The Government of Malawi, through delegates from the Department of Disaster Management Affairs, has on several occasions advised smallholder farmers who live in flood prone areas to relocate to upland areas that are safe from floods. Smallholder farmers have refused to do so and continue to live in the flood prone areas despite experiencing on-going flooding. Smallholder farmers living in flood prone areas in Malawi insist that flash floods bring fertile soils from upland areas that enhance crop production in the flood prone areas. These fertile soils allow smallholder farmers to grow a variety of crops, fruits and vegetables throughout the year, some of which they sell. Within this context, my research critically explores how smallholder farmers perceive their vulnerability to floods and seeks to understand the factors and processes that motivate them to live in the flood prone areas. It also examines the realities and dynamics of local adaptation in the flood prone areas in Malawi through opportunities, challenges, barriers and limitations. The research uses 57 in-depth interviews, a household survey involving 227 households, participant observations and 12 focus group discussions with smallholder farmers. Findings show that firstly, smallholder farmers are not ready to abandon their land and relocate upland because floods are part of their lives and livelihood strategies. Secondly, that power dynamics at household and community levels based on gender roles and culture need to be understood and accounted for in local adaptation strategies in order to effectively enhance local adaptive capacity. Thirdly, that social networks and interdependence between the smallholder farmers living in flood prone areas and those living in upland areas play a significant role in the adoption of local adaptation strategies and adaptation to floods and droughts through temporary migration. This thesis reveals that the perception and extent of vulnerability to floods is dynamic and differentiated based on several factors. The thesis also reveals that local adaption is a complex process such that in some cases, the realities of power dynamics at both the household and community level affects local adaptive capacity to floods. Transformational adaptation that incorporates specific and contextual adaptation strategies is therefore recommended as one of the best approaches towards achieving successful adaptation to climate variability and resilience.

Thesis (M.Sc. (Agricultural Economics))--University of Limpopo, 2012 / Farmers in Polokwane Local Municipality produce many vegetables including beetroot, carrots, spinach, garlic, cabbage and butternut, which they mainly sell in informal local markets through speculating and hawking. Some sell to hawkers, who sell fresh produce from stalls in small markets and on the streets. Although there are a number of fresh produce markets operating successfully in Polokwane, such as Goseame Fresh Produce Market and Polokwane Fruit and Veg City, only a few smallholder farmers supply vegetables to these major markets. This research focused on providing information relevant to vegetable marketing in the province by identifying and analysing those farm and farmer characteristics influencing smallholder farmers’ decision to participate and utilise formal vegetable markets. The overall objective of the study was to examine farm and farmer characteristics of smallholder vegetable farmers that influence their decision to participate and utilise formal markets. The study was conducted in Polokwane Local Municipality and a sample size of 80 subsistence and emerging farmers was interviewed. STATA (2010) was used to analyse the data.Two approaches were used; the separated OLS and logit regression models and the Heckman selection model, although conclusions are based on the Heckman selection model regression results. We recommend the use of the Heckman selection model due to its limited bias compared to the other method. Results show that two variables; level of education and farmer occupation were positively and significantly associated with smallholder farmers’ decision to participate in the formal vegetable markets. Household size, tenure security and distance to the market had a significant negative influence on smallholder farmers’ decision to participate in the formal markets. Level of education, farm labour, hectares used and cost of transport were significantly and positively associated with the value of vegetables marketed in the formal markets. Gender of household head, member of a farmer group, farming experience, access to non-farm income and access to extension services had a significant negative impact on the value of vegetables marketed in the formal markets. In view of the research findings, several policy suggestions are made. These include capacitating farmers, provision of land for farming, establishment of depots and markets closer to the farmers, encouraging formation of farmer groups or organisations, increasing the number of extension visits to farmers, specialised services and encouraging commercialisation of smallholder agriculture in rural areas. / University of Limpopo Department of Agricultural Economics and Animal Production

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The research draws on an ethnographic research and explores the everyday practice of collective action in Ugbawka in Enugu State by using interviews and participant observation. The study reveals that smallholder collective action is not best fitted into formal institutional arrangement but takes place within a complex and intricate process that involves interaction with diversity of institutions and actors. Equally, the interactions that occur amongst actors are mediated at the community level through interplay of socio-cultural and political factors. This study recognises and places emphasis on understanding of agency and the exercise of agency at the local level arguing that smallholder farmers are not robot but active individual who exercise their agency purposively or impulsively depending on conditions and the assets available at their disposition as well as their ability to navigate the intricate power dynamic inherent at local context. The thesis thus questioned the simplistic use of formal institutional collective action framework in smallholder collective action at the community level and argues that institutions are not static and do not determine outcomes but are informed by the prevailing conditions at the community level. The study emphasises the role of existing institutions and socially embedded principles in community governance and argues that actors should be the focus of analysis rather than the system in understanding smallholder collective action. The study concludes by advocating for further research that could explore the possibility of hybrid approach that accepts the advantages of both formal and informal institutional forms of smallholder collective action.

