* Lack of awareness of border agents of trade protocols;

* Limited flow of information on border procedures and on how regulatory authorities operate

All the challenges are particularly relevant and affecting for women, which constitute a significant but yet invisible presence in the value chains. This is the reason why trade development agenda cannot ignore the broader value chain framework, as well as the inclusion of gender into value chain development interventions. Several studies show that expanding women's economic opportunities and benefits from more efficient and inclusive agrifood chains, triggers multiplier effects on food and nutrition security, education and health. Women's knowledge, education, social status, health and nutrition, and their control over resources are key factors that affect nutritional outcomes. Making women benefit more from value chains can empower them to make better food, health and care-related decisions for themselves and their households. Enhancing women participation in value chain, which include also trade at different scales, contributes to improved nutrition through three main channels: (i) on the demand side: improving diets by promoting consumption of nutritious food; (ii) Supply side: by improving economic returns, i.e. reducing transaction costs, increasing outputs, sales and profits along the value chain, leading to improved income; and (iii) Demand-supply interface: Improved value chain efficiency (i.e. where output is not only economic but also involves interventions in nutrition and food safety) is expected to have a direct impact on: food availability, quality and affordability, leading to improved nutrition.

## Methodology

This paper is based on the lessons learned from the implementation of field and policy support women small traders in Rwanda, within the framework of the Cross-border Trade Support Initiative led since 2012 by several development partners, including FAO.

Learnings from this experience have resulted in its up scaling by public institutions through a number of initiatives and policy frameworks focusing on incorporating gender into value chain development and cross border trade policies. Also, gender is increasingly becoming a relevant component incorporated into trade development initiatives at different levels.

## Main results

This paper presents some findings and policy recommendations.

*Policy framework: increased acknowledgment of the economic contribution of women in food value chain – both at informal and formal level*

Despite their substantive economic contribution, small-scale women traders are invisible in statistics, policies and regulations and in the GDP of their countries. There is only scarce and reliable data on informal and small-scale cross border trade because of this lack of recognition. The vicious circle of invisibility, informality, and ad hoc application of rules and regulations can only be interrupted when policies are informed by reliable data and information and by the recognition that women small traders create wealth, contribute to poverty reduction, employment creation and regional integration in a considerable way.

*Implementing harmonized trade-policy mechanisms, including those on small-scale and informal trade (i.e. simplified trade regimes)*

Despite the existence of some programmes, initiatives and instruments that support women informal traders, they do not use the available formal systems and structures for most of their transactions. This makes it difficult for regional trade policy initiatives to have significant impact on the informal trade by women. Trade policies should systematically address the specific role, economic contribution and the vulnerabilities of women small traders and target the improvement of informal trade through favorable tax regimes and enforcement of existing simplified trade regulations.
*Raise awareness of current trade regulations – i.e. to informal actors, e.g. women traders associations; producers associations, and customs agents*

Experience shows there are challenges with respect to the application of trade regulations, some of the reference material used for sanitary and phyto-sanitary standards, for example, is either missing or out dated. Small traders, and especially women, are not aware of current regulations, of the documentation needed for export and of the existence of simplified trade regimes, resulting in porosity of borders, ‘un-necessary’ smuggling and growing insecurity.

*Developing a proper legal framework to regulate the organizational structure of women small-scale value chain actors and support them with specific incentives*

To give women small traders more voice and influence, the formation of associations is recommended, to improve access to information and reduce transaction costs. However, when supporting the creation of associations, the potential benefits of formalization versus informal issues need to be carefully assessed. Formalization might have negative implications for women traders and for overall rural economy. Inc entives and support mechanisms should include informal associations among the beneficiaries.

*Developing inter-ministerial one-stop information points at the borders and build capacity to facilitate their use*

Flow of information on documents required, custom laws and standards is very limited, contradictory and time-consuming. One stop border posts are being piloted in several countries, especially in Eastern and Southern Africa, to ease trade at the border, reducing the time required for inspection and clearance procedures. Where one-stop shop are at an advanced stage, it still requires substantive amount of document to fill, resulting in time-consuming and often inaccessible information, being most of the procedures and forms available on-line, with challenges for small-scale women traders above all.

**Concluding remarks**

The importance of including small-scale trade into value chain development strategies has often been overlooked, especially due to a lack of data and information on the economic and social role it can play. Also, the contribution women make to poverty reduction, food and nutrition security and economic growth remains often invisible and neglected in substantive policy formulation. The role of women in the overall value chain development and the multiplier effect gender-sensitive policies can play is slowly, but increasingly, informing development initiatives in value chain development and regional integration, as shown by the case-studies presented in the paper. Specific focus will be given to the evidence driven from Rwanda initiatives to support women small traders and implement gender-sensitive value chain interventions in different subsectors.
# Inclusive and efficient value chains

Maximo Torero<fnref n="1" />

Millions of low-income people, a large proportion of whom are women, participate in agricultural value chains as producers, small-scale traders, processors, and retailers. Many millions more, including the great majority of the developing world's poor, participate in value chains as consumers. Small farmers, women, young people, and members of marginalized groups often face barriers to participating in value chains. These barriers reduce the degree of commercial engagement of these actors, and diminish prospects for income growth (Singh, Squire, and Strauss, 1986; Fafchamps and de Janvry, 1991; Omamo 1998). When participation is fairly inclusive but the value chain is performing poorly, for example by generating high transactions costs, the benefits of participation are diluted. Improving the efficiency (that is, reducing the cost of moving products along value chains) and inclusiveness of agricultural value chains is therefore a centerpiece of many efforts to meet the SDGs on poverty and hunger.

Over the past 10-15 years, many analyses of the performance of specific value chains have been undertaken. Interventions to improve efficiency and inclusion have been designed and implemented by governments and their development partners and private firms (Seville et al. 2011; Vorley et al. 2012; Donovan et al. 2008; Gereffi et al. 2005; and Miller and Jones 2010). This growing body of work has not achieved the desired impact for several reasons. The choice of value chains studied and of interventions to improve them is not systematically informed by prioritization to assure that they are of high priority for large numbers of poor smallholders. Interventions are not always rigorously tested or analyzed for scalability, and hence M&E frameworks may lead to erroneous conclusions about prospects for impact. This paper aims to bring evidence on how this challenges can be resolved. We will present different innovations on how value chains can become more inclusive an efficient through proper targeting by using a typology of micro regions developed through stochastic frontiers with specific examples for Ghana and Mozambique. The typology can then be combined with detail value chain surveys to identify specific interventions needed at the node of the value chain optimizing resources and maximizing the potential for impact on poverty through a more effective scaling-up strategy. We will also show how interventions on contract farming and farmer associations can then help to resolve the barriers to participation and improve efficiency.

<footnote n="1">1. IFPRI, Washington DC, USA.</footnote>
# Assessing equity in value chains through a participatory guide to business models that link smallholders to markets: insights from LINK application across diverse value chain settings

Mark Lundy<fnref n="1" /> and Matthias Jager<fnref n="1" />

Value chain initiatives occupy a key space in current rural development discourse as donors and practitioners seek to leverage market mechanisms to achieve poverty reduction. Increased efficiencies and economies of scale constitute the central focus of these interventions with the assumption that these gains underpin processes of positive, sustained change for the poor. A value chain for development (VCD) or market systems approach engages an inherently complex system at a relatively high level of abstraction seeking to identify leverage points for lasting change. While useful in providing an overview of system dynamics, constraints and enabling factors, these assessments fail to assess more micro considerations more useful and actionable for specific development interventions.

Fostering equitable trading relationships between farmer organizations and formal markets is one of the principal goals of inclusive value chain development. This presentation deconstructs the value chain development approach to focus on the quality of business relationships between specific actors through an inclusive business model lens. The presentation introduces four key tools of the LINK methodology (value chain map, business model canvas, new business model principles, and the prototype cycle) and presents case study results based on tool application and adaptation by development practitioners in Nicaragua and Honduras. Evidence comes from 12 cases applied by three development organizations in vegetables, cocoa, corn, passion fruit, beans, honey, dairy and meat value chains. The presentation focuses on how an inclusive business model lens assists in identifying intervention points to align incentives between value chain actors, how to measure inclusion from the producer organization and buyer perspective and how to assess improvements in commercial relationships.

Results indicate that an inclusive business model lens assists in the identification of strategies that deliver improved results in terms of alignment between value chain actors, quality and sales volume and, in some cases, greater inclusion of women in decision-making processes. In some cases the approach has led to replication by private sector actors. The presentation concludes by indicating the need to track the gains of more inclusive business models over time to assess household impacts and longer-term business and value chain influences.

<footnote n="1">1. CIAT, AA 6713 Cali, Colombia.</footnote>
# Household asset endowments and implications for inclusive value chains

Jason Donovan<fnref n="1" />

Despite the considerable investment by NGOs, donors, and development agencies for facilitating small-
holder links to high-value agricultural markets, few studies have documented the impact of improved
market access on poverty, gender, or the environment. Project assessments generally have relied on a few
generic impact indicators (e.g., output per acre, size of holding, income gained) and thus have provided
limited understanding of the determinants of household participation and the benefits across different
types of households. Deeper insights into how smallholders benefit from linkages to high-value markets
can be obtained by adopting a livelihoods perspective, with special emphasis on households' assets and
the ability of households to build their endowments over time. The *5Capitals* methodology (Donovan
and Stoian 2012) provides an asset-based framework for the assessment of outcomes from value chain
interventions with smallholders. The tool explores how variations in households' endowments of live-
lihood assets, namely natural, human, social, physical, and financial capitals, shape the capacity of
smallholders to participate in and benefit from value chain interventions. This presentation examines
an application of the *5Capitals* methodology in Nicaragua, which focuses on smallholders' capacity to
exploit new linkages to certified coffee markets. Data on assets were collected from 292 households,
which were clustered to test how differences in outcomes (asset building) reflect variations in initial
asset endowments. The results suggest that most households built particular elements of their asset base
and increased their resilience to future shocks. However, households struggled to make effective use of
the gains for intensifying their livelihoods. Of the least-endowed households, few made investments in
the scale or productivity of coffee, and most continued to depend heavily on subsistence production and
seasonal off-farm income for survival. In conclusion, improved market access alone, even under rela-
tively favourable market conditions and with considerable external support, will have uncertain impacts
on rural poverty if the underlying constraints on household assets and investments are not addressed
concurrently.

<footnote n="1">1. ICRAF, Lima 12, Peru.</footnote>
# Gender equity in value chain and livelihoods development: innovative approaches and tools

Dietmar Stoian<fnref n="1" />

Over the past decade or so, value chain development (VCD) has been promoted by public and private sector and civil society organizations as one of the principal approaches to rural poverty reduction. Underlying most approaches is the assumption that poor smallholders are prepared for participating in VCD, and that investment of their family labour and other resources in value chain activities will lead to lasting livelihood improvements. Thorough scrutiny of diverse VCD initiatives shows, however, that endowments with livelihood and business assets among smallholders and the small and medium enterprises (SME) linking them with downstream value chain actors vary widely, and households and enterprises below certain asset thresholds struggle to become 'value chain ready'. This requires differentiated approaches to VCD that account for varying asset endowments and the diversity of smallholder livelihood strategies. There is also growing evidence that gender-differentiated access to assets in smallholder households may allow some household members, particularly medium-aged men, to more readily respond to and benefit from VCD initiatives. This is a particular challenge for VCD approaches that seek to promote gender equity.

This presentation focuses on innovative tools that facilitate the design, implementation, and M&E of gender-responsive VCD. It acknowledges the inherent tension between the specialization fostered through VCD and the diversification of smallholder livelihoods in response to diverse risks and opportunities. The tools presented account for the fact that the access to and control over resources, labor division, income generation, and overall decision making in smallholder households and SMEs are differentiated by gender and age. They highlight the gender dimension for three critical aspects of VCD: 1) participatory approaches to VCD, 2) design of inclusive business models, and 3) assessment of poverty impacts of value chain development.

Particular emphasis will be put on the 5Capitals-G methodology, an asset-based approach to gender-responsive value chain development that facilitates both the establishment of a baseline at the onset of VCD and periodic assessment of outcomes and impact. Drawing on findings from case studies in agri-food and tree-crop value chains in Latin America, Africa and Asia, gender-differentiated options for asset building at household and enterprise levels are presented, with links to gender-responsive design and implementation of participatory value chain development and inclusive business models.

<footnote n="1">1. Bioversity International, F-34397 Montpellier, France.</footnote>
# Innovation for inclusive value-chain development, successes and challenges

André Devaux<fnref n="1" />

With growing pressures for agricultural programs to achieve greater and more sustainable poverty impacts, in less time and with fewer resources, greater attention is being paid to valuechain development (VCD). In recent years, many programs have experimented with value chain development approaches. It is inherently complex to design and implement interventions that involve small businesses and the rural poor, and results have been mixed. There is urgent need to learn from experiences how to improve the design of VCD interventions.

This presentation will present results of a review of cases involving recent work associated with CGIAR and its partners in Africa, Asia, and Latin America, which has been published in book form. We will discuss emerging issues and policy implications, and identify knowledge gaps and priorities for future applied research and evaluation related to agricultural value chains and sustainable development. The chapters in the book deal with many aspects of agricultural innovation and VCD in different geographic, social, economic, and institutional contexts. The papers assess the opportunities emerging from new and expanding markets for agricultural produce and identify challenges to smallholder participation in these markets and the resulting benefits. They illustrate how interventions have fostered agricultural innovation and inclusive value-chain development, and the extent of their impacts. They also highlight the need for incorporating learning-oriented monitoring and evaluation into VCD interventions

The book identifies a number of priorities for future research to advance inclusive VCD, which can be summarized in five points: methods for implementing asset-based approaches to valuechain development; platform membership, management, assessments and facilitation; evaluation approaches and testing of action and change models: upscaling; and application of a “gender lens.

<footnote n="1">1. CIP, Lima, Peru.</footnote>
# Measuring and simulating trust in value chain development

Christine Plaisier<fnref n="1" />,<fnref n="2" />,<fnref n="3" />

Fostering of inclusive business is a recent approach to alleviate poverty in developing countries. Inclusive business is to be understood as sustainable and commercially viable business that involves low-income communities in value chains, in a way that is benefitting them. NGOs develop inclusive business in public-private partnerships with firms that have interests in reliable local supply. In such partnerships, there are issues to be solved like the high transaction cost for firms sourcing from large numbers of poor suppliers, the cost of logistics, the firms’ trust in the suppliers’ capacity and commitment to the relationship, the suppliers’ trust that firms will accept their produce and pay as promised, and the availability of knowledge, capital, and inputs to the suppliers. NGOs and firms are assumed to have complementary capacities and resources to solve these issues.

New impact assessment approaches are required to evaluate public-private partnerships aiming at supply development. Topics to be measured include changes in farm income and transaction cost, and behavioural change in value chain relationships. The research reported in the present paper has focussed on an agent-based simulation, as part of a project developing a value chain laboratory for impact assessment of supply development programmes. In the concept of the value chain laboratory, the agent-based simulations mirror simulation games with actual value chain participants, following the symbiotic gaming and agent-based simulation approach as proposed by Tykhonov *et al*. Thus, an environment is offered where data can be gathered, hypotheses about the processes can be tested, and alternative regimes can be experimented with.

The research is conducted in the context of a programme called 2SCALE (Toward Sustainable Clusters in Agribusiness through Learning in Entrepreneurship). The goal of 2SCALE is to improve rural livelihoods and food and nutrition security in nine African countries. To this end 2SCALE forges public-private partnerships, with private partners varying from local producer organisations and SMEs to large-scale companies such as seed companies, processors, and trading companies. The approach is based on (1) formation of agribusiness clusters – local networks between the producers themselves and with service providers – to improve competitive intelligence and bargaining power, (2) integrating the agribusiness clusters in value chains, with backward linkages to input supply chains and forward linkages to food supply chains, and (3) enabling fair business environments with better access to information and finance, in particular for the weaker actors.

<footnote n="1">1. Tim Verwaart, The Netherlands.</footnote>

<footnote n="2">2. Youri Dijkxhoorn, The Netherlands</footnote>

<footnote n="3">3. Coen van Wagenberg, The Netherlands.</footnote>
## Session 11

Linking global value chains and territories: conceptual insights for understanding and ensuring sustainability at different scales
# Agri-chains and territories "zero-deforestation": what role for the payments for environmental services?

Alain Karsenty<fnref n="1" />

Strategies against deforestation are evolving. While uncertainties about funding and modalities of REDD+ are growing, private actions are multiplying, especially on the side of big agribusiness subject to pressure from environmental NGOs and consumers. More than 80% of deforested land is used for agricultural purposes. Industrial agriculture is responsible for two thirds of deforestation in Latin America and for one third in Africa. In addition to their direct responsibility, firms are also involved in deforestation caused by small producers. They are supporting the diversification of production systems towards perennial crops (oil palms, cocoa) through contracts with or monitoring of producers via the cooperatives that supply them.

## Voluntary commitments

Since 2010, the major transnational food companies, especially for palm oil, which are criticised by environmental organisations, have been encouraged to cut out of their supply chains any products derived from deforestation. Some 20 companies committed to sourcing deforestation – free palm oil, such as the Indonesian Wilmar, one of the leading global producers. Some states – Indonesia, Côte d'Ivoire – pledged to support companies' efforts to eliminate from their supply chains agricultural products derived from deforestation.

Companies' zero deforestation commitments are becoming a new tool for mobilisation, whereas the hopes raised by REDD+ (Reducing Emissions from Deforestation and Forest Degradation in developing countries) are now fading.

However, these voluntary commitments are difficult to implement and to verify, especially when supply chains are comprised of a large number of small producers.

First of all, the concept of zero deforestation remains ambiguous. It implies agreement on the definition of a forest, especially on the minimum forest cover threshold per unit area and on canopy height. Next, how can consumers be sure the products they buy are zero deforestation if these products cannot be accurately traced from the original plot because there is no reliable cadastre? The clarification of land rights and the implementation of a georeferenced land information system in rural areas are therefore prerequisites.

Moreover, the zero deforestation targets imposed by companies are often too restrictive for small producers. This is reflected in the steps taken by producer organisations in Indonesia and Malaysia: they have asked palm oil companies to abandon their commitments and to adopt less binding objectives, on the grounds that small producers are unable to meet these requirements. Without additional long-term support for small producers to enable them to meet the demands of these firms, the zero deforestation commitment will be compromised.

Finally, it would be a mistake to think that even if firms are in a position to guarantee the effectiveness of their commitments, they can succeed in reversing current deforestation and degradation dynamics. Indeed, any given territory faces numerous factors of deforestation and, more generally, of environmental degradation, and managing one factor may lead to the development of another. Controlling production conditions for farmers in one sector does not mean that all drivers of degradation are controlled – other agricultural or pastoral production systems, charcoal production, and timber harvesting. In other words, a zero deforestation approach in one or more organised sectors could be accompanied by continued environmental degradation in a given territory. It is therefore necessary to act not only in supply chains, with firms and producers, but also in territories, with the communities living there.

