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Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises

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A special issue of Land (ISSN 2073-445X). This special issue belongs to the section "Land Socio-Economic and Political Issues".

Deadline for manuscript submissions: closed (20 April 2023) | Viewed by 31890

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Special Issue Editors

Dr. Emmanuel Olatunbosun Benjamin

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Guest Editor

1. Technical University of Munich, Arcisstraße 21, 80333 München, Germany 2. Aglobe Development Center, 29 Anjorin Street, Lagos, Nigeria
Interests: climate-smart agriculture and aquaculture; bioeconomy; sustainable and conservation agriculture; women’s empowerment; integrated pest management

Prof. Dr. Gertrud Buchenrieder

E-Mail Website1 Website2
Guest Editor

Institute of Sociology and Economics, The Universität der Bundeswehr München, 85579 Neubiberg, Germany
Interests: social capital; empowerment; sustainable and rural development; development economics; human security

Dr. Oreoluwa Ola

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Guest Editor

TUM School of Management , Technical University of Munich, Arcisstraße 21, 80333 München, Germany
Interests: sustainable agricultural value chains; agricultural value chain financing; financial inclusion; developing countries; agricultural digitalization

Special Issue Information

Dear Colleagues,

Smallholder agriculture, agroforestry and aquaculture systems are vital for food supply and income generation in rural and urban areas of developing and developed countries. Smallholder systems are also an important means of livelihood through subsistence production for vulnerable groups. While smallholder farming has been viewed as inefficient for decades, more recently it has experienced a renaissance as a way of achieving the Sustainable Development Goals (SDGs) and human security, stabilizing fragile supply and value chains and volatile prices, and building ecosystem resilience, resulting in fairness and equity for all. The impact of external shocks such as climate change, the COVID-19 pandemic, and the Ukraine–Russia war will likely have long-lasting effects on smallholder and societal well-being at large. For smallholder farmers, such external shocks exacerbate the already-existing factor (e.g., capital, land, water, inputs) and institutional constraints (e.g., gender roles, land tenure). While urban and rural smallholders are innovative in adopting adaptive and/or coping strategies prior to and during external shocks, these strategies and their effectiveness are under-researched.

This Special Issue (SI) explores adaptive and coping strategies of smallholder farmers experiencing external shocks, exemplified by climate change, the recent COVID-19 pandemic, and the Ukraine–Russia war. These external shocks can adversely directly affect the productivity of agricultural land through, e.g. a higher frequency of extreme weather events and lack of access to inputs through interrupted supply chains, such as mineral fertilizer or feed. Ultimately, these shocks tremendously reduce the environmental, social, economic (sustainability), and biodiversity benefits to society. This SI provides a broad overview of theoretical-, empirical-, and field-research-based evidence from developing and developed countries regarding these issues. It emphasizes the lessons learned and the applicability of diverse strategies for ensuring crisis-proof food systems in urban and rural areas of developed and developing countries.

This SI aims to answer the following questions regarding smallholders in developing and developed countries:

What are the impacts of external shocks such as climate change, the COVID-19 pandemic, and the Ukraine–Russia war on smallholders in (peri-)urban and rural areas engaged in agriculture, agroforestry, and aquaculture?
What adaptive and coping strategies are used by smallholders to mitigate the impact of these external shocks?
Which of the strategies used were most effective in cushioning the adverse effects of the external shocks on livelihoods, specifically as it concerns environmental, social, economic (sustainability), and biodiversity benefits derived from agricultural land?
What government policies and measures were used, and how effective were they in reducing the adverse effects of the external shocks on smallholder livelihoods in relation to their agricultural land?
What opportunities are there for smallholder farming and agricultural land due to external shocks as well as corresponding food price inflation arising from interruptions in national and international supply and value chains?

