The recent threat of climate change has exacerbated the inherent risks in smallholder farming such as soil degradation, resulting in an unprecedented decline in agricultural yields in developing countries. This has threatened the livelihoods of large segments of populations that are heavily dependent on agriculture for survival in these regions. This dissertation focuses on identifying barriers and enablers of effective management of these risks, with an aim of coming up with potential policy interventions that can reduce vulnerability to the mentioned risks. To achieve this, the dissertation utilizes various methods and approaches as well as diverse datasets in two countries in sub Saharan Africa i.e. Namibia and Kenya. Diversification into non-farm activities is seen by many as a risk management strategy in rural areas where highly variable low farm incomes are transformed into stable high non-farm incomes, thus improving the welfare of the rural populations. While this theory of change is uncontested, the importance that the agricultural sector plays as a source of livelihood for rural populations, as well as food provisioning for urban populations, cannot be downplayed. This is more so given the limited non-farm opportunities in developing countries and the exponential population growth in these countries. The two factors combined impede on the envisioned transformation of rural production sectors and also create a sub-population of food insecure urban poor due to rural-urban migration. To mitigate these problems, rural agricultural development is still paramount and strategies that enhance resilience to risks in the sector are still vital. Chapter 2 of this dissertation focuses on this issue and addresses how farm diversification can be leveraged for improved food security in the rural areas, which has potential spill-over effects to other segments of the population. Focusing on northern Namibia, the study evaluates how different levels of diversification in both crop and livestock farming affect household food security outcomes i.e. per capita food expenditure and dietary diversity score. The study employs relatively new econometric methods in these type of studies to evaluate the joint determinants to both crop and livestock diversification, as well as their singular and joint effect on mentioned food security outcomes. The results show that high levels of diversification in either enterprise leads to high food security outcomes. Combined with climate change adaptation strategies that create resilience of agricultural production to climatic shocks, the use of sustainable agricultural intensification practices can further enhance productivity in the sector. Inputs like inorganic fertilizer, organic manure and improved seeds can further build on resilient systems to improve yields. Chapter 3 of this dissertation addresses this issue by looking at whether changes in the larger agri-food systems can be used to incentivize take up of such practices at the farm level. The study evaluates how the emergence of large traders in smallholder grain markets can drive the uptake of inorganic and organic fertilizer and improved seeds. The study thus expands the intervention space available to policy makers who have in the past resorted to potentially distortionary direct policies in the input markets e.g. through subsidy provision, as well as in the output markets e.g. through regulation of prices. To achieve this, the study uses a large panel dataset from Kenya spanning over a decade to evaluate how engagements between farmers and these market actors can be leveraged to drive adoption of these sustainable intensification inputs. Results show that engagements between large grain traders and farmers enhance use of inorganic fertilizer. There is no evidence that these engagements lead to enhanced use of improved seeds or manure. However, past use of improved seeds and manure are shown to affect their subsequent use, implying path dependency in the use of these sustainable inputs hence low dis-adoption rates. Traditional technology adoption studies show that access to information is a critical success factor for the uptake of new technology. Proxy variables for information access, for example proximity to extension services or frequency of extension contact, have consistently been shown to be positively correlated with technology adoption. In the context of climate change, access to weather information can be a critical factor to adoption of adaptation technology. Chapter 4 of this dissertation deals with this issue and assesses whether provision of weather information to farmers can enhance adoption of improved farming technologies that are resilient to climatic shocks. The study focuses on northern Namibia where access to such information, as the study shows, is very limited. A framed experiment approach is utilised to evaluate how climate change-induced uncertainty affects farmers' decision making in a farming season, based on their elicited behavioural attitudes towards risk and uncertainty. Further, the study tests whether providing weather information that reduces this uncertainty leads to adoption of technologies that are welfare improving. Lastly, the demand for weather information is assessed by eliciting the willingness to pay for information under various levels of weather uncertainty. Results indicate that high levels of uncertainty dampen uptake of welfare improving technologies, regardless of individual attitudes towards uncertainty. Availing of weather information leads to welfare improving technology choice, given the prevailing levels of weather uncertainty. There is also a high demand for weather information which is shown to increase with increase in the level of weather uncertainty. The chapters in the dissertation therefore identify key policy variables that can be used to manage vulnerability to risks emanating from climate change and unsustainable production in smallholder farming. Access to comprehensive climate information encompassing weather information and climate change-specific management information on both crop and livestock farming is shown to be a key factor in the uptake of adaptation strategies like use of resilient inputs and farm diversification. Interventions along the value chain like teaming up with large market actors in a private-public engagement is shown to be a potential pathway towards enhancing uptake of sustainable intensification inputs. Other policy variables like credit provision, high education and access to off-farm incomes are also key in explaining uptake of risk management strategies by smallholder farmers in Namibia and Kenya.

