Empirical forest transition (shift from deforestation to reforestation) literature has historically struggled to establish a single universally-accepted forest transition “theory” due to various knowledge gaps hindering any efforts to do so. One such gap is the fact that very few studies have focused on how and why smallholder farmers respond to commonly accepted forest transition drivers, as well as how these responses impact forest cover and agricultural trends. Also, there remain many parts of the world where forest cover evolution has been insufficiently researched, as is the case of Mae Chaem district (Chiang Mai province, Thailand). Even though there are studies which claim forest loss occurred in the district between the 1990s and mid-2000s, there are few available records of forest cover evolution since then. To address these research needs, this thesis used secondary literature and spatial data, as well as semi-structured interviews and personal observations gathered during fieldwork in Mae Chaem district. It was first determined that forest cover in the district decreased between the 1990s and mid-2010s due to agricultural expansion. However, it appears that forest cover is expected to increase from 2016 to 2021 due to more strictly-enforced conservation measures set in motion by the Mae Chaem Model (a state-sponsored sustainable development model). These findings first suggest that the district might be currently in the early stages of a forest transition, its drivers being shifting forest policies and economic factors. Second, interviewed farmers resisted forest policies to optimize their crop productions before 2016, before beginning to develop more acceptant responses in early 2016 due to pressure from pro-conservation discourses and cognitive shifts regarding the value of protecting forest at the expense of agriculture. Also, farmers adopted ambiguous responses (motivated by their economic rationality) to pressure stemming from various economic factors, both prior and since 2016. With both environmental and socioeconomic issues deriving from these responses, the outputs from this study will hopefully help supplement existing forest transition studies on local populations responses to drivers of forest change. It is also expected to provide up-to-date information on existing and anticipated impacts of recent state development efforts, such as those deriving from the establishment of the Mae Chaem Model.

Die Folgen des Klimawandels, sowie damit einhergehende Verluste und Schäden nehmen weltweit zu. Der damit verbundene globale Anstieg von Treibhausgasemissionen, zunehmende Verstädterung sowie ausufernder Konsum machen die Suche nach Anpassungsstrategien zur Vermeidung schädlicher Auswirkungen gegenwärtig wie zukünftig zu einer erheblichen Herausforderung. Diese erfordert ein tiefgehendes Verständnis der Komplexität vom Klimawandelfolgen für landwirtschaftsbasierte Existenzgrundlagen. Ziel dieser Arbeit ist es zu einem solchen Verständnis beizutragen. Die vorliegende Forschungsarbeit fragt daher danach, wie etwaige Umstellungsprozesse die Anpassungsfähigkeit sowie Resilienz der Bewohner_innen von Bagri, einem kleinen Dorf im Norden Ghanas, erweitern. Die Ergebnisse dieser Dissertationsschrift basieren auf empirischen Erhebungen, die zwischen Februar und Juli 2017 in Lawra District in Nordghana unter Heranziehung qualitativer Fallstudieninstrumente durchgeführt wurden. Zum Einsatz kamen semi-strukturierte Interviews, Fokusgruppendiskussionen, Umfragen sowie ethnographische teilnehmende Beobachtungen. Die so gewonnenen Daten wurden kodiert und mit SPSS (Version 20) kreuztabellarisch sowie anhand verschiedener Variablen ausgewertet. Außerdem wurden Häufigkeiten interpretiert und die Ergebnisse schließlich in Tabellen, Graphen und Prozentsätzen verarbeitet. Des Weiteren wurden inhaltlichen Analysen der qualitativen Daten vorgenommen, die es erlaubten, Muster und Themen aus den Interviews und Diskussionen weiter zu verfolgen. Die Resultate zeigen, dass die Bewohner_innen in der untersuchten Gemeinde über die letzten drei Jahrzehnte eine Reihe klimatischer Veränderungen mit negativen Folgen für die Landwirtschaft erfahren haben. Um sich beispielsweise an die klimawandelbedingte kürzere Dauer der Regenzeit sowie niedrige Niederschlagsmengen anzupassen, greifen Kleinbauern auf schrittweise Anpassungsstrategien wie verbessertes Saatgut und weitere unterstützende Maßnahmen zurück. Paradoxerweise, untergraben Klimawandelextreme derlei Strategien auf mehreren Ebenen und reduzieren Erträge um ein Vielfaches ihres Potenzials, was