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<p>The typical face of poverty in South Africa is African, rural, and female. As the primary users of rural land, women engage in farming and subsistence activities. Despite this pivotal role played by rural women, they experience grave problems under communal tenure, most notably in relation to access to and use of land and productive resources. Research has shown that the majority of rural households in South Africa derive significant proportions of their livelihoods from land-based activities, and that the value of common property resources associated with land, for example livestock production, crop production, and natural resource harvesting is often overlooked as an important asset of poor rural communities. The importance of these landbased livelihoods sources is even greater for female-headed households, female members of rural households, and the very poor or &lsquo / marginalised&rsquo / members of rural communities, since they tend to be more reliant on landbased livelihoods than those with secure income from pensions, wageearning activity or remittances from migrant labourers. The importance of security of land tenure to the sustainability of rural livelihoods, particularly insofar as rural women are concerned, is the central focus of this study.</p>

More than a decade after the World Bank was forced out of the dam-building industry due to the social and environmental consequences of the projects they helped to finance, World Bank support for the development of the Nam Theun 2 (NT2) Hydroelectric Project, located atop the bio-diverse Nakai Plateau in central Laos, signals the re-emergence of the Bank’s involvement in large-scale dam construction initiatives. The NT2 project is the Bank’s response to its international critics. The project is a ‘test case’ for a new model of hydropower development that seeks to counteract any negative consequences to the surrounding environment and populations through the enactment of a new set of environmental and social safeguards that the Bank had spent over a decade developing. As the optimal consequence, if NT2 achieves the goal of safeguarding the bio-diverse environment of the Nakai region through the creation and implementation of long-term ‘socially and environmentally sustainable’ livelihood activities capable of raising the living standards and income levels of Nakai villagers beyond the national poverty line, then the NT2 model of development will be validated and its use in other World Bank supported hydroelectric initiatives all but assured. The alternative result is that the new safeguard mechanisms fail to achieve these goals, significantly contributing to the destabilization of one of the of the most environmentally and culturally unique regions in the world. This thesis analyzes the effectiveness of NT2 social and environmental safeguards in order to determine to what extent this new model of development is achieving the objectives it set prior to construction. Using a range of data, it analyzes outcomes produced from the core safeguards program of the project: the resettlement livelihoods’ programmes. Analysis of villagers’ livelihoods after resettlement clearly indicates that the NT2 model was never able to overcome challenges posed by reduced access to forest and agricultural lands for re-establishing villagers’ core land-based livelihood activities. As a result, many villagers have abandoned the livelihoods programmes at resettlement villages across the Plateau. In the short term, these villagers have, nevertheless, significantly increased their incomes through intensified commercial fishing and export-oriented rare timber and endangered wildlife extraction activities. The problem for NT2 developers such as the World Bank is that this form of economic activity is neither socially nor environmentally sustainable, placing the regional environment, local populations and the NT2 project in jeopardy. / Graduate

Three complicated and interrelated issues are marine conservation, local development, and climate change. To seek insight into the challenges posed by these issues in a particular context, this dissertation focuses on seven communities near marine protected areas (MPAs) on the Andaman Coast of Thailand. The central question was “How can conservation outcomes and community livelihoods and adaptive capacity be enhanced in communities near MPAs on the Andaman Coast of Thailand in consideration of a changing climate?” The objectives were to explore local perceptions of social and environmental change and vulnerability, community opinions of Thailand’s National Marine Parks (NMPs), and the adaptive capacity of coastal communities. Literatures on resilience, adaptive capacity, vulnerability, conservation impacts, sustainable livelihoods, and governance and management frame the research. Fieldwork included Photovoice, interviews, and household surveys. Four stand-alone manuscripts are included in the dissertation: a) “A picture of change: Using Photovoice to explore social and environmental change in coastal communities on the Andaman Coast of Thailand”; b) “Vulnerability to multiple stressors in coastal communities: A study of the Andaman Coast of Thailand”; c) “Why local people do not support conservation: Community perceptions of marine protected area livelihood impacts, governance and management