysis shows that, at this time, Wuerttemberg was still predominantly in competition with neighboring German states, as well as France and Great Britain, for the development of technical innovations and inventions. Wuerttemberg had to distinguish and compare itself to its competitors in terms of its innovative capacity, and patent protections played an important role in this endeavor. Despite the importance of patents as a measure of innovation, they only played a sub-ordinate function in agriculture. Patents can protect many important inventions only partly. Therefore, this dissertation examines and focusses on possible implications and consequences of patent grants in the Kingdom of Wuerttemberg. The results show that national and international patent law differences existed in the application and examination procedure, patent costs and patent term. In the third part examines whether the Wuerttemberg authority discriminated against the industrialised countries, such as Prussia and the countries bordering Wuerttemberg, in terms of higher patent fees, the longer processing time and the patent term granted. Another effect is shown for agricultural crises using the patent fee variable and the endogenous variable wheat prices, which is seen as a measure of economic distress. The empirical analysis presented in this thesis indicates that foreign inventors had to expect longer processing times and higher patent fees in the Kingdom of Wuerttemberg then domestic entrepreneurs. The analyses of the patent system contributes to a better understand-ing of the discriminatory behaviour of the Central Office and the Patent Commission. The instruments of the Patent Office included not only fiscal but also monetary policy actions, which had protectionist effects. Such actions refer not only to the promotion of economic growth but also to the influence of Wuerttembergs financial policy. The instruments available for this are patent fees and public costs. A possible explanation for the preferential behaviour of the Central Office of the Agricultural Society with regard to Württemberg could be that the patent system in Wuerttemberg responded to new innovations to keep up with the global innovation leaders such as England, America and Prussia. One can argue that the patent system and Wuerttemberg’s legal protections and poli-cies created an environment that enabled enterprises to grow and innovation to flourish. An-other important aspect revealed by the analysis are the fiscal and protectionist motives of the patent policy, evidenced by charging comparatively high patent fees and involving longer processing time for foreign inventors form industrialized countries. This confirms that patent statistics are a useful source for innovation research. The growing technological development and the significant role of industrial property rights render the use of patents as a strategic instrument interesting. Finally, the goal of this dissertation is to gain a comprehensive picture of Wuerttembergs innovation behaviour and the preference of Wuerttemberg inventors in the agricultural sector during the 19th century.
Livestock, gender, food security and nutrition: A case study from Bangladesh
(2022) Fatema Sarker; Birner, Regina
Policymakers and development agencies increasingly adopt livestock interventions to enhance livelihood strategies and ensure the food and nutrition of poor people in the Global South to achieve the United Nations’ sustainable development goals (SDGs). Livestock interventions in many developing countries target women, given their crucial role in livestock production. While livestock interventions envision to benefit women by providing increased access to resources and higher incomes, there is a concern that programs tailored to women can jeopardize this objective due to increased work burden and women's time poverty. Moreover, while programs tailored to women promise to have a more positive effect on food and nutrition security than programs tailored to men, important knowledge gaps remain on how gender relations shape livestock production and how food security is achieved within the household. Knowledge on how animal-sourced food is allocated among the household members for better nutritional status has also not been fully uncovered. To address these knowledge gaps, this dissertation investigates the relationship between women's empowerment and food security and nutritional outcomes in livestock farming households. The thesis comprises an introduction, a chapter that presents a literature review, two chapters that present empirical findings and a final chapter that discusses the findings and develops conclusions. Following the introduction, the second chapter of this dissertation lays the foundation by providing a systematic literature review of the relationship between livestock interventions, women's empowerment, and food and nutrition security in developing countries. The third and fourth chapters focus on two livestock interventions in Bangladesh to further examine the influence of women's empowerment on household food security and nutrition and nutritional status of the household members. The reasons for selecting this South Asian country are the following: The country has a high population density