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<p>Smallholder farmers have been at the center of the development discourse not only because they represent a significant portion of the world's extreme poor but because of their potential role in food security, climate change and gender equality. Smallholders account for 70% of global food production but most of them in the developing world operate in the informal markets. Market formalization is accelerating even in the least developed countries, however, and formal market channels are gradually displacing informal ones. Global value chain based formal markets may also offer opportunities for smallholders to tap into fast growing international markets for high value agricultural products.</p><p> One of the key challenges policymakers, the development community and agribusinesses face, however, is smallholders' limited formal organization ("producer organizations") that aggregate their production and demand for goods and services in order to enable more effective market participation ("aggregation"). Only 5-10% of farmers globally are estimated to participate in formal producer organizations. This is despite the fact that such organizations have been supported by both policymakers and the development field as a way of tackling poverty and addressing market failures. </p><p>The shift towards food production being organized based on global value chains and production networks and the fast dissemination of supermarkets and other modern food retail outlets around the world is creating increased need for smallholders to partake in some form of aggregation mechanism in order to become contributors to the global food system.</p><p>Agribusinesses that buy agricultural products have therefore also been encouraging producer organizations as a way to improve their ability to source from smallholders. Nonetheless, of the producer organizations that do exist in emerging economies, only a negligible portion have been able to achieve stable access to the growing global market of high value agricultural products.</p><p>The objective of this dissertation is to contribute to the understanding of this paradox and to identify factors that may improve the likelihood and effectiveness of aggregation. The structure of this work is as follows: first the research problem and the gap in the literature (Chapter 1) will be defined, followed by the review of existing scholarship on smallholder agricultural producers, the globalization of agribusiness and global value chains as well as the literature on the aggregation of smallholder production, producer organizations and their access to global and modern value chains (Chapter 2). </p><p>Next a conceptual framework will be proposed based on which a model for smallholder global-value-chain-relevant aggregation (Chapter 3) will be developed that takes into account the producer organization types, the services offered by the producer organizations, producer organizations' access to financing and the requirements of global value chains. </p><p>The model will be tested first using the population of Hungarian producer organizations, and then a sample of Central American and Peruvian producer organizations (Chapter 4), utilizing the following hypotheses:</p><p>1. "Collective identity narratives", manifesting themselves in Collective Identity Activities, play an important role in facilitating the growth and competitiveness of POs.</p><p>2. Services, including access to financing for farmers, provided by POs play an important role in facilitating scaling.</p><p>3. Cooperatives are at a disadvantage compared to other producer organization (PO) forms in achieving the conditions of global value chain access.</p><p>The empirical analysis has five main findings. First, because trust is so important in enabling farmer participation in collectives, shared narratives that establish collective identity may play a role in ensuring not only farmer loyalty but also may help improve producer organizations' performance, particularly as organizations grow. Second, organizations that offer more services to farmers are more likely to scale and hence achieve global value chain access. However, this study found that considerable variation among services, some having much more significant relationship to the ability to scale than others. Third, cooperatives, the producer organization form most often supported by policymakers and the development field, on average were found less effective than other forms of producer organizations in their ability to connect farmers to global value chains. Having said that, it is important to highlight that the study also identified several cooperatives and some common patterns among them that outperformed both their cooperative and non-cooperative peers. Fourth, while this study adds to the evidence that smaller farmers within the smallholder group are at a disadvantage when it comes to PO participation and may, therefore, require differentiated support when it comes to interventions, it also identified several POs that work with some of the smallest farmers and still outperform their peers. Fifth, the study found that POs' access to financing is important for modern market access, in addition to meeting quantity and quality requirements.</p><p>The policy implications of these findings are considerable and recommendations for interventions conclude the paper (Chapter 6) after the discussion of this study's limitations (Chapter 5). The key policy findings include that cooperatives are not the panacea for development and policymakers should also consider other forms of producer organizations for support. Importantly, policymakers should rather consider linking their support to certain aggregator characteristics and activities, including services offered since some services appear to have stronger relationships than others with POs' ability to succeed. Among these services access to finance for farmers as well as research and development and innovation play crucial role and therefore deserve heightened attention from policymakers while access to finance at the PO level has also been found to be important. In addition, PO activities that help build collective identity are associated with POs' productivity and ability to scale.</p><p>In terms of the arguable trade-off between sustainability and smallholder inclusion, a finding of the present work is that smallholders have the potential to achieve significantly higher productivity than their larger counterparts and their POs can successfully access modern markets as long as they are provided with the necessary support related to sustainable intensification of their production and access to capital for making the necessary investments.</p> / Dissertation