The new philanthropy is increasingly seen as a panacea and an alternative source of global development finance for rural development, especially in developing countries. The theoretical underpinning of the new philanthropy entails the idea that the private sector, led by philanthropists and civil society organisations in social policy issues can lead to more effective outcomes through partnership. The existing literature on the new philanthropy mainly focuses on its economic or commercial impact. This is particularly the case in the rural parts of Ghana; there has been very little research on the new philanthropy’s impact on the livelihoods of the poorest segments of society. Therefore, this research investigates the impact of new philanthropy on the livelihoods of smallholder farmers in Northern Ghana in order to fill the gap. The study employed ethnographic research, utilising qualitative techniques involving 20 stakeholders in philanthropy and livelihood affairs and 100 smallholder farmers. The research findings suggest that there is a significant relationship between philanthropic sponsored interventions in Ghana and an increase in smallholder farmers’ yields. The few farmers who purchased improved seeds and other agricultural inputs registered significant increases. However, this study identified some bottlenecks inhibiting access to agricultural inputs by smallholder farmers. Majority of smallholder farmers revealed that they could not afford them (seeds, chemical fertilizer and other inputs) despite the subsidies. Furthermore, rainfall variability gives rise to fluctuating food production from one season to another; meanwhile, there is a lack of strategy from philanthropic practitioners to address the variability in rainfall. Through philanthropy, other methods of faming such as irrigation farming agroecology, and permaculture could be exploited to the benefits of smallholder farmers. The outcomes of this study have policy implications for philanthropic practitioners. This study shows that the failure to involve farmers directly in decisions that affect their livelihoods is a major cause of livelihood interventionist programme failures in Ghana. Thus, this study argues that understanding the socioeconomic dynamics in the Northern Region and amongst the farmers should be an important part of policy formulation for philanthropic involvements seeking to improve livelihood of smallholder farmers. Lastly, the study called for a separate policy framework for philanthropy that would have a key objective of mobilising private philanthropic resources to support steady economic growth and sustainable development, dealing directly with recipients.