and a high prevalence of malnutrition that is inconsistent with the country's recent economic development. Moreover, rural livelihoods are vulnerable due to decreased agricultural land per capita. From a gender perspective, the country offers interesting insights as it is characterized by a rigid patriarchal society. The country features large-scale livestock interventions, but limited knowledge is available on their effectiveness, especially with regard to gender and nutrition. Chapter 2 assesses the existing literature to analyze the current knowledge on how livestock interventions affect gender relations and food and nutrition in developing countries. Based on a systematic literature review of 27 studies following the PRISMA (Preferred Reporting Items for Systematic Review and Meta-Analysis) framework, the findings suggest that livestock interventions have a considerable potential to empower women. Still, some unintended adverse effects arise, for instance, an increase in women's work burden. The review further indicates that women's empowerment in livestock farming tends to increase household food and nutrition security. Since a livestock intervention changes intrahousehold gender dynamics, a specific pathways assessment of all household members' food security and nutritional status is necessary. Many interventions and many research studies did not consider specific pathways by which livestock interventions and women’s empowerment may lead to improved food and nutrition security. Consequently, intended food and nutrition security outcomes could not be achieved. Similarly, the review suggests that in view of context-specific gender roles and liabilities in livestock farming, interventions that solely target women may jeopardize food security objectives. Therefore, the chapter concludes that researchers and development agencies that study or introduce livestock interventions should pay more attention to the types of animals to be promoted, the specific rearing requirements of different breeds or animal types, gender demands, the economic condition of the respective households, and socio-cultural norms. The third chapter of this dissertation seeks to assess how prevailing gender norms accelerate or impede the success of livestock interventions. The chapter is based on case studies in Bangladesh, which feature a qualitative analysis of the linkages between different livestock interventions, women empowerment, and food and nutrition security. The main data collection method were gendered focus group discussions, including participatory impact diagrams, involving 231 livestock farmers. The chapter reveals that women who manage small ruminants and low-yielding local cow breeds were more empowered and capable of addressing their household's food and nutritional needs than their peers with access to cross-bred livestock. Contrary to expectations, such women also had a higher bargaining power over intra-household expenditure than those managing large and improved ruminant breeds. The reason is that when households adopt cross-bred animals, men acquire more control over them than they have over local cows. The fourth chapter examines the intrahousehold allocation of animal-sourced food with quantitative data from 275 farm households and qualitative data from nine focus group discussions in rural Bangladesh. In households with a higher empowerment level of women, adolescent girls' animal-based protein food intake turned out to be less than that of adolescent boys. Empowered women were still found to have a lower protein food intake than their spouses. These inequal patterns of intrahousehold allocation of nutritious food nullify the development organizations' assumptions of more equal food and nutritional outcomes as an obvious consequence of women's empowerment in livestock keeping households. Thus, policies and interventions that aim to empower women in livestock for better food security and nutritional outcomes need to be based a deeper understanding the intrahousehold allocation of nutritious food. Overall, this dissertation confirms that women's empowerment in livestock farming matters for the rural population's household food security and nutritional outcomes in developing countries. However, the thesis also highlights the significance of understanding gender norms, roles and responsibilities concerning livestock farming and intra-household food allocation, before formulating any livestock interventions that aim to improve food security conditions, provide better livelihood options to eliminate poverty, or tackle other development issues. The thesis further points to the inequities in intrahousehold resource allocation behavior in the case of animal-sourced foods. The findings reaffirm the importance of considering gender relations and bargaining power in implementing development initiatives to improve household members' nutritional outcomes, especially that of female members of the household. The dissertation concludes that to release the maximum potential of livestock interventions to improve food security and nutrition, it is essential to empower women in livestock farming while avoiding unintended burdens and ensuring that the nutritional benefits of livestock reach all household members.
