Livelihood strategies and risk behavior of cacao producers in Ecuador : effects of national policies to support cacao farmers and specialty cacao landraces

This thesis addresses the Ecuadorian cacao value chain through three interrelated chapters. Small producers linked to this chain face significant trade-offs between the two main available varieties for planting: the fine flavor variety (known as national cacao-CN) and the hybrid bulk variety (known as CCN-51), that is more productive and profitable but of lower quality than the former. In the first chapter, the behavior and characteristics of cacao production are analyzed both at worldwide and Ecuadorian level. Ecuador is the sixth producer of cacao in the world and the first of the CN variety. The global cacao value chain is generally characterized by asymmetric power relationships with increasing control by a few leading companies that have the ability to decide how and where value is created and distributed throughout the global chain. The Ecuadorian cacao value chain is fairly fractionated at the producer level, where approximately 79% of the producers develop their activity in plots of less than 5 hectares, while the production of CCN-51 is growing in comparison with the CN. In fact, in 2017 72% of the cacao produced in Ecuador corresponds to CCN-51, a variety that is sown by 54% of the producers. The second chapter identifies the livelihood strategies of small cacao producers located in the coastal region of the province of Guayas, Ecuador, where the two varieties of cacao are grown. For this purpose, theoretical frameworks for sustainable rural livelihood strategies and household livelihoods were adopted, and a detailed survey was conducted with a sample of188 households. Based on activity variables, four latent profiles of livelihood strategies were identified, which were related to the endowment of capital assets and income share variables. The results showed that there was no clear gap between the cultivation of CN and CCN-51, since 60% of the sampled households simultaneously cultivated both varieties. Furthermore, the lack of appropriate incentives could threaten the future cultivation of CN, since the National policy for CN rehabilitation has had little impact on the profiles most driven by cacao cultivation and that also have a lower endowment of assets. Finally, the third study analyzes risk attitude, risk perceptions and risk management strategies of Ecuadorian cacao producers, as well as the relationships between these risk components. Adopting the same sample of respondents as in the previous chapter, experimental lotteries were applied to measure risk attitudes, while perceptions and strategies were measured by means of Likert scales. The theoretical model to determine the relationships among risk components was tested using variance-based structural equation modelling (SEM) with the partial least squares (PLS) algorithm. The results show that risk perceptions are more important than risk attitudes when deciding risk mitigation strategies. In addition, perceptions play a mediating role between farmers' risk attitudes and the risk management strategies adopted by them. These results advocate for policy measures oriented towards targeting farmers' perceptions of risk in order to implement successful risk management strategies.En la presente tesis, se desarrollan tres estudios relacionados con la cadena de valor del cacao en Ecuador y su participación en ella de pequeños productores, quienes se ven enfrentados a la disyuntiva entre sembrar cacao fino de aroma o cacao híbrido, que presenta algunas ventajas sobre aquel, especialmente relacionadas con su mayor productividad. En el primero estudio, se analiza el comportamiento y las características de la producción de cacao a nivel mundial y de Ecuador en particular, país que es el sexto productor de cacao en el mundo y el primero de la variedad conocida como cacao fino de aroma. La cadena de valor del cacao a nivel global se caracteriza en general por una relación de poder asimétrica con un creciente control de unas pocas empresas líderes que son las que tienen capacidad de decisión sobre cómo y dónde se crea y distribuye el valor a lo largo de la cadena. La cadena de valor del cacao en Ecuador se encuentra bastante fraccionada en su eslabón de producción, donde alrededor del 79% de los productores desarrollan su actividad en parcelas de no más de 5 hectáreas y en la que la participación de la variedad híbrida, conocida como CCN-51, es cada vez mayor en comparación con la variedad nacional fino de aroma (CN). De hecho, en 2017 el 72% del cacao producido en Ecuador, corresponde a CCN-51, variedad que es sembrada por el 54% de los productores. El segundo estudio identifica las estrategias de subsistencia de los pequeños productores de cacao en la región costera de Guayas en Ecuador, donde se cultivan las dos variedades de cacao. Para ello se adopta el marco metodológica de estrategias de medios de vida y capitales, realizándose una encuesta detallada de 188 hogares. A través de un análisis de clases latentes realizado en tres pasos que permite incorporar de forma robusta y optimizada variables externas, se identifican cuatro perfiles de estrategias de medios de vida. Estos perfiles se relacionaron con la dotación de activos de capital y variables de ingresos. Los resultados mostraron que no existe una brecha clara entre el cultivo de CN y CCN-51, ya que el 60% de los hogares muestreados cultivaron simultáneamente ambas variedades. Los hogares con una baja proporción de la tierra asignada a CCN-51 mostraron estrategias de diversificación de ingresos más altas y viceversa. Este estudio también muestra que la falta de incentivos apropiados puede amenazar el futuro del cultivo de CN ya que la política nacional para la rehabilitación de CN ha tenido poco impacto en los perfiles que más dependen del cultivo de cacao y que tienen una menor dotación de activos. Finalmente, en el tercer estudio se analizan la actitud, percepciones y estrategias de gestión de riesgos de los agricultores de cacao ecuatorianos, así como las relaciones existentes entre estos componentes del riesgo. Con la misma muestra de agricultores del segundo estudio se aplican loterías experimentales para medir actitudes de riesgo, mientras que percepciones y estrategias se miden a través de escalas likert. Toda la información se integra en un modelo de ecuaciones estructurales y se analiza con a través de modelos PLS-SEM. Los resultados muestran que las percepciones de riesgo son más importantes que las actitudes ante el riesgo para decidir las estrategias de mitigación de riesgo. Además, las percepciones juegan un papel mediador entre las actitudes de riesgo de los agricultores y las estrategias de gestión de riesgo que aplican. Las consecuencias que de aquí se derivan para los diseñadores de política, se relacionan fundamentalmente con incidir en las percepciones de riesgo de los agricultores a fin que implementen las estrategias que resulten más adecuadas.Postprint (published version