<footnote n="1">1. CIRAD, UPR Forêts et Sociétés, F-34398 Montpellier, France.</footnote>
## PES as public policy tools

How can these obstacles be overcome? Payments for environmental services (PES) can provide an instrument for decoupling agricultural development and deforestation, in the sense that they provide a direct incentive to change practices or to engage in conservation.

PES are written contracts, whether individual or collective, that are voluntary and conditional (payments are only made once the service provided has been reported). Most PES reward people for a certain type of land use, in other words an environmental service provided by users, a use or service associated with the quantity and quality of an ecological service provided by nature. The distinction between land use-restricting PES and asset-building PES is well established. Individual PES reward people for a certain type of land use, in other words an environmental service provided. Collective PES reward communities for preserving the ecosystems in their territory in the long term.

Combining these two types of PES would make it possible to overcome the obstacles described: asset-building PES would support small producers in the adoption of agro-ecological practices; and collective PES would finance communities to preserve their territory.

As mentioned above, firms will only be able to fulfil their commitments if small producers implement ecologically intensive agrosilvopastoral systems, which will also enable them to increase their income and to avoid encroaching on the natural ecosystems still available. This would require financial support to promote innovation and to encourage land users to plant trees and hedges or to restore degraded areas. Payments could be based on the labour costs invested (agricultural minimum wage, for example), although variable payments according to the species planted or the areas in which these operations are conducted could be possible.

These asset-building PES will guide developments in agrosilvopastoral practices and will help to increase the resilience of agricultural systems in a context of changing climate and environmental conditions by contributing to the diversification of crops and activities and supporting the reintroduction of trees into monocultures (for example, establishing agroforestry systems in order to also produce shade cocoa).

In addition, collective PES will be implemented at the local level to restrict certain land use rights: in exchange for regular payments, users will waive some of their rights, whether real or deemed legitimate locally. A collective dynamic will thus be created supporting commitments for a given use of the territory, for the construction of a sustainable territory or for zero deforestation, depending on the case. In order to plan or locate new perennial plantations, participatory zoning of territories could be developed. This could be based on two indicators: High Conservation Value (HCV), which distinguishes between forests according to criteria such as biodiversity or their socio-cultural role; and High Carbon Stock (HCS), which differentiates between forests which even when disturbed still provide ecosystem services, and highly degraded forests, which can be converted to agricultural plantations.

Indicators of the environmental quality of the territory will also be discussed with populations. PES could help to finance environmental quality improvements that depend on collective action – for example delimiting village lands by means of collective tree planting – and to provide collective advantages (land security through the demarcation or registration of individual plots, drinking water supply, storage facilities, rural roads, schools, dispensaries, etc.) by making them conditional on the maintenance or improvement of environmental quality, which is measured and acknowledged together with the community.

Combining individual asset-building PES and collective land use-restricting PES would create compulsory solidarity (that would also be necessary to achieve efficiency) to guarantee conservation. Establishing the conditional, tied nature of payments (if the collective conservation contract is terminated, individual contracts will suffer the same fate) would help to limit the risks of free riding through the exertion of social pressure.
Implementing a system of this kind requires substantial public involvement, for example to identify and map the individual plots on which farmers will fulfil their contractual obligations. The approach adopted could be that of the rural land use plans (georeferenced cadastral information, with the identification of plots and right holders, and an indication of the exact nature of individual and collective rights).

Financing through innovation

How can a mechanism of this kind be financed? For their zero deforestation commitments to become effective, companies must support the family farmers under contract to enable them to comply with the specifications established, which requires contributions to financing their training and basic investments (nurseries, etc.). However, substantial public investment is also required. Although international finance in the name of climate mitigation or development assistance can be mobilised, a national financing base would shield this programme from the vagaries of international funding.

To ensure sufficient, long-term financial resources, it is possible to use a fee mechanism with a very broad base and low rate, with fees earmarked to the PES programme. This would not be environmental taxation (the principle of which is to tax pollution in order to reduce it), but a yield-oriented tax whose proceeds are allocated to financing a public good: environmental quality improvement in rural territories (through the reintroduction of trees into cropping systems). A broad base means that fees must be applied to as many supports as possible, provided this is socially and therefore politically feasible. This is the condition on which the fee levels can be low enough to be relatively insensitive for the consumers. Indeed, contrary to an eco-tax, the goal of this type of fee is not to reduce consumption of its support (or to increase it), as this would reduce its yield and jeopardise the financing of the PES programme.

Several supports are possible: telephone units (a slight increase in the cost of call seconds); bottled drinks (beer, other alcohol, soda, mineral water, etc.); sporting bets, lotteries (levies on bets and tickets); car tax (increase allotted to the PES programme); water distributed by public networks (likewise); and fuel distributed in service stations (likewise). Companies and distributors would simply collect fees, which would be set by the government and applied in a general, uniform manner. The burden of the fee would fall on final consumers, as with VAT, to ensure its introduction does not distort competition between companies in the different markets.

A system of this kind could soon be implemented in Côte d'Ivoire. This country is basing its REDD+ strategy on decoupling agricultural development and deforestation. The first stage will involve setting up pilot PES systems in certain companies' supply areas, in order to form partnerships with the private sector and to test different aspects of PES mechanisms. These pilot projects will serve to analyse different components and methods, and lessons will be drawn from them before proposing a national programme. This change of scale requires the emergence of a reference national operator with staff trained in the pilot mechanisms. Companies will need to confirm their zero deforestation commitments and to contribute to financing asset-building PES. The government will also need to fulfil its environmental commitments by introducing fees allotted to the national PES programme. This would increase the credibility of policies aimed at promoting a green economy, credibility which should be the basis of substantial financial support backed by development partners and specialised institutions such as the Green Climate Fund.
# Vulnerability and resilience modelling
for sustainable food systems

Paolo Prosperi<fnref n="1" />,<fnref n="2" /> and Thomas Allen<fnref n="3" />

## Introduction

The latest FAO estimates indicate that approximately 800 million people are chronically undernourished worldwide (FAO, 2015). Concurrently, more than 2 billion people are affected by malnourishment related to unhealthy food consumption and dietary trends, which is reflected in the spread of food-related diseases like obesity and nutrient deficiency (Ng et al., 2014). At the same time food production and consumption exert a huge impact on the environment and are significant sources of green house gases. Furthermore, agriculture is responsible for 70% of water withdrawal (FAOSTAT, 2012) and represents a main driver of deforestation and biodiversity loss. Food systems rely on physical resources such as land, water, biodiversity, and fossil fuels which are becoming ever more fragile and scarce. Efforts need to be focused on the creation of food systems that are more efficient in the use of resources and reduce food waste, at every stage, from primary production to transformation and consumption (UNEP, 2012).

Recurrent food crises and global change – along with habitat loss and micronutrient deficiencies – placed food security and environmental sustainability at the top of the political agenda. The analysis of the dynamic interlinkages between food consumption patterns and environmental concerns recently received considerable attention from the international community (FAO & Bioversity International, 2012). Interconnected environmental sustainability and food and nutrition security topics, and the debate about strengthening the links between food, health, and environmental research, are gaining increasing intensity (Freibauer et al., 2011).

The sustainability of food system is at risk, with socioeconomic and biophysical changes affecting the food system functions, including food and nutrition security. Building sustainable food systems has become a key effort to redirect our food systems and policies towards better-adjusted goals and improved societal welfare. Food systems involve multiple interactions between human and natural components. The systemic nature of these interactions calls for systems approaches and integrated assessment tools. Identifying and modeling the intrinsic properties of the food system can help tracking progress towards sustainability and setting policies towards positive transformations (Fanzo et al., 2012).

Understanding what needs to constitute the assessment of the sustainability of food systems and diets is key for providing decision – and policy – making with knowledge of action, and having a systemic rationale and a framework to build a metric system is indispensable (Fanzo, 2014). It is then necessary to investigate the impact of the determinants on the sustainability of diets and identify the appropriate tradeoffs related with recommendations and actions towards the sustainability of the food systems (Johnston et al., 2014).

## Aims

This work aims at identifying the main variables to formalize and operationalize the abstract and multi-dimensional concept of sustainable food systems, and to define the food system characteristics and fundamental systemic properties that make the food system capable of sustaining food and nutrition security outcomes. Building on dynamic system theory, we suggest a formal representation of the overall food system to structure its different elements; clarify the distinctions between input, state, and output

<footnote n="1">1. Università di Pisa, I-56124, Pisa, Italy.</footnote>

<footnote n="2">2. CIHEAM, IAMM, F-34093 Montpellier, France.</footnote>

<footnote n="3">3. Bioversity International, F-34397 Montpellier, France.</footnote>
variables; and formalize the scale at which system dynamics are operating. Then, we present a step-
wise application of the model, identifying specific drivers and issues for the Latin Arc and formulating
explicit interactions.

Methods

Through a broad understanding of sustainability, the methodological approach of this work builds on the theories of vulnerability and resilience. Following the steps of the global change vulnerability assessment, a causal factor analysis is presented at a transnational and subregional level concerning three Mediterranean countries, namely Spain, France and Italy. Formulating “what is vulnerable to what” hypotheses, a set of causal models of vulnerability were identified.

Vulnerability – as the degree to which a system is likely to experience harm due to exposure to a perturbation or stress – is a function of exposure, sensitivity, and resilience (IPCC, 2012). The Turner *et al.*’s (2003) vulnerability/sustainability framework is one of the most quoted integrated conceptual models for vulnerability assessment (Gbetibouo *et al.*, 2010). Exposure, sensitivity and resilience provide the concepts to identify the system’s properties that shape a causal pathway towards food system’s outcomes (Prosperi *et al.*, 2014).

Vulnerability per se is considered unobservable; since it does not express an observable phenomenon it is a theoretical concept that cannot be measured (Patt *et al.*, 2008). Thus, before measuring vulnerability it is necessary to make the concept operational, providing a method for framing it into observable concepts. The general framework of Turner *et al*. (2003), for social-ecological systems, was then adapted to the food system framework of Ericksen (2008), fostering the operationalization of the theories of vulnerability and resilience through a set of causal models and the combination with literature review.

Results

A conceptual hierarchical framework was identified for modeling the complex relationships between food and nutrition security. A feedback-structured framework of the food system formalized eight selected causal models of vulnerability and resilience and identified intrinsic properties of the food system, shaping the interactions where a set of drivers of change directly affect food and nutrition security outcomes at a subregional level. Each interaction was disentangled in exposure, sensitivity and resilience (Figure 1).

The understanding of the food systems as social-ecological systems helped answering questions about the sustainability problems that affect the functions of the food system (Food system framework: Ericksen, 2008). Food and nutrition security is considered the principal outcome of any food system and is a multidimensional concept and relies on the several properties and activities of food systems (Ingram et al., 2010). Various elements of food systems are altered by – and actively impact – the socioeconomic and environmental conditions of the system across local, regional and global levels. These interactions are featured by – and bring with themselves – high uncertainties, that can be explored through a vulnerability and resilience analysis, being vulnerability the propensity or predisposition of a system to be adversely affected by a change (IPCC, 2014). Food systems can be vulnerable, and resilient, to a set of stressors (Adger, 2006) such as environmental pressures, socioeconomic instabilities and institutional and policy factors (Vulnerability framework: Turner et al., 2003; Ericksen et al., 2010). A food system is considered vulnerable when it fails in delivering one or many of its intended outcomes, because of even small stresses that might bring to significant social-ecological consequences (Adger, 2006; Eakin, 2010). Fulfilling the food system outcomes remains challenging because of socioeconomic and biophysical stressors affecting the food system. Food systems are then considered social-ecological systems that comprise biophysical and social factors linked through feedback mechanisms (Ericksen, 2008).

This approach proved helpful for a general causal analysis of the vulnerability of the food system
outcomes at a regional level, in the Mediterranean area. Several global and regional drivers of change
affect the structure and processes of the food systems (Brunori et al., 2009) putting at risk context-specific food and nutrition security outcomes (Ericksen, 2008). The research targeted the identification of the main variables to formalize and operationalize the abstract and multidimensional concepts of sustainable food systems. A feedback-structured framework of the food system, combined with a large literature review, helped formalize eight causal models of vulnerability and resilience, and identified intrinsic properties of the food system, shaping the interactions where four external drivers of change (Water depletion; Biodiversity loss; Food price volatility; Changes in food consumption patterns) directly affect food and nutrition security outcomes at a subregional level (Nutritional quality of food supply; Affordability of food; Dietary energy balance; Satisfaction of cultural food preferences) (Brunori et al., 2009; Brunori & Guarino, 2010; Freibauer et al., 2011; HLPE, 2011; Ingram and Kapadia, 2010; Kearney, 2010; PARME, 2011; UNEP, 2012; UNSCN, 2000; UNWATER, 2014; WHO, 2014).

The challenge for social-ecological system frameworks analysis, here, was to identify the pathways leading to vulnerability, and the characteristics and opportunities ensuring resilience of the food system in a context of change. The identification of a causal pathway (adapted from Metzger and Schroeter, 2006; Fussel and Klein, 2006) allowed locating the role of the three variables of exposure, sensitivity, and resilience. Exposure represents the first point of contact between the perturbation and the system. The understanding of exposure, as interface with a specific driver of change, helps differentiating it from the sensitivity or resilience components, which might be influenced by other drivers of change. Building on the GECAFS food systems approach (Ericksen, 2008; Ingram et al., 2010), coupled with Turner et al.'s (2003) conceptualization of vulnerability, the suggested framework represents the modeling of food systems' dynamics, with feedback from outputs to inputs. The three components of vulnerability are the intrinsic features of the system that mediate the impact of the drivers of change on the food system's outcomes. In particular, these sets of characteristics are indicating how changes in water, biodiversity, food prices and food consumption patterns are transmitted through the food system, including the sequence of events and the scale of interactions; how the food system is sensitive to these changes; and the subsequent adaptive capacity of the food system.

## Conclusions

Understanding the causal mechanisms that regulate the interactions between drivers of change and vulnerable food and nutrition security issues can help analyzing and interpreting available information, developing metrics, and anticipating new hazards and changes. The investigation on causes, effects and response to socioeconomic and biophysical changes can provide analytical tools to further understand the problems that affect the sustainability of the food system.

Building on Social-Ecological Systems frameworks, the Mediterranean Latin Arc presents several socioeconomic and biophysical drivers of change making the food system vulnerable in its functions. Several causal models of vulnerability were identified, describing the interactions where drivers of change directly affect food and nutrition security outcomes, disentangling exposure, sensitivity, and resilience. The further operationalization of the theories of vulnerability and resilience, through an indicator-based approach, could contribute to additional analyses on the socioeconomic and biophysical aspects and interlinkages concerning the sustainability of diets and food systems.

This study wants mainly to fill the theoretical and methodological gaps that are generally beneath a numeric assessment of sustainable diets and food systems. However, further food systems' outcomes could have been studied, such as environmental and socio-economic outcomes related to employment or equity. Food systems, in fact, are responsible for various environmental, economic and social outcomes. The set of food systems' outcomes and defining elements could be extended to other dimensions to further develop the modelling approach. Further current key socioeconomic and biophysical changes acting on the food systems, and additional food and nutrition security problems specific to the Latin Arc – as well as for the larger Mediterranean region – can be explored.
In conclusion, food systems are systems of variables connected to each other through causal pathways operating at different geographical or time scales. It is, therefore, desired to develop interventions that treat the underlying causes, rather than the symptoms of the unsustainability deriving from food systems, and the concepts of vulnerability and resilience can bring food security into consideration in a different way than in the past. Through the vulnerability and resilience theories and approach it is suggested to capture the food system as a whole, think prospectively and identify the system elements that policy can control or mitigate. The distinction in three components – exposure, sensitivity and resilience – allows the model specifying which attributes need to be measured and how to structure the different indicators in a coherent assessment framework for improved decision-making and policies for sustainable food systems.
# Assessing the potential of territoriality
in advancing agricultural and rural development

Valerie Nelson<fnref n="1" /> and Julian Quan

## Sustainable landscapes and agri-supply chains:
Exploring territorial and land governance dimensions
Introduction

This paper presents findings of preliminary research on the potential of emerging policy approaches to sustainable forest and agrarian landscapes to deliver scientific and policy goals. We explore the proposition that effective land governance is fundamental to sustainable agri-food chains. We review the potential of current non-state market initiatives and hybrid approaches to value chain governance to respond to multiple interests, in the context of current global policy and market drivers.

We argue that for food security, sustainable environmental services and inclusive, broad-based economic development, territorially grounded approaches to development are needed. We outline a research agenda to support operationalisation of land governance at a landscape or mesoterritorial scale, alongside other pertinent policy and practical measures.

### Background and Rationale

We identify three key global policy drivers of current approaches to land and agri-chain governance:

* The Sustainable Development Goals (a clear framework for governments/all stakeholders to respond to major global environmental and social challenges).

* New Climate (or Green) Economy (Efforts to strengthen corporate responsibility in reducing climate risk, improving carbon capture, maintaining other environmental services).

* Shift of emphasis in rural development from livelihoods oriented approaches focused on small farmers and rural poor to commercial agriculture, with interest in large scale inward investment, land rush processes.

There is an emerging global consensus on principles of tenure governance and responsible investment in agri-food systems (Voluntary Guidelines on Governance of Tenure [VGGT; CFS & FAO 2012]; the World Committee for Food Security Guidelines on Responsible Investments in Agricultural Supply Chains, or CFS-RAI [2014]). Land rights are closely related to human rights. Land is increasingly recognised by corporate investors as a key element of Environmental,

Social and Governance risk. Current policy discourse emphasizes private sector responsibility and private standards/global instruments in ensuring corporate land investments "do no harm" to established, legitimate land rights in situations of weak legislation and/or enforcement or as part of hybrid governance. Multiple dimensions of "inclusive" agri-business receive widespread attention in public and private sectors (GDPRD 2016), but land rights feature relatively weakly in vertical value chains and specific commodity sectors discourse, largely detached from place. Aims and Methodology

Our research aims to address a inter-related questions:

* How can value chain initiatives move beyond the chain to better address landscape and sectoral initiatives? How do value chain initiatives shape land governance processes? What extra-territorial factors influence local outcomes?

* What combinations of governance instruments are capable of fostering more sustainable landscape management /more inclusive economic development? How effectively do such innovations address

<footnote n="1">1. University of Greenwich, Natural Resources Institute, Chatham, Kent ME4 4TB, United Kingdom.</footnote>
livelihood, justice and power issues?

