The voluntary carbon market, the area of focus for this thesis, developed alongside the compliance carbon market when individuals and organisations elected to compensate for their CO2 emissions. The steep growth in demand for voluntary carbon offset credits stemmed from the 2015 Paris Agreement. Climate issues were firmly on the agenda and carbon offsetting was viewed as a way for countries to meet their carbon reduction targets in efforts towards mitigating climate change. Since then, there has been a shift to natural climate solutions, namely forestry and land use carbon projects.  The ideal host location for such projects oftentimes have an existing, usually poor, population.  Project developers claim to help such populations by providing community benefits such as job creation and improved agricultural practices.  However, there is a gap in the research which focuses on the future of these communities after the projects, and how sustainable the benefits are.  This thesis examines the community benefits of two REDD+ (Reducing Emissions from Deforestation and Forest Degradation) projects: Alto Mayo Conservation Initiative, Peru and Yaeda Valley REDD Project, Tanzania.  Interviews with project developers are cross-referenced with project documents and other available sources to analyse the sustainability of the livelihood impacts.  The results show that the positive impacts of voluntary carbon projects on a local community can be sustained post-project. Overall, the well-being of community members can improve, as can decision-making skills and capacity levels.  Project participants can become more adaptable to shocks as their livelihoods have diversified and they have stronger links with international markets.  This link with international markets, however, can also become a barrier to livelihood benefits. As local people become reliant on market demand and project funds, they move away from subsistence farming and when demand drops, they may find it hard to prosper.  Additionally, there is a risk that following the departure of the project and its developers, more malevolent and powerful parties may move into the area.  To overcome these barriers, livelihood diversification opportunities need to be strengthened and land tenure issues clarified.

This thesis examines whether, how and to what extent social cash transfers help the poor in reducing poverty; not only in income terms but also in relation to how they build on their capabilities and address gender inequality, risk and vulnerability. The thesis explores these questions through an analysis of a community targeted social cash transfer scheme from Traditional Authority Mlomba, Machinga district in Malawi, using the capability approach as the conceptual framework of analysis. The study is located in the critical realist domain as its underlying research philosophy. The study is qualitative in nature, using semi-structured interviews, observations and life histories. The scheme targets the poorest 10% of the population who are also labour constrained and deemed to be economically unproductive. Thus, the study offers some insights into an area that is not well researched as it is a relatively new concept to target the poor who are also labour constrained and not economically productive. In this thesis, I show that despite the limited resource base compared to the large number of the poor, social cash transfers as low as US$14 per household per month can make a valuable contribution to the reduction of poverty through building capabilities of the poor, empowering women and addressing some of the gendered inequalities, risk and vulnerability. Therefore, social cash transfers are not just handouts but act as ladders that can uplift the absolute poor out of poverty.