How is it effective for farmers to adopt environmentally friendly cultivated land protection technology: a configurational perspective

The adoption of environmentally friendly farmland conservation techniques by farmers is an important way to effectively curb agricultural surface pollution and promote the conservation of farmland quality. Based on 425 farmers’ in-depth interview data, a fuzzy-set qualitative comparative analysis method was used to construct a psychological cognition (farmers’ awareness and willingness to participate)—external context (organizational linkages and government regulation)—behavioral effect model to reveal the conditional configuration and multivariate paths of psychological cognition and external contextual factors influencing farmers’ behavioral effects on the adoption of environmentally friendly farmland conservation technologies. The results show that individual behavioral decision factors do not influence the behavioral effects of farmers. The results show that individual behavioral decision factors are not necessary to drive the effective adoption of environmentally friendly farmland conservation technologies and that multiple decision factors interact to form three sets of configurations that enhance the behavioral effectiveness of farmers, summarized as the willingness-to-participate dominant model, the internal and external constraints dominant model, and the external context dominant model

Drivers of joint cropland management strategies in agri-food cooperatives

[EN] In several Spanish regions, collective action through production and marketing cooperatives has traditionally concentrated the food supply of small and medium-sized farms. However, many cooperatives are threatened by the risk of abandonment of members' cropland, which reduces their sourcing capacity. In this context, joint cropland management initiatives have become a useful form of social and organizational innovation. This research's contribution is twofold: it examines the relevance of some drivers of this organizational innovation, and it determines the cooperative characteristics or combinations of characteristics that can sufficiently explain the adoption of a joint cropland management strategy. Some cooperatives' features have been a priori identified as related to the achievement of joint cropland initiatives: economic size, social innovation, innovative behavior, and collaborative orientation. The study is mainly based on data from a cooperatives survey, and fuzzy set Qualitative Comparative Analysis (fsQCA) methodology has been used. The analysis has been completed by surveying cooperatives' managers about their opinions on a joint cropland management strategy's main advantages and drivers. Results indicate that social and economic innovation, size, and propensity to cooperate with other cooperatives are key factors that help create a cooperative profile capable of tackling the challenge of land abandonment and the consequent loss of production.Ministry of Science and Innovation, Spain, European Regional Development Fund, European Commission. Project "Strengthening innovation policy in the agri-food sector" (RTI2018-093791-B-C22).Piñeiro, V.; Martinez Gomez, VD.; Melia-Marti, E.; García Alvarez-Coque, JM. (2021). Drivers of joint cropland management strategies in agri-food cooperatives. Journal of Rural Studies. 84:162-173. https://doi.org/10.1016/j.jrurstud.2021.04.003S1621738

Behaviour change and attitudes in the Scottish agricultural sector – a rapid evidence assessment

The Scottish Government is committed to reducing greenhouse gas (GHG) emissions from agriculture as part of Scotland’s target to reach net-zero emissions by 2045. To meet this very challenging target, the sector and Government are likely to have to take steps to ensure uptake of all available emission-reduction technologies and practices, by all farmers. Understanding behavioural change and attitudes will therefore be critical in order to develop policies and work with industry to deliver this goal. This study explores the evidence for factors behind adoption of climate-friendly agricultural practices. It examines interventions to encourage practice change, and the key factors that influence successful adoption

Comportamiento de desarrollo productivo rural y agrícola. Una revisión de literatura desde la teoría del comportamiento planificado entre 2008 y 2022

The different studies on behavior and decision-making in rural, agro-industrial, territorial, and development projects have gained importance in recent years, mainly due to the need to understand and comprehend those factors of human behavior that affect productive rural development. A systematic review of the literature on planned behavior in rural and agricultural project development  between 2008 and 2022 was carried out. The work was carried out by consulting scientific and academic databases such as ScienceDirect, ISI - Web of Science, Springer, Scielo, Emerald, and Scopus, completing the process with content analysis and systematization of articles in NVivo software. Three significant clusters of studies focused on development behavior, rural behavior, and productive development were identified. It was concluded that behavioral studies and their different analysis methods in the rural and agricultural fields aim to improve standard practices through participatory methodological proposals, which reflect on social behavior and the adoption and implementation of practical agricultural development models.Los diferentes estudios sobre el comportamiento y la toma de decisiones en proyectos rurales, agroindustriales, territoriales y de desarrollo han tomado importancia en los últimos años, principalmente, por la necesidad de entender y comprender aquellos factores de la conducta humana que inciden en el desarrollo productivo rural. Se realizó un repaso sistemático de la literatura sobre el comportamiento planeado en el marco del desarrollo de proyectos rurales y agrícolas entre los años 2008 y 2022. El trabajo se realizó a través de la consulta de bases de datos científicas y académicas como ScienceDirect, ISI – Web of Science, Springer, Scielo, Emerald y Scopus, completando el proceso con análisis de contenido y sistematización de artículos en el software NVivo. Identificando tres grandes conglomerados de estudios enfocados en el comportamiento de desarrollo, comportamiento rural y desarrollo productivo. Concluyéndose que los estudios comportamentales y sus diferentes métodos de análisis, en el ámbito rural y agrícola pretenden mejorar las prácticas comunes por medio de propuestas metodológicas participativas, que lleven a reflexionar sobre el comportamiento social y la adopción e implementación de modelos de desarrollo agrícolas prácticos