* How can land and agribusiness investment assist in strengthening land and NR governance at a landscape/territorial scale, while contributing to more locally driven agri-food systems? What can alternative investment models, public policies and land governance approaches contribute?

Preliminary findings are outlined, based on literature review post-2004, covering thematically inter-related, academic and grey literatures on land governance and investment, landscape and territorial approaches, global value chain governance, and standards, forest risk commodities and zero-deforestation. Multiple combinations of key terms and a 'snowball' approach drawing on previous research / ongoing engagement in international donor supported initiatives on land forest governance and responsible business were used to identify relevant literature.

## Findings

The post-2008 “Land Rush” is partly explained by agribusiness drives for greater control over security of supply/strengthening competitive advantage, in context of rising global demands for food and energy, resource competition, and increasing climate risk (Cotula 2012). Governmental power over productive resources has lessened. Emphasis has fallen upon diverse non-state governance mechanisms, linked to established initiatives (e.g. private standards and certification, commodity roundtables, geographical indications, payments for environmental services) (Lambin et al. 2014).

The process of globalization (outsourcing of production, processes of market concentration) and governmentality of associated non-state market initiatives has created new extra-territorial power relations shaping local processes (Tallontire et al. 2011). The rise of non-state market mechanisms in **global value chains** has occurred as different actors have sought to advance sustainability, but questions arise as to how sustainability issues are framed, by whom, with what ideological basis, in whose interests (Nelson and Tallontire, 2014). There is significant market penetration of private standards in several sectors, but impact analysis of sustainability standards has shown mixed results/clear limits to effectiveness without complementary measures (Nelson and Martin, 2013). UNRISD research (2016 forthcoming) on social and solidarity economy finds that mainstream responses tend to result in piecemeal and incremental reforms. Emergent **sector transformation theory** focuses on the current status of national productive sectors and their evolution over time (Simons, 2004; Aid Environment, 2016), but does not fully address diverse stakeholder interests.

**Land governance** has taken a vertical, top-down “flow-based”-turn related to investment projects, stakeholder uptake of agreed global sustainability and human rights standards and corporate reporting across supply chains (CFS & FAO 2012; CFS 2014, OECD 2016), to the neglect of territorialised aspects, risking neglect of food production and other landscape dimensions (Sikor et al. 2013). Nevertheless research by Jayne et al. (2014) identifies concentration of agri-investment in Africa in high population areas, growing prevalence of small-medium scale and domestic investors, and constraints on smallholder intensification and absorption of surplus rural labour. Land Matrix (2016) reports a tail-off in numbers of land deals and total area covered by investments but ongoing consolidation of large scale projects, with more information on potential impacts and risks for local communities and small-scale producers.

There is much criticism of current donor, corporate and governmental approaches from social movements / peasant studies perspectives that focus on agrarian political economies, indigenous and community rights and livelihood strategies. They propose alternatives founded on secure land rights, principles of food sovereignty, and agro-ecology. For those already integrated in value chains, improvement of the terms on which they are integrated is the priority question (Ros Tonen et al. 2015). In some sectors market concentration has increased agribusiness control over global value chains and land fragmentation leads to calls for more concentrated farms – both problematic for smallholders. Current policy debates risk polarization and much analysis inadequately addresses roles for national / local governments, community and farmers’ organisations, business and civil society in local/regional collaborative efforts.
The expansion of Commodity Roundtables particularly for forest risk commodities and corporate commitments on zero deforestation, signal potential shifts in the global governance of environmental impacts. However, roundtable initiatives alone do not protect against insecure tenure, or address changes affecting people beyond the supply chain itself (Fortin and Richardson 2013). Debates on agri-chain governance, sustainability standards and responsible business tend to emphasize vertical, single commodity approaches and inadequately address people-centred development / the root causes of unsustainable production and trade.

A **landscape focus** has taken centre stage in international development / conservation policy circles, notably via the Global Landscapes Forum, which mobilizes investment to better balance conservation and development / meet diverse stakeholder interests. A focus on *climate risk* tends to emphasise biophysical dimensions and trade-offs between land use change, productive development, resource conservation, environmental services, carbon capture, contributing to a spatial turn in analysis. There are growing efforts to understand the systemic biophysical dimensions of landscape change and governance responses, including the environmental consequences of agriculture / other investments. *Forest literature* remains strongly focussed environmental issues including deforestation, biodiversity, carbon stocks and environmental services, with little attention to weaknesses of land governance and institutions (Byerlee and Rueda 2015).

Companies, standards organisations and donors increasingly recognize that achieving sustainable production requires tackling social and environmental issues beyond individual farms. *Hybrid governance approaches* involve: Articulated public – private actions; Governance instruments across scales; Potentially stronger regulation by states / international institutions; Greater consumer power; Civil society advocacy (Bernstein and Cashore 2012, Dauvergne and Lister 2012, Lambin et al. 2014, Meyfroidt et al. 2013). Emerging *jurisdictional approaches* to landscapes/agri-chains (Denier et al. 2015) encourage: Stronger roles for devolved local government; National legal or commodity-based reforms: the institution of territorially negotiated land use rules. Instructive experience is emerging in the oil palm sector, SE Asia.

*Territorial development approaches*, well established in Latin America (Schetjman and Berdegue 2004), emphasise socio-institutional perspectives, social identity, diversity and political economy regional rural dynamics, offering deeper understanding of agri-chain processes. While multi-level governance is central, there is scope to strengthen horizontality. Meso-scale approaches may deepen stakeholder engagement, and establish appropriate territorial configurations for planning, regulation, practical governance. *Teritorially embedded value chain* collaboration may integrate smallholder livelihood trajectories and local food concerns into landscape governance through social learning (Ros Tonen et al. (2015). Territorial certification is being explored.

Questions remain as to the effectiveness of these innovations and whether justice issues are addressed (distributive, procedural, recognition). Many challenges remain in identifying / scaling up successful approaches, including resistance from laggard companies and disinterested governments.

## Conclusions

To transform agri-food systems and realise multiple development objectives, none of the approaches reviewed here are individually adequate / empirical evidence is lacking. To address land governance risks, and achieve sustainable outcomes, policy-led, responsible business initiatives need to be viewed through a territorial lens. The latter would help to focus greater attention on power and agency in specific places issues of non-state governance mechanisms, and tensions between responsible agribusiness and food sovereignty narratives. Trading relations that deepen inequality are rarely challenged, and poverty is addressed through a narrow focus on marginalized groups rather than on structural processes of concentration / value capture within agri-food systems. In many contexts, capacity, institutions and
incentive structures for good land administration, land use, spatial analysis of economic development and meaningful stakeholder participation in governance processes remain weak.

Further empirical assessment/analysis is necessary in different landscape / political economic contexts, with greater interaction of relevant research and policy initiatives. A research agenda includes assessment of the territorial development potential of responsible land investments and voluntary standards initiatives in specific places, plus interdisciplinary analysis of vertical flow-based and horizontal place-based governance intersections in context of overall trends for specific commodities and regions, foregrounding questions of planetary thresholds, social goals and political-economy.

## References

CFS and FAO (2012). Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security. Rome: FAO.

CFS-RAI (2014). World Committee on Food Security Principles for responsible investment in agricultural supply chains. Rome: FAO

GDPRD (2016). Inclusive agribusiness: the state of play. Background Working Paper prepared for the Global Donor Platform for Rural Development, by Jim Woodhill, September 2016

Jayne T., Chamberlin J. and Headey D. (2014). Land pressures, the evolution of farming systems, and development strategies in Africa: A synthesis. Food Policy, 48: 1-17. (see also other relevant articles in this special issue of Food Policy)

Land Matrix (2016). International Land Deals for Agriculture. Fresh insights from the Land Matrix: Analytical Report II. By Kerstin Nolte, Wytske Chamberlain, and Markus Giger, CDE/CIRAD/GIGA/ University of Pretoria, 2016. DOI: 10.7892/boris.85304; www.landmatrix.org

Nelson V. and A. Martin (2013). 'Assessing the Poverty Impact of Voluntary Sustainability Standards: Final Technical Report'. Study funded by the UK Department for International Development. University of Greenwich report, Chatham: UK.

Nelson V. and A. Tallontire (2014). 'Battlefields of ideas: Changing narratives and power dynamics in private standards in global agricultural value chains'. Special Issue of Journal of Agriculture and Human Values). June 2014, Vol, (Online) (In Press) (doi:10.1007/s10460-014-9512-8)

Ros Tonen M. A.F, Y.P.B van Leynseele, A. Laven, T. Sunderland (2015). 'Landscapes of Social Inclusion: Inclusive Value-Chain Collaboration through the Lenses of Food Sovereignty and Landscape Governance'. European Journal of Development Research 27, 523-540

Schejtman A. and J. Berdegué (2004). Rural territorial development. Working Paper No. 4, Rural Territorial Dynamics Programme. RIMISP – Latin American Centre for Rural Development, Santiago, Chile, March 2004

Sikor T. et al., 2013. Global land governance: From territory to flow? Current Opinion in Environmental Sustainability, 5(5), pp.522-527.

Tallontire A., M. Opondo, V. Nelson and A. Martin (2011). 'Using Value Chains and Governance as a Framework to Analyse Private Standards Initiatives in Agri-Food Chains'. Agriculture and Human Values. 28 (3): 427-441.

UNRISD (forthcoming 2016). On Social and Solidarity Economies.
# Understanding the impact of economic globalization on local sustainability with global value chain governance – literature review and research agenda

Yann Laurans<fnref n="1" />, Pierre-Marie Aubert<fnref n="1" />, Renaud Lapeyre<fnref n="1" /> and Marellia Auger<fnref n="1" />

Concerns regarding the (un)sustainable use of natural resources, which is targeted by SDGs and notably SDG 15, are increasingly related to international agri-food trade.

Nonetheless, this relation remains mostly analysed on a *quantitative* basis. On the one hand, focusing on the local level, neo-institutionalist scientists, following Elinor Ostrom's work (1990), address the role of local and nested institutions to solve social dilemmas related to the famous 'tragedy of the commons'. Actors, once provided with clear rights over resources, are supposed to create robust rules which regulate the use of natural resources they depend on, in order to sustain their livelihoods. In turn, these local institutions allegedly mediate market pressures and population growth on natural resources (Agrawal & Yadama, 1997). There lie predominantly researched "horizontal" issues of natural resources, livelihoods, poverty, labour, gender, etc., at the local level (territorial scale).

On the other hand, recent improvement in data collection and treatment has allowed, through the analysis of supply chains, now global, to link trade in commodities and consumption to local sustainability, as targeted by SDG 15, and more specifically to land use change. Persson et al. (2014) showed that approximately a third of recent tropical deforestation in eight countries studied (Argentina, Bolivia, Brazil, Paraguay, Democratic Republic of the Congo, Indonesia, Malaysia and Papua New Guinea) can be attributed to four main commodities (beef, soybeans, palm oil, and wood products), especially agricultural exports to the EU and China. The latter indeed embodied a third of analysed deforestation.

In step with this evidence-building, action from numerous organizations, from environmental NGOs (WWF, Greenpeace, etc.) to bilateral and multilateral donor agencies (World Bank, SNV, AFD), have promoted interventions on supply chains in order to decrease their negative social as well as environmental impacts. Labels, certifications, round tables, zero deforestation pledges and plans are some practical examples of initiatives recently promoted.

Those approaches provide robust and clear evidence of the relationship between local environmental problems and global trends of consumption and production. Yet, due to their quantitative focus, they mostly characterise global supply chains as “black boxes”, i.e. they link consumers of commodities to local sustainability in source countries but do not provide for analyses of actors, power plays and governance along the chain.

This type of knowledge is to be complemented with an understanding of the social and political systems that explain and govern the relation between agriculture, forestry and local resources on the one hand, and the global market on the other hand. Indeed, a thorough understanding of actors and power plays has to be added to the technical and economical data that describe agri-food chains. Supply chains, in particular their organization and structure, affect producers' incentives' structure, thus their practices at the local level, and finally in turn associated impacts on land use change, natural resource use and biodiversity.

For this, we contend, we nonetheless need to vertically explore in more detail the actors' strategies, relationships between them along the supply chain, the latter's organization, etc. At the heart of such an investigation, lies the analysis of governance within the chain, understood as "an effort to craft *order*, thereby to mitigate *conflict* and realize *mutual gains*" (Williamson, 2000, p. 599 emphasized by Williamson). In turn, issues of power, relations, and strategies become critical objects that need to be researched.

<footnote n="1">1. Institute for Sustainable Development and International Relations (IDDRI), F-75006 Paris, France.</footnote>
Building on a literature review, the proposed article puts forward a conceptual and strategic framework to pursue this objective. It rests on the working hypothesis that "sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss", as stated in SDG 15, depends not only on the consumption quantity but also on the internal organization of global supply chains.

As such, this paper aims not only to contribute to past and current research on global supply chains and their impact on biodiversity at the local level, but also to help designing better (public) policy and economic arrangements to reduce these impacts.

To do so, a systematic literature review will be presented, and this will allow analysing how the existing literature has so far studied impacts of global supply chains on local environments. Secondly, we will mobilize two literature corpus which were noticeably absent in our literature review results, however they could usefully inform our two research questions and objectives. On the one hand, it will be shown that literature on "global value chains" (GVC), led by works by Gary Gereffi and his colleagues (1994) deals almost exclusively with developmental and social issues related with global value chains (one noticeable exception being Bolwig et al. (2010)'s paper), and still lacks a more thorough applying to the sustainability and singularly the SDG 15 agenda. Its deep understanding and analysis of power relations and governance within the chain, embedded in the very term of "value", will then critically be applied to our research agenda. On the other hand, we will investigate political ecology studies, which have focused their research on causes of land change and degradation and the associated consequences, mainly social, on human-environment interactions, through lenses of surplus extraction, social relations of production, control, and knowledge.

By doing this, this paper will allow us to propose (i) combining an horizontal analysis of local impacts with a vertical analysis of power relations along chains and (ii) mobilizing GVC methodological tools, so far widely applied solely to developmental issues (poverty, inequalities, labour), to environmental problems. Building on this, the paper will propose a new tentative research agenda. Three main aspects are considered. First, governance as well as technical / quantitative dimensions of global value chains have to receive an equal analytical consideration when dealing with sustainability issues. There is then a critical need to analyse and link both vertical and horizontal dynamics of global value chains, although the former can not be reducible to the latter and vice-versa. Eventually, the role of actors who do not directly take part in the economic process of production such as states and NGOs has to be carefully considered.

**References cited in abstract**

Agrawal A. & Yadama G. N., 1997. How do Local Institutions Mediate Market and Population Pressures on Resources? Forest Panchayats in Kumaon, India. *Development and Change*, 28, 435-465.

Bolwig S., Ponte S., Du Toit A., *et al.*, 2010. Integrating Poverty and Environmental Concerns into Value-Chain Analysis: A Conceptual Framework. *Development Policy Review*, 28 (2), 173-194.

Gerefi G. & Korzeniewicz M. (Eds.), 1994. *Commodity chains and global capitalism*. Westport, Greenwood Press.

Ostrom E., 1990. *Governing the Commons – The evolution of institution for collective action*. New York, Cambridge University Press, 280 p.

Persson M., Henders S. & Kastner T., 2014. Trading Forests: Quantifying the Contribution of Global Commodity Markets to Emissions from Tropical Deforestation. *CGD Climate and Forest Paper Series*, 8, 60.

Williamson O. E., 2000. The New Institutional Economics: Taking Stock, Looking Ahead. *Journal of Economic Literature*, 38 (3), 595-613.
# Sustainability assessment in local and global food chains.
## A comparative study in the French wine industry

Jean-Marc Touzard<fnref n="1" />, Yuna Chifoleau<fnref n="1" /> and Camille Maffezzoli

The distinction between “local” and “global” has emerged as a hot topic of debate in food sectors, in relation to the challenges of sustainability. “Local food” and “local food chains” have been promoted by social movements that criticize the globalization of food, but the notion of “localness” has now been appropriated by global players such as supermarkets and policy makers. As it is drawn into a wider social arena, the distinction between “what is global” and “what is local” has become less and less obvious, reflecting the complexity of the concrete food economy and the diversity of judgments among its actors.

The GLAMUR European FP7 research project was launched in order to clarify this issue and to propose assessment tools for local vs. global food chains. The objective of this communication is to address this local vs. global issue in the case of the wine industry through the multidisciplinary approach that was adopted in the GLAMUR project. The GLAMUR project evaluated 39 cases of local, intermediate or global supply chains across different commodities and countries, including the wine chains presented in this communication. Covering environmental, economic, social, health and ethical sustainability dimensions, GLAMUR highlighted the need to complete “hard” methodologies, such as Life Cycle Analysis, through “soft” methodologies which are often more able to identify critical issues, trade-offs and best practices (For details on the GLAMUR approach, see Brunori et al. 2016).

In this communication we combine the GLAMUR approach with an economic sociology theoretical framework. We argue that the attempt to objectivize the local and global dimensions of wine chains cannot be achieved by a descriptive and analytical approach, and must therefore be complemented by an evaluative approach of food chains sustainability.

First we will present the five aspects of local vs. global that have been studied in the wine industry: the geographical distance between consumption and production, the number of intermediaries, the nature of incorporated resources, the product identity built along the chain, and the level of governance. For the first step, using an analytical approach, we have applied the five key aspects to differentiate local vs. global chains, and to understand how “global” and “local” are manifested in the case of Languedoc wines. Both primary and secondary data have been used to describe “global” and “local”. Three main archetypes of wine chains in this vineyard are highlighted: case A combines the characteristics associated with local chains in each dimension; case B gathers all the characteristics of global chains, and C is an intermediary case that is linked with both local resources and Protected Denomination of Origin (PDO) wines, and oriented towards the export market. The three cases have been fully described using diverse sources of data and with the help of the Global Value Chain approach in order to delve deeper into the governance dimension.

However, the description of each chain highlighted local and global characteristics as assets, tools or constraints in strategies rather than as structural components of chains. In line with the GLAMUR project, we therefore developed an evaluative analytical step for the purpose of assessing the strategic components of the three chains from the point of view of sustainability. We selected the attributes that are most relevant to wine chains from the list of the 24 performance attributes defined in the GLAMUR project frame: Creation and distribution of added value, Connection, Resource Use, Biodiversity, Food Safety, Territoriality. Qualitative indicators of these attributes of sustainability have been scored and benchmarked by experts to compare local vs global practices in the three wine chains. This consequentialist approach revealed that: i) in all concrete situations local and global practices are interlinked; ii) many actors are taking advantage of their involvement in global and local wine chains; iii) the main local

<footnote n="1">1. INRA, UMR 0951 Innovation, France.</footnote>
chains perform better than the global one, as far as social and environmental dimensions of sustainability are concerned, but the global chain has higher and complementary contribution to economic development; iv) the improvement of solutions for sustainable practices is partially specific to either a local or global orientation in the chains; v) sustainability assessment of local and global practices in the wine chains finally depends on the values, capacities and networks built by the actors, calling for further research in economic sociology.
# A hybrid perspective of political economy and socio-ecology to study multidimensionality of agri-chains and complexity of sustainable development: connecting scales and dynamics throughout selected case studies in Colombia

Martín Bermúdez-Urdaneta<fnref n="1" /> and Sebastián Restrepo-Calle<fnref n="1" />

## Short abstract

This paper presents an analytical and methodological framework to analyse the interlinkages between agricultural chains for domestic food consumption and sustainable development, and the challenges of organizing and governing those agri-chains to achieve more egalitarian, inclusive and sustainable forms of development. We offer to combine concepts and methods from political economy and socio-ecology to examine economic, social and environmental sustainability of such agricultural chains. More specifically, we propose to analyse the domestic agri-chains as being embedded in specific political-economic contexts and socio-ecological systems.