This thesis argues that the full impact of Agricultural Innovation Systems (AIS) driven research, that works to enhance not only agricultural production and productivity but also market linkages cannot be captured effectively using only microeconomic level studies; but rather requires the use of a combination of micro and macro-level analysis. This is because the innovation systems perspective entails the collaboration of different actors across the entire agricultural value chain. Therefore this study aimed to firstly quantify the degree to which AIS driven research impacts upon the livelihood outcomes of rural smallholder farmers. Second, the study aimed to determine the extent to which a combination of macro-economic and agricultural policy shocks impact upon household incomes in the maize-based farming system in Malawi; given macro-micro linkages as strengthened by AIS research. The first objective was tackled by using quasi-experimentation with propensity score matching to establish a valid counterfactual and single differencing to measure impact. The second objective was achieved by using a combination of quantitative and qualitative statistical and econometric tools to delve into the dynamics of the maize market at different levels and to develop a model that is capable of capturing the maize market dynamics. A multi-equation partial equilibrium model of the national maize market was therefore developed and linked in a top-down unidirectional manner to the local maize economy via a price-linkage equation. A non-behavioural arithmetic micro-accounting approach was adopted to estimate household incomes that were linked to the local economy, through which macroeconomic level maize price changes transmit. The results of the study empirically demonstrate that AIS driven research impacts positively upon the livelihood outcomes of rural households. This is demonstrated with participating households exhibiting statistically significant higher production outcomes (upland crop production, maize harvests, value of assets, and value of livestock); household incomes as well as human capital outcomes in some cropping seasons. In addition participating households also had much higher statistically significant fertilizer use prior to the implementation of the fertilizer subsidy program in the country; and statistically significant higher fertilizer use patterns for the first two cropping seasons following the implementation of the subsidy program. Participating households had greater linkages with the market economy which allowed them to take greater advantage of market incentives but which also made them more vulnerable to policy shocks. This study therefore shows that the analysis of the impacts of the paradigm shift in agricultural research towards an innovation system orientation cannot be contained at the household level, as this would lead to the formulation of inadequate policies that do not take into account the effects of greater market linkages of the rural households. Policy implications are that increasing production and productivity and linking farmers to markets may not in itself be enough for sustained livelihood improvement, as the resultant greater linkages to the market economy may be detrimental to household livelihood outcomes in the face of uncoordinated policies. In order for the paradigm shift in agricultural research towards an innovation systems perspective to be effective in sustaining an entrepreneurial culture in rural societies in Africa, there is need to foster the diversification out of agricultural enterprises for income, while supporting productivity improvements for food security. In addition any interventions should be implemented only after systematic analysis of the potential consequences of the resultant enhanced macro-micro linkages. This would help to ensure that there is no mismatch between policies and livelihood improvement strategies. / Thesis (PhD)--University of Pretoria, 2012. / Agricultural Economics, Extension and Rural Development / unrestricted

The objective of this study is to investigate the role of transaction costs in determining market participation of smallholder farmers. It is expected that the identification of these transaction cost factors could assist in the formulation of policy interventions and/or institutional innovations to alleviate constraints on market participation and improve the ability of these small-scale farmers to become part of the commercial agricultural economy. Transaction costs differ between households due to asymmetries in access to assets, market information, extension services and remunerative markets. The study particularly investigated the factors contributing to different levels of transaction costs amongst households. The main hypothesis of the study is that small-scale farmers facing lower transaction costs will participate more in agricultural markets. Transaction costs reflect the character of the market, but are mainly embedded in the characteristics of individual households and their economic environment. In order to test the hypothesis, selectivity models identifying and testing significant factors related to market participation are applied to a survey of 157 farming households in the Northern Province. These households take part in the markets for horticulture, livestock, maize and other field crops. The selectivity models used involve two-step estimation similar to the Heckman's two-stage procedure. The study reveals that access to assets and market information in combination with particular household characteristics are important determinants of market participation. Among the assets of a household, a reasonably sized area