in Thailand”; and, d) “The capacity to adapt?: Communities in a changing climate, environment and economy on the northern Andaman Coast of Thailand”. Broadly, the dissertation offers relevant insights into the complex social-ecological changes being experienced by heterogeneous communities and the multi-faceted and multi-scalar actions required to address increasing challenges. Specifically, it a) demonstrates that Photovoice is an effective method for examining social and environmental change and providing input into community adaptation, conservation, and development processes, b) explores the social-economic and biophysical stressors that contribute to household vulnerability and suggests that multiple stressors, particularly economics and climate change, need to be considered in adaptation planning, c) recommends significant improvements to current NMP governance and management to engender local support for marine conservation, and d) illustrates that communities on the Andaman coast of Thailand are coping with environmental and fisheries declines, reacting to climate change and adapting variably to alternative livelihoods and proposes interventions for improving adaptive capacity. / Graduate / 0366 / njbennet@uvic.ca

Globalization and human-domination of the globe have increased the complexity, scope and pace of human-environment interactions in ways that have fundamentally reconfigured the opportunities and challenges for sustainability. As a result, what society needs from science has shifted. Society and scientists alike now call for new ways of doing science that can support decision-makers to confront the complexity and uncertainty of sustainability in today’s more globalized world. The research presented in this thesis contributes to answering this call. The goal of the research was to examine complexities in how globalization shapes the opportunities and challenges for pursuing sustainability. It was conducted in a region of the world where human-environment interactions have been fundamentally transformed by globalization: Latin America. The research used a two-tiered, qualitative case study approach to examine environmental policy-making in Costa Rica and land-use management in Costa Rica’s dry North West. It had three specific objectives: 1. To analyze how environmental policy-making in Costa Rica was influenced by the transfer of policy ideas between the international and Costa Rican political systems; 2. To trial a novel methodology for conducting qualitative land-use research that can support natural resource managers to pursue sustainability while maintaining a high level of scientific credibility; and, 3. To examine the specific processes of forest recovery and rural livelihood change in Costa Rica’s dry North West, and their implications for sustainability and forest management. This research makes three key contributions to our understanding of interactions between globalization, sustainability and complex social-ecological systems. First, it counters a tendency towards oversimplification in both theories and solutions for sustainability. It shows that neither generalized large-scale theories nor single blueprint solutions are adequate on their own to address the complex reality of environmental policy-making and land-use management in Costa Rica today. Second, it demonstrates how the potential of qualitative research to support natural resource managers can be more fully realized through methodological innovation. Third, it reveals important ways that environmental policy-makers and natural resource managers can avoid the pitfalls of oversimplification to more directly confront the complexities of pursuing sustainability under globalization.

Masters Research - Master of Science / This thesis investigates the livelihoods of fishermen in the villages in Cijulang, West Java, Indonesia. The research used community based coastal resource management and participatory coastal resource assessment to provide an indepth look at three small fishing communities. It addresses the perceived low income and standard of living of small-scale fishers in Indonesia and, by doing so, informs on the validity of these problems, factors that may be causing these problems, and possible fisheries management interventions that may be considered to improve the situation of fishers in one area of Indonesia. The thesis presents the results of research conducted in the three fishing villages in 2004 and 2005, the economic and social impact of an 85% fuel price rise and its relationship to fishing gear ownership and use. The thesis looks at the assumption that fishermen are the ‘poorest of the poor’, discusses the large disparity between the incomes of fishers from both an inter- and intra- village perspective, and highlights that ownership and use of different types of fishing gears has a strong impact on the earning power of small-scale fishermen. The thesis also investigates the impact of the environment on fishing frequency and challenges the assumption that research conducted in one part of Indonesia is valid for other areas. It does this through describing the concepts of an ‘angry ocean’ and ‘calm sea’, how these impact on fishing frequency, and the need to take meteorological and oceanic conditions into consideration when assessing managerial interventions and programs for small-scale fisheries in Indonesia.