Nutrition during pregnancy and early infancy in urban and rural areas of Deyang region, Southwestern China
(2022) Gao, Haoyue; Birner, Regina
In the past years, China has made remarkable progress in achieving the Millennium Development Goals. However, there are still significant urban-rural disparities and regional differences in the main indicators of child nutrition, maternal and child health. Inadequate dietary intake with regard to certain macro- and micronutrients occurs among women during the reproductive period. Despite the efforts that have been made to promote breastfeeding in China since the 1990s, there is still a very low prevalence of exclusive breastfeeding during the first six months of life. Therefore, the purpose of this observational study was to assess dietary intake and identify risk factors for nutritional inadequacy in pregnant women and to assess the current situation of infant feeding practices during the postpartum hospital stay in urban and rural settings of the study area in China. Between 2010 and 2012, cross-sectional sampling was used in two urban hospitals and five rural clinics randomly selected in the Deyang region. A total of 203 pregnant women in the third trimester and 204 pairs of mothers and newborns were recruited on the basis of informed consent during antenatal clinic sessions and in postnatal wards respectively. Semi-structured interviews on anthropometric and socio-demographic information were conducted for both the pregnant women and postpartum mothers. In addition, data on 24-h dietary recalls of pregnant women, birth outcomes and infant feeding practices of postpartum mothers were collected. Prior to pregnancy, 26.3% of the pregnant women were found to be underweight, while only 5.1% were overweight, based on self-reported pre-pregnancy weight. The women’s overall dietary energy intake during the third trimester originated excessively from fat, was low in carbohydrates, and reached the lower limits for protein. Compared to rural areas, women living in urban areas had significantly higher reference nutrient intake fulfilment levels for energy, fat, protein, vitamin A, Zn, Fe, Ca and riboflavin. The likelihood of pregnant women following certain traditional food recommendations such as avoiding beef, mutton, fish etc. was higher in rural than in urban areas. Both the short-term (e.g. gestational weight gain) and long-term nutritional status (e.g. height) of the mothers affected the birth outcomes (e.g. type of delivery). The decision for a Caesarean Section (CS) was not only related to medical/obstetrical issues but also nutritional and social demographic factors. The short stature of mothers, excessive gestational weight gain, larger-sized newborns, higher educational level or older ages of mothers were significantly positively related to the probability of CS. Although almost all of the mothers started breastfeeding after childbirth, the high prevalence of CS delayed initiation of breastfeeding. Due to the widespread use of infant formula, the prevalence of exclusive breastfeeding (EBF) was only 8.0 % one week after delivery. Regardless of prelacteal feedings, almost exclusive breastfeeding (AEBF) was 34.5%. Breastfeeding initiation within two days after birth was positively associated with AEBF, whereas smaller newborns, mothers with higher education level, mothers lack of knowledge about the importance of colostrum were negatively associated with AEBF. As most mothers lacked knowledge of the lactation physiology, higher formal education was often not related to a better knowledge of breastfeeding. In conclusion, culturally sensitive nutrition education sessions are necessary for both urban and rural women. Special attention must be given to the nutritional status, especially of rural women, before or, at the latest, during pregnancy. Personalized nutritional guidance for expectant mothers should be based on comprehensive consideration of all aspects, such as dietary intake, place of origin (rural vs. urban), body height, and gestational weight gain etc. Better guidance for the gestational weight gain of Chinese mothers needs to be established. Although disparities between urban and rural areas exist, the situation of infant feeding is inadequate in both settings. The high prevalence of CS, the mothers’ poor knowledge of the physiology of breast milk production, the mothers’ lack of breastfeeding confidence, the widespread advertising of breast milk substitutes, and the changing perception of the function of breasts, may influence the unfavorable breastfeeding behavior observed in the study area. In order to prevent CS and to promote breastfeeding, education about the complications and disadvantages of CS especially among mothers with higher education, older childbearing age, and primiparas needs to be strengthened. Supporting adequate maternal nutrition during the reproductive period and creating a good breastfeeding environment requires the efforts of the whole society.