We apply our framework to analyse the agricultural chains and the associated ecosystem transformations in four selected regions in Colombia. We argue that the particular ways that agricultural chains are governed are markedly shaped by *regional* political-economic, as well as ecological dynamics. And in turn, they engender transformations in the socio-ecological systems within which they are situated. These transformations bear on the sustainability of the ecosystems, and the well-being of the populations that live in and from them.

## Rationale for the research

Ending hunger, ensuring food security and promoting sustainable agriculture has been placed in the framework of Sustainable Development Goals (SDGs). Given that in many developing countries food demand is still to a large extent met by domestic production, mostly by small and medium family farmers, understanding the agricultural chains through which food is produced, distributed and consumed domestically is crucial to meet this goals. However, the relevance of these agricultural chains for sustainable development is not restricted to a single specific SDG. The workings of these chains cross-cut other dimensions of sustainable development, and consequently relates with other SDGs, such as those concerning access to and use of water, and protection and restoration of terrestrial and water-related ecosystems, halting land degradation, protecting biodiversity, efficient use of natural resources, and sustainable consumption patterns among others.

The analysis of these multiple and complex linkages between agri-chains and sustainable development requires going beyond the traditional focus of value-chain analysis that focuses on the creation and distribution of economic value added along them, and the governance mechanisms that shape these processes. To contextualize our analysis in the debate of sustainable development of this conference, we identify a group of targets from the SDGs for which agri-chains are important in order to advance and achieve sustainable improvements. The specification of particular targets is aimed to provide a systematic approach to pin down the links between agri-chains and sustainable development highlighted from our political economy and socio-ecological hybrid perspective, and to evaluate the governance and transformation of the agri-chains with respect to their contribution to progress towards sustainable development.

<footnote n="1">1. Pontificia Universidad Javeriana, School of Environmental and Rural Studies, Bogotá, Colombia.</footnote>
**Theoretical and methodological framework**

In order to understand complex and multiple linkages between agri-chains and sustainable develop-
ment, we present a conceptual framework grounded on two theoretical bases: the perspective of political
economy and the approach of socio-ecological systems. In doing so we ask ourselves, how agricultural
value chains can be better strengthened and governed to contribute to the sustainable development goals?
We assert the need to understand the processes that shape their trajectories and governance, and the
economic, social, political and environmental impacts that these forms of development and governance
have in specific territories. To do both, we suggest focusing on the regional scale within which the agri-
chains are embedded, and the ecosystems that support them operate.

Political economy approaches to value chains have focused mostly on understanding the power relations governing those chains at the global level, and how these in turn affect specific local communities with respect to income, marginalization, equity and other facets of uneven economic and political power relations between rural communities, private economic agents and social actors. Yet, agri-chains and agri-food systems are often embedded in regional ecological contexts, where different economic activities simultaneously shape territorial transformations. And within the framework of sustainable development, we need to better understand the ecological dynamics, for which political economy approaches fall short.

Hence we suggest complementing its perspective with that of the socio-ecological systems, which provides more conceptual and methodological tools to analyse the ecological transformations at the level of regional landscapes. For the study of the sustainability of these transformations, we find the concepts of vulnerability and resilience particularly useful (Folke, 2006). Through these concepts, socio-ecological systems approach integrates ecological dimensions, such as ecosystems, agri-systems and landscape diversities with social dimensions, including the management of common pool resources, maintenance of traditional knowledge, distribution of access to and rights over productive resources, in their assessments of sustainability and proposals for sustainable management (UNU-IAS et al., 2014).

The studies from socio-ecology of productive landscapes to understand and measure vulnerability and
resilience are helpful, and are starting to integrate elements of inequality and well-being in their assess-
ments. Yet, they underemphasize the power relations that influence the resilience, and the constraints
to better socioeconomic change and governance, hence the needed political economy emphasis. The
study of socio-environmental conflicts from this perspective places special attention to elicit competing
social groups with different economic and political powers. For political economy of the environment
(Boyce, 2007) is key to investigate the social, economic, political and environmental facets of distribu-
tion, allocation and dispute over environmental costs and benefits, as well as historic patterns of usage,
access and enjoyment of natural resources. This multidimensional approach can shed some light in the
discussion of environmental justice and governance (Martínez-Alier, 2002) in rural settings, allowing
an overarching assessment of the contributions and challenges that agri-chains exhibit in relation to
sustainable development.

We assume a regional economic perspective to understand intra and inter-sectorial patterns and char-
acterize current productive activities and possibilities of adding-value change. We also pay attention to
regional structures, institutions and discourses at play in processes of decision-making at distinct state-
levels, economic development at regional scale, and involvement of institutions and organizations at the
local scale. Inspired on the emphasis placed by rural studies on family farming and productive systems,
on agri-food systems, fair trade and new rurality, we advocate for a systemic inclusion of social and
environmental dynamics through an enhanced Sustainable Livelihoods Frameworks (Scoones, 2009)
observing human, social, natural, built, and financial capitals.

Complementarily, we use the analysis of local processes with the focus of rural landscapes socioecology.
From the perspective proposed by UNU-IAS *et al.* (2014) to study socio-ecological production land-
scapes (SEPLs), we were inspired by the Toolkit for Indicators of Resilience in SEPLs that defines five
areas of resilience research: 1) landscape diversity and ecosystem protection; 2) biodiversity (including agriculture diversity); 3) knowledge and innovation; 4) governance and social equity; and 5) livelihoods and well-being.

During our field-trips we constructed landscape characterizations at regional and local scales in partic-
ipatory workshops and observational accounts, interviewed key-informants and local inhabitants alike,
and in some cases we were able to developed meetings with public and private incumbents of territorial
development planning. The different and complementary research-tools were grounded to account for
both the multidimensionality of the Sustainable Livelihoods Framework, and the variety of areas of
interest proposed by the aforementioned Toolkit. We are currently integrating these selected cases in
different spatial and temporal scales to connect and relate flows, interlinkages, markets and landscapes
into a coherent presentation of the resulting agri-chains in relation with agri-food systems and distinct
regional development trajectories. By doing so, we expect to integrate local cases of agri-chains with the
global dynamics of sustainable development.

Case studies and preliminary findings

The first case is in the Andean highlands of eastern mountains of Colombia, specifically in the basin of Lake Tota and its economic structure based on intensive agriculture, trout farming, livestock and various forms of tourism. Despite a common judgement about the unsustainability of this socio-ecological setting, we have accounted on the complexity of strategies deployed by local inhabitants, allowing them to tackle rapid and deep transformations of regional production structures, and managing vulnerabilities in a resilient fashion.

The second case is in the mountains of southwestern Colombia, in the valleys of the Cauca River basin. In this case, we highlight the role played by discussions and proposals on adding-value projects, under a socio-political construction of territorial appropriation, strengthening of use and governance systems, and socio-ecological transformation of landscapes, all entangled in a troubled regional development process crossed by national armed conflict dynamics. In this case, despite the conflicting socio-political setting defined by violent events and illegal coca-cultivation, local strategies mixing agricultural and traditional mining have created a window-of-opportunity for social learning processes and interconnec-tions amongst distant rural communities.

The third case is on the Pacific coast of Colombia’s Choco where the community of fishermen, environ-
mental organizations, state institutions and tourism operators partnered in the creation of an Integrated
Management Regional District to ensure sustainable use and conservation strategies. Among other
results, we have been opening up routes of interconnection, rather than value chains for sustainable
local development. The creation of a territorial brand and a funding strategy for the District are high-
lighted to integrate geographical and cultural complexity of agri-chains and fishing activities in a local
sustainable development.

The fourth case is associated with the capital city (Bogotá) and its surrounding regions (Department of Cundinamarca). From a description of the agri-food system challenges in a metropolitan area, the experience of an association of agricultural producers is presented and contextualized, describing how they have developed and consolidate market connections and routes to participate in the regional agri-food system centred in Bogotá. The case also shows the transformation of the provincial production systems, the coping strategies of rural communities and livelihoods, and the effects of infrastructure and particular forms of entertainment and tourism to the socio-ecological resilience of representative production landscapes.

Reflections on sustainable development goals

We consider that our hybrid approach from political economy and socioecology can reveal the multiple dimensions of agri-chains to argue that studying, fostering and empowering them is a sound strategy at national, regional and local levels to tackle the complex and multifaceted challenge of the Sustainable
Development Goals. We present some epistemological and methodological challenges on characterizing the multidimensionality (social, environmental, economic, political and cultural) of the agri-chains, which rises from the current discussion, implementation and evaluation of SDGs concerning their number, their diversity of scales and times, their complex and intricate interrelationships, and concomitant uncertainty.

The interrelationships between SDGs relevant for agri-chains and socio-ecological production landscapes are contextualized in a global framework inspired by several research proposals grounded on planetary boundaries (Rockstrom, Steffen *et al.* 2009, 2015) and their implementation in social and economic planning and monitoring (Dearing, Raworth *et al.* 2014) as well as for environmental performance (EPI-Yale, 2016). We identify 39 targets of 13 SDGs for which the proposed perspectives on agri-chains and rural landscapes suggest how relevant is our combined political economy and socio-ecological systems approach at local communities and regional territories.

**General reflections from a work in progress**

The presented approach uses as units of analysis both landscapes and regional systems of value, investigates the value flows between communities, and the routes of economic interconnectedness, to understand the relations between single elements of agri-chains, to obtain an interesting perspective to study the characteristic complexity of the SDGs. We consider that traditional analysis of value chains appears overly linear, industrial and mechanical for agricultural activities and livelihoods. We rather propose an analysis of values-flows to obtain a more organic, systemic and comprehensive framework to understand multidimensionality and complexity of agri-chains and sustainable development.

We think that a hybrid perspective from political economy and socioecology allows a more integrative and holistic view of agri-chains by connecting communities and markets, escalating actions and territories, raising awareness of economic agents and social actors, and integrating dimensions and objectives. Processes at different scales and of different magnitudes underlie their territorial expressions. Consequently, there is only one local and global reality interacting, but with different gradients, influences, levels of organization, discourse referents and forms of relations between distinct social actors. Therefore, environmental and rural transformations become an extremely rich and complex phenomena in which the dominant rationales are models and local forms of production and use of nature.
Session 12

*Methods and challenges in assessing sustainability*
*in agri-chains*
# A porter diamond-based approach to assess the role of innovative local food systems in the territorial integrated sustainable development: the case of Cilento Eco-Region

Cesare Zanasi<fnref n="1" />, Cosimo Rota<fnref n="1" />, Salvatore Basile<fnref n="2" />, Patrizia Pugliese<fnref n="3" /> and Annarita Antonelli<fnref n="3" />

## Introduction

The EU's rural areas cover 91% of its territory and contain over 56% of its population (EU Commission, 2008). Farming remains crucial for the management of natural resources in EU rural areas and for the economic development of rural communities. The main problems faced by EU rural areas are social: ageing, unemployment, migration/ depopulation; Environmental: soil erosion/ deforestation/biodiversity/pollution and economic: lack of infrastructures, low value added activities; low incomes/slow growth (EU Commission, 2008). An integrated rural development strategy seems the most adequate to tackle the above-mentioned challenges. The role of Eco-Regions can be extremely relevant within this context since they represent an important innovation linking integrated rural development to organic agriculture principles and techniques (I.N.N.E.R, 2016). The rapid growth of Eco-Regions in Italy and throughout Europe runs the risk of losing its momentum if not carefully monitored and managed. An effective management of the Eco-Regions is needed to support their sustainable development (economic, social and environmental). The Porter's Diamond approach to industrial districts analysis (Porter M. E., 1998) could be adapted to monitor the Eco-Regions performances. A Likert scales related performance assessment, already adopted in different contexts (Bakan I., Doğan I. F., 2012; Gunter M., 2014) and an evaluation of the compliance of Eco-Regions to their ethical and social values, can be useful to this end. The Cilento Eco-Region, the first Eco-Region in Italy, started in 2004, provides a broad range of initiatives and experiences, which can be monitored to test this integrated analytical approach.

## Objective

Define and test a theoretical and methodological framework for the monitoring of Eco-Regions' performances.

## Materials and methods

Different assessment methods have been considered, defining an organic analytical framework for the Eco-Region monitoring and development strategies' definition (See fig.1).

In particular:

### a. Analysis of the Eco-Regions Social, Economic and Environmental Specific Competitive Performance

The different dimensions influencing the local economies development, designed by Michael Porter (Porter M. E., 1998), have been integrated with the analytical frameworks of Flexible specialization and Collective Efficiency, by other authors (Neven, D. Dröge, C. L. M. 2000), have been assessed (see fig. 2).

The choice of indicators to be included in the analysis follows the above-mentioned theoretical approaches and considers that:

<footnote n="1">1. Alma Mater Studiorum Università di Bologna, Dipartimento di Scienze e Tecnologie Agro-Alimentari, I-40127 Bologna, Italy.</footnote>

<footnote n="2">2. Associazione Italiana per l'Agricoltura Biologica-Regione Campania, I-80127 Napoli, Italy.</footnote>

<footnote n="3">3. CIHEAM, Istituto Agronomico Mediterraneo Bari, I-70010 Valenzano, Italy.</footnote>
* if the Eco-Regions are characterized by:

- a population of small-sized firms concentrated in some area

- specialized in different phases of production related to organic farming.

- which find their labour and other inputs supply in a single local market

* then the community will become more competitive; their development will be more sustainable and effective the more the following conditions apply:

- the firms relate with people who live in the same territory

- the local people, in turn, possess the social and cultural features (social values, cohesion and institutions) appropriate for a bottom-up development process

- the local stakeholders are effectively related to external institutions (public and private) providing further support to their development

- the firms exploit external economies of scale and generate positive externalities (benefits for the community not accounted for in the products' value)

- the Eco-Region focal activity is characterized by:

* flexibility of the workers (able to perform different mansions) and of the organization (adaptable to changes in the supply and demand conditions)

* Exploitation of Economies of Scope

* Produce innovation and/or stimulate product differentiation thanks to cooperation/competition between producers involved in the focal activity

The data, collected through interviews to local stakeholders, have been measured based on a scale from 1 to 5, (Bakan I., Dogan I. F., 2012) and (Gunter M., 2014). Three respondents have been selected, covering the different dimensions of the Eco-Region integrated development (technical, economic, social/political and environmental): a policy maker: the Major of Ceraso Municipality in the Cilento Eco-Region, the Director of the Cilento Eco-Region representing the farmers and other local stakeholders, a representative of the Campania Region Organic Farmers Association (AIAB), which provides technical and managerial support and is strongly involved in the Eco-Regions creation and valorisation process.

The scores vary from 1 to 5 in ascending order of contribution to the indicators' value (1 most negative 5 most positive). The aggregated Eco-Regions social, economic and environmental specific competitive performance dimensions and score, are reported in Graph. 1. These aggregated scores have been attributed by the authors on the base of the most frequent score provided (mode) and further verified through the quantitative indications coming from the Context Analysis. The same score aggregation criteria have been applied to the analytical approaches described at points c and d.

**b. Context analysis of the Eco-Regions' physical and social structure.** Secondary data from quantitative statistics, administrative documents, have been considered. Within the context analysis a stakeholders' analysis and a description of the Eco-Regions supply chain were also produced.

**c. Assessment of the compliance to the specific values upon which eco-regions are based.** It has been performed comparing the objectives defined in the Eco-Regions' Statute (I.N.N.E.R, 2016) (see Graph. 2) to the information gathered from the Porter and Context Analysis results. The different Eco-Regions values are reported in.

**d. Eco-Region development stage.** It has been assessed adopting a theoretical framework for the clusters' classification defined in the study of David Nieven and Cornelia L.M. Dröge (Neven D., Dröge C. L. M. 2000). The factors listed according to the theoretical framework, and the related scores, are reported in Graph.3.

**e. Eco-Region present and potentially most efficient market orientation.** It deeply influences the definition of sustainable strategies of development for the Eco-Regions, based upon a focal economic
activity: organic agriculture. This influence involves the Eco-Region Business model related to agri-culture production, processing and distribution of organic products, including the local production structures and the infrastructures; social aspects like the Eco-Region food sovereignty, the relations within and outside the Eco-Region, environmental aspects related to e.g. the tourism development model and consequent impact of new residential areas etc.). Nine types of market orientation have been identified (see tab.1)

## Results discussion and conclusions

The Analysis showed that the Cilento Eco-Region is at an initial stage of development, close to a take off stage (Graph.2). The contribution to the Eco-Region performance, provided by the high quality goods and services supplied, and by the local governments' support, is reduced by the lack of coherence, coordination and continuity between the different development initiatives (Graph.1). Compliance with the Eco-Regions' social and environmental values is high; the main problem is the still difficult inclusion of small farmers, due to the expensive and complex access to organic certification schemes (Graph. 2). The Cilento Eco-Region belongs to the market orientation type "Present: Local resident population oriented, Potential: non-resident population (tourists)" (table 1). A recommended strategy is to encourage tourists' demand to increase the resources necessary to invest in the Eco-Region growth and integrated social and environmental development. The necessary increase in the critical mass of organic farms asks for a more accessible certification scheme application (e.g. collective certification). The role of the Cilento Eco-Region in coordinating and jointly promote the many initiatives taking place in the Eco-Region should be reinforced. The approach adopted showed a very good capacity to analyse the different dimensions of an integrated territorial development. Both data collection and results interpretation can be applied to an Eco-Region context since they do not require specific academic or technical skills to be understood and discuss.

Future researches should consider extending the study to other Eco-Regions in order to test the chosen variables capacity to effectively monitor the Eco-Regions' performances in different contexts and push the different Eco-Regions responsible persons towards a more systematic data collection, mostly as far as the economic performances are concerned.

## Reference

Bakan I., Doğan I. F. 2012. *Competitiveness of The Industries Based on the Porter's Diamond Model: an Empirical Study*, IJRRAS 11 (3), June 2012.