Yes / This briefing paper reports on research exploring four detailed case studies of rural livelihoods interventions operating in Tanzania, South Africa and Uganda. Analysing these interventions through an audit of sustainable livelihood `principles¿ (as a proxy for best practice) reveals general lessons about both the practical opportunities and challenges for employing sustainable livelihoods approaches to the design, implementation, monitoring and evaluation of development interventions. / Department for International Development

Yes / This briefing paper reports on research exploring detailed case studies of HIV/AIDS livelihoods-oriented interventions operating in Uganda, Lesotho and South Africa. The interventions were analysed through an audit of sustainable livelihood `principles¿. This revealed general lessons both about the practical opportunities and challenges for employing sustainable livelihoods approaches to the design, implementation, monitoring and evaluation of development interventions and also about the changing format of development interventions. / Department for International Development

This report addresses the problem: how to improve approaches to fish seed production in smallholder aquaculture systems of Northeast Thailand? The work was carried out as a component of the U.K. Government Department for International Development Aquaculture Research Programme funded project, R7052: Improving freshwater fish seed supply and performance in smallholder aquaculture systems in Asia. From 1997 to 2003 the project worked in collaboration with regional partners in Bangladesh, Laos P.D.R., Thailand and Vietnam on constraints to seed production and distribution. The research problem called for improvement, implying that change was required in the way that seed was produced. The hypothesis that active collaboration in research by seed producers and institutional partners, facilitated by project staff would enable all participants to extend their understanding of the situation, contribute to the knowledge base and that resulting accommodations would lead to a continuous process of planning, action and reflection toward changes required for improvement. Reflection on the project outputs indicated that quality of fish seed was variable but there was no agreement on the nature of the problem among stakeholders. The decision was made to shift the research focus away from looking for technical problems and to focus instead on examining ways that existing knowledge could be integrated in a learning process with key stakeholders. The research problem then became to find an appropriate, effective and efficient methodology to achieve this; participatory action research was chosen for evaluation. Participatory action research is a collaborative approach involving the researcher in a facilitative role working with stakeholder groups to enable systematic investigation of issues, planning and action to resolve the issues. Outcomes should be action and public knowledge that feed in to further reflection and action in an ongoing learning cycle. Implementation of the methodology was carried out over two stages; the first planned set of activities involved extension of the existing collaborative arrangement with the Thai Government Department of Fisheries (DoF) and the Asian Institute of Technology Aqua Outreach Programme (AOP) in order to prepare a field research team and plan for field activities. The second stage was participatory action research field work which involved invitations to collaborate being extended to four formal groups and one informal group of hatchery operators in two Provinces of Northeast Thailand. Research facilitated by the research team used a range of participatory methods for identification and prioritisation issues, analysis, action planning, monitoring and evaluation. Actions were supported by the project logistically and financially. The exploratory approach to project planning meant that monitoring processes was as important as monitoring specific indicators. The output of the first set of activities was a formal agreement to collaborate however the strength of the collaboration was indicated by the low level of commitment shown by the DoF and AOP representatives in planning and team building. The lack of commitment had important implications for impact and sustainability of the research. Greater attention to the partnership process was an important lesson. Four of the hatchery operators’ groups approached accepted the invitation to collaborate with the project. This collaboration resulted in a range of knowledge outcomes, the development of social relations horizontally within the hatchery groups and vertically to include individuals from service providing agencies in the local administration. Participatory evaluation by participants and the DoF partners was positive. Evaluation of the project indicated that the approach was; appropriate in terms of the needs of primary stakeholders, the requirements of the donor and the circumstances under which it was carried out; effective in achieving knowledge outcomes that contributed to gains in livelihood assets for participants but ineffective in influencing the policies, institutions and processes that would have ensured sustainable impact from the collaboration as a result of the shortcomings in the institutional partnership arrangements; efficient in terms of resource use to obtain outputs and also in emergence of lessons to inform future practice.

The aim of this study is to explore the links which exist between community development and urban food gardens. South Africa has experienced a twenty five percent growth in the urban population from 2005-2010. It is further predicted that this will increase by a further thirty six percent to thirteen million inhabitants by 2015. The practice of urban agriculture is one of the strategies that can assist in addressing development challenges in an urban setting in South Africa and around the world. Urban agriculture has the potential to provide a survival strategy for the poor and thus contribute to poverty alleviation, employment, food security, social integration and skills transfer. This research explores the economic, social and ecological benefits of the activity, questioning the ways in which the Siyakhana food garden (and larger initiative) contributes to the Siyakhana community. For the purpose of the research the Siyakhana community refers to the Siyakhana group (eight women in the inner city of Johannesburg who run Early Childhood Development Centres (ECDCs)) and the gardeners who work in the food garden. Data was collected by means of semi-structured interviews, in-depth questionnaires, participant observation and informal conversation, as well as primary and secondary sources. The data was collected for a twelve month period from June 2010 to June 2011. In total the food garden was visited thirty times during the field work and the ECDCs twelve to fifteen times each. Because of the initiatives potential in community development, the focus of the research gives in-depth insights into the Siyakhana group, their history with the initiative, details about their ECDCs and their expectations and their perceived benefits of being involved with the Siyakhana initiative. The key findings of the study are that there are two primary ways in which the Siyakhana group benefit from being involved in the Siyakhana initiative. The benefits relate to the supplementary food which the Siyakhana group receive on a weekly basis and the practical learning environment of the Siyakhana food garden. This research shows that through their connection with the Siyakhana initiative the Siyakhana group act as a conduit for inner city community development. The healthy and nutritious food from the food garden and the knowledge obtained from being involved with the initiative is shared with a range of stakeholders within the inner city. The Siyakhana food garden is a unique example of a community project which embraces the concepts of ecological health promotion in a multiplicity of ways – through the distribution of food, training, conscientisation and mobilisation. Finally the study shows that when exploring the links between urban food gardens and community development it is not a pre-requisite for the community to physically engage in the production activities of the garden for empowerment and skills transfer to take place.