of arable land tends to encourage participation in all markets, apart from the market for other field crops market. Ownership of livestock tends to stimulate livestock selling and also the level of maize sales. Ownership of arable land and livestock contribute to the economies of scale of production, which leads to lower transaction costs per unit output sold. Non-farm earnings only alleviate variable transaction costs in horticultural markets, but not in other field crops markets. Pensions discourage participation in high value commodities markets since they are viewed as alternative cash income. Indicators enhancing the role of information access include proximity to markets and contacts with the extension service. Proximity to markets reduces variable transaction costs in horticultural markets and fixed transaction costs in livestock markets. The study shows that every kilometre closer in proximity to markets, the horticultural sales increase by R152. Proximity and contact with extension services discourage participation in other field crops markets. Good road conditions reduce transaction costs for livestock and other field crops. The study also shows that in spite of bad road conditions some horticulture farmers still manage to market most of their products. A larger sized household tends to increase the transaction costs in marketing all commodities except for the other field crops. Female farmers tend to participate more in livestock markets as they own small livestock and poultry that are easy to sell, and keep livestock for livelihood purposes rather than for social status. On the other hand, female farmers appear to be constrained in their participation in horticultural markets, ostensibly due to problems of access to irrigation resources and cultural and legal perceptions. Older farmers with enough social capital are willing to sell, but in horticulture and maize they tend to sell lower quantities. The study raises issues which, when attended to, might reduce the transaction costs, particularly by enhancing access to information and providing endowments to farming households. Some constraints require direct policy measures, such as policies dealing with land reform, extension services, education and legal reforms, and then there are those that require indirect intervention and private sector involvement such as road networks and market availability. / Dissertation (PhD)--University of Pretoria, 2002. / Agricultural Economics, Extension and Rural Development / Unrestricted

Despite many decades of experimentation with supplier-led approaches to credit, limited success has been achieved in improving access to credit for smallholder farmers. In Mozambique, previous attempts by government to improve access to credit for smallholder farmers have not been successful; hence the government is looking for other effective strategies to improve access to credit for smallholder farmers. In the search for effective strategies, Mozambique can draw lessons from the experiences of other developing countries that have succeeded in improving access to credit for smallholder farmers. The purpose of this study is to examine the experiences in other developing countries in Africa and Asia. The results of the analysis are used to identify the most appropriate government intervention strategy to improve access to credit for smallholder farmers in Mozambique. The study addresses the following questions: What went wrong with government strategies implemented in Mozambique in an attempt to improve access to agricultural credit for smallholder farmers? What are the positive experiences with government intervention strategies implemented in other developing countries of Africa and Asia that have resulted in the successful improvement of access to agricultural credit for smallholder farmers? What can Mozambique learn from the countries with good government intervention strategies that have succeeded in resolving or ameliorating the lack of access to agricultural credit for smallholder farmers? What is the most appropriate intervention strategy for the Government of Mozambique that would effectively lead to improving access to credit for smallholder farmers? The study examined four case studies were selected from Botswana, Zimbabwe, Thailand and Indonesia. The data set collection method comprised a combination of primary data collected through in-depth interviews with key informants from smallholder farmers’ associations and government-funded agricultural financial institutions in Botswana, Mozambique and data from Zimbabwe and secondary data sources. The results of the study reveal that the first strategy to improve access to credit for smallholder farmers in Mozambique included the establishment of the People’s Development Bank (BPD), which was given a mandate to provide agricultural credit to smallholder farmers. However, the BPD did not succeed in fulfilling its mandate due to a variety of factors, including the following: poor macro-economic environment during the first decade of independence (1975–1985); lack of human expertise, poor rural infrastructure, market failure problems and the ongoing civil war. The lack of institutional capacity to enforce mechanisms for timely loan repayments, and political interference by government, and lack of credit culture and discipline on the side of the beneficiaries, also led to high loan default rates. The BPD eventually closed down and was privatised to form the new bank (the Austral Bank). The Austral Bank never concerned itself with lending to the smallholder agricultural sector. Other alternative strategies by government in Mozambique included the establishment of the fundos do foment (funds for jump-starting activities), particularly the funds for jump-starting agricultural, hydrological and agricultural development activities. However, both government funds also failed to improve access to credit for smallholder farmers. They are currently experiencing management problems and shortage of funds. The main reasons for their poor performance include lack of qualified managers, skilled field staff and specialists in rural financial markets. The private sector, particularly the concessionary input credit firms, is currently trying to rescue the smallholder farmers by contracting them to engage in cultivating some cash crops. However, many difficulties are experienced, including lack of access to farmer support services (e.g. extension services), due to a complete withdrawal of government support for the concessionary input credit schemes. Thus, smallholder farmers in Mozambique remain marginalised in terms of access to agricultural credit. The results of the study reveal that strategies to improve access to credit for smallholder farmers in Mozambique did not succeed, mainly due to the lack of institutional capacity to enforce mechanisms for timely loan repayments as well as political interference. Lessons drawn from these cases shed light on what the most appropriate intervention strategy for the Government of Mozambique could entail if it is to succeed in improving access to credit for smallholder farmers. The study concludes that lack of access to agricultural credit for smallholder farmers in Mozambique reflects not only market failures in rural financial markets but also inappropriate lending policies. The study concludes that the most appropriate strategy for the Government of Mozambique to succeed in improving access to credit for smallholder farmers should entail the re-establishment of a public rural bank. The study recommends that rural financial institutions should adopt a demand-driven approach, which enables them to design products that fit the needs of a variety of clients. At the same time, reforms at both the fund for jump-starting agricultural activities and the fund for jump-starting hydrological and agricultural development activities need to be undertaken in order for these agricultural development funds to start operating more professionally, with minimum government interference. Finally, the government needs to extend its role to complement efforts by the private sector, particularly the cash crop input schemes. Copyright / Dissertation (MScAgric)--University of Pretoria, 2010. / Agricultural Economics, Extension and Rural Development / unrestricted

Thesis (M.Sc.(Agricultural Economics)) -- University of Limpopo, 2015 / Capital is one of the most important factors of production. In South Africa, among other things, lack of finance is one of the fundamental problems hampering production, productivity and income of rural farm households. Smallholder farmers in South Africa face many challenges in accessing financial services, despite the numerous reforms undertaken by the government to transform smallholder agriculture and improve its contribution to rural income, food security and employment. Many rural farmers have remained in poverty with limited capacity to access means of production like credit to militate against hunger and poverty. The aim of the study was to analyse the determinants of loan acquisition from the Land Bank of South Africa by smallholder farmers in peri-urban areas of Mopani District in Limpopo province. The objectives were to identify the constraints smallholder farmers face in accessing credit, to analyse the determinants of loan acquisition among smallholder farmers and to profile loan acquisitions of the farmers based on their socio-economic characteristics. The study used primary data, which was collected through a field survey. The method that was used to collect information was face-to-face interviews using structured questionnaires. The study employed the snowball sampling technique in its data collection strategy due to the fact that the population size was unknown due to the sensitivity of the study. Smallholder farmers were classified as beneficiaries and non-beneficiaries of the Land Bank. The total sample size comprised 62 smallholder farmers from the peri-urban areas of Tzaneen and Giyani of Mopani District, Limpopo province. The data was captured into the Statistical Package for Social Sciences (SPSS). Principal component analysis was carried out so as to get the principal factors or new uncorrelated variables that affect the ability of smallholder farmers to access credit from the Land bank and it was also use to profile the farmers according to the socio-economic variables. After carrying out the principal component analysis, probit analysis was then used to determine the relationship between the socio-economic characteristics of smallholder farmers and their ability to access credit. The principal component analysis (PCA) extracted important information from the data table and expressed the information as a set of new orthogonal variables called principal components. The PCA reduced the original variables to six (6) principal components. The six (6) principal components were labelled as; component 1 (Old-experience smallholder farmers), component 2 (business-oriented smallholder farmers), component 3 (part-time smallholder farmers), component 4 (smallholder farmers who receive grants based on gender), component 5 (smallholder farmers with fixed assets and their distance to the nearest town) and component 6 (smallholder farmers who belong to cooperatives). The smallholder farmers where classified and ranked into this six components based