Smallholder Farmers and Collective Action: What Determines the Intensity of Participation?

Collective action through farmer groups can be an important strategy for smallholders to remain competitive in rapidly changing markets. Previous research has analysed determinants of farmer participation in groups, equating participation with group membership. However, within groups the commitment of members can vary, as marginal benefits and costs are not the same for all individuals, and opportunities to free‐ride exist. Low participation in collective activities may reduce the ability of groups to provide useful services to its members. This article investigates determinants of member participation intensity, using the example of farmer groups in Kenya. The role of individual and group characteristics is analysed with survey data and regression models. Previous benefits that members received through the group positively influence their intensity of participation in group meetings and collective marketing, suggesting that reciprocity motives play a role. Low participation can mostly be attributed to structural and institutional conditions, such as group size and the timing of payments for collective product sales. More diversified farmers are less likely to sell collectively when group marketing activities only concentrate on one particular commodity. Since smallholders are often highly diversified, the focus of farmer groups should also be broadened. Further policy implications are discussed.     

林业专业合作社集体行动研究

以福建省三明市尤溪县上源村林业专业合作社为例,基于制度分析与发展框架(IAD)分析林业专业合作社的形成、治理模式,结合行动情境内部的7个规则变量,探究林业专业合作社内部集体行动形成过程。结果表明:上源村林业专业合作社内部集体行动水平受行动情境内部7个规则变量的影响,并在这7个规则的联合作用机制下形成了较高水平的集体行动,有效发挥了林业资源的生态价值、经济价值和社会价值;在林业专业合作社内部集体行动形成过程中,边界规则确定了林业专业合作社资源与成员规模,身份规则决定了林业专业合作社成员的职能,范围规则、选择规则、偿付规则和信息规则决定了林业专业合作社成员的权利、收益、成本和监督水平,聚合规则提高了林业专业合作社成员对集体行动决策的控制水平。     

The impact of coffee certification on small‐scale producers’ livelihoods: a case study from the Jimma Zone,Ethiopia

What is the impact of product certification on small‐scale farmers’ livelihoods? To what extent does the participation of Ethiopian small‐scale coffee farmers in certified local cooperative structures improve their socioeconomic situation? To answer these questions, this article employs household data of 249 coffee farmers from six different cooperatives collected in the Jimma zone of Southwestern Ethiopia in 2009. Findings show that the certification of coffee cooperatives has in total a low impact on small‐scale coffee producers’ livelihoods mainly due to (1) low productivity, (2) insignificant price premium, and (3) poor access to credit and information from the cooperative. Differences in production and organizational capacities between the local cooperatives are mirrored in the extent of the certification benefits for the smallholders. “Good” cooperatives have reaped the benefits of certification, whereas “bad” ones did not fare well. In this regard the “cooperative effect” overlies the “certification effect.”     

Information Access and Smallholder Farmers’ Market Participation in Peru

Previous studies have documented the effect of information and communications technology (ICT) on farmers’ market participation. We employ a triple‐hurdle model to examine the effect of internet and phones on Peruvian smallholder farmers’ market participation, marketplace choice, and volume decisions using household‐level data from the IV National Agricultural Census of Peru in 2012. Double matching at the district‐ and household‐levels is implemented to address potential selection bias. Results indicate a positive direct effect of internet and phones on farmers’ market participation and volume decisions on the national market. Those with ICT access are more likely to sell on the foreign market than those without ICT access. The marginal effects suggest that internet access tends to have larger impacts on volume decisions than phones. In addition to direct effects, we find that internet access has significant and positive spillover effects on market participation and volume decisions in the national market. Without implementing matching procedures, the magnitude of the ICT effect tends to be smaller. Results provide empirical support for policies and social programmes that promote ICT especially internet usage in rural Peru to improve smallholder farmers’ marketing performance.     

Demand for collective food‐safety standards

In 2007, leading members of the U.S. fresh‐tomato industry responded to pressure from the U.S. Food and Drug Administration regarding the industry's long history of poor food‐safety outcomes and adopted a set of standards for production practices related to food safety at all levels of the fresh‐tomato supply chain. Adherence to these standards was required under a federal marketing order that applied to essentially all tomatoes grown in Florida. The California Tomato Farmers cooperative, whose members produced the vast majority of fresh tomatoes grown in California, also required that its members adopt these standards. The collective food‐safety standards for fresh tomatoes closely resemble the requirements of the U.S. Food Safety Modernization Act (FSMA) Produce Safety Rule, so the collective adoption of these standards provides an excellent case study to illustrate the possible effects of FSMA implementation on demand. I assess the hypothesis that demand for tomatoes from Florida and California increased following the adoption of standards for food‐safety practices by growers in those states, relative to demand for tomatoes from other regions. My analysis demonstrates essentially no evidence that demand for fresh tomatoes responded positively to the implementation of collective food‐safety practices.     