Food insecurity is a condition of insufficient access to quality nutritious food; it is often rooted in shocks that interrupt the food production/distribution system in an area. Amidst the capabilities of Nigeria's agricultural system, the number of households across Nigeria experiencing food shortages has increased rapidly. The main reason for this increase were price shocks. This incident highlighted a huge vulnerability in Nigeria's food system, the vulnerability to price shocks. Incidences such as poverty and conflicts magnify the frequency of food insecurity. The ability to reduce vulnerabilities while addressing existing issues in food production and supply depends on a stable economy and innovative policy. As a major oil exporter, Nigeria's economy is affected by oil price fluctuations. This paper analyses the extent of the effect and how such volatility could increase vulnerability in the food system. The analysis in this treatise examines economic and agricultural factors to identify trends that negatively affect Nigeria's current food system.. Oil prices were significant in explaining variation in food price shocks and Gross Domestic Product (GDP). Food price shocks are one of the symptoms of economic downturns. Agricultural innovation, and economic policies need to be formulated to prevent such shocks in the future. Given the dependency of economic performance on oil prices, a major move would be to diversify the Nigerian economy; with adequate attention being paid to agriculture.

This thesis consists of a summary and four self-contained papers. Paper [I] examines whether the implementation of a social safety net programme in Ethiopia has affected the value, risk and composition of farmers‟ crop portfolios. The empirical analysis suggests that the value and risk of the crop portfolio have not been altered due to the programme. However, the programme seems to have brought about some changes in the land allocated to different crops. Paper [II] studies how a social safety net affects farmers‟ (dis)investments in productive assets. More specifically, it studies how the Productive Safety Net Programme in Ethiopia has changed livestock and tree holdings. The results indicate no significant effect on livestock holdings, but a significant increase in tree holdings. Paper [III] investigates if there is a problem of adverse selection in formal microlending in rural Bangladesh. The results indicate that farmers who only borrow formally have a shadow price of capital that is substantially higher than the average informal interest rate. This suggests that farmers that only borrow formally are perceived as poor credit risks by informal lenders. Paper [IV] explores the economic incentives surrounding the cultivation of opium poppy in Afghanistan. Specifically, it examines the impact of eradication policies when opium is used as a means of obtaining credit, and when the crops are produced in sharecropping arrangements. The results indicate that both these features are likely to affect the outcome of eradication policies.

京都大学 / 新制・論文博士 / 博士(地球環境学) / 乙第13493号 / 論地環博第16号 / 新制||地環||44(附属図書館) / 京都大学大学院地球環境学舎地球環境学専攻 / (主査)教授 舟川 晋也, 教授 西前 出, 准教授 真常 仁志, 教授 樋口 浩和 / 学位規則第4条第2項該当 / Doctor of Global Environmental Studies / Kyoto University / DFAM

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

No description available.

