In rain-fed farming systems, a poor harvest can have broad and overwhelming effects on affected households. Smallholder farmers have to ensure that they have adequate food from one harvest to the other and enough inputs for the next farming season. Households consume more just after the harvest and the consumption levels decline as they move away from the harvest season. The study identified the ex-ante and ex-post adjustment mechanisms to seasonal food and input requirements. Special consideration was given to determine whether the probability of using a given adjustment mechanism to seasonality is the same in good, normal, poor and very poor years and whether household wealth has an influence on the use of adjustment mechanisms. Attention was also given to determining whether agricultural production and household wealth are reflected in observed seasonality in consumption. The study used cross-sectional data from 225 randomly selected households. The study relied on non-parametric methods of data analysis because the required dependent variables could not meet the parametric assumptions. The analysis showed that the probabilities of using some ex-ante and ex-post adjustment mechanisms for both food and input requirements by the non-poor households are not the same in good, normal, poor and very poor years. However, the poor households’ probability of using any of the identified ex-post adjustment mechanisms to seasonal input requirements is the same in all the years. The study established that household wealth affects the use of ex-ante and ex-post adjustment mechanisms to seasonal input requirements and ex-post adjustment mechanisms to seasonal food requirements after good, normal, poor and very poor harvests. The study further revealed that agricultural production is reflected in household seasonal consumption. However, the study failed to find a relationship between consumption and agricultural production in the post-harvest season after good and normal harvests. The study also showed that household wealth is reflected in food consumption in all the seasons of normal, poor and very poor years. However, no relationship was found between food consumption and household wealth in the post-harvest and rainy seasons after good harvests. The study further revealed that there is always a seasonal fall in consumption levels among households of all wealth strata despite the use of adjustment mechanisms. The situation worsens as we move from the good years towards the very poor years. The study suggests that the use of one size fits all type of interventions to minimise the seasonality problem cannot adequately achieve the required results for all households. It is important to know the way households from each wealth stratum respond to the seasonality problem and why they respond in such a way. Programmes that encourage strategic planning, agricultural production and wealth creation are necessary to reduce the seasonality problem. Furthermore, mechanisms which ensure that the benefits from government interventions reach the poor households are necessary. / Dissertation (MSc Agric)--University of Pretoria, 2013. / gm2014 / Agricultural Economics, Extension and Rural Development / unrestricted

abstract: In many social-ecological systems, shared resources play a critical role in supporting the livelihoods of rural populations. Physical infrastructure enables resource access and reduces the variability of resource supply. In order for the infrastructure to remain functional, institutions must incentivize individuals to engage in provision and maintenance. The objective of my dissertation is to understand key formal and informal institutions that affect provision of shared infrastructure and the policy tools that may improve infrastructure provision. I examine these questions in the context of irrigation systems in India because infrastructure maintenance is a persistent challenge and system function is critical for global food production. My first study investigates how the presence of private infrastructure, such as groundwater pumps, affects the provision of shared infrastructure, such as shared tanks or surface reservoirs. I examine whether formal institutions, such as water pricing instruments, may prevent under-provision of the shared tanks. My findings suggest that in the absence of rules that coordinate tank maintenance, the presence of private pumps will have a detrimental effect on system productivity and equality. On the other hand, the combination of a fixed groundwater fee and a location-based maintenance fee for tank users can improve system productivity and equality. The second study examines the effect of power asymmetries between farmers, caused by informal institutions such as caste, on the persistence of political institutions that govern infrastructure provision. I examined the effect of policy tools, such as non-farm wage employment and informational interventions, on the persistence of two types of political institutions: self-governed and nested. Results suggest that critical regime shifts in political institutions can be generated by either intervening in formal institutions, such as non-farm wage employment, or informal institutions, such as knowledge transmission or learning mechanisms. The third study investigates how bureaucratic and political corruption affect public good provision. I examine how institutional and environmental factors affect the likelihood of corruption and infrastructure provision. I demonstrate that cracking down on corruption is only beneficial when infrastructure provision is poor. I also show that bureaucratic wages play an important role in curbing extralegal transactions and improving infrastructure provision. / Dissertation/Thesis / Doctoral Dissertation Sustainability 2019