Performance and governance challenges of a government-funded microcredit program for the handloom weavers in Bangladesh
(2019) Parvin, Mst. Tania; Birner, Regina
Microfinance is an important policy tool for poverty reduction and employment generation in developing countries. The first microfinance institution was developed in Bangladesh in the 1970s. Since its inception, many studies have been conducted on different aspects of microfinance, such as outreach, impact and sustainability. However, these studies have mostly been limited to the performance of microcredit programs operated by non-government organizations (NGOs). Therefore, it is justified to shift the focus from NGOs to microcredit programs operated by the public sector. To fill this knowledge gap, a case study of Bangladesh Handloom Board (BHB)’s microcredit scheme has been conducted, which represents a publicly sponsored credit program targeting handloom weavers. Using a mixed methods approach, this thesis has analyzed three dimensions of the selected credit program: impact assessment, repayment performance, and governance challenges. These three topics are covered by three different papers in the thesis. The first two papers apply quantitative techniques whereas the third one adopts a qualitative approach for assessing the institutional viability. The objective of the first paper is to estimate the impact of BHB’s microcredit scheme on the handloom weaver’s investment behavior in Bangladesh. From a policy perspective, this analysis is relevant for two reasons. First, it fills the gaps in the impact assessment studies of credit which have largely neglected the government-run microcredit programs. Second, the article provides insights for the promotion and continuation of this public credit program. Using an Instrumental Variable (IV) Two-stage Least Squares (2SLS) regression model, the study findings reveal that the government credit program alone is not sufficient to increase the investment in the handloom sector of Bangladesh. The credit received from sources other than BHB was thought to be more relevant with regard to this goal. However, this result also implies that access to multiple sources of credit put borrowers into a debt trap, which makes them economically worse off after repaying loans with interest. As a result, productive investment does not take place through the credit program. This finding, however, does not imply that the credit program should be stopped. It is concluded that the credit amount available under this program for technology adoption in the handloom sector should be increased. Moreover, providing credit for power looms will facilitate a structural change from using handlooms to power looms, which may provide a more sustainable means of future livelihood for current handloom weavers. The second paper analyses the credit repayment of the BHB’s microcredit scheme. Considering that the repayment rate (which is regarded as one of the success factors of the credit program) was only 65% as of June 2015, this study identifies factors that contribute to such low repayment rate, which makes government-sponsored microcredit programs financially unsustainable. This analysis is important to guide the public credit institutions to design a better lending policy by focusing on the factors that require special attention while lending to the eligible borrowers. Using a Probit model, this study reveals that socioeconomic and community-level factors associated with the borrowers played an essential role in determining timely loan repayment. Some of these factors were beyond the control of the credit institution. In conclusion, this study suggests strengthening the loan monitoring system by opening up more branches so that the timely delivery of financial as well as non-financial services to borrowers can be assured. The third paper examines the governance challenges faced by the BHB. The analysis is based on the findings of the previous two papers. As the findings from both papers highlight the challenges of BHB, it is important to understand why such challenges occur when implementing a government-sponsored credit program and from where they exactly originate. This analysis also has implications for policy revision and reformulation of BHB, which should be guided by a better understanding of the organization-specific problems that a government-funded microcredit program is facing. These challenges are assessed by using a qualitative research method called Process Net-map. The use of this method helps to understand how the credit program is implemented in practice, which may deviate from the prescribed implementation plan. Moreover, this study analyzes the challenges that arise from the perspectives of both the supply-side and the demand-side stakeholders of BHB. The major finding of the first paper is supported by the outcome of this paper as it reveals that shortage of funds was the main obstacle for implementing BHB’s microcredit scheme, which failed to meet the clients’ financial needs. Besides this problem, the shortage of adequate staff was responsible for weak field administration, which is amplified by the lack of incentives to motivate them. Political influence and corruption in the system were also identified as central challenges. From the beneficiary-side, high opportunity cost to get loans, lack of non-financial services, inadequacy of funds, and difficulty in group formation were also major problems. A lack of transparency in information flow between groups was also noted as a problem. This paper concludes that a poorly designed program which fails to address the organization-specific challenges of government-run microcredit program will not improve the livelihood of the intended beneficiaries. Hence, the study recognizes the credit program’s need for a better legal and regulatory framework to address the governance challenges that are identified. The focus should be placed on flexible, demand-driven, bottom-up and participatory initiatives. Overall, the study concludes that government-run microcredit programs, affected by problems from large bureaucracies, face specific challenges, which tend to be larger than those faced by NGO-run microcredit programs. One possible solution may be an enhanced collaborative system that involves both public and private credit institutions as it may encourage cross-sector learning.