合作社嵌入对林农生态化经营非木质林产品的影响

以浙江省、江西省和福建省这3个省378户林农为样本,采用Logit模型分析合作社嵌入对林农生态化经营非木质林产品的影响。结果表明:合作社嵌入显著地促进林农生态化经营非木质林产品。此外,户主受教育年限、农户家庭林业收入所占比例、林种及家庭营林劳动力人数也在不同程度上促进林农生态化经营非木质林产品。因此,提出建立生态化经营试点示范;发挥核心社员的示范带动作用;开设针对性的生态化经营技术培训等建议。     

Heterogeneity of commercialization gains in the rural economy

Farmers in low‐income rural economies often fail to switch to cash crops from staple production despite the positive income effects of commercialization expected by policy makers. The literature suggests that market failures prevent households from cash crop adoption but remains inconclusive regarding farmers' motives and the effects of commercialization. This article contributes to the debate by offering an original approach to the analysis of commercialization outcomes and farmers' decisions. It consists of applying a model with essential heterogeneity and a semiparametric estimation technique to analyzing harvest value returns to cash cropping. Using Malawian data, we show considerable heterogeneity in harvest value returns to cash cropping both within and between groups of farmers choosing different crop portfolios. Importantly, the results imply rational choices based on comparative advantage considerations of farming households: farmers self‐select into the activity where they expect higher gains and adopt cash crops when facing weaker market barriers.     

Smallholder cooperatives and agricultural performance in Rwanda: do organizational differences matter?

Agricultural policies in Rwanda focus on agricultural intensification and increased market orientation of the smallholder farm sector. Cooperatives are seen as key vehicles in this, but little is known about their effectiveness to achieve these goals. In this article, we analyze the impact of cooperative membership on the agricultural performance of rural households in Rwanda. We use cross‐sectional survey data, collected in 2012, to analyze the impact of cooperative membership on different agricultural performance indicators, including indicators on agricultural intensification, market orientation, farm revenue, and income. We use several econometric techniques to deal with potential selection bias in estimating the impact of cooperative membership, including a proxy variable method based on a willingness to pay measure and propensity score matching methods. We find that cooperative membership in general has a positive impact on farm performance but these effects are driven by specific types of cooperatives.     

Technology adoption under seed access constraints and the economic impacts of improved pigeonpea varieties in Tanzania

Dry‐land legumes, well adapted to drought‐prone areas, have largely been neglected in the past despite the good opportunities they offer for income growth and food (and nutritional) security for the poor. This study evaluated the adoption and impact of two farmer and market‐preferred and disease‐resistant pigeonpea varieties that were developed and promoted in semi‐arid Tanzania. The new varieties were resistant to fusarium wilt, a fungal disease devastating the crop. However, farmers wanting to adopt new varieties did not adopt due to seed access constraints and under‐developed seed delivery systems. Adoption of new varieties is therefore analyzed using an augmented double hurdle model that allows estimating variety adoption conditional on seed access thresholds accounting for the additional information on sample separation. The study identifies the crucial role of seed access (local supply), extension, education, participatory decision making, capital, and household assets in determining adoption. The social economic benefits of the technology and policies for improved seed access were further analyzed using the extended economic surplus method (DREAM model). Even under restrictive assumptions, overall discounted benefits were found to be quite attractive, indicating the need for additional efforts to scale‐up the success story. Analysis of changes in research benefits from relaxing the seed access constraint showed that net gains would increase by up to 30% if farmer access to improved seeds can be assured. Smallholder farmers are the major beneficiaries along with consumers and rural net‐buyers who gain from productivity‐induced lower market prices.     

Can women's self‐help groups improve access to information,decision‐making,and agricultural practices? The Indian case

Effective agricultural extension is key to improving productivity, increasing farmers’ access to information, and promoting more diverse sets of crops and improved methods of cultivation. In India, however, the coverage of agricultural extension workers and the relevance of extension advice is poor. We investigate whether a women's self‐help group (SHG) platform could be an effective way of improving access to information, women's empowerment in agriculture, agricultural practices, and production diversity. We use cross‐sectional data on close to 1,000 women from five states in India and employ nearest‐neighbor matching models to match SHG and non‐SHG women along a range of observed characteristics. We find that participation in an SHG increases women's access to information and their participation in some agricultural decisions, but has limited impact on agricultural practices or outcomes, possibly due to financial constraints, social norms, and women's domestic responsibilities. SHGs need to go beyond provision of information to changing the dynamics around women's participation in agriculture to effectively translate knowledge into practice.     

