Smallholder group certification in Uganda - Analysis of internal control systems in two organic export companies

The organic agricultural sector of Uganda is among the most developed in Africa in terms of its professional institutional network and high growth rates of number of certified farmers and land area. Smallholder farmers are certified organic through contract production for export companies using a group certification scheme (internal control system - ICS). The ICS is a viable and well-accepted tool to certify small-scale producers in developing countries all over the world. Difficulties in certification are still stated to be among the main constraints for Uganda’s organic sector development. Therefore, this paper reports a qualitative case study comprising 34 expert interviews in two organic fresh-produce export companies in central Uganda, aiming to explore the challenges which underlie organic certification with ICS. The study shows that farmers cannot be labelled as ‘organic by default’ but deliberately engage in organic production as a marketing strategy. The small quantities purchased by the organic companies lead to a difficult marketing situation for the farmers, causing production and infiltration risks on the farm level. These risks require increased control that challenges the companies organizationally. The risks and control needs are a reason to involve farmers in ICS procedures and innovatively adapt the ICS by means of a bypass around formal perspective restrictions. The paper discusses different perspectives on risks, risk control and certification.

Alternative plant protein sources for pigs and chickens in the tropics – nutritional value and constraints: a review

In the tropics, a large number of smallholder farms contribute significantly to food security by raising pigs and poultry for domestic consumption and for sale on local markets. The high cost and, sometimes, the lack of availability of commercial protein supplements is one of the main limitations to efficient animal production by smallholders. Locally-grown forages and grain legumes offer ecological benefits such as nitrogen fixation, soil improvement, and erosion control which contribute to improve cropping efficiency. Besides these agronomical assets, they can be used as animal feeds in mixed farming systems. In this paper we review options to include locally-grown forages and grain legumes as alternative protein sources in the diets of pigs and poultry in order to reduce farmers’ dependence on externally-purchased protein concentrates. The potential nutritive value of a wide range of forages and grain legumes is presented and discussed. The influence of dietary fibre and plant secondary metabolites contents and their antinutritive consequences on feed intake, digestive processes and animal performances are considered according to the varying composition in those compounds of the different plant species and cultivars covered in this review. Finally, methods to overcome the antinutritive attributes of the plant secondary metabolites using heat, chemical or biological treatment are reviewed regarding their efficiency and their suitability in low input farming systems.

Management practices and challenges in smallholder indigenous chicken production in Western Kenya

The potential benefit of indigenous chicken (Gallus domesticus) production is still under-exploited in Kenya despite the efforts by different stakeholders to mainstream this production system as a pathway to rural development. The production system is often characterized by low input-low output productivity and low commercialization of the enterprise. This study which dwells on the current management practices and challenges faced by smallholder indigenous chicken farmers was conducted to gain insights into the underlying causes of production constraints. In Western Kenya women (76%) dominate the indigenous chicken production system. The flock composition consists mainly of chicks, hens and pullets (80%) which reflects their retention for production purposes. Less than half of the farmers access institutional support services such as extension, training, credit and veterinary services. In addition, indigenous chicken is largely reared in a low input-low output free-range system with only few farmers (24.2%) adopting management interventions as disseminated by extension service. To improve production and attain increased productivity, policy should focus on repackaging extension messages that considers farmers economic situations and strengthens collective action initiatives. Accessing joint input purchase and collective marketing of chicken products may further assist the farmers to increase profit margins.

The social dimension: a neglected policy item in the Bologna Process

Since its beginning in 1999, the Bologna Process has influenced various aspects of higher education in its member countries, e.g., degree structures, mobility, lifelong learning, social dimension and quality assurance. The social dimension creates the focus of this research. The social dimension entered the Bologna Process agenda in 2001. Despite a decade of reforms, it somehow remained as a vague element and received low scholarly attention. This research addresses to this gap. Firstly, different meanings of the social dimension according to the major European policy actors are analysed. Unfolding the understandings of the actors revealed that the social dimension is mostly understood in terms reflecting the diversity of population on the student body accessing to, progressing in and completing higher education, with a special concern on the underrepresented groups. However, it is not possible to observe a similar commonality concerning the actual policy measures to achieve this goal. Divergence occurs with respect to the addressed underrepresented groups, i.e., all underrepresented groups or people without formal qualifications and mature learners, and the values and institutional interests traditionally promoted by these actors. Secondly, the dissertation discusses the reflection of this social dimension understanding at the national level by looking at cases of Finland, Germany and Turkey. The in-depth analyses show an awareness of the social dimension among most of the national Bologna Process actors and a common understanding of the social dimension goals. However, this understanding has not triggered action in any of the countries. The countries acted on areas which they defined problematic before the Bologna Process. Finally, based on these findings the dissertation discusses the social dimension as a policy item that managed to get into the Bologna Process agenda, but neither grew into an implementable policy, nor drop out of it. To this aim, it makes use of the multiple streams framework and explains the low agenda status social dimension with: i. the lack of a pressing problem definition: the lack of clearly defined indicators and a comprehensive monitoring system, ii. the lack of a viable solution alternative: the proposal of developing national strategies and action plans closed the way to develop generic guidelines for the social dimension to be translated into national policy processes, iii. low political perceptivity: the recent trends opt for increasing efficiency, excellence and exclusiveness discourses rather than ensuring equality and inclusiveness iv. high constraints: the social dimension by definition requires more public funding which is less appreciated and strategic constraints of the actors in allocating their resources v. the type of policy entrepreneur: the social dimension is promoted by an international stakeholder, the European Students’ Union, instead of the ministers responsible for higher education The social dimension remains a policy item in the Bologna Process which is noble enough to agree but not urgent enough to act on.