As certificações socioambientais, a fim de tornarem-se mais acessíveis a pequenos produtores proporcionam métodos alternativos para obtenção dos selos. O FSC, além da possibilidade de certificação em grupo oferece, desde 2004, o padrão de certificação Small and Slow Intensity Managed Forests (SLIMF). No Brasil, para atender a alta demanda do mercado e manterem-se competitivas, empresas florestais, além de estabelecer contratos de fomento, vêm incentivando e auxiliando pequenos produtores a certificarem-se. Para os pequenos produtores, a certificação pode contribuir com a diversificação dos meios de vida. O presente estudo teve como objetivos: i) caracterizar quais são os fatores que geram mudanças nos meios de vida de grupos de pequenos produtores florestais fomentados certificados; e ii) verificar a influência do tempo de certificação na mudança dos capitais dos meios de vida destes grupos. Para isso foram estudados quatro grupos de produtores florestais fomentados e certificados com FSC SLIMF, e um grupo fomentado, porém não certificado. Estes grupos localizam-se nas regiões brasileiras do extremo sul do estado da Bahia e norte do Espírito Santo, e vale do rio Tibagi, no estado do Paraná. Os grupos foram caracterizados por meio de entrevistas e levantamento bibliográfico. Os impactos da certificação nos meios de vida dos grupos de pequenos produtores florestais foram mensurados por meio questionário baseado em adaptação da abordagem dos Meios de Vida Sustentáveis. Foram propostos cenários da influência da certificação nos meios de vida de cada grupo certificado e interpretadas as interações entre os capitais dos meios de vida. O bom desempenho da certificação foi influenciado pela demanda do mercado por produtos certificados, pela situação prévia do capital social dos grupos de produtores e suas condições socioeconômicas. A certificação FSC SLIMF promoveu mudanças positivas em todos os capitais dos meios de vida, porém em intensidade diferente em cada grupo. Foi unânime a percepção de maior mudança no capital natural. O capital financeiro, principal motivador para participação na certificação, não apresentou o Preço Premium esperado pelos produtores. O tempo de certificação influenciou positivamente os resultados em todos os meios de vida, entretanto o engajamento e a participação dos membros na gestão dos grupos é determinante para o sucesso da certificação. Aspectos como escolaridade e renda influenciaram no interesse em se certificar e na percepção de melhorias. / Socio-environmental certifications, in order to become more accessible to small producers, provide alternative methods of obtaining the acreditation. The FSC, in addition to the possibility of group certification, has offered the Small and Slow Intensity Managed Forests (SLIMF) certification standard since 2004. Brazilians forestry companies, in order to meet the market\'s high demand and to remain competitive, not only have established outgrower schemes, but also have encouraged and assisted small producers to certificate. Certification can contribute to the diversification of smallholders\' livelihoods. The present study had as objectives: i) to characterize the factors that generate changes in groups of certified forest smallholders\' livelihoods; and ii) to verify the influence of time of certification on the change of livelihood assets of these groups. Four groups of FSC SLIMF certified smallholders outgrowers, and a not certified smallholder outgrower group were selected to this study. These groups are located in the Brazilian regions of the extreme south of Bahia and north of Espirito Santo, and the Tibagi river valley in Paraná. The groups were characterized by interviews and bibliographic surveys. The certifications\' impacts on the smallholders\' livelihoods were measured using a questionnaire based on an adaptation of the Sustainable Livelihoods approach. Scenarios on the certification\'s influence on each group\'s livelihoods were developed and the interactions between livelihood capitals were interpreted. The certification\'s positive performance was influenced by the market demand for certified products, the smallholders groups previous situation on the social capital and their socioeconomic conditions. The FSC SLIMF certification promoted positive changes in all livelihoods\' capitals, but at different intensities in each group. The perception of higher change in the natural capital was unanimous. The financial capital, considered to be the main participation motivator in the certification, did not present the Premium Price expected by the producers. Certification time positively influenced outcomes across all livelihoods, however engagement and participation of group members in management is key to successful certification. Aspects such as schooling and income influenced the interest in pursuing certification and perceiving improvements.