Strengthening accoutability in public agricultural extension services : a case study from Uganda
(2019) Namyenya, Angella; Birner, Regina
A well-managed and accountable agricultural extension service can play an essential role in realizing food security and improving rural livelihoods. However, for the majority of the developing countries, establishing an accountable agricultural extension system remains a challenge. Public agricultural extension services, in particular, have been highly criticized for weak accountability of field agents to both their supervisors and their clients. Public agricultural extension systems often deploy large numbers of field agents in geographically dispersed, remote areas, which makes supervision difficult. Typically, there is also a lack of resources and of robust mechanisms to enable both the supervisors and beneficiaries to adequately follow up the activities of the field agents and provide feedback, which contributes to problems of absenteeism of field staff. Due to resource constraints, central managers also face challenges to supervise the agricultural extension managers, who are the supervisors of the field agents. Taking Uganda as a case study, this thesis explores the use of new mechanisms for addressing these long-standing challenges of creating accountability in public agricultural extension services. The thesis had three objectives: (1) To design a diary for agricultural field agents, which should facilitate planning and supervision of agricultural extension service provision; (2) to assess the potential of different versions of this diary for strengthening accountability in public extension services; and (3) to analyze the performance of agricultural extension managers. To meet the first two objectives, three versions of a diary for agricultural field agents were designed. The first version was a diary in a paper format, which was specifically designed to match the system of planning and reporting applied in Uganda’s public extension service. This version was then transformed into an electronic version of the diary (“e-diary”), which resembled an electronic questionnaire. Based on the assessment of these two diary versions, an improved e-diary was developed, which comprises a smartphone application to be used by the field agents, and a web-based system that allows extension supervisors to review the data entered by the field agents and provide them with feedback. Moreover, the system was designed in such a way that it is possible for extension supervisors to collect information from the beneficiaries for verification. For the assessment of the three different versions of the diary, a qualitative participatory research approach was applied. Data on the experience with using the diary was collected through a combination of focus group discussions and individual face-to-face interviews. The content analysis method was applied to analyse the data. The results suggest that a diary for agricultural field agents has a unique potential to strengthen accountability in public agricultural extension services. This is achieved through improving planning, reporting, monitoring and evaluation of extension activities and through reducing absenteeism as well as enabling of beneficiary feedback. The findings further indicate that, for the following reasons, an electronic version of the diary is more effective in strengthening accountability than a paper version: An e-diary can make use of the Global Positioning System (GPS), which allows extension supervisors to verify whether field agents actually conducted the activities that they indicate in the diary. Thus, an e-diary enables remote supervision, which reduces the time and costs of supervision. An e-diary also facilitates real-time reporting, which enables near real-time supervision, thereby increasing the frequency of supervision. However, the first e-diary version that resembled an electronic questionnaire had drawbacks, since it focused on data collection and had limited opportunities for feedback and interaction between the extension agents and their supervisors. However, the final e-diary version, which combines a smartphone app with a web-based system, made it possible to address this limitation. Expectedly, the assessment also revealed some limitations regarding the e-diary. Some of the users were initially apprehensive about the e-diary due to their limited experience with the use of smartphones. Consequently, the implementation of the e-diary necessitates intensive training of the users, which should not be underestimated. The results also showed that the use of the e-diary was affected by inaccessibility to electricity. Therefore, promoting the use of solar chargers or power banks in areas with poor electrification is recommended. Moreover, limited network coverage implies that the e-diary needs to be programmed in such a way that data can be entered off-line. Furthermore, the findings suggest the need to combine the implementation of the e-diary with incentives, such as awards of recognition. In view of the essential role that extension managers, as the supervisors of the field agents, play for accountability, an analysis of their performance was included as the third objective of the thesis. To meet this research objective, a quantitative research