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Vegetable Production and Marketing in Africa

Socio-economic Research
This page intentionally left blank
Vegetable Production and Marketing
in Africa
Socio-economic Research

Edited by

Dagmar Mithöfer

World Agroforestry Centre, Kenya

and

Hermann Waibel

Leibniz University of Hannover, Germany

 CABI is a trading name of CAB International

CABI Head Office CABI North American Office

Nosworthy Way 875 Massachusetts Avenue
Wallingford 7th Floor
Oxfordshire OX10 8DE Cambridge, MA 02139
UK USA
Tel: +44 (0)1491 832111 Tel: +1 617 395 4056
Fax: +44 (0)1491 833508 Fax: +1 617 354 6875
E-mail: [email protected] E-mail: [email protected]
Website: www.cabi.org

© CAB International 2011. All rights reserved. No part of this publication

may be reproduced in any form or by any means, electronically,
mechanically, by photocopying, recording or otherwise, without the
prior permission of the copyright owners.

A catalogue record for this book is available from the British Library,
London, UK.

Library of Congress Cataloging-in-Publication Data

Vegetable production and marketing in Africa : socio-economic research/

edited by Dagmar Mithöfer, Hermann Waibel.
p. cm.
Includes bibliographical references and index.
ISBN 978-1-84593-649-5 (alk. paper)
1. Vegetable trade–Africa. 2. Vegetables–Africa–Marketing. 3. Agriculture–
Economic aspects–Africa. I. Mithöfer, Dagmar. II. Waibel, Hermann, 1951-
III. Title.
HD9220.A352V44 2011
338.1’75096–dc22
2011003308
ISBN-13: 978 1 84593 649 5

Commissioning editor: Sarah Hulbert

Production editors: Tracy Head and Simon Hill

Typeset by AMA DataSet, Preston, UK.

Printed and bound in the UK by Antony Rowe.
 Contents

Contributors vii

Foreword xi

Acknowledgements xiii

External Reviewers xv

1 An Overview 1
H. Waibel and D. Mithöfer

2 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 9

H. Waibel

3 Framework for Economic Impact Assessment of Production

Standards and Empirical Evidence 25
D. Mithöfer

4 The Impact of Food Safety Standards on Rural Household Welfare 45

S. Asfaw

5 The Impact of Compliance with GlobalGAP Standards on Small and

Large Kenyan Export Vegetable-producing Farms 67
K. Mausch and D. Mithöfer

6 Food Production Standards and Farm Worker Welfare in Kenya 85

C. Ehlert, D. Mithöfer andH. Waibel

7 Group Culture and Smallholder Participation in Value Chains:

French Beans in Kenya 97
J. Paalhaar and K. Jansen

8 Export Vegetable Supply Chains and Rural Households in Senegal 111

M. Maertens, L. Colen and J. Swinnen

v
vi Contents

9 Comparative Assessment of the Marketing Structure and Price

Behaviour of Three Staple Vegetables in Lusaka, Zambia 127
D. Tschirley, M. Hichaambwa and M. Mwiinga

10 Value Chains and Regional Trade in East Africa: the Case of

Vegetables in Kenya and Tanzania 149
T. König, J. Blatt, K. Brakel, K. Kloss, T. Nilges and F. Woellert

11 Supply Chains for Indigenous Vegetables in Urban and

Peri-urban Areas of Uganda and Kenya: a Gendered Perspective 169
K. Weinberger, M. Pasquini, P. Kasambula and M. Abukutsa-Onyango

12 Private Voluntary Standards, Co-investment and Inclusive Business 183

E. Blackmore and J. MacGregor

13 An Approach to Strengthening Vegetable Value Chains in East Africa:

Potential for Spillovers 195
J.M. Lenné and A.F. Ward

14 Challenges for Economic Impact Assessment of Classical

Biological Control in Kenya and Tanzania 209
A. Asfaw, D. Mithöfer, B. Löhr and H. Waibel

15 Indirect and External Costs of Pesticide Use in the

Vegetable Sub-sector in Kenya 227
I. Macharia, D. Mithöfer and H. Waibel

16 Integrated Pest Management Training and Information

Flow among Smallholder Horticulture Farmers in Kenya 243
N. Bekele, D. Mithöfer, D. Amudavi and G. Obare

Index 263
 Contributors

Mary O. Abukutsa-Onyango, Associate Professor of Horticulture, Maseno University,

Kisumu-Busia Road, Maseno, PO Box 333, 40105-Maseno, Kenya. Present address: Professor
of Horticulture, Jomo Kenyatta University of Agriculture and Technology, Thika Road, Juja
PO Box 62000-00200, Nairobi, Kenya. [email protected]
David Amudavi, Consultant, International Centre of Insect Physiology and Ecology (icipe), PO
Box 30772-00100, Nairobi, Kenya, and Lecturer, Egerton University, Department of Agricul-
tural Education and Extension, PO Box 536-20155, Egerton, Njoro, Kenya. damudavi@africa-
online.co.ke
Anna Asfaw, Research Assistant, Leibniz University of Hannover, Faculty of Economics and
Management, Königsworther Platz 1, 30167 Hannover, Germany. Present address: Economic
Adviser, Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), Postfach 5180, 65726
Eschborn, Germany. [email protected]
Solomon Asfaw, Research Associate, Leibniz University of Hannover, Faculty of Economics
and Business Administration, Königsworther Platz 1, 30167 Hannover, Germany. Present
address: Economist, Agricultural and Development Economics Division, Food and Agricul-
ture Organization of the United Nations, Rome, Italy. [email protected]
Nigat Bekele, Postgraduate Research Fellow, International Centre of Insect Physiology and
Ecology (icipe), PO Box 30772-00100, Nairobi, Kenya, and PhD Candidate, Egerton Univer-
sity, Department of Agricultural Economics and Business Management, PO Box 536-20155,
Egerton, Njoro, Kenya. [email protected]
Emma Blackmore, Researcher, International Institute for Environment and Development, 3
Endsleigh Street, London, UK. [email protected]
Jantje Blatt, Landscape Ecologist, Centre for Advanced Training in Rural Development (SLE),
Humboldt-University, Hessische Str. 1–2, 10115 Berlin, Germany. www.berlinerseminar.de.
[email protected]
Kristian Brakel, MA in Islamic Studies and Education, Centre for Advanced Training in Rural
Development (SLE), Humboldt-University, Hessische Str. 1–2, 10115 Berlin, Germany. www.
[email protected]
Liesbeth Colen, Junior Researcher and PhD Student, Centre for Institutions and Economic
Performance (LICOS), Katholieke Universiteit Leuven, Belgium. Liesbeth.Colen@econ.
kuleuven.be

vii
viii Contributors

Christoph Ehlert, Research Assistant, Leibniz University of Hannover, Faculty of Economics