EU Commission. 2008. The EU Rural Development Policy: Facing the Challenges, available at http://ec.europa.eu/agriculture/events/cyprus2008/brochure en.pdf

Gunther M., 2014. The Dynamics of the Norwegian Maritime Industry, Master Thesis of Master programme in Economic Growth, Innovation and Spatial Dynamics, Lund university – Norway. Open access paper available online at: http://lup.lub.lu.se/luur/download?func=downloadFile&recordOId=4498648&fileOId=4498649

I.N.N.E.R. – International Network of Eco-Regions: Web presentation, available at : http://biodistretto.net/, last accessed May 2016.

Neven D., Dröge C. L. M., 2000. A Diamond for the Poor? Assessing Porter's Diamond Model for the Analysis of Agro-Food Clusters in the Developing Countries, Michigan: Dept. of Agricultural Economics, Michigan State University.

Porter M. E., 1998. *Cluster and the new economics of competition*, Harvard Business Review, pp. 77-90.

Zanasi Rota C., Basile S. (2016). Struttura, dinamiche di sviluppo e performance del "Biodistretto Cilento". In: Pugliese, P. Antonelli A., L'agricoltura biologica in chiave territoriale. Progetto DIMEC-OBIO. CIHEAM Bari.
# Practical analysis of inclusive and sustainable value chains: the case of rice value chain in Mali

Baudouin Michel<fnref n="1" />, Doriane Desclee, Feycal Boureima and Mamadou Goita

## Description of the rationale for the research and/or Development project

Value chains (VC) play a major role in the agricultural growth in market economies, so they are a cornerstone of sustainable development and it is essential to support them along their various stages. Formulating and funding projects and policies to foster their development require systematic diagnosis and monitoring methods.

In order to understand the operations from a value chain perspective a methodological framework must be defined. It should allow for identifying the relevant performance criteria and indicators to be measured. An "evidence-based" quantitative approach, framed according to the "sustainable development essentials", will shed light on the reality of development for the stakeholders, especially farmers and private sector, help innovation processes to develop (technology dissemination, market coordination...) and assist decision makers for steering development actions. The measurable indicators allow for appraising the multiple impacts of the VCs, allowing for comparisons (between chains, regions, countries...) and monitoring of the changes overtime.

A relevant quantitative VC analysis clearly indicates how the VC contributes to the 3 main domains of sustainable development (economic, environmental and social) and introduces the key steps of the process of mobilization of stakeholders in a dialogue for development action towards more inclusive and sustainable value chains.

## Theoretical/conceptual framework and Methodology

The purpose of the methodology consists in conducting four separate analyses starting with the functional analysis of the VC, then and in parallel the economic analysis, and also the environmental and the social ones. All those analyses are linked and complementary. They are realised by specific experts knowing the most relevant tools to be applied for each of the pillars of sustainable and inclusive development. As a result, the objective is to give the elements to answer the four following questions:

* What is the contribution of the VC to economic growth?

* Is this economic growth inclusive?

* Is the VC environmentally sustainable?

* Is the VC socially sustainable?

### Functional Analysis

Functional analysis can follow different pathways. It will largely depend on the team's organization with 2 major goals:

* overall description of the VC actors and the way they operate

* assess some fundamental characteristics needed to carry out ECO/ENV/SOC analyses

3 main steps:

* General description of the VC system: mapping of the VC, with quantitative data on actors and flows and geographic distribution

* Elements of technical diagnosis: typologies, productivities, technical benchmarking, physical constraints...

* Understanding the governance: general organization, vertical coordination, horizontal coordination, support services, policies

<footnote n="1">1. ERAIFT, Kinshasa, Congo ; Gembloux Agro-Bio Tech, B-5030 Gembloux, Belgique.</footnote>
## Economic analysis methodology

Economic analysis will particularly give answers to the 2 first questions and be divided in the following steps:

* 1/ First steps, the “financial analysis”,

* 2/ Assessing the economic performance: effects and viability,

* 3/ Assessing the growth inclusiveness.

## Environmental analysis methodology

Life Cycle Assessment (LCA) is used to evaluate the environmental sustainability of rice value chain in Mali. Environmental LCA has the advantage of taking into account the whole value chain of a product, from the raw material extraction till the final disposal through the transport, the production, the distribution, the use and the maintenance instead of focusing on the production site only. The upper level references for this methodology are the ISO 14040 and 14044 standards (ISO, 2006a and 2006b). The scope of LCA consists in three areas of protection: Human health, Resources and Ecosystem quality, to which a set of environmental impact categories and corresponding indicators are associated.

## Social analysis methodology

Social domain can be analyzed through many layers of people's life and livelihood. The elaborated framework attempts to elaborate an image of the main outcomes of the VC activities in 5 basic domains:

* Working conditions

* Land and water rights

* Gender

* Food and nutrition security

* Social capital and infrastructure

A list of 55 of questions was established in order to help guide the reflection, keeping in mind the main elements of appraisal decision-makers have in mind taking into account strategic goals for sustainable development.

## Main results on the methodology applied on the Rice VC in Mali

The methodology applied comprises four pillars for the analysis: functional, economic, environmental and social. For each of the four pillars of the analysis, practical analysis tools are suggested to conduct the analysis. Tools have been applied to the Rice VC in Mali in December 2015 and January 2016. Here are the main results of this VC sustainability and inclusiveness analysis.

### Functional analysis results

Functional analysis shows a dynamic and expending value chain, growing medium and longterm productivity and reacting positively to market incentives (increased consumption) and supply (subsidy and provision of inputs, grant infrastructures).

However, a regional opening up of production areas and a real vertical coordination of the sector through a future inter profession appear to be the priority recommendations, combined with greater consistency of public policy support and a dismantling of the cartel wholesale importers.

### Economic analysis results

The financial analysis of the value chain of rice in Mali covers the main players: producers, processors and consumers. As noted above, the functioning of product distribution systems between players is difficult to perceive quantitatively.
The objective of the financial analysis of the key players is to measure their financial viability and analyse the distribution of added value to the value chain through these players.

From an economic point of view, the value chain is also analyzed to verify that it contributes much to economic growth and that this contribution is sufficiently inclusive. The contributions of the value chain in Gross Domestic Product and Gross Domestic Product Agriculture Sector were analyzed. The effects of imports and exports of rice were also studied.

It is also important to check that the rice value chain in Mali is viable on the international market. It is necessary to realize the risks that the value chain may face in terms of economic sustainability.

The objective of applying a Financial and Economic Analysis to the Rice VC in Mali was to answer as exhaustively as possible to the following questions (detailed sub questions implying quantitative data have been elaborated):

* Does the VC conduct to sustainable economic growth?

* Does the VC conduct to inclusive economic growth?

The rice value chain is globally economically sustainable. It is competitive and contributes to inclusive growth for the actors, and even when public support for the value chain decreases.

One third of Mali's population is directly affected by this value chain. Income is distributed reasonably fairly.

Distortions are nonetheless observed vertically and horizontally in the chain.

The horizontal scaling up interventions, such as the opening up of regional markets, combined with a better vertical tracking players and improved confidence among stakeholders, is expected to strengthen producers' incomes while reducing transaction costs.

Similarly, the dismantling of oligopolistic cartel positions of three importers and the stopping of duty exemptions and import taxes (not justified by a real emergency or tension on the market), should allow better market transparency and consistency public policies to support the sector.

In addition to price risk on the international market, relatively low risk as the pest risk, the main risk of the value chain regarding availability and long-term competitive uses of irrigation water.

The exclusive support interventions to production undertaken in total control of water seem irrelevant and certainly less resilient.

## Environmental analysis results

* Does the value chain conduct to environmental sustainability?

The environmental analysis allowed calculating the environmental impact of the four main rice production systems (irrigate rice, controlled flooded rice, uncontrolled flooded rice and rainfed rice) in Mali, taking into account the entire value chain. The irrigated rice has the lowest impact for most of the considered indicators. This is mainly due to the high yield per hectare, a better control of the water supply and a good compliance with cropping calendars. However, the rainfed rice has environmental scores which are comparable to irrigated rice.

* Is the Value chain intervention leading to increased potential impacts on human health?

The rice value chain has a potential impact on human health due to the use of herbicides and fertilisers. The use of herbicides leads to the emission of heavy metals (in soils, surface and underground waters) which may have a carcinogenic effect. The use of nitrogen-based fertilisers generate NH3 emissions which may cause respiratory diseases.

* Is the value chain intervention leading to increased potential impacts on ecosystem quality?

The rice value chain has a potential impact on ecosystem quality due to the use of fertilisers and herbicides. The use of fertilisers generates PO4 emissions which are the main cause (85%) of the eutrophication
of fresh waters. The emissions of NH3 could lead to terrestrial acidification and eutrophication. The use of herbicides could lead to the eco-toxicity of fresh water. The direct field emissions of methan will contribute to the global warming which may have a negative impact on ecosystem quality.

* Is the value chain intervention leading to increased potential impacts on Resources?

The use of soil, the (river and rain) water consumption and the use of fertilisers and herbicides are the main contributors to the depletion of resources. The depletion of natural resources will increase with rice production systems with low yields (e.g. controlled and uncontrolled flooded rice).

The environmental analysis allowed identifying the production systems with the lower environmental impact. Additionally, the main challenging stages of the value chain as well as the unit processes with the higher environmental impacts are easily identified with the proposed approach. However, it is not possible to predict if the potential environmental impacts will increase or not. The results of the ex-ante diagnosis (environmental assessment before the intervention) of the value chain could be used to build the baseline scenario. A second environmental assessment after intervention, could then be used to evaluate if the impacts on the environment increased or not and in which proportion.

## Social analysis

The social analysis of the Rice VC in Mali was intended to answer the following question:

* Does the value chain conduct to social sustainability?

Comparing the five social analysis areas shows 'differentiated' progress in terms of level of change even if "embryonic" contributing to the overall improvement of living conditions of the populations concerned. It is currently difficult to draw "stable" conclusions on the "effective contribution" of rice VC to these improvements.

To illustrate, in the share capital and access to social infrastructure, people's living conditions have gradually improved in particular in access to school infrastructure, water health and also to energy where household access rate increased from 2001 to 2014 from 6.4% to 39.6% (INS, 2015). On the school infrastructure, the area of the Office du Niger has 753 primary schools that make this area one of the most endowed with infrastructure in this category.

The most "critical" area is access to land and water. Despite the existence of new land legislation, the reality remains insecure household / family farms. The issue of access to land remains highly problematic with the Office of Niger's land management rules and the land patrimony of the irrigated area with a complete control system of the water. This pattern of land tenure insecurity, even if it is general to many other irrigated areas of Mali, remains an issue to improve in the future.

## Conclusion and proposed presentation of the results

Results of the Practical Analysis of inclusive and sustainable Rice value chain in Mali will be presented by field of analysis (functional and economic, environmental and social) and by the experts who carried out the study in Mali.
# Towards a harmonized framework for assessing the sustainability of agricultural value chains: identification of key challenges and perspectives for research

Claudine Basset-Mens<fnref n="1" />, Yannick Biard<fnref n="1" />, Flavia Fabiano<fnref n="2" />, Pauline Feschet<fnref n="3" />, Frédéric Lançon<fnref n="4" />, Pierre Martin<fnref n="5" />, Patricio Mendez Del Villar<fnref n="6" /> and Sylvain Rafflegeau<fnref n="7" />

## Background and objectives

In recent years, public authorities and society at large have expressed a growing concern about sustainability issues, which have officially been captured by the signature of the 2030 agenda and the formulation of the 17 Sustainable Development Goals that guide international development cooperation operations.

As a consequence of these trends, new needs are emerging in terms of assessment of value chains including agricultural value chains. On one hand, the actors of the value chains increasingly look for assessment methods that can measure the performances and impacts of their operations not only in terms of competitiveness but also in terms of contribution to sustainable development, in order to comply with private standards, national or international regulations and also to anticipate reputational risks. On the other hand, public and private actors and international donors need to evaluate their policies and programs in support of agricultural chains' development not only in terms of their potential as economic multipliers and generators of foreign currency, but also in terms of their capacity to contribute to the sustainable development of the territory where they are based.

As an institution focused on applied research for agricultural development, CIRAD has long lasting records of partnership with a large range of players of agricultural value chains, both in a local and national context or at the global level (Griffon 1990; Fabre et al., 1997, Temple et al. 2007). Over the decades its field of investigation went beyond agronomic issues per se, encompassing socio-economic and environmental challenges from the production level down to the supply of agricultural processed products. As part of an institution in charge of supporting public and private decision making, CIRAD staff is challenged by its partners on how to evaluate the impact of, and contribution to sustainable development of value-chains. CIRAD has accumulated a significant capital of expertise in the field of agro-technical analysis, economic analysis, Life Cycle Assessment (LCA) and more recently developed new capacities in the evaluation of social impact of agri-chains (Feschet, 2014). This asset provides the ground to participate fruitfully to the assessment of value chains' contribution to sustainable development.

The purpose of this paper is to discuss the objectives pursued and propositions made by a task force of CIRAD scholars working on a harmonized conceptual framework for evaluating the contribution of agri-chains to sustainable development.

## Issues

Historically, Value Chains have been assessed on the basis of their financial (from the entrepreneur perspective) or economic (from the policy maker perspective) performances using a range of benefit/ cost indicators (Fabre 1994, Monke, 1989). Since the seventies the development and methodological consolidation of Life Cycle Analysis (LCA) offers a sound ground to assess the environmental impacts of the VC. The social and commonly called third dimension of the sustainability framework has been so

<footnote n="1">1. CIRAD, UPR HORTSYS, F-34398 Montpellier, France.</footnote>

<footnote n="2">2. CIRAD, DGDRS, F-34398 Montpellier, France.</footnote>

<footnote n="3">3. CIRAD, UPR GECO, F-34398 Montpellier, France.</footnote>

<footnote n="4">4. CIRAD, UMR ART-DEV, F-34398 Montpellier, France.</footnote>

<footnote n="5">5. CIRAD, UPR AIDA, F-34398 Montpellier, France.</footnote>

<footnote n="6">6. CIRAD, UMR TETIS, F-34398 Montpellier, France.</footnote>

<footnote n="7">7. CIRAD, UPR Systèmes de pérennes, F-34398 Montpellier, France.</footnote>
far much more difficult to capture through methodologies that are unanimously recognized and applied by professionals (Seuring 2012). The Corporate Social Responsibility (CSR) relies on a battery of indicators defined within a specific context and is relevant for global value chains driven by large and formal companies and their suppliers with reputational and organizational interest in implementing a CSR strategy. However, beyond the specificity of value chains where this approach is applied, it also lacks a proper conceptual framework linking the human interventions with actual impacts on social well-being. Besides, there are very few attempts to build an integrated measure of the contribution of a value chain to sustainable development. Most of the analytical tools developed for an integrated assessment of the sustainability in the past decade are conceived at a macro-scale such as the Genuine Progress Indicator or the Sustainable Net Benefit Index (country or global) (Lawn, 2003, Anieleski, 2001). They cannot be straightforwardly adapted to an integrated assessment of value-chains that include only a limited share of resources allocation and thus cannot capture the total impact, direct within the systems and induced effects (outside the system at national, global scale) in environmental, economic and social terms.

At the value-chain scale, in line with the establishment and increasing dissemination of CSRs by value-chain drivers and their suppliers, a number of indicators are defined, measured and reported but they do not provide or proceed from an articulated/integrated measure of the impact of the companies on sustainable development. They rather constitute a list of indicators that take into account the various dimensions in parallel. Furthermore, these tools are by construction limited to socio-economic and institutional aspects where a formal corporation can be accountable for their impacts and performances. The various attempts to build up a framework that can be applied and provide a sound base for assessing VC performances, or contribution to sustainable development have so far been very limited (Hassini, 2012).

## Challenges and working hypothesis

Based on a first range of brainstorming sessions among CIRAD scholar involved in assessing the impacts of VC along different dimensions of sustainable development, the paper aims to present working hypotheses and challenges that the group has so far identified putting them into perspective with current literature. These key challenges are briefly presented in the following.

### Which definition of sustainability

While there are clear references for assessing individually each dimension of sustainability, a combined or harmonized conceptual framework requires defining clearly what sustainable development means and how the different dimensions interact. A metric of value chain impact on sustainable development can only be operational in decision making terms (choice, tradeoffs, and ranking) if it relates to an explicit conception of sustainability.

### Shifting from a global scale to the scale of a value chain.

Assuming that impact on sustainable development cannot only be thoroughly assessed at the global level (considering the socio-biosphere as a closed system), a value chain as an open subsystem cannot be sustainable as such, so we rather aim at assessing its contribution to sustainable development. The delineation, the mapping of the value-chain perimeter plays a key role in locating the point where the value chain sub-systems interact with “outside the VC system”. The functional analysis of the VC, how the systems operate and interact with the outside of the system are key steps in the different approaches and can be an entry point for developing an articulated methodology addressing the different dimensions of the sustainable development. In LCA, one key challenge remains the modelling of local impacts at the scale of the whole value chain which spreads over the world. Important efforts have been made to spatialize the impact assessment especially for eutrophication, acidification, water deprivation impacts etc. This is particularly important for agri-food chains which have important contributions to such local and regional impacts for which the local parameters play a key role.

### Impacts / performances

Another key aspect of the evaluation approaches relate to the level at which the indicators are defined and how close they are from the actual object to protect. In the LCA approach, one should evaluate the poten-
tial impacts of a human intervention and the indicators should have a clear and scientific link with the final
object to protect or "area of protection". Conversely, in other approaches, indicators might be defined close
to the human intervention with no explicit link to the final effect on human well-being or ecosystems.

Static versus dynamic approach and applicability

Distinction should be made between assessing the performance/impacts of a VC for a given configura-
tion of the system observed at a specific period and having the capacity to include a temporal/dynamic
perspective. Modeling of flows, input/output feedback measures, is certainly the most comprehensive
way to assess the impact of a system such as VC on sustainable development (Ukidwe. 2011), but this
option is highly demanding in terms of data and skills and might not be easily applied in contexts where
data and analytical time is limited.

An assessment limited to a number of indicators is likely more feasible but will require an explicit and
sound analytical framework explaining how different categories of indicators are articulated.

The starting point of the working group with the systems definition and identification of convergence in
terms of methodology will be developed through a collective ontology process and is further presented
in a companion paper submitted to the conference (Martin *et al*., 2016).

References

Anielski M., 2001. Measuring the sustainability of nations: The genuine progress indicator system of sustainable well-being accounts, The Fourth Biennial Conference of the Canadian Society for Ecological Economics: Ecological Sustainability of the Global Market Place, August 2001, Montreal, Quebec.

Fabre P., 1994. Note de méthodologie générale sur l'analyse de filière : utilisation de l'analyse de filière pour l'analyse économique des politiques, FAO, Rome.