Normative and cognitive influences on female entrepreneurial reluctance at the base of the pyramid - an explorative study of cleaning ladies in Istanbul

Previous research has considered entrepreneurship as a way out of poverty and as a chance to foster economic growth. Moreover, specifically start-ups headed by women have played an important role in the economic development and it has been argued that gender-related issues, amongst others, play a significant role for the performance of a country or region. Against this background, this qualitative study explores desires, reluctances and constraints toward entrepreneurial activities of a comparably homogenous group of potential (poor) entrepreneurs in an emerging economy—cleaning ladies in Istanbul. We focus on this particular context as still rather little is known on reasons why women do not start a business (in Turkey). We believe exploring the reasons why certain individuals choose not to become entrepreneurs is at least as telling as investigating why they do so. We draw upon the social dimensions of entrepreneurship by Shapero and Sokol (1982) alongside Institutional Theory and posit that normative and cognitive forces may shape individual decisions on entrepreneurship. We identified two basic clusters of women and discuss possible hindrance factors undermining entrepreneurial desires and limitations for entrepreneurship as well as possible avenues for policy makers (and MNCs) to foster entrepreneurship in the given community.

Opportunities and constraints of peri-urban buffalo and dairy cattle systems in Faisalabad, Punjab, Pakistan

In the big cities of Pakistan, peri-urban dairy production plays an important role for household income generation and the supply of milk and meat to the urban population. On the other hand, milk production in general, and peri-urban dairy production in particular, faces numerous problems that have been well known for decades. Peri-urban dairy producers have been especially neglected by politicians as well as non-government-organizations (NGOs). Against this background, a study in Pakistan’s third largest city, Faisalabad (Punjab Province), was carried out with the aims of gathering basic information, determining major constraints and identifying options for improvements of the peri-urban milk production systems. For data collection, 145 peri-urban households (HH) engaged in dairy production were interviewed face to face using a structured and pretested questionnaire with an interpreter. For analyses, HH were classified into three wealth groups according to their own perception. Thus, 38 HH were poor, 95 HH well off and 12 HH rich (26.2%, 65.5% and 8.3%, respectively). The richer the respondents perceived their HH, the more frequently they were actually in possession of high value HH assets like phones, bank accounts, motorbikes, tractors and cars. Although there was no difference between the wealth groups with respect to the number of HH members (about 10, range: 1 to 23), the educational level of the HH heads differed significantly: on average, heads of poor HH had followed education for 3 years, compared to 6 years for well off HH and 8 years for rich HH. About 40% of the poor and well off HH also had off-farm incomes, while the percentage was much higher - two thirds (67%) - for the rich HH. The majority of the HH were landless (62%); the rest (55 HH) possessed agricultural land from 0.1 to 10.1 ha (average 2.8 ha), where they were growing green fodder: maize, sorghum and pearl millet in summer; berseem, sugar cane and wheat were grown in winter. Dairy animals accounted for about 60% of the herds; the number of dairy animals per HH ranged from 2 to 50 buffaloes (Nili-Ravi breed) and from 0 to 20 cows (mostly crossbred, also Sahiwal). About 37% (n=54) of the HH did not keep cattle. About three quarters of the dairy animals were lactating. The majority of the people taking care of the animals were family workers; 17.3% were hired labourers (exclusively male), employed by 11 rich and 32 well off HH; none of the poor HH employed workers, but the percentages were 33.7% for the well off and 91.7% for the rich HH. The total number of workers increased significantly with increasing wealth (poor: 2.0; well off:2.5; rich: 3.4). Overall, 69 female labourers were recorded, making up 16.8% of employed workers and one fourth of the HH’s own labourers. Apparently, their only duty was to clean the animals´ living areas; only one of them was also watering and showering the animals. Poor HH relied more on female workers than the other two groups: 27.1% of the workers of poor HH were women, but only 14.8% and 6.8% of the labour force of well off and rich HH were female. Two thirds (70%) of the HH sold milk to dhodis (middlemen) and one third (35%) to neighbours; three HH (2%) did doorstep delivery and one HH (1%) had its own shop. The 91 HH keeping both species usually sold mixed milk (97%). Clients for mixed and pure buffalo milk were dhodis (78%, respectively 59%) and neighbours (28%, respectively 47%). The highest milk prices per liter (Pakistani Rupees, 100 PKR @ 0.8 Euro) were paid by alternative clients (44 PKR; 4 HH), followed by neighbours (40 PKR, 50 HH); dhodis paid lower prices (36 PKR, 99 HH). Prices for pure buffalo and mixed milk did not differ significantly. However, HH obtaining the maximum price from the respective clients for the respective type of milk got between 20% (mixed milk, alternative clients) and 68% (mixed milk, dhodi) more than HH fetching the minimum price. Some HH (19%) reported 7% higher prices for the current summer than the preceding winter. Amount of milk sold and distance from the HH to the city center did not influence milk prices. Respondents usually named problems that directly affected their income and that were directly and constantly visible to them, such as high costs, little space and fodder shortages. Other constraints that are only influencing their income indirectly, e.g. the relatively low genetic potential of their animals due to neglected breeding as well as the short- and long-term health problems correlated with imbalanced feeding and insufficient health care, were rarely named. The same accounts for problems accompanying improper dung management (storage, disposal, burning instead of recycling) for the environment and human health. Most of the named problems are linked to each other and should be addressed within the context of the entire system. Therefore, further research should focus on systematic investigations and improvement options, taking a holistic and interdisciplinary approach instead of only working in single fields. Concerted efforts of dairy farmers, researchers, NGOs and political decision makers are necessary to create an economic, ecological and social framework that allows dairy production to serve the entire society. For this, different improvement options should be tested in terms of their impact on environment and income of the farmers, as well as feasibility and sustainability in the peri-urban zones of Faisalabad.