and Management, Königsworther Platz 1, 30167 Hannover, Germany. Present address:
Research Associate, Rheinisch-Westfälisches Institut für Wirtschaftsforschung e.V., Hohen-
zollernstraße 1–3, 45128 Essen, Germany. [email protected]
Munguzwe Hichaambwa, Research Associate, Food Security Research Project, Lusaka, Zam-
bia. [email protected]
Kees Jansen, University Lecturer, Technology and Agrarian Development Group, Wageningen
University, the Netherlands. [email protected]
Phyllis G. Kasambula, Senior Technician, National Agricultural Research Organization
Kawanda Agricultural Research Institute Horticulture Research Programme, PO Box 7065,
Kampala, Uganda. Present position: Agronomist, National Agricultural Research Organiza-
tion National Crops Resources Research Institute (NaCRRI) Horticulture Research Pro-
gramme – Namulonge, PO Box 7084, Kampala, Uganda. [email protected]
Kristina Kloss, Business Administration, Centre for Advanced Training in Rural Development
(SLE), Humboldt University, Hessische Str. 1–2, 10115 Berlin, Germany. www.berlinersemi-
[email protected]
Thomas König, Agricultural Economist, Centre for Advanced Training in Rural Development
(SLE), Humboldt University, Hessische Str. 1–2, 10115 Berlin, Germany. (www.berlinersemi-
nar.de). Present position: Senior Adviser for Sustainable Development/Agricultural Econo-
mist, Office of the Mountain-River-Lake Development Committee of Jiangxi Province
(MRLDO), North One Road, 14, Provincial Governmental Complex, Nanchang City, 330046
China. [email protected]
Jillian M. Lenné, Consultant, North Oldmoss Croft, Fyvie, Turriff, Aberdeenshire AB53 8NA,
UK. [email protected]
Bernhard Löhr, Coordinator, Development of biocontrol-based IPM for the diamondback
moth, Plutella xylostella L. in Eastern and Southern Africa, International Centre for Research
on Insect Physiology and Ecology (icipe), PO Box 30772-00100, Nairobi, Kenya. Present
address: Consultant, zum Breitbusch 7, 76855 Annweiler, Germany. [email protected]
James MacGregor, Senior Researcher, International Institute for Environment and Develop-
ment, 3 Endsleigh Street, London, UK. Present address: Regional EcoNomics™ Director,
Europe & Africa WorleyParsons, Parkview, Great West Road, Brentford, Middlesex, UK.
[email protected]
Ibrahim Macharia, Research Associate, Leibniz University of Hannover, Faculty of Economics
and Business Administration, Königsworther Platz 1, 30167 Hannover, Germany. mach4ibra@
yahoo.com
Miet Maertens, Professor, Division of Agricultural and Food Economics, Department of Earth
and Environmental Sciences, Katholieke Universiteit Leuven, Belgium. Miet.Maertens@ees.
kuleuven.be
Kai Mausch, Research Assistant, Agriculture and Development Economics, Faculty of Eco-
nomics and Management, Leibniz University of Hannover, Hannover, Germany. Present
Address: Associate Professional Officer (Economics), International Crops Research Institute
for the Semi-Arid Tropics (ICRISAT), Chitedze Agricultural Research Station, PO Box 1096,
Lilongwe, Malawi. [email protected]
Dagmar Mithöfer, Scientist/ Economist, International Centre for Research on Insect Physiol-
ogy and Ecology (icipe), PO Box 30772-00100, Nairobi, Kenya. Present address: Senior Mar-
keting Specialist/Economist, World Agroforestry Centre (ICRAF), PO Box 30677-00100,
Nairobi, Kenya. [email protected].
Mukwiti N. Mwiinga, Lecturer and Researcher, University of Zambia, PO Box 32379, Lusaka,
Zambia. [email protected] or [email protected]
Thorsten Nilges, Political Scientist, Centre for Advanced Training in Rural Development
(SLE), Humboldt-University, Hessische Str. 1–2, 10115 Berlin, Germany. www.berlinersemi-
[email protected]
 Contributors ix

Gideon Obare, Associate Professor, Department of Agricultural Economics and Business

Management, Egerton University, PO Box 536-20155, Egerton, Njoro, Kenya, and Visiting
Professor, Food Security Centre, University of Hohenheim, Wollgrasweg 43, 70599 Stuttgart,
Germany. [email protected]
Janneke Paalhaar, Research Assistant, International Development Studies, Department of
Technology and Agrarian Development, Wageningen University, the Netherlands. Present
address: Adviser Eelerwoude, Goor, the Netherlands. [email protected]
Margaret W. Pasquini, Research Officer, CAZS Natural Resources, Bangor University, Deiniol
Road, Bangor, LL57 2UW, Wales, UK. Present address: Assistant Professor, Centro Interdis-
ciplinario de Estudios sobre Desarrollo, Universidad de los Andes, Calle 18a No. 0–03 este,
Bogotá, Colombia. [email protected]
Jo Swinnen, Professor and Director, Centre for Institutions and Economic Performance
(LICOS), Katholieke Universiteit Leuven, Belgium. [email protected]
David Tschirley, Professor, International Development, Department of Agricultural, Food,
and Resource Economics. Michigan State University, East Lansing, Michigan, USA. tschirle@
msu.edu
Hermann Waibel, Professor, Institute of Development and Agricultural Economics Faculty of
Economics and Management, Leibniz University of Hannover, Königsworther Platz 1, 30167
Hannover, Germany. [email protected]
Andrew F. Ward, Senior Adviser, DFID Research into Use Programme, PO Box 9200, Umoja
House, Dar es Salaam, Tanzania. Present address: PO Box 50050, 15101 Ridgeway, Lusaka,
Zambia. [email protected]
Katinka Weinberger, Global Theme Leader Marketing, The World Vegetable Center (AVRDC),
PO Box 42, 74199 Shanhua, Taiwan. Present Address: Director, Centre for Alleviation of Pov-
erty through Secondary Crops’ Development in Asia and the Pacific (UN-CAPSA), Jalan
Merdeka 145, 16111 Bogor, Indonesia. [email protected]
Franziska Woellert, Human Geographer, Centre for Advanced Training in Rural Development
(SLE), Humboldt-University, Hessische Str. 1–2, 10115 Berlin, Germany. www.berlinersemi-
[email protected]
This page intentionally left blank
 Foreword

The demand for fresh and processed vegetables is increasing worldwide, putting pressure on
domestic and international markets. Vegetables are high in vitamins and essential micronutri-
ents that are otherwise lacking in the diets of many poor rural and urban consumers. Vegeta-
bles can be sustainable and affordable sources of these micronutrients.
Vegetable production provides high returns to both land and labour, thereby creating
employment opportunities and incomes for rural small-scale farmers, and it contributes to the
income diversification of rural smallholders. Market access and participation contribute to eco-
nomic development and poverty alleviation. Vegetables lend themselves to value addition and
employment further along the value chains. While horticulture – including vegetables – is an
important emerging cash crop in many African countries, its production-to-marketing system
faces many challenges. At the production level, access to high-quality inputs and information
on pest management is essential. Consumer concerns for food safety and the adherence to
good agricultural practices increasingly drive changes in vegetable production-to-marketing
systems. Perishability poses particular challenges to marketing and necessitates good access to
markets and up-to-date market information, a challenge given the dynamic nature of horticul-
tural markets. The World Development Report 2008 refers to the ‘horticulture revolution’, but
much more needs to be done to live up to this expectation.
This book is a major contribution towards making the African horticultural revolution
happen. The book provides a well-chosen collection of conceptual and methodological chap-
ters on the largely neglected socio-economic aspects of vegetable production-to-marketing sys-
tems in Africa. The diverse topics covered in this book include the conceptual challenges in
economic research on vegetable production systems, the implications of good agricultural
practice standards, the challenges and opportunities of meeting the growing market demand
and issues in pest management. The book will provide important insights for students,
researchers, development practitioners and policy makers into the current issues in vegetable
production and marketing. This work will stimulate further studies through its contribution
to, and advancement of, the methods and applied research in this area, and will serve as a
guideline for policy makers and development partners.