En Amazonie orientale, l’agriculture familiale contribue significativement à la transformation des écosystèmes forestiers en pâturages. La mise en valeur pastorale se fait généralement de manière monospécifique avec une Poacée pérenne d’origine africaine (Brachiaria brizantha cv. Marandu) qui constitue la principale offre fourragère. Mais les pratiques pastorales mises en oeuvre sur une exploitation conduisent souvent à une dégradation des pâturages, qui se manifeste par une prolifération des plantes adventices. Le pâturage a été modifié par l’introduction de deux Fabacées pérennes fourragères originaires d’Amérique Latine, l’une herbacée (Arachis pintoï cv. Amarelo) et l’autre ligneuse (Leucaena leucocephala). Pendant la saison sèche, nous avons étudié les interactions entre B. brizantha et des Fabacées fourragères implantées. Cette étude est la première approche intégrée (écophysiologie) qui étudie les caractéristiques adaptatives et les effets des Fabacées sur la capacité de résistance à la contrainte hydrique des pâturages à partir des évolutions des échanges gazeux foliaires, du potentiel hydrique et de l’état hydrique du sol. Le dispositif expérimental était composé de cinq parcelles de 100 m2 isolées du bétail correspondant à cinq traitements différents. Les trois espèces étudiées ont été cultivées seules et en association. Trois répétitions ont été réalisées pour chaque traitement afin de valider statistiquement les résultats et prendre en compte la variabilité spatiale du sol. En monoculture, les valeurs de conductances stomatiques de B. brizantha sont relativement élevées au regard des conditions climatiques par rapport à des valeurs habituelles de plantes C4 au champ alors que les valeurs d’assimilations nettes sont celles mesurées couramment. A. pintoï et L. leucocephala possèdent des valeurs de conductances stomatiques et d’assimilations mesurées habituellement sur les plantes C3 au champ. En situation de sécheresse, les trois espèces étudiées en monoculture adoptent un mouvement de fermeture stomatique 30 jours après l’arrêt des pluies et ajustent ainsi leur conductance sur l’épuisement de la réserve utile du sol. Cette stratégie permet le maintien de l’activité photosynthétique indispensable à la survie cellulaire et de maintenir une transpiration suffisante pour réguler leur température. Les trois espèces survivent par évitement de la sécheresse, en réduisant leur surface foliaire active et en fermant leurs stomates dès l’abaissement du potentiel hydrique. B. brizantha a le même comportement lorsqu’il est cultivé seul ou associé à A. pintoï que ce soit au niveau de la conductance stomatique, de l’assimilation de CO2 ou de l’efficience instantanée de l’eau. Cependant, son potentiel hydrique est affecté plus précocement au cours d’un stress hydrique lorsqu’il est en concurrence avec A. pintoï. Dans le cas de cette association, notre étude montre que la présence de B. brizantha a un effet négatif sur les activités photosynthétiques et donc sur la production de biomasse d’A. pintoï, espèce considérée pourtant comme sciaphile. Enfin, les fonctions métaboliques de B. brizantha sont réduites lorsqu’il est associé à L. leucocephala du fait de l’ombrage. L. leucocephala évite la sécheresse en réduisant sa surface foliaire. L’augmentation d’insolation en fin de saison sèche affaiblit cependant les plantes associées aux strates inférieures et réduit la quantité de fourrage disponible sur pied. Nous proposons aux agriculteurs de mettre en place une gestion durable de leurs pâturages par la création d’associations végétales fourragères adaptées aux contraintes biotiques et abiotiques. / In the Eastern Amazon region (Pará, Brazil), smallholder farming significantly contributes to the transformation of the Amazonian rain forest ecosystem into pasture land that typically includes a single species, generally a perennial fodder grass (Poaceae) originating from Africa (Brachiaria brizantha cv. Marandu). Such pastures rapidly lose their sustainability and get invaded by weeds. To prevent these effects, two imported perennial fodder species of the Fabaceae family (Arachis pintoï cv. Amarelo and Leucaena leucocephala Lam.) have been mixed with the African grass Brachiaria and the interrelations between B. brizantha and the Fabaceae species have been studied. In this unique ecophysiological study, plant parameters, such as gas exchange and plant water potential have been correlated with soil parameters, such as soil water content. The final goal was to assess the impact of the Fabaceae plants on pasture tolerance to water deficit. The experimental setting included five treatments applied to 100 m2 fenced plots to keep cattle away. Treatments corresponded to various combinations between the grass and the two Fabaceae species. Three biological repeats were set up for each treatment for statistical significance and in order to account for soil structure variability. In monospecific plots, B. brizantha exhibited stomatal conductance values higher than those expected from typical C4 species whereas net CO2 assimilation rates were normal. A. pintoï and L. leucocephala had usual stomatal conductance values for field-cultivated C3 plants. In response to drought, a general adjustment in stomatal conductance was observed 30 days into the dry season (i.e. without rain), suggesting that the plants limited transpiration rates according to the progressive decrease in soil water content. This strategy allowed them to maintain photosynthetic activities and to supply photosynthates to their tissues while limiting rises in temperatures. Upon exhaustion of soil water cotent, decreases in leaf water potentials were observed and plants escaped drought by reducing their leaf area and by abruptly closing their stomata. Brachiaria’s responses to drought were similar in mixed and monospecific plots regarding stomatal conductance, net CO2 assimilation rate or real-time water