Dr. Emmanuel Olatunbosun Benjamin
Prof. Dr. Gertrud Buchenrieder
Dr. Oreoluwa Ola
Guest Editors

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Keywords

smallholder farming
food systems
external shocks
COVID-19 pandemic
international conflict
adaptive and coping strategies

Published Papers (13 papers)

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17 pages, 932 KiB

Open AccessArticle

What Makes Farmers Aware in Adopting Circular Bioeconomy Practices? Evidence from a Greek Rural Region

by Christina-Ioanna Papadopoulou, Efstratios Loizou, Fotios Chatzitheodoridis, Anastasios Michailidis, Christos Karelakis, Yannis Fallas and Aikaterini Paltaki

Land 2023, 12(4), 809; https://doi.org/10.3390/land12040809 - 02 Apr 2023

Cited by 2 | Viewed by 1919

Abstract

Action 2 of the European Union’s Updated Bioeconomy Strategy, i.e., “Deploy local bioeconomies rapidly across Europe”, promotes education and training in all member states. It is a fact that Greece has not yet adopted a national bioeconomy strategy, so stakeholders and farmers cannot benefit from its potential. The adoption of bioeconomy practices is now a prerequisite for receiving funding under the Common Agricultural Policy 2023–2027. Farmers unknowingly use some bioeconomy practices on their farms, and in this study, an attempt was made to investigate how farmers in the region of Western Macedonia would like to be trained in respect of the bioeconomy, knowing the opportunities it offers. The research was conducted through a structured questionnaire answered by 412 farmers from the region. The findings from the subsequent k-means cluster analysis show that farmers can be classified into three clusters: engaged, restricted, and partially engaged. The perceptions that predominate in each cluster are influenced by age, income, and the regional unit in which the farmers reside. In addition, the decarbonization of the Western Macedonia region influences their views and how they would like to be informed about opportunities arising from the bioeconomy. Limitations in this study include the fact that the sample consists only of farmers living and operating in a particular region. In addition, there is an urgent need for political will to establish a national strategy for the bioeconomy. The importance of the present study lies in the fact that few studies have addressed the training of farmers on bioeconomy issues either in Greece or internationally. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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18 pages, 1481 KiB

Open AccessArticle

Impacts of Floods on Agriculture-Dependent Livelihoods in Sub-Saharan Africa: An Assessment from Multiple Geo-Ecological Zones

by Roland Azibo Balgah, Kester Azibo Ngwa, Gertrud Rosa Buchenrieder and Jude Ndzifon Kimengsi

Land 2023, 12(2), 334; https://doi.org/10.3390/land12020334 - 26 Jan 2023

Cited by 6 | Viewed by 2299 | Correction

Abstract

Surging extreme events, particularly floods, have stimulated growing research on their epidemiology, management, and effects on livelihoods in Sub-Saharan Africa (SSA), especially for agriculture-dependent households. Unfortunately, the topical literature is still characterized by independent, isolated cases, with limited relevance to understanding common flood effects across geographical space and time. We bridge this knowledge gap by analyzing the effects of multiple cases of flash, coastal and riverine-cum-pluvial (‘complex’) floods on agriculture-dependent livelihoods in three (Sudano Sahelian, Coastal and Western Highlands) geo-ecological zones in Cameroon. The analysis makes use of a sample of 2134 flood victims (1000 of them in the Sudano-Sahelian, 242 in the Coastal, and 892 in the Western Highlands zones) of 26 independent community floods: 11 in the Sudano-Sahelian, 3 in the Coastal, and 12 in the Western Highlands zone. Irrespective of flood type and geo-ecology, agriculture-dependent livelihoods were gravely impaired. However, the impacts on livelihoods and public goods (such as road or communication systems) significantly varied in the different geo-ecological zones. The study concludes with the need to include context-specificity in the flood impact assessment equation, while identifying common effects, as is the case with agriculture in this study. We emphasize the need to up-scale and comparatively analyze flood effects across space and time to better inform flood management policies across SSA. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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14 pages, 1649 KiB