Christian Borgemeister
Director-General
International Centre of Insect Physiology and Ecology (icipe)

xi
This page intentionally left blank
 Acknowledgements

We acknowledge financial support by the Federal Ministry for Economic Cooperation and
Development (BMZ, Germany) granted for two research projects, namely the ’Economic
impact assessment as a decision-making tool for resource allocation in horticultural research in
East Africa’ and ’Economic impact assessment of biological control of the diamondback moth
in crucifers in East Africa’. In the course of these two projects, several empirical and conceptual
research studies were conducted that provided interesting material that stimulated the pro-
duction of this book. Most of the chapters are outputs from joint PhD and MSc research proj-
ects between the International Centre of Insect Physiology and Ecology (icipe) and the
University of Hannover, Germany, Wageningen University, The Netherlands, as well as
Egerton University, Kenya. Many of the research studies included in this book were presented
at the workshop ‘Socio-economic research in vegetable production and marketing in Africa’,
Utalii Hotel, Nairobi, 5–6 March 2009, from where the idea to publish a book on this topic was
created. As editors, we would especially like to thank all participants of this workshop for the
constructive feedback on the presentations that gave us an excellent basis for writing this book.
We wish to thank icipe management for technical support in the organization needed to
produce the book. We would also like to thank the World Agroforestry Centre, which very
generously allowed the first editor to complete the book after having joined its Global Research
Program 3, ‘Improving smallholder tree product marketing’ in March 2009. Many colleagues
at icipe – as well as at the World Agroforestry Centre – contributed much support at various
stages of the research itself, and during the editorial process of the book, and we would like to
thank them.
We want to thank all contributors, authors and co-authors of the book who submitted
their ideas and chapters, shaping the book into its present form. We are grateful for their
patience with the lengthy editorial processes and multiple rounds of reviewing and editing. In
addition to submitting their own contributions, many authors and co-authors thoroughly
reviewed other chapters and we gratefully acknowledge this input. All chapters were reviewed
by colleagues outside the authors’ consortium and we would like to thank them for contribut-
ing their time and thoughts, bringing in highly constructive fresh perspectives on the topics
covered. As many of the studies were based on extensive fieldwork, we would like to acknowl-
edge all the input from vegetable producers, other stakeholders along the value chain, field
assistants and experts consulted who made these studies possible.

xiii
xiv Acknowledgements

At CABI, we would like to thank Meredith Caroll, Sarah Mellor and Sarah Hulbert for
support. Kathleen Sinclair of the Nottawasaga Institute did a tremendous job in the language
editing of all chapters, and Lucy Kiilu supported the administrative side of the preparation of
the manuscript. We thank them both.

Dagmar Mithöfer
Hermann Waibel
 External Reviewers

Hippolyte Affognon, International Livestock Research Institute, Nairobi, Kenya.

Mica Bennet, Committee on Sustainability Assessment and World Agroforesry Centre,
Nairobi, Kenya.
Hugo de Groote, International Maize and Wheat Improvement Centre, Nairobi, Kenya.
Luis Flores, Institute of International Agriculture, Michigan State University, East Lansing,
USA.
Steve Franzel, World Agroforesry Centre, Nairobi, Kenya.
Heike Hoeffler, Institute of African Studies, University Leipzig, Leipzig, Germany.
Moti Jaleta, International Livestock Research Institute, Addis Ababa, Ethiopia.
Simeon Kaitibie, Department of Finance and Economics, College of Business and Economics,
Qatar University.
Thanaporn Krasuaythong, Department of Agricultural Economics, Faculty of Agriculture,
Khon Kaen University, Thailand.
George Owuor, Department of Agricultural Economics, Egerton University, Njoro, Kenya.
Diemuth Pemsl, World Fish Centre, Penang, Malaysia.
Frank Place, World Agroforesry Centre, Nairobi, Kenya.
Suwanna Praneetvatakul, Department of Agricultural and Resource Economics, Faculty of
Economics, Kasetsart University, Bangkok, Thailand.
Karl Rich, Department of International Economics, Norwegian Institute of International
Affairs, Oslo, Norway.
Erich Schmidt, Institute for Environmental Economics and World Trade, Faculty of Economics
and Management, Leibniz University of Hannover, Hannover, Germany.
Franklin Simtowe, International Crops Research Institute for the Semi-Arid Tropics, Nairobi,
Kenya.
David Spielman, International Food Policy Research Institute, Addis Ababa, Ethiopia.
Aad van Tilburg, Marketing and Consumer Behaviour Group, Wageningen University,
Wageningen, the Netherlands.
Detlef Virchow, Food Security Center, University of Hohenheim, Stuttgart, Germany.
Rudolf Witt, International Food Policy Research Institute and Centre for World Food Studies,
Vrije Universiteit, Amsterdam, the Netherlands.
Meike Wollni, Department of Agricultural Economics and Rural Development, Georg-August
University, Göttingen, Germany.

xv
This page intentionally left blank
 1 An Overview

Hermann Waibel and Dagmar Mithöfer

The eradication of extreme hunger and The governments of developing coun-

poverty, as stated in the first Millennium tries and development organizations have
Development Goal, requires not only promoted horticultural value chains provid-
increasing agricultural productivity but also ing better access to lucrative export markets
its diversification. In a more integrated (e.g. Labaste, 2005). Increasing volumes of
world economy, agricultural growth in international trade for both fresh and pro-
developing countries crucially depends on cessed vegetables over the past two decades
the expansion of market opportunities, and have been well documented (Aksoy and
improving competitiveness in international, Beghin, 2005). Developing countries have
regional and domestic markets for crops become the main exporters of fresh and
which traditionally were undervalued in processed vegetables. Although developing
the crop portfolio of small-scale farmers. countries have expanded vegetable produc-
Vegetables are an example of such crops tion continuously during the recent past,
that were not given much attention in the this growth shows large regional disparities.
past. To date, vegetables offer many oppor- While the growth in vegetable production
tunities for developing-country agriculture in terms of production volumes as well as
due to advances in production and transpor- per capita consumption has concentrated
tation technology. The increasing demand, on Asia and Latin America, in sub-Saharan
due to changing consumer preferences and Africa vegetable production is still lagging
positive income elasticity, is expanding behind (Weinberger and Lumpkin, 2007).
market opportunities for vegetables. Vege- However, vegetable exports from sub-
tables have multiple features. They can be Saharan Africa have increased tremen-
commercial crops for profit and they are dously over the past two decades. Some
important from a food security and nutri- sub-Saharan African countries, such as
tional point of view. They are produced in Kenya for French beans, Côte d’Ivoire for
many different systems and locations, i.e. green onions (Weinberger and Lumpkin,
on specialized farms as crop rotations or 2007) and Senegal for French beans and
mixed cropping, as field crops, as house gar- tomatoes (Maertens and Swinnen, 2009),
den crops, in rural, peri-urban and even in have become important vegetable exporting
urban areas. Vegetables may even be a risk countries; if North Africa is included, the
management strategy in times of crisis (Nath continent has become the main external
et al., 1999). supplier of vegetables to the EU (Weinberger
© CAB International 2011. Vegetable Production and Marketing in Africa: Socio-economic Research
(eds D. Mithöfer and H. Waibel ) 1
2 H. Waibel and D. Mithöfer