Recentemente, o mercado de sementes florestais têm se consolidado para atender demandas da restauração ecológica que são movidas por regulamentações. A produção de sementes se estabeleceu como um sistema de base comunitária e familiar com elevado potencial para promover um intrigante desafio, associar uso e conservação de ecossistemas com o desenvolvimento local. O presente estudo teve como objetivo geral avaliar a socioeconomia da produção de sementes florestais a partir das seguintes dimensões: (i) implicações das relações de cooperação no funcionamento da cadeia de valor; (ii) efeitos das técnicas de produção nos gargalos, inovações e custos financeiros; e (iii) impactos da participação no mercado de sementes nos meios de vida familiar. Para isso, a pesquisa envolveu como um estudo de caso a Rede de Sementes do Xingu na Amazônia brasileira. A coleta de dados foi conduzida por meio de observações participantes, entrevistas e oficinas com produtores de sementes de diferentes realidades socioculturais (indígenas, agricultores familiares e residentes urbanos) e técnicos que atuam na gestão da rede. O funcionamento da cadeia foi fortalecido pelas relações de cooperação entre os atores, principalmente em função do compartilhamento de valores. No entanto, os custos financeiros, a assistência técnica, a infraestrutura, os parâmetros técnicos e as legislações são os principais fatores que condicionam os processos da cadeia de sementes. Os atuais preços de comercialização das sementes seguem parâmetros empíricos que não dimensionam os reais custos de produção, demonstrando que os preços necessitam de reformulações. Por outro lado, as realidades socioculturais dos produtores exercem uma influencia direta nos sistemas de produção, o que promove a inovação de técnicas e tecnologias a partir de conhecimentos tradicionais e locais. Quanto à participação nos mercados, os grupos socioculturais estudados diferiram quanto às percepções sobre os impactos nos seus meios de vida familiar. As comunidades com algum grau prévio de organização foram mais susceptíveis ao fortalecimento do capital social, de tal forma que os grupos socioculturais menos integrados ao mercado apresentaram melhores resultados a partir da participação no mercado de sementes. / Recently, the markets of forest seeds have been established to meet demands for ecology restoration which are driven by regulations. The seeds production was design as a production system of the community and family groups with high potential to promote an intriguing challenge, associate ecosystem usage and conservation within local development. The overall purpose of the present study was to evaluate the socioeconomics of forest seeds production from the following dimensions: (i) implications of cooperation in the value chain operations; (ii) effects of production techniques in bottlenecks, innovations, and financial costs; and (iii) impacts of seed market participation in the household livelihoods. This research involved a case study of Xingu Seeds Network in the Brazilian Amazon. Data collection was conducted through participant observation, interviews and workshops with different sociocultural groups of seed producers (indigenous groups, urban residents and settler farmers) and staffs who manage the network. The value chain operation was strengthened by the relationship between the actors, mainly due to the common values between the actors. However, financial costs, technical assistance, infrastructure, technical parameters and laws are the main factors which constrain the seeds value chain. Current prices for seed marketing follow empirical parameters which do not measure the real production costs, which is requiring prices reformulation. On the other hand, the producers\' socio-cultural realities have influenced on production systems, which has lead into a promoting innovation of techniques and technologies by traditional and local knowledge. Regarding to market participation, the sociocultural groups showed different perceptions about impacts on their household livelihoods. Communities which are already organized are most likely to strengthen their social capital through participation, thus socio-cultural groups less integrated with the market achieved better livelihood outcomes through participation in the seed market.