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Thesis (M. Sc.) -- University of LImpopo, 2019 / Refer to document

Thesis (M.Sc. Agriculture (Agricultural Economics)) -- University of Limpopo, 2022 / The poultry industry consists of the broiler and layer production. Most of the broiler chickens produced by smallholder farmers in villages are sold to local customers with lower degrees of processing, compared to large commercial farmers who have access to retail and export markets. The aim of this study was to analyse the determinants of gross margin and savings among small-scale broiler producers in Vhembe District of Limpopo Province. In the analyses the following objectives were performed; identifying and describing their socio-economic characteristics, assessing their gross margin, analysing the factors influencing their gross margin and lastly, by analysing the factors affecting savings among these farmers. The study was conducted in three municipalities (Makhado, Thulamela and Musina) under Vhembe District, where 60 respondents were purposively and randomly selected. The total number of households per municipality in Vhembe District were used to determine the exact number of broiler producers to be interviewed in each municipality due to insufficient data available regarding the total number of broiler producers in the district. The respondents were interviewed face to face using structured questionnaires. To achieve the study objectives the study used Descriptive statistics, Gross Margin analysis, Multiple Linear Regression and Logistic Regression model. The results of the study showed that the small-scale broiler producers in Vhembe District are profitable, with an average Gross Margin of R6470.78 per cycle. Six variables from Multiple Linear Regression analysis were found to have an influence on Gross Margin among small-scale broiler producers in Vhembe District. These variables were gender, primary economic activity, cost of day-old chicks, feed cost, electricity cost and labour cost. Seven variables from Logistic Regression analysis were found to have significant influence on savings. These variables were age, primary economic activity, monthly income, gross margin, feeds cost, cost of day-old chicks and vaccines. The study recommends that the broiler producers invest in other heating methods that do not require the use of electricity since it plays an important role towards the savings. The study further recommends that the Department of Agriculture should encourage the small-scale broiler producers to register their enterprise to be able to access extension services and other services from the department when necessary.

Rural water systems (RWS) are commonly used to provide water to households for domestic uses (drinking, cleaning, washing, and sanitation) in developing countries. Water supply practitioners often classify these systems as single-use water systems (SUS) or multiple-use water systems (MUS). Smallholder farming communities in rural western hills of Nepal typically use such systems for both domestic and income-generating productive activities (e.g., agriculture, livestock, dairy, bio-gas, Rakshi), regardless of whether they were designed for single or multiple water uses. Therefore, this research frames both systems as providing multiple-use water services that enhance the productive activity and livelihoods of small- holders. Little is known on the factors that influence the productive activity of households in the western middle hills of Nepal and the impact these activities have on the technical performance of water systems (measured by duration of system breakdowns). This research identifies the extent of water-related productive activities in rural Nepali households supported by single-use water systems (SUS) vs. multiple-use water systems (MUS), and explores the factors that enables households to engage in high-levels of productive activity. The vast majority of households were found to engage in small-scale productive activities no matter what the rural water systems were designed to support, and more than half of them earned an income from water-based activities. Households engaged in high-levels of productive activity farm as a primary occupation, use productive technologies, are motivated to pursue productive activities, have received water-related productive activity training, and have received external support related to productive activities. A multinomial regression was used to predict the factors associated with high levels of productive activities undertaken by small farms. A hierarchical regression model was then used to examine both household- and system-level variables that contribute to the breakdown