and Lumpkin, 2005). This development but at the same time scientifically rigorous,
emphasizes that vegetable production methods of research.
must receive much more attention from There are, of course, many research
development agencies and the research topics that deserve attention. Many of these
community than has been the case in the have been addressed in this book; others
past, a fact recognized in the World Devel- require more research and, it is to be hoped,
opment Report 2008, which discusses the will be taken up by succeeding research.
‘horticulture revolution’ (World Bank, 2007). One major area of research addressed herein
The reasons for the increasing attention is in the field of environment and human
given to vegetables are manifold. Among health aspects related to vegetable produc-
these are the fact that they are high-value tion. Producing vegetables that are safe for
crops offering market and income opportu- humans and the environment is a require-
nities, especially for small-scale producers; ment for successful establishment in the
they are labour intensive and, therefore, export market. Publicly and privately set
have positive employment effects in both food safety and environmental standards
the production and the postharvest sector (see, for example, Augier et al., 2005) driven
(McCulloch and Ota, 2002; Maertens and by the preferences of developed-country
Swinnen, 2009); and vegetables have posi- consumers raise questions for developing-
tive nutritional traits (Mubarik and Tsou, country stakeholders, such as what the
1997) that are essential in improving health impact of high standards on the welfare
conditions, especially of children. Research position of smallholder producers and farm
and development organizations, such as the workers will be. It is important to contribute
Global Forum for Agricultural Research to the understanding of issues, such as
(GFAR) and the Consultative Group of Inter- whether standards constitute a barrier to
national Agricultural Research (CGIAR), trade or whether they are a market-driven
have pointed out the need for more governance tool contributing to the mod-
research on vegetables, in particular in the ernization of a sector, so that advantage can
context of African farming systems (GFAR/ be taken of such institutional changes to
CGIAR, 2005). promote development. The need for taking
Vegetable research may not have reached stock, collating and synthesizing existing
the intensity that would be necessary to har- socio-economic studies and good practices
ness its potential for development, because for such research is obvious.
it is a challenging subject. Vegetables Rapidly growing urban populations and
include a large number of different crop spe- growth in per capita incomes in sub-Saha-
cies grown under different production and ran Africa are creating major opportunities
marketing conditions and, therefore, require for local farmers by driving domestic and
carefully chosen priorities. This is espe- regional market demand for food. Due to
cially true in the field of socio-economic their perishable nature, vegetables depend
research, where more scientifically rigorous on well-functioning supply chains and cur-
studies are needed in order to improve the rent knowledge of producers on markets
understanding of production-to-marketing and market access (University of California
systems. Understanding the behaviour of Davis, 2005). The formal retail revolution
the different actors in the vegetable value for fresh vegetables is expected to be much
chains is a precondition for the design of slower in Africa than earlier predicted
effective and efficient policy interventions (Traill, 2006); thus, for the near future,
for sustainable development. Many of the growing urban and peri-urban populations
socio-economic studies on vegetables avail- will depend on traditional supply chains
able to date are rather detailed and descrip- mainly characterized by spot-market trad-
tive. However, more often than not such ing and open wet markets. Therefore,
studies are data driven and sometimes lack understanding vegetable marketing and
a good theoretical basis. To conduct reliable supply chains in domestic and regional
socio-economic research requires practical, markets is key to promoting efficient market
 An Overview 3

structures for rural poverty alleviation and those promoting integrated pest manage-
feeding growing cities. ment and other natural resource manage-
Next to market linkages, pest and dis- ment projects. The chapter further
ease control is a major constraint to realizing synthesizes empirical evidence on impact
the full development potential of vegetable pathways, as well as the impact of produc-
production-to-marketing systems (Univer- tion standards on various stakeholders in
sity of California Davis, 2005). Vegetable developing-country horticultural produc-
production usually relies on high levels of tion-to-marketing systems, paying particular
(sometimes potentially harmful) external attention to rigorous attribution. At the con-
inputs and is not always practised with safe ceptual level, the chapter concludes that
and clean technologies. The often heavy use impact assessment methods focusing on
of chemical pesticides and the low level of attribution need to be developed to capture
adoption of available technical alternatives, the impact at the meso- and macro-levels of
such as integrated pest management and bio- a sector. At the empirical level, observations
logical control, are major research questions. on the medium- to long-term financial
In this book, some of these pertinent impact, as well as the environmental impact,
research questions and policy challenges are are not available, so it is not yet clear whether
addressed through conceptual, as well as production standards are a sustainable tool
empirical, research. Policy recommenda- for sustainable resource management.
tions and directions for further research are Chapter 4 deals with food safety stan-
derived based on the findings in each chap- dards and rural household welfare. It looks
ter. The book aims to inform researchers, at the impact of the proliferation and
development partners and policy makers enhanced stringency of food safety standards
on the opportunities and constraints of veg- on small-scale farmers and econometrically
etable production-to-marketing systems for analyses to what extent these represent
development. It aims to start addressing potential barriers to farmers seeking to
some of the open questions highlighted in the expand their trade in higher-value food or
Global Horticulture Assessment (University to what extent they are a catalyst for upgrad-
of California Davis, 2005). ing production operations, and for improved
The book is structured as follows: in collaboration between the public and private
Chapter 2, theoretical concepts for socio- sectors. The chapter points out clearly that it
economic research of vegetables in Africa is necessary to understand the current status
are introduced. To some extent, these con- and likely trajectory of agrifood standards,
cepts are reflected in several other chapters the feasible range of commercial, adminis-
of this book, but they also report on research trative and technical options available to
experiences from other continents that African farmers, firms and governments,
might serve as a guide for similar research in and the underlying economics of such
Africa. responses. The chapter concludes that con-
In Chapter 3, a conceptual framework sideration needs to be given to policies that
for impact assessment of production stan- shift small-scale producers away from the
dards is derived, structured around a value most demanding global markets. It is impor-
chain approach. The chapter outlines tant for smallholders to diversify their prod-
potential impact pathways of production uct categories, invest in better postharvest
standards, which, due to traceability qualities and partake in domestic and south–
requirements and close linkages to the south trade, the market that has the potential
export market, go beyond the producer level. to grow quickly in the next two decades.
It synthesizes current thinking in impact From the standard-setting point of view, it is
assessment, addressing attribution and selec- crucial that the emerging private standards
tion bias. The chapter draws parallels be smallholder friendly, be acceptable to
between an intervention aiming at good agri- both buyers and producers and be capable of
cultural practices, as done through private implementation without significant donor
standards, and other interventions, such as support.
4 H. Waibel and D. Mithöfer