Tanzania is among the poorest countries in the world, with most of its population living in rural areas. Like most other developing countries, rural households' access to financial services is very limited. The government has adopted series of economic reform measures since mid-1980s that include financial liberalization. Liberalization of the financial sector facilitated participation of private financial institutions, restructuring of public financial institutions and privatization, elimination of interest rate controls, credit allocation and targeting. In addition, the role of the Bank of Tanzania in supervision and regulation of financial institutions was strengthened. Following the privatization of the financial sector, the number of financial service providers increased and diversified, which include commercial banks, development banks, insurance and social security funds, and capital markets. The role of the central bank was re-defined and strengthened in terms of price stability, supervision and regulation. Although there is an increase in financial sector service providers and products, rural households' access to financial services did not improve. To the contrary access to formal financial services is diminishing significantly, hence making poverty reduction initiatives more difficult. This study analyzed constraints to access to rural financial services, examined its impact on rural households' livelihoods, and recommended appropriate financial sector development strategies. The data for the study were collected from various sources - both primary and secondary. Primary data were collected from selected thirteen villages in Babati and government offices in the district through interviews, focus group discussions, questionnaire, and observation. Secondary information was gathered from documentary sources in the form of reports, records and review of literature. A combination of analytical tools was used - qualitative and quantitative. The study observed that history of rural finance in Tanzania is associated with colonialization of Tanganyika. The German colonial administration was the first to introduce establishment of modern commercial banking in the country in 1905 when the Deutsche Ostafrikanische bank opened a branch in Dar es Salaam. The British colonial administration, after the defeat of Germans in World War I, promoted establishment of commercial banks in Tanganyika in order to support commercialization of the economy. Consequently, German banks were replaced and commercial bank branches were established in other parts of the country. The independent government undertook massive re-organization of the financial sector and much attention was put on agricultural credit. Agricultural credit was organized through specialized agricultural credit organizations that corroborated with state owned commercial banks. However, the co-operative movement were assigned important role in credit administration on the ground as they are closer to the beneficiaries. The financial structure after independence up to the 1990s, when reforms were ushered in, is characterized by state owned financial institutions with pervasive interference. Credit was directed on the basis of the government priorities with little regard to credit worthiness analysis. The National Bank of Commerce (NBC) and Co-operative and Rural Development Bank (CRDB) were the dominant banks that implemented the government monetary policy. Emphasis was put on credit and savings mobilization was neglected. The CRDB operated mostly on managing donor funds meant for rural development. Liberalization of the financial sector was introduced through the Banking and Financial Institutions Act (BAFIA) of 1991 to address the weaknesses observed in the financial sector. It was envisaged to improve access to financial services through enhanced competition, increased and diversified financial products and providers, and improved integration of the financial system. However, assessment of the impact of the financial liberalization has mixed results. While there are distinct expansion in financial institutions, products and services; these are more concentrated in urban areas and accessed mostly by wealthy clients. Consequently, rural households' access to finance is diminishing. On the other hand, most financial institutions continue to employ traditional banking approaches - of insistence on collateral, preference for less risky category of clients, bias towards large loans, and bureaucratic procedures in providing loans. Besides, there are limited initiatives in product innovation, design of appropriate delivery mechanisms, and high interest rates spreads that discouraged potentials borrowers and depositors. As a result of poor access to financial services, most households have strengthened self-financing mechanisms through the informal arrangements. Although, the semi-formal - especially member based financial institutions and some Financial NGOs (FiNGOs) are attempting to correct the financial imbalances, their outreach, products and services are still limited. While there are improvement in supervision and regulation of the financial sector, it must be noted that prudential regulation and supervisions as part of the financial infrastructure if not carefully used, will undermine the efficiency of the financial market. The study concludes that rural households need a variety of financial products that include savings facilities, loans, insurance, leasing, and means of transfer payments. The degree of demand for these products is, however, determined by household's level of poverty, household size, level of education and skills, life cycle needs, and local market opportunities. However, financial sector reforms had little impact on households' livelihoods. Its implementation is associated with an increase in inequalities and poverty. Besides, there is a reduced