As certificações socioambientais, a fim de tornarem-se mais acessíveis a pequenos produtores proporcionam métodos alternativos para obtenção dos selos. O FSC, além da possibilidade de certificação em grupo oferece, desde 2004, o padrão de certificação Small and Slow Intensity Managed Forests (SLIMF). No Brasil, para atender a alta demanda do mercado e manterem-se competitivas, empresas florestais, além de estabelecer contratos de fomento, vêm incentivando e auxiliando pequenos produtores a certificarem-se. Para os pequenos produtores, a certificação pode contribuir com a diversificação dos meios de vida. O presente estudo teve como objetivos: i) caracterizar quais são os fatores que geram mudanças nos meios de vida de grupos de pequenos produtores florestais fomentados certificados; e ii) verificar a influência do tempo de certificação na mudança dos capitais dos meios de vida destes grupos. Para isso foram estudados quatro grupos de produtores florestais fomentados e certificados com FSC SLIMF, e um grupo fomentado, porém não certificado. Estes grupos localizam-se nas regiões brasileiras do extremo sul do estado da Bahia e norte do Espírito Santo, e vale do rio Tibagi, no estado do Paraná. Os grupos foram caracterizados por meio de entrevistas e levantamento bibliográfico. Os impactos da certificação nos meios de vida dos grupos de pequenos produtores florestais foram mensurados por meio questionário baseado em adaptação da abordagem dos Meios de Vida Sustentáveis. Foram propostos cenários da influência da certificação nos meios de vida de cada grupo certificado e interpretadas as interações entre os capitais dos meios de vida. O bom desempenho da certificação foi influenciado pela demanda do mercado por produtos certificados, pela situação prévia do capital social dos grupos de produtores e suas condições socioeconômicas. A certificação FSC SLIMF promoveu mudanças positivas em todos os capitais dos meios de vida, porém em intensidade diferente em cada grupo. Foi unânime a percepção de maior mudança no capital natural. O capital financeiro, principal motivador para participação na certificação, não apresentou o Preço Premium esperado pelos produtores. O tempo de certificação influenciou positivamente os resultados em todos os meios de vida, entretanto o engajamento e a participação dos membros na gestão dos grupos é determinante para o sucesso da certificação. Aspectos como escolaridade e renda influenciaram no interesse em se certificar e na percepção de melhorias. / Socio-environmental certifications, in order to become more accessible to small producers, provide alternative methods of obtaining the acreditation. The FSC, in addition to the possibility of group certification, has offered the Small and Slow Intensity Managed Forests (SLIMF) certification standard since 2004. Brazilians forestry companies, in order to meet the market\'s high demand and to remain competitive, not only have established outgrower schemes, but also have encouraged and assisted small producers to certificate. Certification can contribute to the diversification of smallholders\' livelihoods. The present study had as objectives: i) to characterize the factors that generate changes in groups of certified forest smallholders\' livelihoods; and ii) to verify the influence of time of certification on the change of livelihood assets of these groups. Four groups of FSC SLIMF certified smallholders outgrowers, and a not certified smallholder outgrower group were selected to this study. These groups are located in the Brazilian regions of the extreme south of Bahia and north of Espirito Santo, and the Tibagi river valley in Paraná. The groups were characterized by interviews and bibliographic surveys. The certifications\' impacts on the smallholders\' livelihoods were measured using a questionnaire based on an adaptation of the Sustainable Livelihoods approach. Scenarios on the certification\'s influence on each group\'s livelihoods were developed and the interactions between livelihood capitals were interpreted. The certification\'s positive performance was influenced by the market demand for certified products, the smallholders groups previous situation on the social capital and their socioeconomic conditions. The FSC SLIMF certification promoted positive changes in all livelihoods\' capitals, but at different intensities in each group. The perception of higher change in the natural capital was unanimous. The financial capital, considered to be the main participation motivator in the certification, did not present the Premium Price expected by the producers. Certification time positively influenced outcomes across all livelihoods, however engagement and participation of group members in management is key to successful certification. Aspects such as schooling and income influenced the interest in pursuing certification and perceiving improvements.