Chapter 5 investigates the differences theory to analyse group-related factors, such

in the impact of compliance with Global- as structure and social cohesion, and grid-
GAP standards on small and large Kenyan related factors, such as rules and penalties,
export vegetable-producing farms. It pres- and their role in successful market linkages.
ents empirical findings on the effects of veg- It shows that both are important but that
etable export standards across farm sizes, grid factors still carry greater weight. Such
namely smallholder, large-scale contracted knowledge is valuable for guiding collective
and large-scale exporter-owned farms. The action among the producers of French beans
chapter assesses the economic performance for the stringent export market.
of the three different certified farm types. Chapter 8 presents a synthesis of two
Performance indicators applied are the interesting studies of the export vegetable
financial cost of compliance with the Global- supply chains and rural households in Sen-
GAP standard, which sheds light on the risk egal, which is the second largest exporter of
that arises from the certification investment, green beans and the largest exporter of
as well as transaction cost indicators that tomatoes in sub-Saharan Africa. The chap-
can be attributed to the three different farm ter provides evidence on the welfare impli-
types from the buyers’ perspective. The cations of rural households’ participation in
chapter addresses the research gap as green bean and tomato export markets. Both
defined by Jaffee (2003), by providing some case studies show that the growth in vegeta-
indicators on the costs of running a moni- ble exports has contributed importantly to
toring, standard-compliant smallholder poverty reduction. In addition, the authors
production system. show that, while the inclusion of small-
Chapter 6 discusses food production holder suppliers in high-value vegetable
standards and farm worker welfare in Kenya. export chains certainly creates benefits for
The chapter applies Sen’s functionings and these farmers, the main poverty-reducing
capabilities approach to investigate the effects are attributable to the labour mar-
influence of private food production stan- kets through the creation of employment
dards on farm worker welfare. A comparison accessible to the poorest rural households.
is made between certified and non-certified In Chapter 9, a comparative assessment
small farms using four welfare criteria: (i) of the marketing structure and price behav-
being trained; (ii) earning a decent income; iour of three major vegetables (tomatoes,
(iii) being physically healthy; and (iv) being onions and rape) in the capital of Zambia is
mentally healthy. The chapter finds that undertaken. The lessons learned from this
GlobalGAP certification has a positive research are relevant to other countries in
impact on welfare, since it positively influ- sub-Saharan Africa. One is that the growing
ences the amount of training a worker importance of regional trade in fresh vegeta-
receives. At the same time, certification does bles contributes to the harmonization of
not translate into higher wages or better trade regulations, reduces the likelihood of
mental or physical health. arbitrary border closings and improves
Chapter 7 deals with group culture and regional market information sharing and
its importance for the successful participa- reduces and stabilizes consumer prices. The
tion of smallholders in the export market, second lesson is that supply chains for
using Kenyan French bean value chains as these three staple vegetables, and most
an example. The chapter shows that, farmers, continue to rely on the existing
although associations in Kenya are wide- trading system. The third conclusion is that
spread among small-scale horticultural production in the urban setting is marginal
farmers, mainly with the purpose to gain for tomatoes and onions, but could be
access to the export market, considerable important for rape and other leafy green
variation in success among associations per- vegetables. More information is needed on
sists, in terms of access to the international this issue. Fourthly, the authors find
market and the level of integration into the extremely high price variability driven by
supply chain. The chapter uses the cultural the unpredictable fluctuation in quantities.
 An Overview 5

Chapter 10 analyses value chains in in providing services – particularly credit

domestic markets and regional trade and technical expertise – has been invalu-
between Kenya and Tanzania. The chapter’s able in overcoming the barriers to working
approach combines the concept of value with small-scale growers and filling the
chain analyses with that of livelihood anal- gaps typically left by the public sector in the
yses to identify the poorest actors in these developing world. Inclusive business mod-
value chains and, from that, to derive rec- els in the export market can provide lessons
ommendations on further poverty allevia- for trading relationships in domestic mar-
tion opportunities. The study finds that kets, as well as for the development of via-
porters and handcart drivers in urban cen- ble alternatives to traditional outgrower
tres are amongst the poorest actors of schemes.
domestic and regional value chains. For Chapter 13 assesses the possibilities of
them, a legalization of their status would strengthening the vegetable value chains in
improve their situation enormously. They East and southern Africa through capitaliz-
could further benefit from empowerment ing on potential spillovers from export to
through the establishment of (in)formal domestic markets by synthesizing current
groups, as well as by having better access to evidence. This comparison contributes to
market information. identifying the major constraints of domes-
Chapter 11 brings a gender perspective tic vegetable value chains. The authors
to supply chain analysis and applies this to emphasize the important role of the export
the supply chains of indigenous vegetables vegetable sub-sector as a source of knowl-
in urban and peri-urban areas of Uganda edge, technology and experience for the
and Kenya. The authors find that indige- domestic sub-sector. Further, institutions
nous vegetables support a large number of and organizations in the export sector can
small businesses along the supply chain in share valuable lessons and provide a plat-
urban and peri-urban areas. The authors form for similarly useful institutions and
describe the actors involved and provide an organizations tailored to the needs of the
overview on the value and size of the mar- domestic and regional market.
ket for indigenous vegetables in both capital Chapter 14 presents a case of economic
cities, as well as in a smaller city in both impact assessment of classical biological
Uganda and Kenya. It is clearly pointed out control and pesticide use in Kenya and
that women participate in all segments of Tanzania, targeting the diamondback moth,
the chain, but are more prominent in the one of the most destructive pests of cabbage
retail sector. Interestingly, the authors find worldwide. The effect of the release of an
that the income of women along the supply exotic parasitoid by the International Cen-
chain is generally lower than that of their tre of Insect Physiology and Ecology in
male counterparts. 2001 to control the pest in East Africa is
Chapter 12 assesses the potential of pri- thoroughly analysed, using econometric
vate voluntary standards in horticultural methods based on data from a large random
exports for providing incentives to the pri- survey of cabbage producers in Kenya and
vate sector investing in small-scale growers, Tanzania with and without the biological
to the mutual benefit of growers as well as control. The authors show that farmers pro-
exporters. The chapter then traces charac- ducing cabbage in areas where the parasitoid
teristics of such co-investment and its role is present use significantly fewer pesti-
for inclusive business models through a cides. Methodologically the damage con-
number of case studies. It concludes that trol function method was applied, which
investment in private voluntary compliance shows that use of pesticides or the pres-
cost is not a subsidy for small-scale growers, ence of the parasitoid increases cabbage
but rather a cost-sharing arrangement char- output. Interestingly, the chapter indicates
acterizing a sustainable trading relation- incompatibility between current pesticide
ship. The chapter further concludes that the use practices and the requirements of clas-
role of cooperatives and marketing partners sical biological control.
6 H. Waibel and D. Mithöfer