Fabre P., Bonnet, P., Despréaux D., Freud C., Lassoudière A. Raoult-Wack A. L., 1997. Le concept de filière : un outil pour la recherche. Montpellier : CIRAD, 28 p. (Notes et documents : CIRAD, 24) ISBN 2-87614-266-X.

Feschet, P, 2014. Analyse du Cycle de Vie Sociale. Pour un nouveau cadre conceptuel et théorique. Thèse de doctorat de l'Université Montpellier 1 – Sciences économiques. 298p.

Griffon M., 1990. Économie des filières en régions chaudes : formation des prix et échanges agricoles 1990. CIRAD Montpellier

Hassini E., Surti C., Searcy C., 2012. A literature review and a case study of sustainable supply chains with a focus on metric Int. J.ProductionEconomics140(2012)69-82

Lawn A.P., 2003. A theoretical foundation to support the Index of Sustainable Economic Welfare (ISEW), Genuine Progress Indicator (GPI), and other related indexes, Ecological Economics, 44, pp 105-118

Martin P., Rafflegeau S., Fabiano F., Mendez del Villar P., Basset-Mens C., Bessou C., Biard Y., Feschet P., Lançon F., 2016. Towards a harmonized framework for assessing the sustainability of agricultural chains: propositions for building a multidisciplinary dialogue. AC&SD conference, 12-14 December 2016, Montpellier, France.

Monke E.A., Pearson, S. R., 1989. The Policy Analysis Matrix for Agricultural Development, Cornell University Press.

Seuring S., 2012. A review of modeling approaches for sustainable supply chain management, Decision Support Systems, 54, pp 1513-1520

Temple L., Lançon F., 2007, Atelier Concepts et Méthodes en économie des filières – Actes, CIRAD.

Ukidwe N. U., & Bakshi B. R., (2011). Exergy and Material Flow in Industrial and Ecological Systems. Thermodynamics and the Destruction of Resources, 292-333.
# Using SMART to compare social, economic, environmental and governance impacts of certification at smallholder farm level

Brian Ssebunya<fnref n="1" />, Lukas Baumgart, Jan Landert and Christian Schader

There are contradicting reports on the impacts of standards and certification on various elements of sustainability. The Sustainability Assessments of Food and Agriculture Systems (SAFA) framework, published by the Food and Agriculture Organisation (FAO), aims at harmonising sustainability assessments and making methods and results more transparent and comparable (FAO 2014). The Sustainability Monitoring and Assessment RouTine (SMART) is a multi-criteria analysis tool, which analyzes the degree of sustainability goal achievement with respect to the 58 themes defined in the SAFA guidelines. SMART uses an impact matrix that defines 327 indicators and 1,769 relations between SAFA sub-themes and SMART indicators (Schader *et al.* 2016). We use SMART to assess and compare the effects of organic and fair trade certifications on the sustainability of smallholder coffee production in Uganda. The assessment covered 360 farms, categorized as fair trade organic (FO), fair trade (FT) and conventional/non-certified (CN) in both Arabica (A) and Robusta (R) systems – 60 farms randomly drawn from each of the six categories.

Generally all farms have high scores in the social, followed by environmental, and low in economic and governance themes, irrespective of the certification status. Specifically, farms scored high (above 50%) in most social themes, except ‘capacity development’ theme which relates to access to training opportunities and extension services. Scores of environmental themes are evenly distributed, but low (below 50%) for ‘soil quality, land degradation, material use, waste reduction and disposal, air quality and greenhouse gases’ themes. High variation in scores is observed in the economic and governance themes, with low scores in ‘internal investment, long-range investments, risk management, liquidity, value creation economic themes, and sustainability management plan, full cost accounting, holistic audits, transparency mission statement themes’ respectively.

The Analysis of Variance (ANOVA) test results show that the sustainability scores between the Arabica and Robusta systems and within the certification categories are significantly different (p< 0.05), with higher scores among certified than non-certified farms. In terms of the scores of specific themes within each of the four SAFA dimensions (social, environment, economic and governance), a typical pattern is observed in each sustainability dimension. This implies that sustainability performance of farms is influenced by other contextual factors than certification. Sustainability scores of Arabica farms are significantly higher than Robusta farms in corresponding certification categories. Arabica farms are smaller and remote but more organized with proper management structures at group level than the larger and more resource-endowed but less organized Robusta farms. As a result, Arabica farms scored higher than Robusta farms in the governance themes. In addition, it is a key requirement for fair trade certification to which all certified groups belonged, to work in groups. Working in groups facilitates collective action for example collective sales, access to inputs, group savings and credit schemes, and access to information among others. In compliment, organic certification emphasizes good agricultural practices in coffee production that positively influence environmental and economic scores. We therefore conclude that certification improves the sustainability performance of smallholder farms mainly through the enhancement of the ‘cooperative effect’ which has direct positive impacts on the governance themes, and indirect positive impacts on social, environmental and economic themes of sustainability.

<footnote n="1">1. Research Institute of Organic Agriculture (FiBL), CH-5070 Frick, Switzerland.</footnote>
## References

Schader C., L. Baumgart, J. Landert, A. Muller, B. Ssebunya, J. Blockeel, R. Weisshaidinger, R. Petrasek, D. Mészáros, S. Padel, C. Gerrard, L. Smith, T. Lindenthal, U. Niggli, and M. Stolze. 2016. Using the Sustainability Monitoring and Assessment Routine (SMART) for the Systematic Analysis of Trade-Offs and Synergies between Sustainability Dimensions and Themes at Farm Level. *Sustainability* 8(3): 274.

FAO 2014. Sustainability Assessment of Food and Agriculture systems (SAFA), version 3. Food and Agriculture Organization of the United Nations (FAO), Rome. http://www.fao.org/nr/sustainability/susta assessments-safa/en/
# No time to rest on one's laurels – A SMART sustainability assessment induced further optimisation on a banana plantation in Costa Rica

Silvia Marton<fnref n="1" />, Lukas Baumgart<fnref n="1" />, Leonhardt Jancso<fnref n="2" />, Moritz Teriete<fnref n="2" /> and Christian Schader<fnref n="1" />

## Introduction

Bananas and plantains are the second-most important agricultural export product from Costa Rica. In 2013, Bananas contributed almost 20 per cent to the total export value of agricultural products (FAOSTAT, 2013), making them a key product for the Costa Rican economy. The other side of the coin is that typical banana production can lead to negative environmental and health impacts, mainly due the broad application of pesticides (van Wendel de Joode et al., 2016). In addition, workers' conditions on banana plantations are sometimes critical, because of low wages and temporary hiring (Murray and Raynolds, 2000). Consequently banana production in its current form has a large impact on both the local environment and economy and there are significant trade-offs between the former and the latter. The Sixaola watershed in the south-eastern part of Costa Rica is an important production area for bananas. Due to a weak legal framework and the lack of knowledge on health and safety practices, pesticide applications on banana plantations are major concern within this region and pose a risk to humans and aquatic wildlife (Polidoro and Morra, 2016). The Platanera Rio Sixaola S.A. is a banana plantation farm, producing both conventional and organic bananas in this region. The aim of the farm is to be a pioneer for sustainable banana production, considering environmental and social aspects. Since the formation of the plantation in 1990, the farm abstains from using herbicides and nematicides. Nowadays the farm complies with voluntary standards such as Rainforest Alliance, GlobalGAP, and ISO 14001, and is carbon neutral since 2015. Going beyond a basic fulfilment of standards and singular measures, the goal of the present study was to assess the actual sustainability performance of the farm in a holistic way in order to gain an encompassing status quo analysis. Moreover, in doing so optimisation measures towards a more sustainable banana production can be identified and implemented.

## Methods

In 2015, the sustainability of Platanera Rio Sixaola farm was assessed with the help of the Sustainability Monitoring and Assessment RouTine (SMART) farm tool, developed by the Research Institute of Organic Agriculture (FiBL). The SMART farm tool is based on the Guidelines for Sustainability Assessment of Food and Agriculture Systems (SAFA Guidelines) from the Food and Agriculture Organization of the United Nations (FAO, 2014). The sustainability assessment according to SAFA considers four sustainability dimensions: good governance, environmental integrity, economic resilience, and social well-being. For each dimension, SAFA defines 21 different sustainability themes, as well as 58 sub-themes, which are rated according to the degree of goal achievement. The SMART farm tool uses 327 indicators to quantify the degree of goal achievement. The indicators are assessed by independent expert based on farm visits and interviews with farm managers (Schader et al., 2016). As the Platanera Rio Sixaola is an important employer in the region, with over 100 employees, in addition to the SMART farm tool questionnaire used for the interview with the farm manager, a questionnaire for the employees was developed. This questionnaire contained 34 questions about different labour related topics, such as wages, contracts, health insurance, labour unions, or equal opportunities. The interviews with the farm manager and 91 employees were held during a three day farm visit in 2015.

<footnote n="1">1. Research Institute of Organic Agriculture (FiBL), CH-5070 Frick, Switzerland.</footnote>

<footnote n="2">2. Sustainable Food Systems GmbH, Switzerland.</footnote>
## Results

**Good governance:** The farm performed well 13 of the 14 sub-themes linked to good governance, with a degree of goal achievement of over 60 per cent. They have a clear mission statement towards sustainability, and their sustainability reports are publicly available. The only sub-theme, where the degree of goal achievement was rather low, was 'full-cost accounting', with a degree of goal achievement of only 27 per cent. So far, the farm did not consider externalities in their accounting.

**Environmental integrity:** The farm achieved at least a degree of goal achievement of 50 per cent on all 12 sub-themes related to environmental integrity assessed. In the sub-theme 'water quality', a key topic in the Rio Sixaola watershed, the farm scored with 65 per cent. This high rating was achieved, as the farm did not use neither herbicides nor nematicides. However, the farm still used synthetic insecticides on a large part of its area, and these pesticides were sprayed by airplane. The two sub-themes related to animal welfare were not assessed, as the farm has no livestock.

**Economic resilience:** The degree of goal achievement on 12 out of 14 sub-themes related to economic resilience was above 50 per cent. Some weaknesses could be identified in the subthemes 'local procurement' and 'liquidity'. In the case of local procurement, the farm only sourced part of their inputs locally, as some of the inputs, such as fertilisers or pesticides, were not available from local sources. The comparably low rating for the sub-theme liquidity was caused by a lack of insurance against natural hazards and due to a low diversification of income sources. In other words, there was no urgent issue with liquidity, but there was a risk of financial strain in case of unforeseen events.

**Social well-being:** In all but one of the 16 sub-themes related to the social dimension, the farm scored 50 per cent or higher. Only for the sub-theme 'freedom of association and right to bargaining', the degree of achievement was below 50 per cent. A majority of the employees reported that they do not think they have the freedom to engage themselves in labour unions.

## Discussion

Platanera Rio Sixaola was the first banana plantation assessed with the SMART farm tool, therefore it was not possible to compare the results with farms of a similar type. Yet, in comparison with farms with different agricultural production systems that have so far been assessed with the SMART tool, Platanera Rio Sixaola was an outperformer. The enthusiasm of the farm manager for sustainability was clearly noticeable throughout the process. Already during the SMART interviews, he identified further room for improvement. Many of his ideas were already put into practice or are in the pipe line. In collaboration with the non-profit organisation Organisation Asociación Nacional de Alcaldías e Intendencias (ANAI), a monitoring program for waterways was established. Not only waterways on farm, but also within the region are monitored, and if necessary actions are taken to ameliorate the water quality or to provide a suitable environment for fish and molluscs. The farm also offers new ways for employees to engage themselves, for example through a photo contest, where the best pictures of wildlife species discovered on farm are awarded. Soon, another contest will start, where employees can suggest activities to improve sustainability. They also established a workers' council, whose members were recently elected by the farm's employees. The most ambitious project, however, is certainly the introduction of a true cost accounting system, with focus on positive and negative externalities of the farm's activities on soil quality, biodiversity and water quality. As up to now, practicable methods for true cost accounting for banana plantations do not exist, Platanera Rio Sixaola is currently initiating a research project in order to develop such a system (Lena Hansen, pers. comm. 1st September 2016).

Not only has Platanera Rio Sixaola benefited from the sustainability assessment, it was a process of mutual learning for further development of the SMART farm tool. As the farm was the first farm with such a high number of employees, it was important to include not only information provided by the farm manager, but also consider the employees directly. The employee questionnaire used for Platanera Rio Sixaola has now been integrated in the SMART farm tool, and will be applied in all cases where farms employ a large number of workers.
## Conclusion

The present study outlines how a farm can be supported by the SMART farm tool on its pathway to sustainability – even if the farm is already as engaged as Platanera Rio Sixaola. The process of the interview on farm pointed the manager at sustainability aspects that were so far not on his radar. On the other hand, the work with such a pioneering farm also challenged the tool itself, and induced further development. As sustainability reporting is a key interest of many farms and companies applying such tools, further testing and research is ongoing in order to adapt the tool to demonstrate the contribution of a farm or company to the Sustainable Development Goals (SDG).

## References

* FAOSTAT, 2013. FAO Statistical Database. http://faostat3.fao.org [Accessed 30 August 2016].

* Food and Agriculture Organization of the United Nations (FAO), 2014. Sustainability Assessment of Food and Agriculture Systems (SAFA). In: FAO (Ed.), Rome, Italy, http://www.fao.org/nr/sustainabil assessments-safa/en/ [Accessed 30 August 2016].

* Murray D.L., Raynolds L.T., 2000. Alternative trade in bananas: Obstacles and opportunities for progressive social change in the global economy. Agriculture and Human Values 17, 65-74, doi: 10.1023/a:1007628709393.

* Polidoro B.A., Morra M.J., 2016. An ecological risk assessment of pesticides and fish kills in the Sixaola watershed, Costa Rica. Environmental Science and Pollution Research 23, 5983-5991, doi: 10.1007/ s11356-016-6144-0.

* Schader C., Baumgart L., Landert J., Muller A., Ssebunya B., Blockeel J., Weisshaidinger R., Petrasek R., Mészáros D., Padel S., Gerrard C., Smith L., Lindenthal T., Niggli U., Stolze M., 2016. Using the Sustainability Monitoring and Assessment Routine (SMART) for the Systematic Analysis of Trade-Offs and Synergies between Sustainability Dimensions and Themes at Farm Level. Sustainability 8, 274, doi: 10.3390/su8030274.

* van Wendel de Joode B., Barbeau B., Bouchard M.F., Mora A.M., Skytt Å., Córdoba L., Quesada R., Lundh T., Lindh C.H., Mergler D., 2016. Manganese concentrations in drinking water from villages near banana plantations with aerial mancozeb spraying in Costa Rica: Results from the Infants' Environmental Health Study (ISA). Environmental Pollution 215, 247-257, doi: 10.1016/j.envpol.2016.04.015.
# Towards a harmonized framework for assessing the sustainability of agricultural chains: propositions for building a multidisciplinary dialogue

Pierre Martin<fnref n="1" />, Sylvain Rafflegeau<fnref n="2" />, Flavia Fabiano<fnref n="3" />, Patricio Mendez Del Villar<fnref n="4" />, Claudine Basset-Mens<fnref n="5" />, Cécile Bessou<fnref n="2" />, Yannick Biard<fnref n="5" />, Pauline Feschet<fnref n="6" /> and Frédéric Lançon<fnref n="7" />

## Introduction

In recent years, we assisted to a rise of concern about sustainability issues, by public authorities and by society at large, which is officially captured by the signature of the 2030 agenda and the conception of the seventeen Sustainable Development Goals. As a consequence of these trends, new needs are emerging in terms of assessment of value chains including agricultural ones. Value chains have been assessed historically using a socio-economic approach often coupled with the agro-technologic one. These two approaches consider the social and the economic dimensions of sustainability but do not account for the environmental impacts of value chains. Life Cycle Assessment (LCA) methods were developed with a focus on evaluating this dimension. More recently, Social LCA, following the life cycle thinking approach, was also launched to include social-economic considerations in the analysis.

In order to obtain a comprehensive picture of the sustainability and contribution to sustainable development of value chains, multiple parallel analyses should be done. However, the results so produced are often hard to compare and integrate. Thus these assessment efforts reveal to be expensive and inefficient.

This paper intends to addressing the issue of initiating a fruitful multidisciplinary dialogue and investigating the possibility of integration of the above discussed methods. The paper will therefore confront these different perceptions, by mapping their similarities and differences and taking into account the lexical ambiguity of the vocabulary (synonymy, polysemy, etc.). The final objective of this work is to bring the different methods as close as possible and to propose a multidisciplinary harmonized framework for assessing the sustainability of agricultural chains. This framework will consider, on the one hand, the system representation and, on the other hand, the data types required by each approach to produce the assessment.

## Methodology

The construction of the harmonized framework is conducted using a knowledge management approach. It is based on an ontology developed according to the NeON methodology.

## Discussion and conclusion

This work started in June 2016, through a series of meetings and will proceed during autumn 2016. Associated to the ontology, a thesaurus will manage the lexical ambiguity of the vocabulary.

A first operational outcome of this work will emerge within the EuropeAid programme "Inclusive and Sustainable Value Chains" (2016-2019), where CIRAD experts as part of the AGRINATURA consortium,

<footnote n="1">1. CIRAD, UPR AIDA, F-34398 Montpellier, France.</footnote>

<footnote n="2">2. CIRAD, UPR Systèmes de pérennes, F-34398 Montpellier, France.</footnote>

<footnote n="3">3. CIRAD, DGDRS, F-34398 Montpellier, France.</footnote>

<footnote n="4">4. CIRAD, UMR TETIS, F-34398 Montpellier, France.</footnote>

<footnote n="5">5. CIRAD, UPR HORTSYS, F-34398 Montpellier, France.</footnote>

<footnote n="6">6. CIRAD, UPR GECO, F-34398 Montpellier, France.</footnote>

<footnote n="7">7. CIRAD, UMR ART-DEV, F-34398 Montpellier, France.</footnote>
are called to assess the sustainability of thirty agricultural chains in developing countries. The harmonised framework will facilitate the coordination and joint work of experts of different disciplines involved in these assessments and will allow the identification of a harmonized dataset required for the different approaches. The latter will improve data collection efficiency, in terms of costs and of employment of time.

The harmonized framework will also contribute to develop a CIRAD Knowledge Base System devoted more broadly to the investigation of the topic: “agricultural chains & sustainable development” (2016-2019).