of rural water systems, focusing on the duration of breakdowns. The predictors of water system breakdowns include social factors (household involvement in decision-making during water system planning and construction and a household's sense of ownership toward the water system), technical factors (the management capacity of the water user committee and activity level of the system operator), economic factors (income earned from water-based productive activities), and geographic factors (the distance from the village to the water source). Finally, a conceptual model was developed to help identify strategies for implementing and scaling-up MUS. Scaling-up strategies for MUS begin with community participation in lo- cal government planning and budgeting. Under a new Constitution that went into effect in January 2017, newly formed local governments are to be provided with the funding and budget authority to determine local service priorities and how these services will be funded, designed, and implemented. The scaling-up of MUS would require local government officials, water system users, and private actors to develop the technical and institutional capacity needed to build and manage MUS, including the many support services needed by small- holder growers to realize its benefits. This research also examines the potential approaches that could enable subsistence farmers to become viable commercial producers. While growers are typically risk-adverse producers, this research identifies the mediating factors that could expand the long-term engagement of these producers in commercial agricultural production. These factors include adequate access to year-round irrigation, the use of improved production technologies and practices, improved access to rural markets, and improved production skills. The findings of this research will also be of value to Governmental, Non-Governmental Organizations (NGOs) and private sector actors who are looking to effectively mobilize their resources and expertise in support of smallholder farming in the hills of Nepal. / Doctor of Philosophy / A vast majority of farmers in the western middle hills of Nepal are smallholders who often use family labor and follow traditional agricultural and water use practices. They have been traditionally using rural water systems to meet their multiple water needs alongside domes- tic uses (drinking, cleaning, washing, and sanitation). There is growing interest for these systems to also be used for small-scale productive activities such as growing vegetables and livestock production. Evidence shows that these activities are an important source of income for farming families. However, little is known on the conditions that are needed to expand these activities and improve livelihoods. This research identifies the conditions under which rural water systems can become productive and technically sound, and outlines the strategies that can be deployed to scale-up productive activities. The research examines a broad range of perspectives (from rural farmers to development experts) on the limited commercialization of rural agriculture in the rural middle hills of Nepal and the potential approaches to promoting agricultural growth and commercialization among small landholders. The substance farmers were found to require both the means and motivation (i.e., extensive support services such as access to markets, input suppliers, irrigation and agricultural technologies, and production training) to become commercial farmers. Second, more than 90% of households were engaged in small-scale water-based production activities and more than half of them earned an income from these activities. The research revealed the conditions that enabled these households to engage in high levels of productive activities. Further, the factors that affect water system breakdowns were investigated. Since farmers are engaged in small-scale production, the interlinkages between productive income and system performance were examined. Finally, the research explores how multiple-use water services have the potential to be scaled-up in the middle hills of Nepal and beyond. Successful scaling-up strategies begin with community participation in local government planning and budgeting. This activity needs to be supported by substantial capacity building among government officials, water system users, and private actors on the factors needed to expand the productive use of water. Broad implementation of multiple-use water systems also requires careful documentation and dissemination of their benefits to key state and non-state actors. The results from this research can be used to identify appropriate households, communities, and water systems for programs focused on expanding water and agricultural productivity. Therefore, this research will have important implications for the Nepali government with regards to what policy, capacity development, and institutional arrangements need to be addressed to implement productive and sustainable rural water systems. This research can also be of special interest to Non-Governmental Organisations (NGOs) and private sector actors looking to effectively mobilize their resources and expertise relating to a smallholder farming in Nepal.