Chapter 15 deals with the externalities Chapter 16 contributes to understanding

of pesticide use in vegetable production in the uptake of less external input-intensive
Kenya. Through secondary data analysis, vegetable production systems, such as inte-
individual farmer interviews, pesticide resi- grated pest management (IPM) practices. It
due analysis, expert interviews and work- assesses the factors linked to the acquisition
shops, the health and environmental costs of of IPM knowledge and sharing. It overlays
farmers’ pesticide use are estimated. This this analysis with two different training
study fills a major gap for many countries approaches that are currently being pro-
where production of intensive, high-value moted in Kenya: the farmer field school
crops is increasing. The chapter distin- (FFS) approach and the common interest
guishes between costs, which are actually group (CIG) approach. The study finds that,
borne by farmers but are often not attributed compared with farmers who do participate
to pesticide use, and non-market effects, in such group-based extension approaches,
which are paid by society at large. The for- farmers participating in FFS and CIG are
mer include, for example, damage to crops more likely to acquire knowledge of IPM, but
and livestock and the health effects to the not to share the acquired knowledge with
farmer applying the pesticides – or to his other farmers. The study finds that the dis-
family members who might suffer from drift tance to extension services was a major con-
or contaminated water. Some of the external straint to information flow. Furthermore,
costs, such as the destruction of beneficial group membership beyond the two group-
organisms, could be verified qualitatively based extension approaches increases the
only through valid farmer observations. These likelihood of acquiring IPM information.
provide a good starting point for more It is hoped that this overview has stim-
research in this field. The study carries a ulated enough appetite for readers to
strong message to policy makers who are explore further detailed information in the
involved in decision making in agriculture, different chapters of the book and that the
environmental and health policies. The over- rich blend of empirical and methodological
all costs of pesticides are at least twice the chapters will be used as a point of departure
farmer’s pesticide bill, a fact that demands for more socio-economic research on vege-
more attention at all levels. tables in Africa.

References

Aksoy, A. and Beghin, J.C. (2005) Global Agricultural Trade and Developing Countries. World Bank,
Washington, DC.
Augier, P., Gasiorek, M. and Lai Tong, C. (2005) The impact of rules of origin on trade flows. Economic Policy
20, 567–623.
GFAR/CGIAR (2005) How can the poor benefit from growing markets for big value products? Workshop held
at the International Center for Tropical Agriculture (CIAT), Cali, Colombia, 3–5 October.
Jaffee, S. (2003) From challenge to opportunity: The transformation of the Kenyan fresh vegetable trade in the
context of emerging food safety and other standards. Agriculture and Rural Development Discussion
Paper 1, World Bank, Washington, DC.
Labaste, P. (ed.) (2005) The European horticulture market: Opportunities for sub-Saharan African exporters.
Working Paper 63, The World Bank, Washington, DC.
Maertens, M. and Swinnen, J.F.M. (2009) Trade, standards and poverty: Evidence from Senegal. World Devel-
opment 37(1), 161–178.
McCulloch, N. and Ota, M. (2002) Export horticulture and poverty in Kenya, IDS Working Paper 174, Institute
for Development Studies, Brighton, UK.
Mubarik, A. and Tsou, S.C.S (1997) Combating micronutrient deficiencies through vegetables – A neglected
food frontier in Asia. Food Policy 22(1), 17–38.
Nath, P.M., Piluek, P.K. and Herath, E.M. (1999) The Vegetable Sector in Thailand: A Review. FAO Regional
Office for Asia and the Pacific, Bangkok, Thailand.
 An Overview 7

Traill, B. (2006) The rapid rise of supermarkets? Development Policy Review 24(2), 163–174.
University of California Davis (2005) Global Horticulture Assessment. University of California Davis, Davis,
California.
Weinberger, K. and Lumpkin, T.A. (2005) Horticulture for poverty alleviation: The unfunded revolution.
AVRDC Working Paper 15, The World Vegetable Center, Shanhua, Taiwan.
Weinberger, K. and Lumpkin, T.A. (2007) Diversification into horticulture and poverty reduction: A research
agenda. World Development 35(8), 1464–1480.
World Bank (2007) World Development Report 2008: Agriculture for Development. World Bank,
Washington, DC.
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2 Theoretical Concepts for Socio-economic
Research of Vegetables in Africa

Hermann Waibel

Introduction important from a food security point of

view. They are produced in many different
systems and locations, i.e. specialized farms
In developing countries, vegetable produc- as crop rotation or mixed cropping, as field
tion has increased steadily over the past crops and as house garden crops and in
four decades (Weinberger and Lumpkin, rural, peri-urban or even urban areas. Hence,
2005). This production increase is a vegetable production touches upon many
response to the growing demand for vegeta- problems related to the environments in
bles caused by growing populations and ris- which they are grown. For example, it has
ing incomes, since vegetable demand is been reported from Thailand that, in times
income elastic. The increasing volumes of of economic crisis when migrant household
international trade of both fresh and pro- members lose their jobs, they tend to engage
cessed vegetables (Aksoy and Beghin, 2005) in vegetable production (Isvilanonda, 1992;
are part of this development. Nevertheless, Nath et al., 1999).
in spite of impressive growth rates in pro- In many respects vegetables represent a
duction in some parts of the world, supply challenging subject of research, mainly due
has been falling behind domestic demand to the large number of crop species with
in some countries leading to an increase in different production and marketing condi-
the real price of vegetables. While the tions. This is especially true for socio-
growth in vegetable production has con- economic issues where researchers have
centrated on Asia and Latin America, in focused on cereal crops. There is a great
sub-Saharan Africa the ‘vegetable revolu- need for scientifically rigorous socio-eco-
tion’ has not fully ‘exploded’ yet. However, nomic studies of vegetable systems in order
there have been some exceptions, such as to improve the understanding of vegetable
Kenya and Senegal, where foreign invest- producers’ decisions and behaviour, and
ment and a favourable policy environment for the design of effective and efficient
have upgraded the role of vegetables to incentive conditions for the promotion of
an important non-traditional export com- sustainable vegetable supply chains.
modity. Many of the socio-economic studies on
As shown in a wide body of literature, vegetables available to date contain compre-
vegetables have multiple features. They play hensive and detailed information, but such
a role as a commercial activity and are studies are data driven and are not always
© CAB International 2011. Vegetable Production and Marketing in Africa: Socio-economic Research
(eds D. Mithöfer and H. Waibel ) 9
10 H. Waibel