wiederum finanzieller Verschuldung Vorschub leistet. Die Ergebnisse dieser Studie zeigen daher, dass die Überwindung nicht-klimatischer Barrieren landwirtschaftlicher Anpassungsstrategien eine notwendige wenn auch nicht ausreichende Bedingung für eine erfolgreiche Umstellung darstellt. Immer neu aufkommende Schwierigkeiten machen Anpassung zu einem langfristigen Prozess. Eine zweite Erkenntnis dieser Arbeit ist, dass die sich wandelnden klimatischen Verhältnisse zu einer Diversifizierung der Lebensgrundlagen weg von landwirtschaftlicher Produktion hin zu Aktivitäten jenseits der Höfe in Bagri geführt haben. Die Ergebnisse zeigen, dass der Prozess der Diversifizierung abhängig ist von der Einbindung der Haushalte in Gruppenaktivitäten sowie in formelle und informelle Netzwerke. Zusammenfassend gilt, dass Haushalte, die engmaschig in soziale Netze eingebettet sind eine höhere Resilienz gegenüber wahrgenommenen klimatischen Veränderungen aufweisen. Dies liegt darin begründet, dass sie zumeist über einen besseren Zugang zu kritischen – materiellen wie immateriellen – Ressourcen verfügen, welche Diversifizierung maßgeblich ermöglichen. Zudem deuten die Befunde an, wie Gruppenaktivitäten und soziale Netzwerke Marginalisierung und widersprüchlichen Ressourcenumgang befeuern können, die zugleich die Gefahr bergen, soziale und ökologische Resilienz im Dorf zu verringern. Darüber hinaus zeigt diese Arbeit die Mechanismen kollaborativer Anpassungssteuerung auf, indem sie den Fragen nachgeht, warum und wie diese Steuerungsformen Anpassungsfähigkeit befördern. Die Ergebnisse verweisen auf die Beziehungsdynamiken zwischen den relevanten Akteuren sowie Nutzen und Misserfolge und die Herausforderungen nachhaltiger kollaborativer Anpassungsstrategien in Nordghana. Ergänzend, stellt diese Studie heraus, wie machtvolle Akteure Agenden setzen, Problematisierungen generieren sowie Regeln und Anreize schaffen, die im Widerspruch zu den normativen Grundsätzen der kollaborativen Anpassungstheorie stehen können. Ausgehend von der Fallstudie in Nordghana stellt diese Arbeit auch Überlegungen dazu an, wie kollaborative Anpassungssteuerung erfolgreichen Umgang mit klimawandelbedingten Veränderungen weltweit befördern kann. Zusammenfassend, leistet diese Arbeit einen Beitrag zur Schließung theoretischer wie empirischer Wissenslücken im wachsenden Bereich der Forschung zur Anpassung an den Klimawandel. Sie illustriert darüber hinaus den unschätzbaren Wert qualitativer Fallstudien und zeigt auf, wie diese einen Beitrag leisten können zu oftmals abstrakten und schwer fassbaren Themen in der wissenschaftlichen Diskussion und damit ein Fundament für informierte politische Entscheidungen sowohl auf lokaler als auch globaler Ebene legen. / Climate change impacts, related losses and damages are increasing globally. When these consequences are coupled with increasing global greenhouse gas emission, urban expansion and unsustainable consumption, the pursuit of adaptation to avoid adverse outcomes is a present necessity and a significant future challenge. The overarching aim of this doctoral dissertation is to gain a better understanding of the complexity of climate change impacts on agricultural livelihoods and how adaptation processes enhance adaptive capacity and resilience in Bagri, a small village in northern Ghana. The results presented in this doctoral thesis are based on empirical data obtained between February and July, 2017 in the Lawra District of northern Ghana using qualitative case study research methods: semi-structured interviews, focus group discussions, survey and ethnographic participant observation. Data from the survey were coded and inputted into Statistical Package for Social Scientists (SPSS) version 20 and cross tabulation and analysis of different variables and interpretation of frequencies were done and processed into tables, graphs and percentages. Content analyses of qualitative data were done which allowed patterns and themes in interviews and discussions to be derived and interpreted. The findings show that, people in the studied community have experienced a range of climatic changes with negative impacts on agriculture in the last three decades. In order to adapt to the short duration of the rainy season and low rainfall amounts associated with climate change, smallholder farmers use incremental adaptation strategies such as improved crop varieties and other support strategies. Paradoxically, however, climate change extremes (CCEs) undermined these strategies in several instances, causing crop yields to fall short of their actual