Animal pollination is responsible for the majority of the human food supply. Understanding pollination dynamics in agricultural systems is thus essential to help maintain this ecosystem service in the face of human disturbances. Surprisingly, our understanding of plant–pollinator interactions in widely distributed smallholder agricultural systems is still limited. Knowledge of pollination dynamics in these agricultural systems is necessary to fully assess how human disturbances may affect pollination services worldwide. In this study, we describe the structure of a plant–floral visitor network in a smallholder Cucurbitaceae agricultural system. We further identify the main floral visitors of these crops and tested their importance by simulating how their extinction affected network structure and robustness. The observed network was highly connected and generalized but it was neither nested nor compartmentalized. Our results suggest that the structure of agricultural plant–pollinator networks could be inherently different from those in natural communities. These differences in network structure may reflect differences in spatial distribution of floral resources between agricultural and natural systems. We identified Augochlora nigrocyanea and Peponapis limitaris as the two most frequent floral visitors. However, removal of these species did not affect network structure or its robustness, suggesting high levels of interaction rewiring. To our knowledge, this is one of the first studies to describe the structure of a plant–floral visitor network in diverse agricultural systems in the tropics. We emphasize the need for more studies that evaluate network structure in agricultural systems if we want to fully elucidate the impact of human disturbances on this key ecosystem service.

Contemporary global agriculture has been undergoing transition towards different pathways. In developed countries, a shift from productivist agriculture to multifunctional agriculture has begun since the 1980s (Wilson, 2007). In the developing world, agricultural modernisation is still the primary strategy for agricultural development, and driven by urbanisation and industrialisation, deagrarianisation of rural society has been widely identified (Bryceson, 1996; Rigg, 2006a). As the largest developing country in the world, China embarked on market reform three decades ago and has ever since experienced dramatic socio-economic transition towards modernisation, industrialisation and urbanisation. Significant levels of academic attention have focused on empirically identifying economic and policy drivers of Chinese agricultural production from a structuralist standpoint, largely neglecting the agency of smallholders and sociocultural factors. To address the resulting literature gap, this thesis adopts an approach that combines political economy and cultural analysis through an in-depth case study of a rural community in southwest China. A multi-methods approach is used to collect data, including questionnaires, in-depth interviews, focus groups, participant observation and the analysis of secondary data. The results suggest that Chinese smallholder agriculture has been dramatically transformed by an array of socio-economic forces. The “intensive, sustainable, diverse” Chinese smallholder agriculture which Netting (1993) portrayed, has been progressively shifted towards extensive, unsustainable and less diverse pathways. It suggests that the “perfunctory agriculture” performed by Chinese smallholders is the outcome of interactions and negotiations between various political, socio-economic and institutional constraints and farmers’ agency. Another key finding is that moving out of agriculture is becoming the norm in Chinese rural society. Most smallholders show willingness to rent out agricultural land and to enter into a capitalist relationship with employees, rather than primarily being cultivators of their land. Land transfer markets have become increasingly buoyant at the local level, and large-scale capitalist agriculture seems to be the desired future of Chinese smallholder agriculture for both the Chinese government and smallholders. Besides, based on the case of Hu Village, this thesis discusses the convergences and divergences between the road of Chinese agricultural development and that of developed countries and other emerging BRIC economies. Lastly, based on the findings of this research, four policy implications are proposed including sponsoring agricultural mutual aid groups, strengthening agricultural extension services, enhancing farmers’ negotiation power through laws, and initiating comprehensive socio-economic reforms to facilitate farmers’ pursuit of non-farm employments.