Open AccessArticle

Local Observations of Climate Change and Adaptation Responses: A Case Study in the Mountain Region of Burundi-Rwanda

by Aline Nkurunziza, Dorine Intwarinkase Mutaganzwa, Willy Marcel Ndayitwayeko, Jacques Nkengurutse, Beth A. Kaplin, Irene Teixidor Toneu, Noelia Zafra-Calvo and Aida Cuni-Sanchez

Land 2023, 12(2), 329; https://doi.org/10.3390/land12020329 - 25 Jan 2023

Cited by 1 | Viewed by 2010

Abstract

Mountain regions and their communities are particularly vulnerable to climate change impacts. However, little is known on the impacts observed and adaptation responses used in Burundi’s mountain region and if these are different to those reported in the contiguous mountain region of Rwanda. This paper aims to fill in these knowledge gaps. Semi-structured interviews were conducted with 300 smallholder farmers, 150 in northern Burundi and 150 in southern Rwanda. Farmers in both countries reported negative impacts on crops, animals, and human health, with small differences between countries driven by the main cultivated crops. More adaptation strategies were used in Burundi than in Rwanda, and more farmers in Burundi were using multiple strategies. In both countries, farmers’ wealth affected farmers’ adaptation responses and their food security. Notably, for all wealth groups (poor, average, rich), food security was lower in Rwanda than in Burundi. We relate our findings to current agricultural intensification policies in both countries and argue for the greater involvement of local farmers in adaptation planning using, for example, science-with-society approaches. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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21 pages, 2281 KiB

Open AccessFeature PaperArticle

Lives and Livelihoods in Smallholder Farming Systems of Senegal: Impacts, Adaptation, and Resilience to COVID-19

by Prakash Kumar Jha, Gerad Middendorf, Aliou Faye, B. Jan Middendorf and P. V. Vara Prasad

Land 2023, 12(1), 178; https://doi.org/10.3390/land12010178 - 05 Jan 2023

Cited by 5 | Viewed by 2254

Abstract

The COVID-19 pandemic has had immediate and cascading impacts on global agricultural systems. In Senegal, the immediate impacts include inaccessibility of inputs due to disruption in markets and supply chains, availability of labor, and changes in crop and livestock management practices. To understand the range of impacts on the biophysical and socioeconomic dimensions of smallholder farming systems, a survey was designed to identify the risk factors, assess the impacts, and explore appropriate mitigation strategies. The survey was administered to 917 smallholder farmers in 14 regions of Senegal in collaboration with a national farmer’s organization and the Senegalese Institute of Agricultural Research (ISRA). The sample was comprised of farmers (men and women) and was stratified in each region to ensure representation from all agroecological zones of the country. The survey examined variables such as access to inputs, ability to plant, impacts on yields, markets, labor, the gendered division of labor, food security, and community well-being. The survey response indicated that 77.7% of respondents experienced a reduction in access to inputs, 70.3% experienced a reduction in ability to plant crops during the planting season, 57.1% experienced a reduction in ability to rent farm machinery, and 69.2% reported a reduction in yields. Similar findings were observed for labor, market conditions, and adaptation measures to reduce the impacts on farming systems and household livelihoods. This study advances the research on characterizing risk factors, assessing the impacts, and designing mitigation strategies for strengthening smallholder farming systems resilience to future shocks. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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16 pages, 1677 KiB

Open AccessArticle

Smallholders Are Not the Same: Under the Hood of Kosovo Agriculture

by Philip Kostov and Sophia Davidova

Land 2023, 12(1), 146; https://doi.org/10.3390/land12010146 - 01 Jan 2023

Cited by 2 | Viewed by 1075

Abstract

Economists and policy makers are interested in producers’ responses to policies in order to achieve some national or sectoral objectives, e.g., growth, employment, food security. The way producers respond to policy depends on their production function. If producers do not have homogenous production function, policy responses will be heterogeneous. We use the underlying functional relationship to derive homogenous groupings. The paper employs finite regression mixture models to specify and estimate farm groups with regard to pre-specified functional relationship. The proposed approach is illustrated with regard to the aggregate production function of Kosovo agriculture, characterised by high prevalence of small farmers. The results point out to two farm clusters. The first one extracts more output from labour and intermediate consumption. The second one makes a better use of land. Perhaps, surprisingly, both clusters appear quite similar in terms of their stock of production inputs. Cluster 1 however appears to be more specialised. We can conclude that in Kosovo agriculture appearances and size are not primary determinants of productivity. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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18 pages, 5189 KiB