funding as well as investment in agriculture, which forms the key sector of the economy. Consequently, the performance of the agricultural sector has been declining although its contribution to GDP is still significant. Assessing the supply and demand for rural financial services, it is concluded that rural areas are hardly served by banks hence limiting access to financial services. Prior to liberalization, government owned financial institutions provided limited financial services to rural areas organized through co-operatives and specialized credit agencies. CRDB was responsible for organization of credit for farm inputs, while NBC provided crop finance. In addition, CRDB also facilitated rural development programmes through donor funds. With the liberalization of the financial sector - co-operatives have collapsed, development banks are no longer active, and commercial banks have withdrawn from serving rural areas, thus creating a "supply gap" that is being replaced by informal finance. Furthermore, the study observed that demands for financial services is determined by age of the borrower, household size, and distance from a financial institution, the cost of borrowing that include loan transaction costs plus interest rate charged, bank procedures and conditions, policy and regulatory framework and institutional and infrastructural conditions. The study recommends the following: (i) Continued efforts for establishment of supportive macroeconomic and sectoral policies - financial, fiscal, monetary & rural development - and legal and regulatory framework that facilitates the growth of the rural financial markets, (ii) A facilitative intervention by the government in the development of the financial markets that addresses the national poverty reduction development objective through economic growth is required. The desired actions are those that focus on improvement in demand for financial services, reduced bureaucratic banking conditions, reduced transactions costs, improved infrastructure, and reduction of other structural bottlenecks limiting access to financial services, (iii) Development of appropriate financial institutions and products relevant for the rural sector requires government guidance through policy, development of appropriate financial infrastructure (legal, regulation and information), and incentive mechanisms. (iv) Intervention by the government in institutional and infrastructural development is required so as to facilitate the functioning of markets. There must be purposive investment strategy that supports development of the public infrastructure - such as transport and communication, electricity, security system, and research and development. Institutional development - judiciary machinery, credit bureaus, and property rights and business registry are required. Furthermore, training and capacity building so as to change peoples' mindsets concerning loans and savings mobilization, and (v) There is a need for building up a "New Role" for financial institutions. Financial institutions need to revisit their financial terms and conditions in favor of the development of RFMs, especially in terms of bank conditions, interest rate spreads, demand for collateral, and requirements for addressing the needs of the poor and rural population, Furthermore, financial institutions need to become more innovative in developing new products and services, improvement in organization of rural financial institutions, delivery mechanisms, and establishment of the institutional framework for integration of MFIs into the national financial system in the country. The following areas require further studies: (i) development of realistic rural development strategy that covers, among others, the development of the financial markets, (ii) institutionalization of the rural property ownership rights in order to establish how these can be used productively, through say mortgage, collateral, and/or sale for cash income, and (iii) Mechanisms for enforcement of loan repayments in rural areas - especially the lessons from informal operators. Experiences have shown that under informal credit arrangements, there are few default cases as opposed to formal commercial credit practices. / Development Studies / D. Litt. et Phil. (Development Studies)

Corporate social responsibility (CSR) has been a subject of increasing interest among academics and business practitioners globally. This thesis contributes to the discourse on CSR in the context of the Nigerian oil industry with regard to corporate-community relations. Specifically, the thesis constitutes a critique of CSR initiatives by multinational oil companies (MOC) operating in the Niger Delta region and their impact on the traditional livelihoods of local communities. The research attempts to understand the link between CSR and Psychological contract from the perspective of both the host communities and the MOCs. This thesis examines community perceptions, expectations and seeks to interpret the relationship between the host communities and the MOCs. The study provides empirical data through the use of twenty-eight semi-structured interviews and three focus groups. This is significant given that most of the research conducted into CSR in this region has been limited to descriptive and extensive theoretical explanations. Findings from the research suggest that the relationship between the host communities and the MOC is a very complex one and that the impact of the MOCs activities can be interpreted from the host communities’ negative actions. The thesis makes an important contribution to the emerging literature on social license to operate (SLO) and in what manner the local communities seek to enforce it. It also offers an alternative approach to CSR based on need assessment and stakeholder involvement rather than corporate obligations and expectations from society in general.