efficiency. However, when grown in mixed plots with A. pintoï, Brachiaria’s leaf water potential decreased rapidly after the onset of drought, due to the competition for water. In a A. pintoï ! Brachiaria plot, Brachiaria had a negative impact on A. pintoï photosynthetic activities and biomass production, even though the latter was considered as a shade plant species. On the other hand, Brachiaria metabolic activities were reduced in L. leucocephala ! Brachiaria combinations, due to the interception of light supply by L. leucocephala. L. leucocephala avoided water deficit by reducing leaf area. The resulting increase in light intensity reaching the lower strata, toward the end of the dry season weakened the shortest plants and limited fodder production. In conclusion, we propose that farmers implement pasture sustainability by developing crop mixing, using fodder species adapted to abiotic stresses. Furthermore, our results show that several crop combinations represent viable solutions to the perpetuation of new pastures. Each fodder species presents specific drought adaptation features. Combining them could be beneficial if pastoral pressure was allowed to develop according to the plants tolerance level. Improvements in fodder production and diversity could extend the life-span of smallholder settlements and as a result slow down deforestation

<p>This dissertation is a policy driven ethnography of smallholder and alternative farmers in Indiana that centers food justice and utilizes interdisciplinary frameworks to analyze the adaptive strategies that farmers use to address the specific challenges they face. Through the implementation of adaptive strategies such as regenerative growing practices, the cultivation of community, stewardship of the land, and an emphasis on transparency, the smallholders I worked with over the course of this study negotiate complex agricultural spaces and build the resilience of their farmsteads and the communities they serve. Smallholder and alternative farmers in Indiana are reimagining the agricultural spaces they occupy and driving transformational change of dominant narratives and local food systems. Critiques of conventional agriculture and commodity production are not intended to reify binary perceptions of the agricultural paradigm, but rather to demonstrate that the critical role of smallholder and alternatives farmers should be valued as well. </p> <p> </p> <p>This research draws on four years of ethnographic research, archival sources, and close readings of policy measures and media reports to illuminate the historical context that has positioned smallholders in juxtaposition to large-scale conventional agriculture, and the critical role of smallholder farmers in driving food systems change while centering food justice and community resiliency. The driving research questions for the following essays follow: Why have small scale and alternative farmers chosen to farm (and farm differently)? What specific challenges do they face and how might these challenges be better addressed by existing support systems and new legislation? What can be learned from the alternative narratives and reimagined spaces smallholder farmers engage with? This work joins the growing body of research that challenges agricultural meta-narratives by presenting a counter-narrative of smallholder resilience and the <i>a priori</i> notion that posits agricultural technology as a panacea for everything from world hunger to economics to environmental concerns. </p>

International climate mitigation agendas increasingly focus on the conservation of tropical forests such as the Amazon due to their high potential of sequestering large amounts of carbon. At the same time, Peru’s Amazonian frontier is increasingly subject to market pressures and other factors contributing to deforestation and the expansion of the agricultural frontier. In the face of these processes, the perspectives of local people and indigenous communities are often rendered invisible. Therefore, it becomes increasingly relevant to align goals of forest conservation with strategies to not compromise livelihood needs for rural populations. This thesis explores unheard perspectives of local people and the corresponding struggles to make a life in the Peruvian Amazon. More concrete, it is a case study on livelihoods in the indigenous community Naranjal in San Martín, one of the upper eastern jungle regions of Peru. Through using the conceptual lens of the ‘Extended Livelihood Framework’ and theories rooted in political ecology, the different livelihood activities are analysed both on the village and household level as well as in relation to wider political trends influencing these. Methodologically, qualitative PRA tools such as semi-structured interviews with households and key informants were used. The Findings demonstrate household complexity and livelihood diversity in which tensions between the different activities followed by villagers arise. The contested institutional landscape around Naranjal forms part of this puzzle. A crucial concern is the access to livelihood resources such as old-growth forests and farming land. These are in turn influenced by external ecological and demographic changes as well as political interests by the Peruvian state. Access mechanisms such as social networks and social identity in terms of indigeneity as well as farmer’s local knowledge on ecologies were highlighted, among others. It is argued that political and development actors should consider features of these mechanisms and livelihoods found in Naranjal, as they hold potential to contribute to a more sustainable future for indigenous communities in rural Amazonia. Equally, more collaboration among different development interventions should be aspired to build on synergies and head towards an integrative development approach which includes and considers villager’s own concerns and perspectives.