potential leading to financial indebtedness. The results therefore, showcase that surmounting non-climatic barriers to the uptake of agricultural adaptation strategies is a necessary but not sufficient condition to achieving successful outcomes, as new barriers in the adaptation process beyond uptake are constantly emerging with CCEs being one example. Secondly, the findings show that climatic changes have necessitated livelihood diversification away from crop production and into off-farm and non-farm activities in Bagri. The results highlight how the process of diversification is dependent on household participation in various group activities and formal and informal social networks. Generally, households in dense social networks were found to be more resilient to perceived climate changes because they had access to the critical resources (material and non-material) essential for diversification. Importantly, the findings shed light on how group activities and social networks can create marginalization and conflicting resource use with the potential of undermining social and ecological resilience in the village. Moreover, this dissertation explores the mechanics of collaborative adaptation governance (CAG) addressing questions of why and how this mode of governance facilitates adaptive capacity. The findings illuminate stakeholder relational dynamics, benefits and failures, and the sustainability challenge of collaborative adaptation governance (CAG) in northern Ghana. More importantly, this study unveils how powerful actors set the agenda, frame problems, and implement rules and incentives contrary to the normative tenets of collaborative governance theory. Ultimately, the results highlights the failures, successes and sustainability challenges of CAG in northern Ghana, while also providing insight into the extent to which CAG approaches can facilitate adaptation to climate change globally. In conclusion, this doctoral dissertation responds to both theoretical and emperical knowledge gaps in the burgeoning climate change adaptation research, and illustrates how invaluable, qualitative case studies can contribute to illuminate some of the elusive themes in the literature and provide evidence for policy making at both local and global levels.

This study examines the role of livelihood diversification in promoting household food security with particular reference to Hurungwe District in Zimbabwe. This focuses on assessing the contribution and impact of predominant livelihood diversification strategies in study area. The study employed qualitative methods of research entailing focus group discussions, observation, key informant interviews and literature review as methods of data collection. The study revealed that limited access to credit, skills development, markets and transport infrastructure weaken the efficacy of nonfarm livelihoods to improve food security. Key recommendations are that government, NGOs and communities must work in tandem to increase livelihood options for food insecure communities. Suggested strategies include increasing access to micro finance, vocational skills training and other support services paying attention to gender considerations. Areas requiring further investigation which emanated from the study include the impact of the shift to tobacco farming and how biotechnology has affected smallholder farmers. / Development Studies / M.A. (Development Studies)

This study examines the role of livelihood diversification in promoting household food security with particular reference to Hurungwe District in Zimbabwe. This focuses on assessing the contribution and impact of predominant livelihood diversification strategies in study area. The study employed qualitative methods of research entailing focus group discussions, observation, key informant interviews and literature review as methods of data collection. The study revealed that limited access to credit, skills development, markets and transport infrastructure weaken the efficacy of nonfarm livelihoods to improve food security. Key recommendations are that government, NGOs and communities must work in tandem to increase livelihood options for food insecure communities. Suggested strategies include increasing access to micro finance, vocational skills training and other support services paying attention to gender considerations. Areas requiring further investigation which emanated from the study include the impact of the shift to tobacco farming and how biotechnology has affected smallholder farmers. / Development Studies / M.A. (Development Studies)