‘Because of poverty,we had to come together’: collective action for improved food security in rural Kenya and Uganda

Agricultural productivity in East African smallholder systems is notoriously low and food production faces multiple challenges, including soil degradation, decreasing land availability, poor market integration, disease burdens and climate change impacts. However, recent evidence from an in-depth study from two sites in Kenya and Uganda shows signs of new social dynamics as a response to these multiple stressors. This paper focuses on the emergence of local social institutions for collective action, in which particularly women farmers organize themselves. Although previous research on collective action has largely focused on common-pool resource management, we argue that collective action is one potential pathway to livelihood and sustainability improvements also in a setting of private land ownership. Trust building, awareness raising and actions to improve livelihood security through risk sharing and pooling of labour and other limited assets have given people more time and resources available for diversification, preventative activities, experimentation and resource conservation. It thereby strengthens farmers’ capacity to cope with and adapt to change, as well as contributes to the agency at the local level.     

Experiments in farmers' collectives in Eastern India and Nepal: Process,benefits, and challenges

Do farmers' collectives, which pool land, labour, capital, and skills to create medium‐sized production units, offer a more viable model of farming for resource‐constrained smallholders than individual family farms? A participatory action research project in Eastern India and Nepal provides notable answers. Groups of marginal and tenant farmers, catalysed by the project, evolved into four different collective models with varying levels of cooperation, gender composition, and land ownership/tenancy status. Based on 3 years of action research, this paper examines how the models evolved and their differential outcomes. All groups have gained from cultivating contiguous plots in their efficiency of labour and machine use for land preparation and irrigation, and from economies in input purchase. Several collectives of tenant farmers have also enhanced their bargaining power vis‐a‐vis an entrenched landlord class and thus been able to negotiate lower rents and refuse long‐standing feudal obligations. However, the models differ in their extent of economic gain and their ability to handle gender inequalities and conflicts over labour sharing. The paper explores the historical, regional, and cultural factors that could explain such differences across the models. It thus offers unique insights into the processes, benefits, and challenges of farmers' collectives and provides pointers for replication and further research.     

The impact of strengthening agricultural extension services on women farmers: Evidence from Ethiopia

This paper evaluates the effect of the Rural Capacity Building Project (RCBP), which aimed at promoting growth by strengthening the agricultural service systems in Ethiopia, and by making them more responsive to smallholders’ needs, in particular women farmers. We examine the gender‐differentiated impact of the RCBP using panel data on 1,485 geographically dispersed households in project and control kebeles. We find that women farmers’ access and satisfaction with extension services increased significantly immediately after the start of the project, but that effect did not last into the medium term. The project led to an increase in the adoption of high‐value crop farming, area of land cultivated, and economic participation of household members, benefiting male‐ and female‐headed households equally. Results point to the positive impact of incorporating women's needs and constraints in the design of the agricultural extension system. However, the project was not able to reduce the preexisting gender gap in agricultural outcomes.     

Adoption and diffusion of improved technologies and production practices in agriculture: Insights from a donor-led intervention in Nepal

Adoptions of improved technologies and production practices are important drivers of agricultural development in low-income countries like Nepal. Adopting a broad class of such technologies and practices is often critical for meeting the multifaceted goals of efficiency, profitability, environmental sustainability, and climate resilience. This study aims to address the knowledge gaps that still exist concerning what determines the adoption of improved technologies and production practices, the factors affecting their diffusion, the impact of interventions on productivity and crops grown, and the variability of impact within a particular country context. In this paper we address these questions using data collected as part of the USAID-led Knowledge-Based Integrated Sustainable Agriculture in Nepal (KISAN) project. We adopted a multistage sampling technique and surveyed 988 beneficiary households and 997 non-beneficiary households in KISAN intervention districts and non-intervention districts. Our findings suggest that, in Nepal, adoption of improved technologies and practices is significantly increased by improved access to markets, private sector involvement in selling improved seeds and disseminating information, membership in progressive farmers groups and cooperative societies, participation in agricultural training and farm visits, provision of subsidies for seeds, and access to credit. We also found the probability of the adoption of improved practices to be affected by farmers’ sources of information; for instance, the adoption of improved practices was increased when farmers obtained information from informal sources, cooperatives/farmers organizations, and public and private extension programs. The effects of KISAN projects vary significantly across the different crops grown, based on the evaluation models that address self-selection of both project participation and crop choices. These implications may also apply to other parts of the world facing similar challenges as Nepal, where limited market access, insufficient knowledge and resource capacity of farmers constrain their adoption of improved technologies and practices in agriculture.     

GM crop technology and trade restraints: economic implications for Australia and New Zealand*

How much might the potential economic benefit from enhanced farm productivity associated with crop biotechnology adoption by Australia and New Zealand (ANZ) be offset by a loss of market access abroad for crops that may contain genetically modified (GM) organisms? This paper uses the Global Trade Analysis Project (GTAP) model to estimate effects of other countries' GM policies without and with ANZ farmers adopting GM varieties of various grains and oilseeds. The gross economic benefits to ANZ from adopting GM crops under a variety of scenarios could be positive even if the strict controls on imports from GM‐adopting countries by the European Union are maintained, but not if North‐East Asia also applied such trade restaints. From those gross economic effects would need to be subtracted society's evaluation of any new food safety concerns and negative environmental externalities (net of any new environmental and occupational health benefits), as well as any extra costs of segregation, identity preservation and consumer search.     