on their level of accessibility to agricultural credit from the Land Bank. A majority of the smallholder farmers involved in the study were ranked lowly on their level of accessibility to agricultural credit from the Land Bank; they were classified under the old and experienced smallholder farmers. Probit regression result indicated that the variables gender, education, farm income, pension, land size, cooperative, fixed assets and registered business had a significant positive influence on smallholder farmers’ accessing agricultural credit from the Land Bank in the last three years. In addition, marital status, farming experience, off-farm income, loose assets, farm commodity and farm record had an insignificant positive influence. The probit result also showed that the variables age had a significant negative influence on smallholder farmers’ accessing agricultural credit. In addition, household size, employment, distance to the nearest town and farmers’ association had an insignificant negative influence. Based on the results of the study, it is recommended that the government and other institutions could design agricultural credit programmes that are promptly responsive to the needs of the smallholdCapital is one of the most important factors of production. In South Africa, among other things, lack of finance is one of the fundamental problems hampering production, productivity and income of rural farm households. Smallholder farmers in South Africa face many challenges in accessing financial services, despite the numerous reforms undertaken by the government to transform smallholder agriculture and improve its contribution to rural income, food security and employment. Many rural farmers have remained in poverty with limited capacity to access means of production like credit to militate against hunger and poverty. The aim of the study was to analyse the determinants of loan acquisition from the Land Bank of South Africa by smallholder farmers in peri-urban areas of Mopani District in Limpopo province. The objectives were to identify the constraints smallholder farmers face in accessing credit, to analyse the determinants of loan acquisition among smallholder farmers and to profile loan acquisitions of the farmers based on their socio-economic characteristics. The study used primary data, which was collected through a field survey. The method that was used to collect information was face-to-face interviews using structured questionnaires. The study employed the snowball sampling technique in its data collection strategy due to the fact that the population size was unknown due to the sensitivity of the study. Smallholder farmers were classified as beneficiaries and non-beneficiaries of the Land Bank. The total sample size comprised 62 smallholder farmers from the peri-urban areas of Tzaneen and Giyani of Mopani District, Limpopo province. The data was captured into the Statistical Package for Social Sciences (SPSS). Principal component analysis was carried out so as to get the principal factors or new uncorrelated variables that affect the ability of smallholder farmers to access credit from the Land bank and it was also use to profile the farmers according to the socio-economic variables. After carrying out the principal component analysis, probit analysis was then used to determine the relationship between the socio-economic characteristics of smallholder farmers and their ability to access credit. ii The principal component analysis (PCA) extracted important information from the data table and expressed the information as a set of new orthogonal variables called principal components. The PCA reduced the original variables to six (6) principal components. The six (6) principal components were labelled as; component 1 (Old-experience smallholder farmers), component 2 (business-oriented smallholder farmers), component 3 (part-time smallholder farmers), component 4 (smallholder farmers who receive grants based on gender), component 5 (smallholder farmers with fixed assets and their distance to the nearest town) and component 6 (smallholder farmers who belong to cooperatives). The smallholder farmers where classified and ranked into this six components based on their level of accessibility to agricultural credit from the Land Bank. A majority of the smallholder farmers involved in the study were ranked lowly on their level of accessibility to agricultural credit from the Land Bank; they were classified under the old and experienced smallholder farmers. Probit regression result indicated that the variables gender, education, farm income, pension, land size, cooperative, fixed assets and registered business had a significant positive influence on smallholder farmers’ accessing agricultural credit from the Land Bank in the last three years. In addition, marital status, farming experience, off-farm income, loose assets, farm commodity and farm record had an insignificant positive influence. The probit result also showed that the variables age had a significant negative influence on smallholder farmers’ accessing agricultural credit. In addition, household size, employment, distance to the nearest town and farmers’ association had an insignificant negative influence. Based on the results of the study, it is recommended that the government and other institutions could design agricultural credit programmes that are promptly responsive to the needs of the smallholder farmers. It was also recommended that the Department of Agriculture, Forestry and Fisheries (DAFF) should ensure that the agricultural extension officers are well equipped to be able to disseminate their information to farmers irrespective of their location