Improving cropping systems of semi-arid south-western Madagascar under multiple ecological and socio-economic constraints

Das Mahafaly Plateau im südwestlichen Madagaskar ist gekennzeichnet durch raue klimatische Bedingungen, vor allem regelmäßige Dürren und Trockenperioden, geringe Infrastruktur, steigende Unsicherheit, hohe Analphabetenrate und regelmäßige Zerstörung der Ernte durch Heuschreckenplagen. Da 97% der Bevölkerung von der Landwirtschaft abhängen, ist eine Steigerung der Produktivität von Anbausystemen die Grundlage für eine Verbesserung der Lebensbedingungen und Ernährungssicherheit in der Mahafaly Region. Da wenig über die Produktivität von traditionellen extensiven und neu eingeführten Anbaumethoden in diesem Gebiet bekannt ist, waren die Zielsetzungen der vorliegenden Arbeit, die limitierenden Faktoren und vielversprechende alternative Anbaumethoden zu identifizieren und diese unter Feldbedingungen zu testen. Wir untersuchten die Auswirkungen von lokalem Viehmist und Holzkohle auf die Erträge von Maniok, der Hauptanbaufrucht der Region, sowie die Beiträge von weiteren Faktoren, die im Untersuchungsgebiet ertragslimitierend sind. Darüber hinaus wurde in der Küstenregion das Potenzial für bewässerten Gemüseanbau mit Mist und Holzkohle untersucht, um zu einer Diversifizierung von Einkommen und Ernährung beizutragen. Ein weiterer Schwerpunkt dieser Arbeit war die Schätzung von Taubildung und deren Beitrag in der Jahreswasserbilanz durch Testen eines neu entworfenen Taumessgerätes. Maniok wurde über drei Jahre und in drei Versuchsfeldern in zwei Dörfern auf dem Plateau angebaut, mit applizierten Zeburindermistraten von 5 und 10 t ha-1, Holzkohleraten von 0,5 und 2 t ha-1 und Maniokpflanzdichten von 4500 Pflanzen ha-1. Maniokknollenerträge auf Kontrollflächen erreichten 1 bis 1,8 t Trockenmasse (TM) ha-1. Mist führte zu einer Knollenertragssteigerung um 30 - 40% nach drei Jahren in einem kontinuierlich bewirtschafteten Feld mit geringer Bodenfruchtbarkeit, hatte aber keinen Effekt auf den anderen Versuchsfeldern. Holzkohle hatte keinen Einfluss auf Erträge über den gesamten Testzeitraum, während die Infektion mit Cassava-Mosaikvirus zu Ertragseinbußen um bis zu 30% führte. Pflanzenbestände wurden felder-und jahresübergreifend um 4-54% des vollen Bestandes reduziert, was vermutlich auf das Auftreten von Trockenperioden und geringe Vitalität von Pflanzmaterial zurückzuführen ist. Karotten (Daucus carota L. var. Nantaise) und Zwiebeln (Allium cepa L. var. Red Créole) wurden über zwei Trockenzeiten mit lokal erhältlichem Saatgut angebaut. Wir testeten die Auswirkungen von lokalem Rindermist mit einer Rate von 40 t ha-1, Holzkohle mit einer Rate von 10 t ha-1, sowie Beschattung auf die Gemüseernteerträge. Lokale Bewässerungswasser hatte einen Salzgehalt von 7,65 mS cm-1. Karotten- und Zwiebelerträge über Behandlungen und Jahre erreichten 0,24 bis 2,56 t TM ha-1 beziehungsweise 0,30 bis 4,07 DM t ha-1. Mist und Holzkohle hatten keinen Einfluss auf die Erträge beider Kulturen. Beschattung verringerte Karottenerträge um 33% im ersten Jahr, während sich die Erträge im zweiten Jahr um 65% erhöhten. Zwiebelerträge wurden unter Beschattung um 148% und 208% im ersten und zweiten Jahr erhöht. Salines Bewässerungswasser sowie Qualität des lokal verfügbaren Saatgutes reduzierten die Keimungsraten deutlich. Taubildung im Küstendorf Efoetsy betrug 58,4 mm und repräsentierte damit 19% der Niederschlagsmenge innerhalb des gesamten Beobachtungszeitraum von 18 Monaten. Dies weist darauf hin, dass Tau in der Tat einen wichtigen Beitrag zur jährlichen Wasserbilanz darstellt. Tageshöchstwerte erreichten 0,48 mm. Die getestete Tauwaage-Vorrichtung war in der Lage, die nächtliche Taubildung auf der metallischen Kondensationsplatte zuverlässig zu bestimmen. Im abschließenden Kapitel werden die limitierenden Faktoren für eine nachhaltige Intensivierung der Landwirtschaft in der Untersuchungsregion diskutiert.