based on good theory. To conduct reliable Criteria for a Socio-economic

socio-economic research requires practical, Research Framework of Vegetable
but at the same time scientifically rigorous, Production Systems
methods of research. One reason why eco-
nomic studies of vegetables in developing
countries are so limited is the complexity of Socio-economic studies of vegetable pro-
vegetable cropping systems, with their large duction have many facets, including, for
number of crops, varieties and production example, the field of natural resources, the
systems. This chapter, therefore, offers a use of technologies and the uncertainties
contribution towards a framework for the that demand careful consideration. In addi-
analysis of supply chains as deemed ade- tion, it is well recognized that socio-
quate for African conditions. In sub-Saharan economic research on vegetables cannot
Africa, vegetable production systems are ignore marketing aspects. However, it is
still less sophisticated in terms of technol- beyond the scope of this chapter to discuss
ogy, and highly commercialized or export the rich blend of marketing research meth-
production is still limited. This chapter ods. Since the supply side of vegetables is
maps out some important methodologies already a highly complex issue, this chapter
that are believed to be useful for the analy- concentrates on the economic methods of
sis of vegetable production systems and production, albeit not ignoring market
supply chains. Examples of economic issues. While the methods proposed here
research in various parts of the world are not only suitable for the socio-economic
conducted under the supervision of the research of vegetables in Africa, they might
author at Leibniz University of Hannover, also be those least frequently applied, to
Germany, are added to illustrate some of date, in the studies available.
the concepts. However, the framework To begin, any theoretically sound pro-
presented here must remain incomplete duction economic framework for vegeta-
because of the wide range of methods exist- bles has to fulfil a few requirements in
ing for socio-economic analysis of vegeta- order to produce results that allow solid
bles. Nevertheless, it is believed that this conclusions to be drawn and facilitation of
chapter can be a useful guide for conducting policy recommendations. As a minimum,
future socio-economic research into vegeta- these requirements must include the
ble production systems in Africa. following:
The chapter is structured as follows:
in the next section the criteria for a theory- ● critical analysis of available statistical
driven socio-economic research frame- data complemented by expert assess-
work are described. In the third section ments;
(Methodologies of the Analysis of Vegeta- ● analysis based on a good understanding
ble Production) a series of methodologies of the existing production, farm and
that have been successfully applied in the household systems;
socio-economic analysis of vegetable sys- ● analysis that captures the heterogeneity
tems are presented. In the fourth section of vegetable production systems;
(Selected Examples of Socio-economic ● analytical methods that capture pro-
Research in Vegetables), two illustrative duction cycles and the seasonality of
examples of economic studies on vegeta- vegetables; and
bles from Asia and Central America are ● an assessment of the relative merits of
briefly presented. These are intended to be normative versus positive methods ver-
a stimulant for the initiation of similar sus the background of data requirements.
studies in the African context. The chapter
ends with conclusions and suggestions for In the following sub-section, the com-
further socio-economic research of vegetable ponents of the analytical framework are
production in Africa. outlined.
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 11

Situation analysis capture the multi-product nature of vegeta-

ble production systems. The conventional
Foremost, a more sophisticated economic production function analysis as widely
analysis of vegetable production systems applied in the analysis of cereal crops is
requires baseline information. At a mini- not well suited to vegetable crops. The
mum, the productivity of the particular veg- hypothesis of declining marginal yield, and
etable, as well as alternative cropping consequently of the question of optimal
activities, must be known. Some informa- input use, is less important. Instead, the
tion on the resource endowment of the pro- main question is that of optimal crop
ducers, farmers or households, depending combinations defined in the context of the
on the type of system, is needed. Especially principle of ‘equi-marginal’ profits. While
important are labour profiles, as labour is a input allocation decisions are also impor-
major input in vegetable production. Mar- tant, production functions in vegetable
keting options need to be recognized as well, production are often Leontief-type ‘plateau
because marketing channels largely deter- functions’:
mine the economics of the system. Informa-
tion on the efficiency of the production ⎧ A + bx for x ≤ x ' (2.1)
Y (x ) = ⎨
methods and the existing knowledge gaps of ⎩ y' otherwise
production managers and labourers is nec-
essary to assess the feasibility and relative where A = intercept and b = slope. The
attractiveness of new technologies. In addi- function Y(x) in Eqn 2.1 shows that Y will
tion, information on the environmental and increase linearly up to a certain level (pla-
health implications of vegetable production teau), after which further inputs x’ will not
is increasingly important. This has been increase output y’. If technical relationships
demonstrated in many studies on the as portrayed in Eqn 2.1 exist, the focus of
impacts of production, on social and health economic analysis is no longer the optimi-
standards, on productivity and on farmer zation of variable input factors; the focus of
well-being (e.g. Humphrey and Schmitz, the analysis shifts to other issues. For exam-
2002; Asfaw et al., 2009). Due to the multi- ple, the large heterogeneity in vegetable
tude of vegetable crops grown, detailed data crops with numerous production choices
on inputs and outputs are sparse. However, and often highly volatile prices makes the
if even only indicative information on mate- identification of cropping plans, which
rial costs, labour costs, yields and prices is maximize producers’ total profits (P) at
available, the gross margins of the produc- acceptable levels of risk, a difficult deci-
tion activities can be established. In many sion. To account for risk the variance (d ) of
cases, the exact material inputs may be total profit has to be considered, and a risk
unavailable, not only because of the lack of parameter (r) needs to be introduced to
records, but also as a result of overly high reflect the decision maker’s risk prefer-
variation. It is often not possible to establish ences. The covariance (d1 d2) must be
special data collection efforts that can gener- accounted for to identify an optimal port-
ate these detailed accounts. An effective folio selection.
way to overcome this deficiency is to estab-
lish expert panels where such data can be
generated through a participatory process.
Seasonality and sequential cropping

Heterogeneity production functions and Physiological and economic factors deter-

multiple cropping mine the seasonality of vegetable produc-
tion. Vegetable crops vary in their
Analytical methods for the socio-economic characteristics for growth duration and the
research of vegetable supply systems must demand for natural production conditions,
12 H. Waibel

especially in terms of temperature and rain- in several areas, such as human occupa-
fall. Information on growth duration and tional health, the loss of domestic animals,
biologically optimal planting periods is the loss of biodiversity, the loss of pollina-
generally known. In addition, demand-side tors and other wildlife, the destruction of
patterns (e.g. festivities) augment seasonal natural enemies and the development of
price changes, making vegetable production pesticide resistance (Crissman et al., 1998;
highly dynamic. The perishable nature of Waibel et al., 1999; Pretty et al., 2000;
vegetables makes the timing of production Maumbe and Swinton, 2003; Pretty and
an important component of crop manage- Waibel, 2004; Pimentel, 2005). To account
ment. Thus, analytical methods must cap- for externalities in socio-economic studies
ture the dynamic nature of production of vegetables, the profit function needs to be
cycles. This again makes the requirements complemented by a pollution function:
different from the experience gained in the
Pn = f n {(y n pn ) − c n (x nqn ), z n } (2.4)
analysis of food staples such as cereals.
The short growth duration of vegetable
Z n = z n { y n , pn , x n } (2.5)
crops facilitates sequential cropping where
the same or different vegetable crops are
where Pn represents the profits of a vegeta-
planted sequentially on the same piece of
ble cropping system, pn the product prices,
land. In the simplest case of two crops, the
xn the production inputs, e.g. pesticides,
profit of the second crop will depend on the
and qn the input prices. The pollution func-
interaction with the first crop. The profits of
tion Zn is related not only to production
the first and second crop will assume the
inputs xn, but also to output (yn) and quality
following form:
as reflected in prices. Various approaches
P1 = f1{y 1, p1, c1 } (2.2) exist to establish the pollution or damage
function, but in practice an accounting
P2 = f2{y 2, p2, c2, q} (2.3) approach that uses average values is often
the only feasible way, especially in devel-
oping countries (see Macharia, 2010).
where P1 and P2 are the profit of the first
and second crops, respectively; y1, y2 are the
yields; p1, p2 are the output prices and c1, c2
the production costs of the two sequential Normative versus positive methods
crops; and q is a quality parameter indicat-
ing the degree of crop interaction. Interac- The choice of the type of method is often
tion is preferably positive, but negative data driven. Generally, positive or norma-
interactions are possible in the case of pest tive methods are applied in economic anal-
and disease build-up when subsequent ysis. Positive methods use empirical data to
crops are host plants for the same pests. The test different hypotheses on technological
notion of risk in the context of a portfolio and economic issues without postulating
analysis, as described in the previous sec- any specific behaviour. In this volume sev-
tion, can be added by comparing alternative eral examples for African vegetable produc-
cropping plans. tion are presented that apply positive
methods (see, for example Chapters 4, 6
and 9). Most economic analysis uses some
Externalities types of positive methods. Normative meth-
ods are generally used when information is
In vegetable production quality and appear- more sparse. These studies draw upon
ance are important criteria, and hence pesti- existing information often derived from
cide use is often high. Pesticides are known expert knowledge, rapid rural appraisals or
to generate negative externalities, even if purposive sampling surveys; an example
their use follows the regulation require- can be found in Chapter 5. Generally a typi-
ments. External effects of pesticides appear cal set of production technologies, resource
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 13