approach was applied. The main data source was the extension management system that was set up by the Ugandan Ministry of Agriculture, Animal Industries and Fisheries (MAAIF). This system provides data on the timeliness of the submission of work plans and reports by the extension managers, which makes it possible to calculate measurable indicators of managers’ performance based on their expected roles and responsibilities. In addition to preparing descriptive statistics of such performance indicators, econometric models were estimated, using additional data from secondary sources on variables, which were hypothesized to influence the managers’ performance. The descriptive statistics of the performance indicators showed that the majority of the extension managers were not able to meet the performance requirements of MAAIF. The econometric analysis made it possible to identify factors that were associated with performance. The amount of the extension grant provided to the district and the ratio of extension workers to households were found to be key factors. The findings led to the recommendation to improve the performance of the extension managers through capacity building, especially in management, and through setting-up a strict performance monitoring system, to which the use of the e-diary could contribute. It was also recommended to increase funding to the districts and improve the ratio of extension workers to households so as to provide better working conditions and incentives to extension staff and their managers. Overall, the thesis indicates that diaries, especially electronic ones, in combination with monitoring systems for extension managers, offer a unique and largely underutilized potential to address entrenched problems of ensuring accountability in public agricultural extension services. It was also pointed out that additional accountability mechanisms will be useful to further strengthen accountability, in particular mechanisms that allow the beneficiaries of the extension service to provide direct feedback on the quality of service provision. The thesis also highlights the potential of using digital tools for strengthening both upward and downward accountability in public extension services. The findings of the thesis are likely to be relevant not only for agricultural extension services but also for other public services, such as rural health care and education, which face similar problems of managing large numbers of field agents in geographically dispersed, remote areas, where effective supervision is an inherent challenge.
The potential of certification for climate change mitigation in the agri-food sector : a case study of carbon neutral certified coffee from Costa Rica
(2017) Birkenberg, Athena; Birner, Regina
Advancing economic, social and environmental sustainability in the agri-food sector is increasingly pursued by various actors along global value chains. One option to address sustainability concerns is to use voluntary sustainability standards and certifications/labels as market-based governance tools for self-regulation. Recently, the demand for particular climate standards and labels has increased, however little is known about their potential and challenges. Individual aspects of such voluntary sustainability certifications have been investigated, such as the effectiveness and impact of certifications or the purchasing decisions of consumers. However, a holistic and interdisciplinary approach by considering the complete value chain is rare and, thus challenges are overlooked and proposed solutions remain limited in scope. Moreover, LCA-based certifications addressing climate change mitigation present a new field of research. Against this background, this thesis aims to elicit the challenges and potential of sustainability certification in the agri-food sector. Taking the case of the world’s first carbon neutral certified coffee, the complete chain – from standard development to consumer choices – has been examined. This coffee is produced by Coopedota, a Costa Rican cooperative of small-scale farmers, and exported to a family-run specialty coffee roaster, Hochland Kaffee Hunzelmann GmbH, in Germany. In the case under consideration, a newly released and highly prescriptive standard for carbon neutrality, the Publicly Available Specification (PAS) 2060, has been adopted since 2011. PAS 2060 is the first independent international standard for carbon neutrality that provides a common definition and a recognized method that is based on a life cycle assessment (LCA). To achieve carbon neutrality, the respective greenhouse gas (GHG) emissions are compiled, before continuous reduction activities are executed and the residual GHG emissions are offset by purchasing carbon credits. Costa Rica is relevant because it is actively pursuing carbon neutrality at the national level and the case of Coopedota serves as a pioneer in this field. In this thesis, an interdisciplinary case study approach is used to investigate in a holistic manner the challenges of carbon neutral certification in the agri-food sector. The study is guided by a conceptual framework developed from relevant literature on voluntary sustainability standards. The three specific objectives of the thesis are: (1) identify the success factors that made the