Rural people in the Sahel derive multiple benefits from local ecosystem services on a daily basis. At the same time, a large proportion of the population lives in multidimensional poverty. The global sustainability challenge is thus manifested in its one extreme here, with a strong need to improve human well-being without degrading the landscapes that people depend on. To address this challenge, knowledge on how local people interact with their landscapes, and how this changes over time, must be improved. An ecosystem services approach, focusing on benefits to people from ecosystem processes, is useful in this context. However, methods for assessing ecosystem services that include local knowledge while addressing a scale relevant for development interventions are lacking. In this thesis, such methods are developed to study Sahelian landscapes through an ecosystem services lens. The thesis is focused on village landscapes and is based on in-depth fieldwork in six villages in northern Burkina Faso. In these villages, participatory methods were used to identify social-ecological patches (landscape units that correspond with local descriptions of landscapes, characterized by a combination of land use, land cover and topography), the provisioning ecosystem services generated in each social-ecological patch, and the benefits from ecosystem services to livelihoods (Paper I). In Paper II, change in cover of social-ecological patches mapped on aerial photographs and satellite images from the period 1952-2016 was combined with population data and focus group discussions to evaluate change in generation of ecosystem services over time. In Paper III, up-scaling of the village scale assessment to provincial scale was done through the development of a classification method to identify social-ecological patches on medium-resolution satellite images. Paper IV addresses the whole Sudano-Sahelian climate zone of West Africa, to analyze woody vegetation as a key component for ecosystem services generation in the landscape. It is based on a systematic review of which provisioning and regulating ecosystem services are documented from trees and shrubs on agricultural lands in the region. Social-ecological patches and associated sets of ecosystem services are very similar in all studied villages across the two regions. Most social-ecological patches generate multiple ecosystem services with multiple benefits, illustrating a multifunctional landscape (Paper I). The social-ecological patches and ecosystem services are confirmed at province level in both regions, and the dominant social-ecological patches can be mapped with high accuracy on medium-resolution satellite images (Paper III). The potential generation of cultivated crops has more or less kept up with population growth in the villages, while the potential for other ecosystem services, particularly firewood, has decreased per capita (Paper II). Trees and shrubs contribute with multiple ecosystem services, but their landscape effects, especially on regulating ecosystem services, must be better studied (Paper IV). The thesis provides new insights about the complex and multi-functional landscapes of rural Sahel, nuancing dominating narratives on environmental change in the region. It also provides new methods that include local knowledge in ecosystem services assessments, which can be up-scaled to scales relevant for development interventions, and used to analyze changes in ecosystem services over time. / <p>At the time of the doctoral defense, the following papers were unpublished and had a status as follows: Paper 2: Manuscript. Paper 3: Manuscript.</p><p> </p>

Landscape scale quantification enables farmers to pool resources and expertise. However, the problem remains of how to quantify these gains. This article considers current greenhouse gas (GHG) quantification methods that can be used in a landscape scale analysis in terms of relevance to areas dominated by smallholders in developing countries. In landscape scale carbon accounting frameworks, measurements are an essential element. Sampling strategies need careful design to account for all pools/fluxes and to ensure judicious use of resources. Models can be used to scale-up measurements and fill data gaps. In recent years a number of accessible models and calculators have been developed which can be used at the landscape scale in developing country areas. Some are based on the Intergovernmental Panel on Climate Change (IPCC) method and others on dynamic ecosystem models. They have been developed for a range of different purposes and therefore vary in terms of accuracy and usability. Landscape scale assessments of GHGs require a combination of ground sampling, use of data from census, remote sensing (RS) or other sources and modelling. Fitting of all of these aspects together needs to be performed carefully to minimize uncertainties and maximize the use of scarce resources. This is especially true in heterogeneous landscapes dominated by smallholders in developing countries.

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Vast progress has been made in detecting rates of tropical deforestation, yet the relationship between visible patterns of forest change, multi-scalar human processes and the underlying drivers associated with them is poorly understood. Building on satellite imagery, a household livelihood survey and semi-structured interviews, this research scrutinised changes of forest cover from the mid-1990s to 2015 in a municipality located in southeastern Mexico and investigated the proximate causes and underlying drivers of change at the household and community levels. Emerging evidence indicated that, contrary to the persistent narrative of deforestation for the region, forest cover change is highly dynamic including periods of deforestation and forest recovery. Moreover, a close examination of 24 communities showed forest cover gained terrain, while the agricultural frontier retracted. Drawing on a comparison between the household survey and previous analyses, it could be inferred that forest resurgence was produced by the decrease in the farming area and the increase in the abandonment of farming activities by some communities. Associated with the adaptation of households was the development of formal and informal institutions at the community level in response to macro-global forces linked to the implementation of forest conservation strategies, environmental degradation, market liberalization and increased urbanization. Overall, this research adds not only to our understanding of the complexity of land-use and cover change in emerging globalized economies but also exemplifies the spatial and temporal heterogeneity of tropical forest systems, which challenges partial models of deforestation and policies designed to reduce it. The research may be focused on a narrow region of the globe, nevertheless, the insights and recommendation provided may be useful to further forest conservation schemes in other tropical regions.

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<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>