Open AccessFeature PaperArticle

Mobilizing the Midstream for Supporting Smallholder Intensification

by Ruerd Ruben, Rob Kuijpers and Youri Dijkxhoorn

Land 2022, 11(12), 2319; https://doi.org/10.3390/land11122319 - 17 Dec 2022

Viewed by 1498

Abstract

Most policies and incentives that aim to enable smallholder farmers towards the intensification of their agri-food production systems focus on supply-side strategies, such as training, technical assistance or credit services. Far less attention is usually given to demand-side drivers, such as the role of midstream value chain actors supporting smallholder’s investments in primary production. This explorative paper provides new insights on the value addition in the production vs. the midstream segments of agri-food value chains. It focusses attention on the influence of value chain integration on smallholders’ production and investment opportunities, and the implications for the structure of primary production. We use data from several value chains in sub-Saharan Africa to illustrate how farmers link to commercial midstream actors are able to enhance resource productivity, efficiency and profitability. In addition, we show that a larger role of the midstream in value added creation is associated with a more equal farm size distribution. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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25 pages, 2425 KiB

Open AccessEditor’s ChoiceArticle

Climate Change and Natural Resource Scarcity: A Literature Review on Dry Farming

by Naomi di Santo, Ilaria Russo and Roberta Sisto

Land 2022, 11(12), 2102; https://doi.org/10.3390/land11122102 - 22 Nov 2022

Cited by 5 | Viewed by 2578

Abstract

The agricultural sector is facing the challenge of climate change, which is increasing difficulties to the activity and the economic sustainability of the primary sector, also affecting farmers’ revenues. There is a growing need to support policy makers’ decisions and help them develop cross-sectional strategies to support farmers. To this aim and to collect useful information for policy makers and stakeholders for the development of efficient strategies for the management of dryland farming, the paper examines how this issue has been analysed in the literature. A mixed method, based on a systematic literature review and a bibliometric analysis of 79 Scopus documents using VOSviewer software, was applied. Major results highlight the need to implement participatory policy interventions so as to include farmers. It was possible to summarise the main adaptive and technical interventions implemented by farmers. The results indicated the importance of the concept of the resilience of territories and the need to analyse agricultural systems by considering their multifunctionality. The innovativeness of this study relies on its relationships with several policy aspects and not only with purely technical and agronomical features, analysing thus the issue from the under-investigated perspective of the global challenge, contributing to filling this literature gap. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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19 pages, 3282 KiB

Open AccessArticle

Feasibility Study of a Small-Scale Recirculating Aquaculture System for Sustainable (Peri-)Urban Farming in Sub-Saharan Africa: A Nigerian Perspective