Institutions, Behavior and Evolution

The three articles constituting this thesis are for reasons of content or method related to the following three fields in economics: Behavioral Economics, Evolutionary Game Theory and Formal Institutional Economics. A core element of these fields is the concept of individual preferences. Preferences are of central importance for the conceptional framework to analyze human behavior. They form the foundation for the theory of rational choice which is defined by the determination of the choice set and the selection of the most preferred alternative according to some consistency requirements. The theory of rational choice is based on a very simplified description of the problem of choice (object function and constraints). However, that choices depend on many more factors is for instance propagated by psychological theories and is supported by many empirical and experimental studies. This thesis adds to a better understanding of individual behavior to the extent that the evolution of certain characteristics of preferences and their consequences on human behavior forms the overarching theme of the dissertation. The long-term effect of evolutionary forces on a particular characteristic of importance in the theoretical, empirical and experimental economic literature, the concept of inequality aversion, is subject of the article “The evolution of inequality aversion in a simplified game of life” (Chapter 4). The contribution of the article is the overcoming of a restriction of former approaches to analyze the evolution of preferences in very simple environments. By classifying human interaction into three central economic games, the article provides a first step towards a simplified and sufficiently complete description of the interaction environment. Within such an environment the article characterizes the evolutionary stable preference distribution. One result shows, that the interaction of the aforementioned three classes can stabilize a preference of inequality aversion in the subpopulation which is favored in the problem of redistribution. The two remaining articles are concerned with social norms, which dissemination is determined by medium-run forces of cultural evolution. The article “The impact of market innovations on the evolution of social norms: the sustainability case.“ (Chapter 2) studies the interrelation between product innovations which are relevant from a sustainability perspective and an according social norm in consumption. This relation is based on a conformity bias in consumption and the attempt to avoid cognitive dissonances resulting from non-compliant consumption. Among others, it is shown that a conformity bias on the consumption side can lead to multiple equilibria on the side of norm adoption. The article “Evolution of cooperation in social dilemmas: signaling internalized norms.” (Chapter 3) studies the emergence of cooperation in social dilemmas based on the signaling of social norms. The article provides a potential explanation of cooperative behavior, which does not rely on the assumption of structured populations or on the unmotivated ability of social norms to restrict individual actions or strategy spaces. A comprehensive result of the single articles is the explanation of the phenomenon of partial norm adaption or dissemination of preferences. The plurality of the applied approaches with respect to the proximity to the rational choice approach and regarding the underlying evolutionary mechanics is a particular strength of the thesis. It shows the equality of these approaches in their potential to explain the phenomenon of cooperation in environments that provide material incentives for defective behavior. This also points to the need of a unified framework considering the biological and cultural coevolution of preference patterns.