<p> </p> <p>This dissertation consists of three essays that examine the response of small businesses to disruptions in their environment. The first two essays focused on small non-farm businesses in the United States and how they deal with natural disasters. The last essay examined smallholder farm households in Malawi, and how their household labor allocation decisions are affected by land allocation to estates in their communities. The individual essays are summarized as follows:</p> <p>Essay 1: <em>A Conditional Process Approach to Understanding the Role of Adjustment Strategies and Disaster Experience in Racial Disparities in Small Business Performance. </em>Considering that most minority owned businesses have limited access to formal systems, this essay explored how race could indirectly affect business performance (measured as percentage revenue growth) through the adoption of three informal strategies: customer base expansion, supplier base expansion and family adjustment strategies. It also explored whether these indirect effects are moderated by experience with natural disaster. The results showed that being a racial minority was positively associated with revenue growth such that on average, minority business owners experienced 29% higher revenue growth than white-owned businesses (p<0.05) on business performance. It also showed a modest indirect effect of race on revenue growth through each mediating strategy (p<0.5). However, the results did not support a moderating role for disaster experience. </p> <p>Essay 2: <em>Willingness to Pay for Comprehensive Cyclone Insurance Coverage by Small Business Owners: Evidence from the Coastal States of the United States</em>. Small businesses in the coastal United States are usually uninsured or underinsured for cyclone events. The underinsuring of these businesses could be a result of limited insurance coverage as well as individual characteristics of small business owners. Using a discrete choice experiment, this essay used a hypothetical comprehensive cyclone insurance to understand what insurance attributes are important to small business owners. It also examined the role of previous disaster experience, charity hazard as well as temporal orientation on the willingness to pay for the disaster insurance. This study used a discrete choice experiment to elicit insurance preferences from small coastal businesses which employed less than 100 employees. A mixed logit model was used to analyze the data. The results showed that business owners exhibited positive marginal utilities from policies that covered flood, windstorm, and business interruption regardless of the combination. Notably, the mixed logit model showed that on average, business owners were willing to pay up to 450%, 472%, and 482% more than their total monthly business insurance premium payment for insurance that covers flood and business interruption, windstorm and business interruption, and flood, windstorm and business interruption respectively. Ordinary Least Squares (OLS) regression showed that respondents who had previously experienced cyclones were more willing to pay for the presented insurance policies than those who have not. Future orientation was also found to be positively associated with the marginal willingness to pay for the insurance policies.</p> <p>Essay 3: <em>Estates and Small-Holder Agricultural Labor Dynamics in Sub-Saharan Africa:</em> <em>A Case Study of Malawi. </em>Estates are larger than the average farm holdings, which mostly grow one crop, require large capital investment, are centrally managed and rely a lot on hired labor. With such large investments in agricultural land, the labor decisions of smallholder households in Africa will likely be altered. This essay therefore examined the role of estate farms on smallholders’ allocation of labor between on-farm, and off-farm demand and supply of casual labor using the <em>ganyu</em> system of Malawi as a case-study. Using the Malawi Integrated Household Panel survey covering the years 2010, 2013, 2016, and 2019, we estimated the effect of estates on the participation of smallholders on these labor decisions as well as the number of days spent in each activity. We also investigated the effect of these estates on community agricultural labor (<em>ganyu) </em>wage rates and the share of income accruable to ganyu and crop production. Linear probability (LPM), as well as tobit-correlated random effects (CRE) regressions were used to test these effects. Both models showed that the share of estates had a negative correlation with <em>ganyu </em>demand. The Tobit CRE regression showed that on average a 1% increase in the percentage share of agricultural land occupied by estates was associated with a modest 0.04% (p<0.01) decrease in the number of days <em>ganyu </em>labor was demanded, and a 0.02% increase in the number of days household members spent on their own farms. Further results showed that households in communities with higher shares of estates participated in less non-crop farming activities especially wage employment. We also found that the negative relationship between estates and <em>ganyu </em>demand was accentuated among households with higher levels of assets, and farm income. Finally, we found a modest negative relationship between share of estates and community <em>ganyu </em>wage rates </p>