Factors Affecting Technical Efficiency of Rice Farmers in Village Reservoir Irrigation Systems of Sri Lanka

Given the importance of water for rice production, this study examines the factors affecting the technical efficiency (TE) of irrigated rice farmers in village irrigation systems (VIS) in Sri Lanka. Primary data were collected from 460 rice farmers in the Kurunagala District, Sri Lanka, to estimate a stochastic translog production frontier for rice production. The mean TE of rice farming in village irrigation was found to be 0.72, although 63% of rice farmers exceeded this average. The most influential factors of TE are membership of Farmer Organisations (FOs) and the participatory rate in collective actions organised by FOs. The results suggest that enhancement of co‐operative arrangements of farmers by strengthening the membership of FOs is considered important for increasing TE in rice farming in VIS.     

Multinationals vs. Cooperatives: The Income and Efficiency Effects of Supply Chain Governance in India

The impact of multinational firms on the domestic agricultural sector in developing countries is controversial, in particular in India. Relying on a unique set of household‐level data from the state of Punjab, we study the biggest dairy company in the world (Nestlé) in India and compare its vertical spillover effects on upstream suppliers to other market channels (informal sector and cooperatives). We find that farmers that supply informal channels are less efficient and earn lower profits per dairy animal than farmers supplying the cooperative and the multinational sector. Furthermore, we find that farmers using the multinational channel are more efficient than farmers in the cooperative channel, but equally profitable. Hence, we do not find that supplying the cooperative channel is more beneficial for local dairy farmers than supplying the multinational channel. Overall, however, dairy productivity and profitability levels are still dramatically low, with substantial scope for dairy development.     

Managing increasing environmental risks through agrobiodiversity and agrienvironmental policies

Agrobiodiversity can provide natural insurance to risk‐averse farmers by reducing the variance of crop yield, and to society at large by reducing the uncertainty in the provision of public‐good ecosystem services, for example, CO₂ storage. We analyze the choice of agrobiodiversity by risk‐averse farmers who have access to financial insurance, and study the implications for agrienvironmental policy design when on‐farm agrobiodiversity generates a positive risk externality. While increasing environmental risk leads private farmers to increase their level of on‐farm agrobiodiversity, the level of agrobiodiversity in the laissez‐faire equilibrium remains inefficiently low. We show how either one of the two agrienvironmental policy instruments can cure this risk‐related market failure: an ex ante Pigouvian subsidy on on‐farm agrobiodiversity and an ex post payment‐by‐result for the actual provision of public environmental benefits. In the absence of regulation, welfare may increase rather than decrease with increasing environmental risk, if the agroecosystem is characterized by a high natural insurance function, low costs, and large external benefits of agrobiodiversity.     

Land Market Imperfections and Agricultural Policy Impacts in the New EU Member States: A Partial Equilibrium Analysis

This article analyses how transaction costs and imperfect competition in the land market affect the welfare effects of agricultural subsidies in the new Eastern Member States of the European Union. Benefits of land subsidies end up with landowners in new Eastern Member States also with imperfections in the new Eastern Member States land markets. With unequal access to subsidies, small tenant farmers may even lose out from the subsidies. Decoupling of payments shifts policy rents to farmers, but constrains productivity-enhancing restructuring. Using reserve entitlements to mitigate this effect reduces the intended benefits on distortions and target efficiency.     

乡村振兴背景下农民参与农村集体经济股份合作制改革积极性研究基于四川省德阳市的调查

[目的]通过分析来自四川省德阳市农民参与农村集体经济股份合作制改革积极性的影响因素,提出具有针对性的政策建议,以期为进一步在全国范围内更好推行农村集体经济股份合作制改革,实现乡村振兴提供参考。[方法]文章基于四川省德阳市农民的实际调研数据,运用二元Logistic模型,从个人、家庭、社会特征方面对农民参与农村集体经济股份合作制改革积极性的影响因素进行描述性统计分析,并对模型回归结果进行实证分析。[结果]年龄对农民参与改革积极性具有显著负向影响,家庭年总收入、是否了解集体经济、是否了解股份合作制改革、现有政策是否符合当地实际情况、股份分配是否公平合理、是否参与股改方案的意见征求对农民参与改革积极性具有显著正向影响。[结论]通过加大宣传力度、完善制度政策、健全监管机制等对策提高农民参与农村集体经济股份合作制改革的积极性,推动乡村振兴发展。