by Emmanuel O. Benjamin, Oreoluwa Ola and Gertrud R. Buchenrieder

Land 2022, 11(11), 2063; https://doi.org/10.3390/land11112063 - 17 Nov 2022

Cited by 3 | Viewed by 3704

Abstract

The (peri-)urban population in developing countries, especially sub-Saharan Africa, is rapidly increasing. As towns and cities grow, so does the demand for fish protein. While flow-through aquaculture can provide fresh, healthy and nutritious fish protein, it is plagued by extensive land requirements as well as effluent discharge and is thus unsuitable for city regions. Alternatively, small-scale Recirculating Aquaculture Systems (RAS) could improve food and nutritional security and livelihoods as well as reduce environmental degradation in (peri-)urban areas despite land and water constraints. The question, however, remains—what are the key technical, business and managerial issues surrounding small-scale RAS in (peri-)urban farming? To answer this question, first, a systematic literature review on RAS in sub-Saharan Africa is conducted. Second, the RAS prototype of the Sustainable Aquaponics for Nutritional and Food Security in Urban Sub-Saharan Africa (SANFU) II project is assessed. This assessment is based on the mass balance and stock density, relevant for fish survival and/or availability as well as net cash flow analyses. The results suggest that small-scale RAS are technically and financially viable with efficient filtration and family labor having proper aquaculture monitoring and management skills. Furthermore, access to adequate equipment and inputs as well as electricity for the recirculating system are crucial. (Peri-)urban innovation actors will adopt RAS if operations are profitable. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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18 pages, 6263 KiB

Open AccessArticle

Spatiotemporal Analysis and War Impact Assessment of Agricultural Land in Ukraine Using RS and GIS Technology

by Yue Ma, Dongmei Lyu, Kenan Sun, Sijia Li, Bingxue Zhu, Ruixue Zhao, Miao Zheng and Kaishan Song

Land 2022, 11(10), 1810; https://doi.org/10.3390/land11101810 - 15 Oct 2022

Cited by 16 | Viewed by 5369

Abstract

Military conflicts are one of the inevitable factors that can cause countries to suffer from food insecurity due to reduced agricultural productivity, increased food prices, and the deterioration of agricultural land and infrastructure. Farmland may become fallowed and abandoned as a result of reduced investment in agricultural management caused by military conflicts. To rapidly assess the impact of conflicts on agricultural land and food security, the utilization of effective and feasible methods for the regular monitoring agricultural management status is necessary. To achieve this goal, we developed a framework for analyzing the spatiotemporal distribution of agricultural land and assessing the impact of the Ukraine–Russia war on agricultural management in Ukraine using remote sensing (RS) and geographic information system (GIS) technology. The random forest (RF) classifier, gap filling and Savitzky–Golay filtering (GF-SG) method, fallow-land algorithm based on neighborhood and temporal anomalies (FANTA) algorithm, and kernel density method were jointly used to classify and reveal the spatiotemporal distribution of fallowed and abandoned croplands from 2018 to 2022 based on Landsat time series data on the Google Earth Engine (GEE) platform. The results demonstrated that fallowed and abandoned croplands could be successfully and effectively identified through these proven methods. Hotspots of fallowed croplands frequently occurred in eastern Ukraine, and long-term consecutive fallow agricultural management caused cropland abandonment. Moreover, hotspots of war-driven fallowed croplands were found in western Kherson and the center of Luhansk, where the war has been escalated for a long time. This reveals that the war has had a significant negative impact on agricultural management and development. These results highlight the potential of developing an accessible methodological framework for conducting regular assessments to monitor the impact of military conflicts on food security and agricultural management. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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20 pages, 1601 KiB

Open AccessArticle

Decision Analysis of the Adaptation of Households to Extreme Floods Using an Extended Protection Motivation Framework—A Case Study from Ethiopia