Tesis por compendio / [ES] La agricultura a pequeña escala en América Central, región donde se esperan fuertes cambios en las temperaturas y patrones de lluvias, sostiene el empleo y la seguridad alimentaria de las familias rurales. La adaptación al cambio climático es, por ende, altamente prioritaria. Esta investigación analiza la vulnerabilidad al cambio climático y la capacidad adaptativa de los medios de vida agrícolas a pequeña escala en la región en dos niveles. El primer análisis usa información pública de municipios de cuatro países, mientras el segundo se basa en procesos participativos en cinco microcuencas de la vertiente del Pacífico. Esta investigación incluye también una evaluación de productos de información agroclimática para gestionar los impactos del cambio climático en la producción agrícola y la seguridad alimentaria en Guatemala. El primer análisis muestra, en primer lugar, que los municipios que están en zonas de frontera agrícola o propensas a la sequía tienden a tener menor capacidad adaptativa, en contraste con la capacidad adaptativa más alta de los que están cerca a zonas urbanas y rutas de comercio. En segundo lugar, muestra que los grupos de municipios con menos satisfacción de necesidades básicas tendieron también a tener menor desempeño en los indicadores de acceso a la innovación y su puesta en práctica. Por último, muestra que los grupos de municipios que más incentivos agrícolas han recibido no tienen necesariamente una mayor capacidad adaptativa. Los resultados sugieren que los proyectos y programas de adaptación al cambio climático en la región deben considerarse un espectro de estrategias, y que la metodología propuesta puede apoyar el establecimiento de prioridades geográficas y la identificación de estas estrategias. El segundo análisis muestra diferencias fundamentales entre diferentes medios de vida agrícolas, en especial en su capacidad adaptativa. Los capitales humano y social mostraron amplias diferencias entre medios de vida que tienen acceso a la tierra y el agua, y los que dependen del arriendo de la tierra y de la venta de mano de obra. Aunque en todos los sitios hay algún nivel de incentivos y asistencia técnica, estas ayudas no necesariamente responden a las necesidades de adaptación de las familias agricultoras. Las medidas de adaptación implementadas y propuestas incluyen medidas incrementales y transformacionales, y existe conciencia en las familias agricultoras de la importancia de fortalecer los capitales no físicos para la viabilidad y sostenibilidad de las medidas de adaptación, y no solo el capital natural y construido. Estos resultados confirman que los programas de adaptación deben considerar un espectro amplio de estrategias y las necesidades a nivel local para una mejor inversión de recursos. La evaluación de productos de información agroclimática muestra progresos en la gestión de la variabilidad del clima en Guatemala, pero también que los productos destinados a apoyar decisiones para gestión de la agricultura y la seguridad alimentaria a nivel local requieren cambios en las prácticas institucionales de compartir y producir información más útil y oportuna. Esta tesis intenta poner en valor diferentes fuentes de información y conocimiento para la adaptación al cambio climático, en una región donde es frecuente que se atribuya la falta de decisiones oportunas y objetivas a su ausencia y baja calidad. Las propuestas metodológicas tratan de identificar opciones para el mejor uso de los recursos disponibles y esfuerzos para apoyar la adaptación de la agricultura a pequeña escala en América Central. / [CA] L'agricultura a petita escala a Amèrica Central, una regió on s'esperen canvis bruscos de les temperatures i dels patrons de pluges, sosté l'ocupació i la seguretat alimentària de les famílies rurals. L'adaptació al canvi climàtic és, per tant, altament prioritària. Aquesta investigació analitza la vulnerabilitat front al canvi climàtic i la capacitat adaptativa dels mitjans de vida agrícoles a petita escala de la regió en dos nivells. La primera anàlisi usa informació pública de municipis de quatre països, mentre que la segona es basa en processos participatius en cinc microconques del vessant del Pacífic. Així mateix, aquesta investigació inclou una avaluació de productes d'informació agroclimàtica per tal de gestionar els impactes del canvi climàtic sobre la producció agrícola i la seguretat alimentària a Guatemala. La primera anàlisi mostra, en primer lloc, que els municipis de les zones de frontera agrícola o propenses a la sequera tendeixen a tindre menor capacitat adaptativa, tot contrastant amb la capacitat adaptativa més elevada d'aquells municipis que són a prop de zones urbanes i de rutes comercials. En segon lloc, trobem que els grups de municipis amb menys satisfacció de necessitats bàsiques van tendir també a obtenir resultats inferiors en els indicadors d'accés a la innovació i la seua aplicació. Per últim, observem que els grups de municipis que han rebut més incentius agrícoles no tenen necessàriament una major capacitat adaptativa. Els resultats suggereixen que els projectes i els programes d'adaptació al canvi climàtic a la regió han de considerar tot un espectre d'estratègies, i que la metodologia proposada pot donar suport a l'establiment de prioritats geogràfiques i la identificació d'aquestes estratègies. La segona anàlisi mostra diferències fonamentals entre diferents mitjans de vida agrícoles, sobretot