The present worldwide scenario is one of land-based livelihoods that are increasingly vulnerable to the impacts of climate change. While being committed to environmental goals, India’s National Action Plan on Climate Change released in 2008, reaffirms that maintaining a high growth rate is essential to raising the standard of living of the people. Curbing emissions while maintaining high growth rates and achieving the Millennium Development Goals without increase in fossil fuel consumption, both appear to be paradoxes. Community-based micro energy initiatives have the potential to support productive development without fossil fuel consumption. This study examines small scale, village level biodiesel production for local use, based on unutilized and under-utilized, existing oil seeds in remote rural locations in Orissa, India. The village level biodiesel model is a response to large agro-industrial models that promote plantation of energy crops like jatropha, and to centralized production of biofuels as an alternative to petrodiesel. Village level biodiesel adds value to the large quantity of locally unutilized forest seeds and underutilized short duration oilseed crops like niger that are exported as birdfeed, to fuel livelihoods and boost the local economy. The development of a village level biodiesel model in a participatory manner within an agroecosystem boundary, and its ability to catalyze livelihoods that are sustainable, have been analyzed. Participant observation techniques have been used to develop narrative case studies for three village communities. Methodology for the study is based on Participatory Action Research approaches (Kemmis et al., 2000), where the research process has contributed to community action. The Sustainable Livelihood approach forms an important foundation of this research. A conceptual framework adapted from the original Sustainable Livelihood Framework (Scoones, 1998), to include Complex Systems Thinking (Holling, et al., 1995, Kay, et al., 1999) was used to analyze case studies in two communities of Orissa, India. Informed by results in the first two case communities, the same framework was used to develop a livelihood strategy based on Village Level Biodiesel (VLB), in a third cluster of villages also in Orissa. Three additional inclusions are proposed as a result of the research, to address some gaps in the original framework. These are the concepts of (1) Entitlements (Leach, et al., 1997) to understand power structures, (2) Adaptation Continuum (McGray 2007) to include issues of climate impacts and (3) Rural Livelihood System (Hogger, 2004) as a complex whole relating the inner reality of the farmer to the outer reality of a swiftly globalizing world. Resilience of livelihoods was identified as a key outcome parameter. Three main considerations for assessing sustainability and resilience of livelihoods, as defined by this research are (1) potential for livelihood diversity and intensity, (2) connectedness of the institutions involved in the decision making process, and (3) adaptation – that is resilience of livelihoods in terms of their capacity to resist drivers of vulnerability and confront impacts of climate change. The VLB in Orissa approaches livelihood diversity and intensity through a three-pronged approach consisting of biodiesel fuelled livelihoods, sustainable agriculture and local value addition. Careful attention is given to the specifics of the context in designing the VLB, thus enhancing the adaptive capacity of the technology. In the context of India, with the devolution of power to the local level, the Gram Sabha, or the village governing council, has political powers and the ability to negotiate with the State because of the authority vested in it by the 73rd amendment to the Constitution of India, and can additionally regulate the market at the local level. Leveraging the powers of this entity may provide the VLB with the needed impetus to replicate and move beyond pilot implementations. Obstacles in the implementation and strategies to overcome these have been identified. The challenge to future research and action is to span regional, national and global levels to influence policy makers to take cognizance of and promote the VLB as a viable development alternative to agro-industrial models designed to generate transport fuel.