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<p>  </p> <p>Over the past decades, adoption and use of information and communication technologies (ICT) has become an area of interest. The advancement of information and communication technologies in rural areas of developing countries offered opportunities to disseminate timely and accurate for rural development. However, the adoption and use of agricultural market information services (AMIS) remained insignificant among smallholder farmers in the rural areas of developing countries. Therefore, a sound understanding on possible factors associated with the use of mobile phone-based services in support of agricultural supply chain is necessary. This study applied an extended diffusion of innovation model (DOI). The study relied on a convenient sample of 200 smallholder farmers in Bungoma County, Kenya. Data was analyzed using descriptive and multinomial logistic regression (MLR) statistics to identify possible factors associated with the adoption and use of mobile phone-based services in Bungoma County, Kenya. The backward selection analysis confirmed that innovativeness, social influence, and compatibility were statistically significant on the use of mobile phone-based services in the study context. Overall, the results confirmed a positive relationship between the final model and the use of mobile phone-based services (M-services). Therefore, the results of this study may contribute knowledge to the domain of ICT4D in the rural context of developing countries. Further, the findings of this study established knowledge that may be useful for practical implications among smallholder farmers and policy makers in the field of ICT4D. </p>

This dissertation consists of three chapters that address two major resource challenges faced by smallholder farmers in Sub-Saharan Africa: (i) weather shocks and (ii) limited land access for agricultural production. The first chapter looks at how weather shocks affect millet production and millet market price seasonality in Niger. In this paper, we use district-level longitudinal production and price data, along with high-resolution rainfall data to investigate the distinct impacts of positive and negative rainfall shocks on millet production and millet price seasonality in Niger. We find that a one standard deviation decrease in seasonal rainfall from historical averages is associated with declines in millet market price initially after harvest, but strong upward pressure on market prices 6 months after harvest. As a result, drought exacerbates existing price seasonality, which in turn can amplify negative impacts on households. Social protection programs need to account for potential increases in seasonal price variability in the design of programs to enhance household resilience to weather shocks. To better understand the household behavior that gives rise to the price responses observed in the first chapter, we explore weather shock impacts on household millet market participation in Niger in the second chapter. We merge a nationally representative household panel data with high-resolution spatially disaggregated rainfall data. We find that households are more likely to participate in the market as net sellers with negative rainfall shocks, but marketed quantity for net sellers decreases with negative rainfall shocks. Diversification into non-agricultural activities can mediate the impacts of negative rainfall shocks on market participation and lead to increases in volume of sales. Policies that support household involvement in the rural nonfarm economy through training and access to credit to help expand businesses may also stimulate millet market participation. In the third chapter, we use a rich dataset of 1,123 households to examine the determinants of individual household member access to groundnut fields, the predominant cash-crop in the Groundnut Basin of Senegal. The analysis also explores the implications of limited land access on groundnut productivity of young adult and female field managers. We find that young adults and females have fewer opportunities to access land compared to older and male household members. Further, we show that higher productivity may not be driving differential access to fields among older adults. Results suggest that with equal access, young adults may be as or more productive groundnut cultivators than older adults. Programs to increase young adult and female economic opportunities should focus on closing gaps in access to resources for production rather than decreasing observed production disparities. / Doctor of Philosophy / This dissertation addresses two major challenges that small farmers face in Sub-Saharan Africa: (i) erratic changes in weather patterns and (ii) land access for agricultural production. We divide the dissertation in three chapters. The first two chapters focus on weather shocks, while the third chapter focuses on land access. In the first chapter, we discuss how low and high rainfall affect the seasonal variation of market prices for the most important staple grain (millet) in Niger (West Africa). We find that lower rainfall than usual makes households sell their millet in the post-harvest period when market prices are generally low, and makes them buy back millet in the lean season when market prices are often high. As a result, policies that aim support household resilience to climate shocks should design programs that account for potential increases in seasonal price variability. In the second chapter, we study how low rainfall levels affect Niger millet farmers' decision to sell or not sell their harvest, as well as the association between low rainfall and the quantity of millet sold and bought. We distinguish three groups of farmers: (i) net buyers who have higher millet purchases than sales, (ii) autarkic who have zero millet purchases and millet sales, and (iii) net sellers who have higher sales than purchases. Our findings show that lower rainfall increases net sellers' probability to sell their millet, whereas it decreases the quantity they sell. Our results also reveal that households who diversify their sources of income into non-agricultural activities increase millet net sales even with low rainfall levels. Policies that support household involvement in these non-agricultural activities may also stimulate millet market participation. In the third chapter, we study the factors that affect household members' access to a groundnut field in Senegal with a particular focus on young adults and females. We show that females and young adults are less likely to access a field compared to older and male household members. Our results also suggest that with equal access, young adults may be as or more productive groundnut cultivators than older adults. Programs to increase young adult and female economic opportunities should focus on closing gaps in access to resources for production.