Finally, building the harmonized conceptual framework is the first step of a broader effort to develop an interdisciplinary method for assessing the contribution of value chains to sustainable development. Later steps will require a strong investment in the underlying theory of the four approaches in order to generate a general inclusive theory.
# EX-ACT VC: an innovative tool to assess multi-benefits of food value chains

Bockel Louis<fnref n="1" />, Debrune Orane and Anass Toudert

In order to help transforming agri-chains towards sustainable development, FAO recently developed an innovative technical tool which provides co-benefits appraisal of value chain. By analyzing agri-chain performances it helps identifying strategic options for improving their resilience while generating co-benefits for every sector of the food production. EX-ACT VC (Ex Ante Carbon Balance for Value Chain) is a tool based on the EX-ACT tool, developed within the Economic and Agricultural Division in FAO in order to face rural poverty, enhance climate resilience of population and ecosystems and de-carbonize agri-food systems. The methods used in the tool strongly take into account contributions of food value chain in integrating simultaneously both environmental and socio-economic benefits.

Numerous disciplines are covered, such as climate change science, ex-ante estimations, environmental economics and social analysis. This tool might challenge, extend or complicate existing work in our field by gathering all these dimensions together, but it is a new approach and a new way of linking the three main components of sustainability within one tool. Developing a simple tool able to analyse the multi-dimensions of a value chain and adapted for every stakeholders within the agri-chain was the main challenge that we faced.

<footnote n="1">1. FAO, I-00153 Rome, Italy.</footnote>
<figure><img src="image_7.png" /></figure>
Session 13

*Multi-stakeholder partnerships towards food security and sustainable value chains*
# Institutional food procurement programmes: key aspects for programing and policy design

Florence Tartanac<fnref n="1" />, Israel Klug<fnref n="1" />, Luana Swensson<fnref n="1" /> and Siobhan Kelly<fnref n="1" />

## Rationale

Inefficiencies in the food system and limitations in market access for smallholder farmers are important aspects hindering food security in developing countries. Public sector institutions buying food such as schools, hospitals, food reserve authorities, prisons, the military and humanitarian programmes can create effective demand for nationally produced food and, as such, potentially constitute important markets for smallholder farmers.

In the last few years – and especially after the 2008 global food price crisis – the use of the regular demand for food on the part of government entities and other institutions (i.e. institutional demand) has been seen as an instrument with the potential to support production by smallholders, their integration into the formal market and to drive development.

The theory behind it is that connecting large, predictable sources of demand for agricultural products to smallholder producers can reduce uncertainty and risk associated with smallholders’ engagement with food markets, and encourage improved quality, leading to improved food systems, increased income and reduced poverty.

The benefits of linking institutional demand for food to local smallholder production are multifaceted as it has also the potential for governments to simultaneously address different social, economic and environmental development goals.

For instance, fostering smallholder engagement with large public buyers may increase access to close-to-home and familiar market outlets with less demanding requirements compared to more stringent export markets. This type of approach could also promote the formalization of markets – a crucial component for transforming agriculture into a legitimate and competitive sector for poverty reduction and economic growth.

Public food purchase from smallholders are also a good example of how market-oriented strategies can improve food and nutrition security for vulnerable communities; support diversification of local production and value local dietary habits and ingredients; increase the adoption of agroecological and climate-sensitive agriculture practices; while fostering economic development and small farmers market participation. Both developed and developing countries recognize the role of institutional food purchase in promoting sustainability, environment and social agendas.

Recognizing these benefits, the Food and Agricultural Organization of the United Nations (FAO) is supporting governments to design and implement food procurement programmes from family farmers for public institutions.

## Methodology

This paper is based on the lessons learned from the implementation of the Purchase from Africans for Africa programme (PAA Africa) launched in 2012. In this programme, FAO supports linking local food production to food assistance and school meals programmes in five African countries<fnref n="2" /> by working closely with WFP, local communities, schools and smallholder groups. The programme objective is to contribute to food and nutrition security and income generation for smallholder farmers and vulner-

<footnote n="1">1. Food and Agricultural Organization of the United Nations (FAO) - Viale delle Terme di Caracalla 00153 Rome, Italy, Italy</footnote>

<footnote n="2">2. Ethiopia, Malawi, Mozambique, Niger and Senegal.</footnote>
able communities by supporting and promoting adapted local food purchase initiatives. (FAO & WFP, 2014) In order to achieve those outputs this overall objective PAA Africa works at three levels; policy, programing and implementation, combining knowledge and operational components. Learnings from this field programme were completed with 8 cases studies on the World Food Programme Purchase for Progress (P4P) programme and the Brazil's Public Food Procurement Programme and National School Feeding Programme.

To learn from P4P, country scoping missions took place in close collaboration with WFP in 2013 to eight countries where the P4P is operational – Rwanda; Kenya; Tanzania; Ethiopia; Ghana; El Salvador and Guatemala<fnref n="1" />. The focus of these missions was to gather evidence for country case studies on the role and experiences of P4P within the overall framework of inclusive food systems and to appraise other models of public food procurement in the same countries, if they existed.

To learn from the Brazilian experience, two case studies were commissioned to appraise the enabling environment history for PAA and PNAE. Using primary and secondary sources, these cases gathered evidence over a ten-year period on Brazil's iterations of its policy, regulatory and institutional reforms introduced to address constraints for public food procurement from smallholders.

## Main results

**This paper presents some findings and policy recommendations** covering the areas on policy and legal framework constraints and good practices required for the successful implementation of IPP as a driver of local food system development. Policy framework: fostering intra-ministerial collaboration

The goals of public food procurement programmes vary from country to country and programme to programme, however common to all is their multi-faceted nature in trying to address a number of development and economic goals, from child nutrition to linking smallholder to local formal markets and poverty reduction.

As such, the multifaceted nature of Institutional Procurement Programmes (IPPs) requires an equally multifaceted policy and institutional enabling environment. This in turn calls for a coordinated and collaborative multisectoral coordination approach.

The overall analyses show that the level of success for IPPs achieving their objectives is highly dependent on clear institutional roles and their capacity to coordinate with one another from Ministerial level down to the local level where is food procured and delivered.

A coordinated and multi-sectorial approach has been attributed also, for instance, as one of the main factor for the successful implementation of Brazilian PAA. Inspired by the Brazilian experience, also PAA Africa promote a multisectorial approach for both the design and implementation of IPPs programmes.

## Aligning policy, legislation and institutional processes

Political will and policy reform are key to the transformation of local food systems and IPPs implementation. However, policy reform and political will are not enough, if the institution and legal frameworks are left unchanged. The most salient lesson emerging from PAA Africa research agenda and field experience has been the critical role that policy and institutional reforms need to undergo together and interlinked with operational choices or issues in order to lay out the foundation for sustainable and inclusive public food procurement. Equally important is the need for legislative reforms to accompany the development of these programmes, which are analysed in topics d, e and f below

## Customizing decentralized public food procurement

Generally decentralized procurement systems are considered more effective for reducing waste, avoiding large-scale fraud, improving responses to end-users needs, while also encouraging growth of the market

<footnote n="1">1. The series of case studies are available at http://www.fao.org/ag/ags/ivc/institutional-procurement/en/</footnote>
economy to rural areas and towns. A decentralized system means that there are more opportunities for local-to-local linkages that suit local small farmers and enterprises supplying food and end-users such as schools, with spill-over effects for the rest of the local community. As the information interface is more immediate, delays can be avoided, and costs with transportation and storage reduced. Furthermore a decentralized system facilitates the supply of fresh food, may increase in the quality and variety of food, and could be compatible with local eating habits and tastes. Nevertheless, decentralization may means also a decrease in the potential advantages of bulk buying and economies of scale and will necessarily requires a decentralized administrative capacity as well as a well-functioning accountability system and in communication with more a centralized administration level. More centralized processes can ensure greater standardization of procedure, facilitating its monitoring and control.

Pilot initiatives, such as the ones implemented through PAA Africa, provide a great opportunity for testing and choosing the best procurement systems adapted to the country context.

## Aligning legislation: the law on public procurement

Without the development and/or adaptation of different laws which not only allow but also facilitate the integration of smallholders into institutional markets, it is very likely that an IPP would not succeed in its objectives of supporting smallholder production and access to markets and, in particular, of acting as a driver of development. One of the key legal issues linked to IPPs is the regulation of public procurement.

The main issue of the regulation of public procurement for IPP is that most often public procurement legislations impose a procurement process (bidding process) which, due to its complexity and high level of requirements, may hinder the participation in institutional markets of a section of population – the smallholder producers – which cannot easily compete with larger producers and traders at these same conditions.

For the implementation of an IPP which has the aim to facilitate the access of smallholder farmers to institutional markets, it is recommended to adapt the legal framework – and in particular the legislation on public procurement – to those programme objectives. The Brazilian experience is a key example in this sense.

It is also necessary to develop procurement mechanisms more adapted to the capacities and characteristics of smallholder supply. Nonetheless, the adaptations or reforms should continue building and relying on the basic principles of the public administration, ensuring that accountability mechanisms and transparency are envisaged, regulated and requested for the differentiated procurement mechanisms.

## Developing procurement mechanisms that respond to smallholders' capacity

New procurement mechanism need to be designed according to the characteristics of smallholder suppliers, while still maintaining the core principles that protect the interests of the institutional buyer and public sector funds, which will requires some improved capacity from smallholder farmers as well.

## Developing a proper legal framework to regulate the organizational structure of farmer's organizations

Farmer's organization (FOs) is the main entry point adopted and supported by both Brazilian and P4P experiences for linking smallholder producers to institutional markets. The importance of this model is not only because of the economy of scale that it brings, but also due to its capacity of helping producers to upgrade access to other markets and achieve higher outcome.

It is important and advisable the alignment of regulations on farmers organizations and the IPP's objectives. This can be done by improving and updating the related legislation, but also by developing new ones, based on organizational and also contractual arrangements.

## Measuring impact and monitoring IPPs

Attention is needed on measuring impact of results and monitoring implementation in order to support efficiency and effectiveness and to promote social accountability. In several contexts of IPP's policy
implementation, monitoring systems and transparency remains a challenge to be overcome. Resources
are not always devoted to this important aspect and as a result, information and clarity on the imple-
mentation performance is not always available on a timely manner for managers and for the society
in general.

Comprehensive and experimental impact evaluations of IPP, especially considering impacts on transfor-
mation and formalization of food systems, rural development, food security and poverty reduction have
not yet been properly addressed globally.

Concluding remarks

Institutional food procurement programmes have a great potential to create, stimulate and support trans-
formative development of food supply systems.

Despite the challenges of measuring impact and monitoring IPPs, overall anecdotal evidence from the
IPPs reviewed here, together with initial results of PAA-Africa monitoring and evaluation activities,
confirm the potential of IPPs.

In Brazil, for instance, different studies assessing the impact of the IPPs in the country on a range of aspects including impact on income and production indicate positive trends for improvement in (i) family farm income; (ii) diversification and increase of family farm production; (iii) strengthening and development of collective organizations. Further impacts assessed through qualitative studies include improvement in beneficiaries' nutrition and health, including not only food consumers but also family producers themselves; improvement in the quality of products; transition towards higher added-value production, including processed products and organic and agro-ecological production and stimulus in local economy.

Nevertheless, the development and implementation of this kind of programme is not a simple or straight-
forward task. It requires a series of conditions that must be coordinated and matched together. Those
conditions depend – but go far beyond – the governmental will and availability of demand; they are
linked to policy, institutions, legal frameworks and operational choices and issues, as well as agricultural
enabling environments on the supply side and market enabling environments on the demand side. The
findings outline above address some of those pieces and provides some guidance on the topic. Neverthe-
less, further tailored research for guiding policy formulation and scaling-up, as well as to guide policy
makers through the operational options and related challenges and opportunities of IPPs is still needed.
# BiomassNet: a stakeholder network for promoting innovation in food and non-food biomass-based value webs in Africa

Christine Schmitt<fnref n="1" />, Dady Demby<fnref n="2" />, Tina Beuchelt<fnref n="1" /> and Manfred Denich<fnref n="1" />

Global demand for biomass as food, feed, source of energy and industrial raw materials is putting increasing pressure on the agricultural sector and food production worldwide. There is a strong need for strategies that can ensure food security while attending growing demands for non-food biomass. The research project BiomassWeb aims at contributing to food security in sub-Saharan Africa by promoting innovations in the value webs of the food and non-food biomass sector.

Biomass-based value webs are complex systems of interlinked value chains in which food and non-food biomass is produced, processed, traded and consumed. The value web approach allows identifying synergies and trade-offs between the value chains of individual crops, especially when incorporating coupling uses of biomass. The approach also provides a conceptual framework for incorporating the expertise of a wide range of experts and scientists from different disciplines.

The BiomassWeb project specifically addresses the role of maize, cassava, plantain/banana/enset and bamboo in value webs in Ghana, Nigeria and Ethiopia. Capacity development and the integration of local and national stakeholders in the partner countries are an inherent component of the project. As part of its outreach activities, the project will launch the first pan-African expert network in the food and non-food biomass sector (BiomassNet) in December 2016.

BiomassNet is an expert network, which will link up scientists, experts, policy makers, authorities, development organisations and practitioners to strengthen the African biomass sector at local, national and international levels. It aims at promoting more efficient and sustainable biomass production, processing and trading to enhance food security and support the emerging bio-economies in Africa. In particular, the network will encourage using the value web approach in tackling biomass issues in Africa to enhance system thinking and innovation in this sector. It is also expected to boost pan-African collaboration and international partnership initiatives.

BiomassNet will be implemented through an interactive website that allows users to create profiles, contact each other through the website and upload and download information. In addition, the BiomassNet Dgroup provides a platform for moderated email discussions on pertinent topics that can capture the opinion and ideas of a large number of group members – see https://dgroups.org/groups/biomassnet/. The initial members of BiomassNet will be experts linked to the African and German universities, research institutions and international agricultural research organizations that form part of the BiomassWeb project. Using the snowballing effect, advertisement campaigns and workshops, we envisage enhancing the visibility of this new network and increasing membership. First experience from setting up the network will be used to highlight the challenges related to building a new partnership and innovation network in the highly diverse food and non-food biomass sector in Africa.

<footnote n="1">1. University of Bonn, Center for Development Research, Bonn, Germany.</footnote>

<footnote n="2">2. Forum for Agricultural Research in Africa (FARA), Ghana.</footnote>
# Local products for urban markets' supply : experiments in the region of Siem Reap (Cambodia)

Martine Francois<fnref n="1" />, Lucie Reynaud<fnref n="1" /> and Sokarith Touch<fnref n="1" />

In Cambodia, the small farmers have had to adjust local production to the rapid increase of the population in the region of Siem Reap and consumers' new preferences for healthy, and quality food.

The Gret has started to create producer groups in Cambodia because so much of the fruit and vegetables is imported from neighbouring countries. This allows smallholders to sell their produce at local markets as well as at markets in Siem Reap.

The Gret's approach is based on reinforcing an inclusive value chain that allows an equitable division of profits. Aid is given to collective activities : to smallholders and micro-entrepreneurs who work together and sell their produce locally.

Since 2011 the Gret has been working in partnership with the Institut Cambodgien pour la recherche rurale et le développement (CIRD) and the Département Agricole de la région de Siem Reap to improve links between smallholders and local and regional markets, implementing the APICI programme – semi-intensive agriculture with sustainable low-input practices – financed by the Conseil Général du département des Hauts-de-Seine.

The objective is to help the farmers organise themselves into producer groups at a village level and elect representatives as well as drawing up internal regulations and a collective production calendar adapted to the market. These decisive factors produce and guarantee enough regular high quality produce.

Technical training in harvesting, classifying vegetables according to size and quality, storage, helps the farmers to improve the quality of the vegetables they deliver.

15 vegetable producer groups and 15 collectors developed a system of collecting and selling the products. Now 290 farmers, of whom 243 are women, provide an average of 100 tonnes of vegetables a month at Siem Reap markets through two distribution models based on short circuits like restaurants, hotels and canteens, but also the local and regional wholesale markets.

The communication will also examine the comparison between the advantages of short and long circuits for producers and stakeholders in the value chain.

At the same time, the Gret et Cird help farmers to move towards a sustainable agricultural system which produces healthy local vegetables. To achieve this, agroecological practices are fostered by technical training, demonstration farms and exchanges with reference sites so that now the 290 farmers can grow a great variety of quality crops: on average 50 kinds of vegetables on a total of 52 hectares.

<footnote n="1">1. Groupe de Recherche et d'Échanges Technologiques (GRET), France.</footnote>
# Development of the rice value chain in Guinea though support for female rice parboilers and a collective, interprofessional trademark

Floriane Thouillot<fnref n="1" /> and Cécile Broutin

This communication explains the Gret and MGE's initiatives to support the rice value chain in Guinea :

* It details the ways in which women have been able to rise in the value chain and the new balance of power within the trade.

* It shows the results and what has been learned from the establishment of the first collective trademark of a processed product in West Africa and the issues determining its sustainability.

## The reinforcement of parboiling rice

Traditionally many women in the countryside parboil rice to feed their families and to earn extra money. This plays a central role in rural production and consumer markets, as Guineans prefer parboiled rice. The women parboiling the rice are responsible for quality control. They have become progressively more organised and more professional, first forming associations and then unions to deal with shared challenges. The original objective of the projects was to generate revenue and jobs and allow women financial and social independence, hoping to maximise impact on poverty. Different methods of support were tried between 2005 and 2015 in the three rice-growing regions. Support for women should, in the long term, allow recognition for both their profession and their participation in the territory's economy as well as the sustainable structuring of the value chain for food security. Today these organisations are super-structured lv federations and play an increasingly important role in the value chain, causing a definite change in equilibrium. They protect their own interests towards rice paddy producers, who are still not inclined to recognise their profession nor their place in the value chain.

- Creating a collective trademark for mangrove parboiled rice: Parboiled mangrove rice (Böra Maalé in Sousou) is greatly esteemed by Guineans and more expensive than any other rice on the local market. The Gret and MGE have supported the creation of an interprofessional collective trademark to limit the sales of other rice or mixtures of rice under the name Böra Maalé and to make sure that the profits from this particular rice remain for the value chain's stakeholders. The brand Böra Maalé Fanyi, created in 2014, is a more expensive niche-market product for restaurants and supermarkets, etc. The leading trade organisation, Böra Maalé Network, has representatives from all the different stages in the rice value chain in Lower Guinea. This project was created by the Gret, the MGE and the BSD to bring technical and organisational support to the Network while the brand takes off, due to growing demand. The principal challenges are encouraging cooperation and agreement among members of the Network, independent sales management and self-regulating specifications. The Network must be able to develop the market, undertake more dynamic sales techniques and avoid delays or ruptures in delivery as well as disseminating its experience for an appropriation from the government authorities. The project will also explore organic and fair-trade markets in Europe and even designate a geographic indication (identification phase). A cheaper high-grade rice market could also be developed, allowing a lower sales price.