The present worldwide scenario is one of land-based livelihoods that are increasingly vulnerable to the impacts of climate change. While being committed to environmental goals, India’s National Action Plan on Climate Change released in 2008, reaffirms that maintaining a high growth rate is essential to raising the standard of living of the people. Curbing emissions while maintaining high growth rates and achieving the Millennium Development Goals without increase in fossil fuel consumption, both appear to be paradoxes. Community-based micro energy initiatives have the potential to support productive development without fossil fuel consumption. This study examines small scale, village level biodiesel production for local use, based on unutilized and under-utilized, existing oil seeds in remote rural locations in Orissa, India. The village level biodiesel model is a response to large agro-industrial models that promote plantation of energy crops like jatropha, and to centralized production of biofuels as an alternative to petrodiesel. Village level biodiesel adds value to the large quantity of locally unutilized forest seeds and underutilized short duration oilseed crops like niger that are exported as birdfeed, to fuel livelihoods and boost the local economy. The development of a village level biodiesel model in a participatory manner within an agroecosystem boundary, and its ability to catalyze livelihoods that are sustainable, have been analyzed. Participant observation techniques have been used to develop narrative case studies for three village communities. Methodology for the study is based on Participatory Action Research approaches (Kemmis et al., 2000), where the research process has contributed to community action. The Sustainable Livelihood approach forms an important foundation of this research. A conceptual framework adapted from the original Sustainable Livelihood Framework (Scoones, 1998), to include Complex Systems Thinking (Holling, et al., 1995, Kay, et al., 1999) was used to analyze case studies in two communities of Orissa, India. Informed by results in the first two case communities, the same framework was used to develop a livelihood strategy based on Village Level Biodiesel (VLB), in a third cluster of villages also in Orissa. Three additional inclusions are proposed as a result of the research, to address some gaps in the original framework. These are the concepts of (1) Entitlements (Leach, et al., 1997) to understand power structures, (2) Adaptation Continuum (McGray 2007) to include issues of climate impacts and (3) Rural Livelihood System (Hogger, 2004) as a complex whole relating the inner reality of the farmer to the outer reality of a swiftly globalizing world. Resilience of livelihoods was identified as a key outcome parameter. Three main considerations for assessing sustainability and resilience of livelihoods, as defined by this research are (1) potential for livelihood diversity and intensity, (2) connectedness of the institutions involved in the decision making process, and (3) adaptation – that is resilience of livelihoods in terms of their capacity to resist drivers of vulnerability and confront impacts of climate change. The VLB in Orissa approaches livelihood diversity and intensity through a three-pronged approach consisting of biodiesel fuelled livelihoods, sustainable agriculture and local value addition. Careful attention is given to the specifics of the context in designing the VLB, thus enhancing the adaptive capacity of the technology. In the context of India, with the devolution of power to the local level, the Gram Sabha, or the village governing council, has political powers and the ability to negotiate with the State because of the authority vested in it by the 73rd amendment to the Constitution of India, and can additionally regulate the market at the local level. Leveraging the powers of this entity may provide the VLB with the needed impetus to replicate and move beyond pilot implementations. Obstacles in the implementation and strategies to overcome these have been identified. The challenge to future research and action is to span regional, national and global levels to influence policy makers to take cognizance of and promote the VLB as a viable development alternative to agro-industrial models designed to generate transport fuel.