carbon neutral certification in Coopedota possible and understanding the major challenges related to the standards implementation; (2) estimate the potential of on-farm carbon sequestration to compensate for the coffee carbon footprint and reduce carbon offsetting; and (3) estimate the willingness to pay for a carbon neutral label among German consumers of specialty coffee. This thesis contains three main chapters in addition to a general introduction and discussion. The first chapter addresses existing knowledge gaps regarding the role of social network dynamics, actor characteristics and linkages for successful pioneering in sustainable development, and investigates the challenges of implementing PAS 2060 by Coopedota. Qualitative research methods, such as in-depth interviews, participatory social network and process mapping as well as field observations were applied. The study found the prior achievements of the cooperative (e.g. compliance to ISO norms) and a ‘fertile ground’ in terms of ongoing climate change mitigation policies, as important factors for the successful implementation of the standard. Further success factors were a strong central and visionary actor and a diverse network of supporting actors from science, business and politics. The main challenges in implementing the carbon neutral certification were the acquirement of reliable farm data and the advertisement and communication of a carbon neutral label. The second chapter focuses on the problem that biogenic carbon sequestration is rarely considered in LCA-based standards. To estimate the annual potential of biogenic carbon accounting in coffee-agroforestry systems (CAFS) a literature review was conducted and the carbon sequestration based on a carbon inventory at the coffee farms was modeled. The results of a 20-year simulation show that on average, CAFS at Coopedota can compensate the carbon footprint of coffee by approximately 160% annually. Simultaneously, a trade-off between carbon sequestration and productivity at reduced inputs appears, which should be minimized. In the third chapter a marginal willingness to pay (WTP) of € 1.70 for a carbon neutral label was identified on a 250g package of specialty coffee by a discrete choice experiment among German consumers. Yet this marginal WTP was lower than the marginal WTP among the same consumers for direct trade claims or a Fair Trade certificate. Direct trade claims refer to the situation where direct trade relations exist; however, they are not certified and only declared by the retailer, as in the case of the family-run coffee roaster Hochland Kaffee Hunzelmann GmbH. Moreover, a positive synergistic effect was discovered for the combination of the carbon neutral label with direct trade claims. However, a public awareness on the contribution of agriculture to climate change is missing, as is the familiarity of the public with carbon concepts. Concluding, LCA-based certification for carbon neutrality can be a promising market-based tool for the agri-food sector to mitigate climate change. Such certification holds promise because it addresses recent demands for climate relevant information on agri-food products, while benefitting producers, the environment and consumers alike. Examples of these benefits include a potential increase in resource use efficiency, identification and minimization of GHG emission hot spots and trustworthiness among consumers due to the prescriptive nature of the standards. Additionally, the interdisciplinary case study approach enabled the identification of multi-faceted challenges and recommendations. One recommendation is that an agricultural perspective needs to be integrated into the standard by, for example, enabling the accounting of biogenic carbon sequestration. Such carbon accounting would prevent criticism of carbon offsetting and foster synergies between climate change mitigation, sustainability, and resilience. Particularly in the case of higher carbon prices, carbon accounting would be economically interesting but further research is needed to provide a robust dataset to enable it. Independent from a potential premium price for the label, access to capital and governmental support programs, especially for smallholders in less developed countries, can foster the implementation of greener technologies and allow stakeholders to benefit from increased efficiencies. The findings of this thesis indicate that coupling a carbon standard with existing sustainability standards, which use similar datasets, could ease the acquirement of reliable farm data on GHG emissions and reduce costs. Moreover, a coupling of standards could ensure additional sustainability practices, beyond the climate aspect, as already associated by consumers. This study also indicates that to establish markets for carbon neutral products, consumers first have to be aware of the extent of the agri-food sector’s contribution to climate change and consumer responsibility in tackling this problem through their purchasing behavior. This thesis further illustrates the importance of innovators in advancing development goals. Taking action on climate change mitigation and shaping a more sustainable agri-food sector requires strong initiatives and visionaries on the ground, as exemplified by the pioneering case of Coopedota.