<footnote n="1">1. Groupe de Recherche et d'Échanges Technologiques (GRET), F-94736 Nogent-sur-Marne, France.</footnote>
## Session 14

*Connecting value chains, natural resource management*
*and sustainable farming systems*
*Participatory diagnosis and collective action*
# Environmental impacts of agricultural practices and water and soil conservation works : the case of the Merguellil catchment

Meriem Jouini<fnref n="1" />, Julien Burte<fnref n="1" /> and Carole Sinfort<fnref n="2" />

## Abstract

Semi-arid agricultural areas are fragile territories where water and soil resources must be preserved. In such zones impact evaluation is difficult due to the lack of data. We focused on the upstream Merguellil watershed, located in central Tunisia, where several water and soil conservation works were built since 1990 to control water erosion and to protect the downstream area. The rapid expansion of such conservation measures raised the issue of their impact on soil and water resources. Our main goal is the impact assessment by LCA of the most relevant farming systems in our territory, taking into account on-site and off-site contributions to local and global impacts. Our strategy is to combine LCA with a participatory approach to integrate knowledge and perceptions of local actors and to provide elements on environmental impacts for all stakeholders. The first step was a territorial systemic participatory diagnosis to characterize the dynamics of the territory, to identify the natural resources and their uses, the developments of the agricultural practices and the characterization of the existing farming systems. This diagnosis was achieved through technical field visits and interviews with farmers. The second step was a territorial LCA of representative systems, mapping the different systems to consider the characteristics of their location (access to water, soil type...). Systemic territorial participatory diagnosis allowed to define a typology of production systems and to model the territory considering the interactions between these systems. Four types of production systems were identified to proceed with territorial LCA: olive and apricot system and olive and cereals system both in rainfed and irrigated combinations. LCA results are discussed for the most important midpoint indicators. This study demonstrated two major issues of LCA use for sustainable development in semi-arid watersheds: i) LCA results communication with stakeholders to fit with their understanding of the system and ii) localized impacts on soil and water resources, taking into account Water and Soil Conservation Works.

## Introduction

In semi-arid areas, agriculture is based on resource "water and soil" limited, fragile and often overused. Indeed, it is essential to assess the impacts of agricultural practices in semi-arid regions on the use and degradation of these resources to choose and to develop an intensive and environmentally sustainable systems. Such impact assessment is difficult in semi-arid areas due to the lack of data. Our study area is the upper watershed of Merguellil, located in central Tunisia, characterized by a semi-arid climate, which brings together major environmental challenges: over-exploitation of water resources, accelerated land degradation and low availability of data. We focused on the upstream Merguellil, where several water and soil conservation works were built since 1990 to control water erosion and to protect the downstream area. The rapid expansion of conservation measures raised the issue of their impact on soil and water resources.

The environmental assessment method chosen for this study is the approach of the life cycle assessment (LCA), it is an international normalized method widely used to assess the potential environmental impacts of a system to optimize existing processes. It presents a characteristic of a global approach (all environmental impacts are considered) and life cycle ("cradle to grave").

<footnote n="1">1. CIRAD, UMR-G-EAU, F-34398 Montpellier, France.</footnote>

<footnote n="2">2. Montpellier SupAgro, UMR ITAP, F-34398 Montpellier, France.</footnote>
The main goal of this study is the impact assessment by LCA of the most relevant farming systems in our territory, taking into account on-site and off-site contributions to local and global impacts. Our strategy is to combine LCA with a participatory approach to integrate knowledge and perceptions of local actors and to provide elements on environmental impacts for all stakeholders. The first step was a territorial systemic participatory diagnosis to characterize the dynamics of the territory, to identify the natural resources and their uses, the developments of the agricultural practices and the characterization of the existing farming systems. This diagnosis was achieved through technical field visits and interviews with farmers. The second step was a territorial LCA of representative systems, a mapping the different systems to consider the characteristics of their location (access to water, soil type...).

## Study area: Merguellil Watershed

Our study area is the Merguellil watershed located in Tunisia, a Mediterranean country. Indeed, in the Mediterranean region, soil degradation and water resources is a serious threat to humans and the natural environment. Agriculture in the Mediterranean is characterized by small size farms with a large number of farms are less than 10 hectares and they are economically less effective (Lacombe et al., 2008).

The Merguellil Watershed is located in central Tunisia, it is characterized by a semi-arid climate with high rainfall variability. Its area is 1183 km2 dam El Haouareb. To protect the downstream watershed of Merguellil against floods, the dam was built in 1989. The problems of the study area are the variable and limited resources, the high water use, low control over access to water, etc. These problems are also encountered in the whole Mediterranean basin, the basin Merguellil can then be regarded as an exemplary case (Leduc et al., 2004).

The upstream of the Merguellil watershed, where a runoff is an important water resources and for the aquifers recharge, was equipped Water and Soil Conservation Works (WSCW) in the years 1990. They are built to address the problems of land degradation by erosion and a water scarcity. The WSCW are classified into two categories: the WSCW essentially consist of benches and wscw of the hydrographic network consisting mainly of hillside reservoirs.

The WSCW allow then the surface runoff reduction, the upstream flow collect and increasing the local infiltration and provide an additional water for irrigation. However, the study area is characterized by solar radiation and high evaporation rates, characteristic of the Mediterranean climate. Lacombe (2007) estimated that over 90% of runoff water collected by the WSCW are lost through evapotranspiration, without increasing the agricultural production.

## Methodology

Our strategy is to combine the approach of the life-cycle assessment (LCA) with a participatory approach in the upstream of Merguellil watershed in central Tunisia to integrate the knowledge of local players and to create knowledge on the impacts environmental to policy makers, farmers, etc. The first step in our approach is to make territorial systemic participatory diagnosis that allows us to characterize of the dynamics of the territory, to identify the natural resources and their uses, the change of agricultural practices and the factors of these evolution, and the typology of farming systems.

The second step is the adaptation of the life cycle assessment framework for the use and change of land use. After that it will be necessary to define the indicators of impacts and the methods to calculate them. The third step is the identification of scenarios for our territory on which our methodology will be applied. The scenarios will be built with all stakeholders during a collective workshops.

## Results and conclusion

A systemic territorial participatory diagnosis allowed us to understand the dynamics and functioning of the territory as well as the factors of this evolution, the typology of the farming systems and the conservation works and to model the territory considering the interactions between these systems. At territorial
level, the most significant event that has played an important role in the landscape and landuse, the access to water and to aquifers, the farming system adapted by farmers, is the series of 1969 floods. After the floods of 69, there was an intervention by the state at the level of territory with the construction of Water and Soil Conservation Works and there is also the development of irrigated agriculture more and more intensive; and therefore the change of cropping system from rainfed to irrigated cropping system. Indeed, it is important to assess the environmental impacts of uses and changes in land uses. It is also important in this study to consider the diversity of farming systems. The most common cropping system is arboriculture. For the irrigated systems, many farmers have abandoned the practice of vegetable crops due to lack of water availability and high consumption of inputs. The apricot is a demanding crop in water, it takes a lot of agricultural practices compared to olive trees and is sensitive to weather conditions (tree mortality in case of sustained lack of water) but is very productive. The apricot is a water consumer crop and it takes a lot of agricultural practices compared to olive trees and it is a very sensitive to weather conditions (tree mortality in case of a lack of water) but it is a very productive. Farmers believes that the apricot crop adequate to meet their needs but the olive tree which guaranteed the sustainability of their farms because it is resistant to extreme weather conditions and the lack of water.

Systemic territorial participatory diagnosis allowed to define a typology of production systems and to model the territory considering the interactions between these systems. Four types of production systems were identified to proceed with territorial LCA: olive and apricot system and olive and cereals system both in rainfed and irrigated combinations. LCA results are discussed for the most important midpoint indicators. This study demonstrated two major issues of LCA use for sustainable development in semi-arid watersheds: i) LCA results communication with stakeholders to fit with their understanding of the system and ii) localized impacts on soil and water resources, taking into account Water and Soil Conservation Works.
# The limits and opportunities of the entrepreneurship injunction in collective irrigation: the case of horticultural value chain in Mozambique

Raphaelle Ducrot<fnref n="1" />,<fnref n="2" />, Wilson De Sousa, Etevaldo Cheveia, Joaquim Faduco and Paiva Muguambe

## Introduction and justification

To face food security challenges and more inclusive development many African countries need to increase the productivity of small scale agriculture. Yet, many policies and research interventions to have failed to raise farm productivity and the despite massive resources invested, the impact and visible effects of technology-driven productivity interventions (green revolution, modernization) are negligible at the local level.

This has led to a review of agricultural policies and discourse focusing on the conversion of low productive peasants into small entrepreneurs fully integrated into dynamic value chains and market as a pathway for agricultural growth and poverty reduction. In parallel, in search for solution for complex real-world problem and the acknowledgement that the success of complex innovation is related the extension and solidity of the socio-technical network that supports it, new approaches for innovation using transdisciplinary approaches have been experimented. Such approach which aims to promote complex innovations that tackle in the same time the technological, social, organizational and economic dimensions of change relies on transdisciplinary approaches. Multi-stakeholder platforms help to facilitate the innovation process, exchange, learning and reflection between academia and people outside academia and to develop institutional arrangements that support vertical and horizontal coordination.

Irrigation which allows for mitigating climate variability is a key factor to increase productivity. But many small scale collective irrigation scheme have had limited success due to various issues such as inadequate return on investment, poor governance, poor maintenance and weak market integration. In recent years various projects have focused on increasing irrigation productivity by mobilizing new innovation approaches. This is the case of the ACIAR project "Increasing irrigation water productivity in Mozambique, Tanzania and Zimbabwe through on-farm monitoring, adaptive management and agricultural innovation platforms". The project encourages transdisciplinary interactions at plot level to increase on farm water management and established 'Innovation Platforms' comprising farmers, political representatives and players across the market value chain, to identify institutional and market constraints and to stimulate opportunities for change.

By combining the analysis of existing database and outcomes of participatory workshops in Mozambique, we argue that the coordination processes which are necessary for the good functioning of collective irrigation are particularly demanding in the most challenging situations. These coordination issues which suppose the development of specific capacities and capabilities are generally overlooked when focusing on the economic and technical aspects of irrigation.

## Methodology

The methodology mobilized various tools: (1) analysis of the baseline surveys of irrigators in two pilot case study in the Maputo Province, Mozambique (Boane and Khanimambo scheme) characterized by differentiated market access. (2) An analysis of secondary data mainly a survey of 272 horticulture producers in the Boane and Moamba district conducted in 2014 as part of the trilateral partnership

<footnote n="1">1. CIRAD, UMR G-EAU, F-34398 Montpellier, France.</footnote>

<footnote n="2">2. Universidade Eduardo Mondlane, Faculdade de Agronomia e Engenharia Florestal, Maputo, Mozambique.</footnote>
between Mozambique, Brazil, and the United States survey and price analysis of 8 crops in the Maputo and Boane market (3) a series of participatory activities to characterize crop choice, value chain functioning and strategies in the two schemes studied.

## Results

There were clearly two different types of market situation: In the Boane district that bordered the metropolis of Maputo-Matola, 27 different horticultural crops mostly irrigated were grown and sold. Locally, the price of local traditional food and some horticulture crop is higher than in the capital revealing an existing local demand. There was no information on economic margin for these crops. The price of other horticultural crops was more volatile locally and in the capital market revealing a competition between schemes and/or importation from neighboring South Africa. In the Khanimambo case located 150 km from the capital, the market was very limited and strictly local.

Not surprisingly, small scale irrigated schemes gathers different types of farmers depending of the size of the irrigated plots, workforce availability, the education level and social connections. Farmers of the Boane scheme identified themselves more specifically in 4 types. In the area, a clear pattern of crop preferences by farmer type was identified depending of farmers 'objectives, workforce availability and access to funding. In the second case, the irrigation difficulties (flood risks, poor market access) have tended to discourage farmers and only a small number of farmers, principally women kept on cultivating with a food security objective.

In practice farmers in the Maputo surrounding identified three main marketing strategies and value chain functioning for horticulture crops depending of the importance of demand and the types of interactions with buyers. In Khanimambo, very restricted local market and distance from the main consumption area meant that a collective organization was necessary to make profit.

Collective action was limited in the Boane scheme as even irrigation was an individual activity. The dynamic market situation provided different market opportunities for the different types of farmers. Collective action focused on connecting the association with the external powerful actors as a way to increase association assets. This strategy was successful and limited the irrigation costs at farmers' level by providing periodic rehabilitation and alternative funds for the functioning of the association irrigation. The outcomes from the innovation platform fall within this model: it permitted a rehabilitation of the scheme and access to a new credit scheme but did not modify the coordination modalities between external actors and farmers. Thus the capacity of adaptation of the association mobilizes mostly political connections rather than internal capabilities. But the innovation process is leading to more cooperation at scheme level as the irrigation pattern needs to be reviewed due to the technological changes.

In Khanimambo, there was a stronger need for collective action both for the commercialization and maintenance of the scheme as technology and market did not permit the development of individual practices. Strengthening the capacity and capabilities for internal coordination is thus an absolute necessity for the sustainability of the scheme. Little attention have been given to this issue and the top-down assistance which tend to predominate might on the contrary jeopardize the limited collection action capacity by encouraging inequitable distribution of the benefits of the intervention to the better connected.

## Discussion and conclusion

In irrigation, better integration in value chain has often been associated with practices to reduce the dependence of farmers to the collective aspects of irrigation, for example by developing small reservoir capacity at farm level. This is associated with the development of medium scale irrigators or emerging farmers often sustain irrigation or at least initial investment by off farm income. In parallel a stronger interest of political elites and funding agencies to support individual irrigation have emerged. But small scale farmers have often no choice but to depend in more collective irrigation practices which are far more demanding and difficult to handle than individual system.
Innovation platform are supposed to facilitate the development of new coordination arrangements between irrigators and actors of the value chain. Little attention has been given to the capacity of collection action of the association which is a crucial determinant of irrigation sustainability where the development of more individual irrigation is limited. However, in the Boane case study the unexpected consequences of a technological change are creating an opportunity to develop better internal coordination process around water management and thus internal adaptation capacity of the association. In the dynamic market context of Boane, improvement of profitability notably for the more vulnerable farmers may be more related to the improvement of on-farm practices (for example careful choice of crop association and rotation), to minimizing treatment and irrigation costs as well as cash management during a crop cycle than formalizing the relationship in the value chains.

In the less favorable context as the Khanimambo scheme a more detailed understanding of the economic profitability of the scheme is necessary including clear differentiation of production costs between the rainy and dry period. A stronger attention should be given to the development of capabilities and management capacity of the association itself in order to strengthen their ability to compensate for the limited opportunities provided by the socio-economic and natural environment. This could start by more closely associating the association in the rehabilitation of the scheme, keeping in mind that empowerment is a long term process.

The Mozambican new irrigation policy requires that maintenance of the scheme and long term management be undertaken by association. Sustainability is mainly understood in term of profitability of irrigation and capacity of farmers to pay for repairs. But the social and political dimensions of sustainable maintenance of irrigation scheme are generally overlooked in this model. There is notably a discrepancy between the association governance model which is perceived by farmers in Mozambique as an egalitarian scheme to facilitate access to external financial resources and the business orientation and sustainability injunction that will necessarily increase the socio-economic difference between farmers and the inequitable share of the irrigation expenses between farmers; Currently, the water fees which aims to cover maintenance cost are not related to plot size. With sustainability in mind, it might be necessary to encourage other form of cost sharing or even form of governance such as the traditional partnership. In this model, farmers having the capacity to find resources outside of irrigation are in charge of paying for repairs and to bring market opportunities to the other farmers; this is associated to clearly acknowledged differentiated endowment and irrigation rights between farmers

## Acknowledgement

This research has been supported by the Australian Centre for International Agricultural Research as part of project FSC 2013-006.
# Dealing with the challenge of sustainable water resource management in food chain development

Jean-Louis Fusillier<fnref n="1" /> and Caroline Lejars

Global demand for agricultural products is projected to rise at least 50% over the next two decades (UN Millenium Project, 2005). Irrigated agriculture provides more than 40% of world food and uses 70% of total water withdrawals (Madramootoo and Fyles, 2010). Groundwater use in irrigation is increasing both in absolute terms and in percentage of total irrigation, leading to overexploitation both in arid and in temperate areas (Siebert et al. 2010). Population growth, evolution of eating habits, price volatility and markets fluctuations, all contribute to reinforcing tensions over water in the agricultural sector (Jamin et al., 2011). Further growth of agricultural production will have considerable implications for water use, especially groundwater.

The need to reconcile agricultural production and water conservation has prompted widespread innovation towards more sustainable farming methods but also to more sustainable food supply chains, especially through “local” or “short” supply chain (see for instance Marsden et al., 1999 and Ilbery, 2005). Sustainability is even increasingly used as a marketing argument. Several studies conducted in France (INRA, 2006), Asia and North Africa (Molle, 2011) have highlighted the interest to support the crop diversification within irrigated farms to reduce their vulnerability both to decreasing resources availability and agricultural price volatility. These researches showed that agricultural diversification strongly depends on (1) water and land availability, soil fertility and possibility of securing mid to long term access to these resources and (2) potential marketing outlets and organization of agri-food sectors. Recent studies also showed that the relationships between farmers and agri-food operators influence farmers’ production choices and production patterns (Farès et al., 2012) and that farmers’ strategies to decreasing water resources impact on farm and agrifood sector economy (Bouarfa et al., 2011; Lejars et al., 2012).

However, despite this increasing interest in more sustainable food chain or diversification, few analyses have examined the role of the overall organization of food chains at local and regional level (Ilbery, 2005), including food chain competition for water resources. Emphasis on food chains at a regional level is an important departure to reach sustainable management of water resources used by agriculture, because as Cobb et al. (1999) recognized “the food chain as a whole is the ultimate framework for a scrutiny of sustainability”. Moreover, in practice, the food chains actors and their interactions are rarely part of the water management process. They are not taken into account through the traditional toolkit of instruments for managing water demand (volumetric price, intersectoral allocation water, water rights), widely understood as being part of the integrated water resources management (IWRM) paradigm. Neither are they taken into account by the state that mobilizes formal structures in its agricultural policies, such as banks or advisory services and that only targets farmers, but fails to take the whole supply chain that has been constructed around them into consideration.

The aim of this paper is to analyse how different types of stakeholders (farmers, agrifood sector operators, water resources managers, public organizations in charge of agricultural and environmental policies) interact formally (explicitly) or informally (implicitly) around the management of water in a shared territory. Based on first experiences led in two contrasted areas, in Beauce (France) and in Morocco (Sa'is), we showed that: (i) The availability of water resources, especially groundwater, impact on farmers' strategies and practices, and indirectly on the development and organization of food supply chains, (ii) the overall organization of agriculture supply chain(s), especially through contractual relationships, directly influences strategies and practices of farmers, including in terms of use of ground-

<footnote n="1">1. CIRAD, UMR G-EAU, F-34398 Montpellier, France.</footnote>