pel que fa a la seua capacitat adaptativa. Els capitals humà i social van mostrar àmplies diferències, d'una banda, entre els mitjans de vida que tenen accés a la terra i a l'aigua i, de l'altra, aquells que depenen de l'arrendament de la terra i de la venda de mà d'obra. Malgrat que a tot arreu existeix algun nivell d'incentius i assistència tècnica, aquestes ajudes no responen necessàriament a les necessitats d'adaptació de les famílies agrícoles. Les mesures d'adaptació implementades i proposades inclouen mesures incrementals i transformacionals, i les famílies agrícoles són conscients de la importància d'enfortir els capitals no físics de cara a la viabilitat i la sostenibilitat de les mesures d'adaptació, i no sols el capital natural i construït. Aquests resultats confirmen que els programes d'adaptació han de considerar un espectre ampli d'estratègies d'adaptació i les necessitats en l'àmbit local, per tal d'aconseguir una millor inversió dels recursos. L'avaluació de productes d'informació agroclimàtica mostra progressos en la gestió de la variabilitat del clima a Guatemala, però també que els productes destinats a donar suport a decisions per a la gestió de l'agricultura i la seguretat alimentària en l'àmbit local requereixen canvis en les pràctiques institucionals a l'hora de compartir i de transferir informació més útil i oportuna. Aquesta tesi intenta posar en valor diferents fonts d'informació i de coneixement que faciliten l'adaptació al canvi climàtic, en una regió on és freqüent que s'atribuïsca la falta de decisions oportunes i objectives a la seua absència o baixa qualitat de les mateixes. Les propostes tracten d'identificar opcions que permeten millorar l'ús dels recursos disponibles i dels esforços per tal de donar suport a l'adaptació de l'agricultura a petita escala a Amèrica Central. / [EN] Smallholder agriculture in Central America, a region where marked changes in temperature and rainfall patterns are expected, sustains employment and food security for rural households. Adaptation to climate change is therefore a high priority. This research analyses the vulnerability to climate change and the adaptive capacity of small-scale agricultural livelihoods in the region at two levels. The first analysis uses public information from municipalities in four countries, while the second is based on participatory processes in five micro-watersheds on the Pacific slope. This research also includes the evaluation of agro-climatic information products that are intended to support the management of the impacts of climate change on agricultural production and food security in Guatemala. The first analysis shows, first, that municipalities that are in agricultural frontier or drought-prone areas tend to have lower adaptive capacity, in contrast to those that are close to urban areas and trade routes. Secondly, it shows that groups of municipalities with less satisfaction of basic needs also tended to perform less well on indicators of access to and implementation of innovation. Finally, it shows that groups of municipalities that have received more state agricultural incentives do not necessarily have higher adaptive capacity. The results suggest that climate change adaptation programs and projects in the region should consider a spectrum of adaptation strategies, and that the proposed methodology could support the geographic prioritisation and identification of these strategies. The second analysis showed fundamental differences between different agricultural livelihoods, especially in their adaptive capacity. Human and social capitals showed wide differences between livelihoods that have access to land and water, and those that rely on renting land and selling labour. While there was some level of incentives and technical assistance in all sites, there were also differences in access to this support, which do not necessarily respond to the adaptation needs of farming families. The adaptation measures implemented and proposed include incremental and transformational measures, and there is awareness among farming families of the importance of strengthening non-physical capital for the viability and sustainability of adaptation measures, and not only natural and built capital. These results confirm that adaptation programmes should consider a broad spectrum of adaptation strategies and needs at the local level for better investment of resources. The evaluation of agroclimatic information products shows progress in managing climate variability in Guatemala, but also that products aimed at supporting decisions for agriculture and food security management at the local level require changes in institutional practices to share and produce more useful information. This thesis attempts to highlight different sources of information and knowledge for climate change adaptation in a region where the lack of timely and objective decisions is often attributed to their absence or low quality. The methodological proposals seek to identify options for the best use of available resources and efforts to support adaptation in smallholder agriculture in Central America. / Bouroncle Seoane, CM. (2023). Vulnerabilidad y capacidad adaptativa de la agricultura a pequeña escala en América Central: brechas actuales y elementos para la gestión de información de sequías y otros fenómenos del cambio y variabilidad climática [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/199547 / Compendio