by Melese Mulu Baylie and Csaba Fogarassy

Land 2022, 11(10), 1755; https://doi.org/10.3390/land11101755 - 09 Oct 2022

Cited by 2 | Viewed by 2070

Abstract

Private extreme flood adaptation measures are cost effective and environmentally friendly. The objective of this study is to explore the major adaptation strategies, the determinants of the decisions of households to flood adaptation, specific prophylactic measures, and the constraints of these adaptation measures. A multi-stage sampling technique was employed to select the 337 samples for the study. As the data analysis showed, farm households adopted moving to high elevation places, selling cattle, seasonal migration, flood tolerant rice, planting trees, and the construction of a dike as adaptation measures to flood. The binary logistic regression results from both the socioeconomic and protection motivation theory (PMT) showed that marital status, sex, family size, off-farm income, previous flood experience, access to credit, and the average number of extension visits had a statistically significant positive influence on the flood adaptation decision of households. On the other hand, age, educational attainment, farm size, and access to extension played a negative but statistically insignificant role in flood adaptation decision. The scientific novelty of the paper is that its results revealed that not only the socioeconomic and demographic characteristics of households play a role in the decision-making reactions related to the flood, but also the psychological preparedness of the decision makers. The analysis also drew attention that, due to the mitigation of global influences, in the coming years, households can assume a much more decisive role in the process of local food supply. Therefore, in order to ensure safe supply, climate change-related measures and adaptation strategies must be defined very precisely. Dealing with this phenomenon must be part of social and business innovation as it can cause not only food supply problems but also various migration effects, which, in the short term, would result in the most serious damage to the social system. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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22 pages, 6689 KiB

Open AccessArticle

Assessing the Outreach of Targeted Development Programmes—A Case Study from a South Indian Village

by Anugu Amarender Reddy, Anindita Sarkar and Yumiko Onishi

Land 2022, 11(7), 1030; https://doi.org/10.3390/land11071030 - 07 Jul 2022

Cited by 2 | Viewed by 2362

Abstract

This paper explores beneficiary targeting of government programmes in a village in India. The analysis is based on all 228 households of the village and focus group discussions. The results show that there is a large exclusion error in targeted programmes, which have mostly excluded the poor and the needy. Most schemes have a prerequisite of asset ownership, such as agricultural land, which benefits resource-rich farmers with large landholdings. The relationship between benefits received and income of households is best represented by an inverted ‘u’-shape curve, indicating the middle-income category benefits more than the poorest. The scope and scale of welfare programmes, especially Direct Benefit Transfers, increased during the COVID-19 pandemic. For inclusion of the poorest of the poor, welfare and development schemes need to be decoupled from landownership in rural areas. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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1 pages, 158 KiB

Open AccessCorrection

Correction: Balgah et al. Impacts of Floods on Agriculture-Dependent Livelihoods in Sub-Saharan Africa: An Assessment from Multiple Geo-Ecological Zones. Land 2022, 12, 334

by Roland Azibo Balgah, Kester Azibo Ngwa, Gertrud Rosa Buchenrieder and Jude Ndzifon Kimengsi

Land 2023, 12(6), 1228; https://doi.org/10.3390/land12061228 - 14 Jun 2023

Viewed by 376

Abstract

There was an error in the original publication [...] Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

24 pages, 2958 KiB

Open AccessSystematic Review

Smallholder Farming during COVID-19: A Systematic Review Concerning Impacts, Adaptations, Barriers, Policy, and Planning for Future Pandemics

by Alexander R. Marsden, Kerstin K. Zander and Jonatan A. Lassa

Land 2023, 12(2), 404; https://doi.org/10.3390/land12020404 - 02 Feb 2023

Cited by 8 | Viewed by 2618

Abstract

Our broad aim was to systematically analyse research on the effect of COVID-19 on smallholder farming during 2019–2021 and to discuss how the research could be beneficial to smallholder farm resilience to future pandemics. The review methods were based on PRISMA guidelines, and 53 articles were included in the final review. The review aims to document the social-economic impacts on different groups, barriers and opportunities of smallholder farmers adapting to COVID, and policy options. Barriers to adaptations were considered in only 15% of journal articles, suggesting a research gap. This review highlights the fact that, among others, technology access to ensure information and crisis communication that specifically targets smallholders, as well as multi-layered diversification, serves as good predictors of smallholder adaptation to COVID-19. Multi-layered diversification includes product diversification, market diversification and income stream diversification. This confirms the established knowledge in disasters and livelihood studies where diversification of livelihoods portfolio serves as the key factor to resilience against shocks and crisis. Finally, we summarised the different policy implications arising from the literature. This implies that governments must develop an effective policy-mix that leaves no smallholder farmers behind in future pandemics. Full article

(This article belongs to the Special Issue Smallholder Farming under External Shocks: New Perspectives and Solutions for Future Crises)

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