Cette thèse examine les principaux déterminants des stratégies de subsistance des ménages ruraux. Elle cherche à comprendre comment ces stratégies impactent la déforestation à petite échelle et la conservation de la biodiversité suivant une approche paysagère. A partir d’une base de données unique obtenue grâce à une enquête en face-à-face auprès d’un échantillon représentatif de 1035 ménages dans le paysage transfrontalier de conservation du Trinational Dja-Odzala-Minkébé (Tridom-TCL)-Bassin du Congo, cette thèse vise à répondre à trois questions et s’organise en trois chapitres. Le premier chapitre analyse "comment les ménages autochtones et locaux formulent leurs préférences parmi les stratégies et moyens d’existence” à l’aide d’un model Probit autorégressif spatial. Le deuxième chapitre examine "comment et à quelle amplitude ces stratégies impactent la déforestation à petite échelle" à l’aide d’un modèle de décalage spatial. Compte tenu de la nature des interactions entre les ménages et de la faune, de leurs principales activités, le troisième chapitre examine "les préférences des ménages pour la conservation des éléphants de forêt” à l’aide des modèles à variable qualitatives limitées.Les actifs financiers (transfert d’argent et emprunts), la distance au marché, les dommages résultant des conflits homme-éléphant et l’ethnicité, plus précisément, l’autochtonie comptent parmi les facteurs déterminants des choix de stratégies de subsistance des ménages ruraux dans le Tridom-TCL. Nous montrons en outre que l’intensité de déforestation des ménages varie significativement en fonction de ces stratégies de subsistance. Par conséquent, les engagements en faveur de la réduction de la déforestation peuvent être favorisés par une bonne prise en compte des facteurs qui gouvernent les choix des modes de subsistance opérés par les ménages. Ils peuvent également être favorisés par la prise en compte les interactions entre ménages ainsi que leur localisation dans le paysage. En effet, nous trouvons qu’il existe des effets d’imitation, dans la décision de déforestation, entre les ménages d’un même voisinage, avec des effets spatiaux indirects susceptibles d’amplifier la déforestation à petite échelle.Les solutions transversales, aux trois questions abordées dans cette thèse, en faveur d’un paysage durable devraient viser l’optimisation des compromis entre les stratégies de subsistance des ménages, les forêts et/ou les habitats naturels de la faune. Les décideurs devraient, par exemple, procéder à l’intégration des corridors de mobilité de grands mammifères dont les éléphants de forêt, dans des zones à forte concentration de la faune et loin des espaces communautaires afin de réduire le risque de conflits hommes-faune. / This thesis investigates the key drivers of rural households’ choices of livelihoods, and how these choices impact forest clearing and biodiversity conservation under a landscape approach. Using a novel and unique database obtained from a face-to-face survey with a representative sample of 1035 households in the Dja-Odzala-Minkébé trinational transboundary conservation landscape (Tridom-TCL)- Congo basin , this PhD thesis address three main questions investigated in three chapters. Using a spatial probit model, the first chapter investigates “how do local and indigenous households formulate their preferences among livelihoods strategies?” Using a spatial lag model, the second chapter investigates “how and how much do these livelihoods strategies, given wildlife constrains such as human-wildlife conflicts, impact smallscale deforestation?” Using corner solution models, the third chapter investigates "how the nature of the interactions among households and wildlife, the households’ main activities as well as their land holdings impact their willingness to pay to prevent endangered forest elephant extinction?”Among other, we find that livelihoods strategies are determined by autochthonous status, financial assets (money transfer and access to loan), distance to market and larger crop losses resulting from human-wildlife conflicts. Further, we show that livelihoods strategies are important for deforestation. Therefore, the commitments to reducing small-scale deforestation may be favored by a good consideration of factors that drive households’ livelihoods strategies. We find out that spatial issues seem to be important. Proximity among households yields spatial shift effects and spatial spillover effects that are likely to amplify small-scale deforestation. We also argue that, cross-cutting solutions towards a sustainable landscape considering these three crucial issues involve optimizing trade-off between households’ livelihoods strategies, forest and the natural habitats of fauna. Therefore, the issues of community land security, of where natural habitat is needed and of how it should be managed are at the core of the problem. For example, decision-makers should proceed with the integration of large mammals mobility corridors far away from the community settlements in order to enhance zero-conflict-oriented elephant habitats; corridors should be consistently placed relatively to high elephant-concentration zones without crossing into zones with denser human populations.