endowments and socio-economic condi- production systems, the analysis of exter-

tions are formulated and an objective func- nalities is increasingly needed. The impact
tion is maximized or minimized. The assessment of technological or institutional
limitations are that such models in principle innovations, as well as policy interventions,
are ’non-behavioural’, i.e. assumed, rather is required to provide accountability for
than observed, behaviour and decision rules public funds, to generate lessons learned for
are reflected in the results. better project designs and to guide decision
For both positive and normative models, makers in project resource allocations.
primal and dual methods can be used. Pri- While impact assessment consists of several
mal methods depart from a set of physical components, in many cases adoption stud-
and technological conditions specified in ies are the starting point. In the following
production and demand functions. The cor- sub-sections these methods are outlined,
responding dual approaches do not use paving the way for some illustrative exam-
quantities of products and factor inputs, but ples presented in the fourth section
solely rely on prices as a reflection of their (Selected Examples of Socio-economic
marginal product or utility. Whole-farm and Research in Vegetables).
sector-wide mathematical programming
models provide primal and dual solutions
with optimal portfolios, shadow prices of
Farm management analysis
scarce resources and opportunity costs
of unused production activities. Dual
approaches, such as the profit function Important baseline information needed to
approach, can be a useful tool for testing the conduct farm management analysis is the
implications of sector-wide policy interven- establishment of annual net revenue func-
tions. However, the level of aggregation tions (Mausch et al., 2009). The annual net
inherent in these methods limits the appli- revenue function (Φ) is given by the sum of
cability for generating practical field level the individual net revenues of crops grown
information. In many cases, the point of by the farm as a function of each crop’s
departure in vegetable research will be a respective area. The net revenue of each
partial budgeting type of analysis that pro- crop per unit area is calculated as revenue
vides a good entry point to the understand- less variable cost, including the opportu-
ing of the economics of the systems. Given nity cost of family labour in production
the sparse data situation in vegetable (Eqn 2.6):
production, dual approaches through math-
ematical programming are a useful comple- ⎡((y k pk )ak ) − ⎤
n ⎢ ⎥
ment, if it is indeed possible to generate the ⎢⎛ (s k ak )psk + (c k ak )pc ⎞ ⎥
necessary typical farm or household model Φ= ∑ ⎢⎜ +(f a )p
⎢⎜ k k f
⎟⎥
⎟⎥
(2.6)
that can serve as a representation of the k
⎢⎜ +(i a ) + (lk ak ) ⎠⎟ ⎦⎥
majority of the production conditions. ⎣⎝ k k

where y is output in quantity per unit of land

and time (year), p represents prices of output
Methodologies of the Analysis of and inputs; c, f, s, i and l are the input quanti-
Vegetable Production ties of chemical pesticides, fertilizer, seeds,
irrigation and labour, respectively, while a is
At a minimum, socio-economic analysis the area planted per crop.
of vegetable supply systems should The net revenue function varies depen-
include farm-level economic analysis and ding on the efficiency of production and the
a sector analysis of the vegetable supply level of technology, which can result in dif-
sector, including the spatial arrangement ferences in fixed costs. In many cases, fixed
of production areas. To capture the natu- costs are difficult to obtain, and thus profits
ral resource implications of vegetable cannot be calculated. Instead, annual net
14 H. Waibel

revenues (or gross margins if enterprises use can be formulated with more realistic
mainly family labour) are a good basis for functional relationships, including multi-
assessment of the financial performance of dimensional objectives (Hemme et al., 1997;
vegetable cropping portfolios. If variance Häring, 2000; Michel, 2001).
can be established – ideally through time While the maximization of gross
series data or cross-sections of similar sys- margins, net revenues or profit in most
tems – risk can be incorporated in the analy- cases is the appropriate objective function,
sis by establishing the mean and variance of approaches that consider risk in coefficients
the annual net revenue across locations or or resource constraints and multiple objec-
over different vegetable production systems. tives can be formulated in a similar fashion
Annual net revenue analysis is a cor- (Hazell and Norton, 1986; Buysse et al.,
nerstone for whole-farm budgeting by sim- 2007). Especially in smallholder systems, a
ple spreadsheet analysis or farm multi-objective choice criterion may more
programming using mathematical program- adequately capture the decision process.
ming. The concept of establishing typical
farms can be a suitable methodology for
assessment of technologies in vegetable pro-
duction systems. However, the definition of Spatial and sector-level analysis
typical vegetable producers has to be based
on a range of data sources because the statis- Location factors play an important role in
tics usually do not allow the derivation of vegetable production. Production can be
meaningful parameters of distributions (e.g. concentrated in either close neighbourhood-
average farms) (Hemme, 2000). However, to-consumer markets, export facilities/pro-
the data sources used for constructing a typ- cessing units or in distant areas – for
ical vegetable producer model can be based example, in tropical highland areas with
on either a sample survey or a census of pro- favourable climatic conditions for the pro-
ducers in a region or watershed. Usually, a duction of specific vegetable crops. Location
two-step procedure is applied, the process factors related to climatic factors affect veg-
starting with an expert consultation to dis- etable crops in different ways. Leafy vegeta-
cuss prior assumptions about a farming sys- bles tend to grow well under tropical
tem established by the researcher, with the lowland conditions, but are more suscepti-
purpose of identifying and quantifying the ble to transport losses, while root and bulb
major constraints and opportunities of a vegetables require a cooler production envi-
production system through key indicators. ronment and are better suited for transport.
In the second step, the indicators are vali- The analysis of production locations, there-
dated by triangulation with information fore, is a major issue in socio-economic
from available sources, including sector sta- studies of vegetables. The classic approach
tistics, case study reports, additional com- in handling this problem is the Von Thünen
munication with experts and primary data location theory, which is basically a theory
obtained via farm surveys. of transportation over space. In its simplest
Models based on typical farms are form the Von Thünen location model con-
different from those based on statistical siders only a single crop, with transporta-
averages, as the former are open to expert tion cost as a linear function of distance
assessment. As a result, these exhibit a con- subject to weight and perishability (Bissett,
sistent set of resource constraints and pro- 2004). In this case, the farm gate price is
duction activities. Another advantage is that determined by the commodity price in the
expert panels are cost effective compared marketplace less transportation costs. Vege-
with comprehensive data collection efforts, table production land, therefore, generates a
because up-to-date information can be rent accruing to an operator or owner of that
incorporated. The complexity of informa- land. The land rent is defined as revenue
tion can be adapted to the requirements of less production and transportation costs.
the modelling purpose. Typical farm models Under homogeneous production conditions,
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 15

differential rents are solely a function of equations can be assumed as fully elastic.
distance from a market, as described by the To be practical and cost effective against the
following equation: background of data limitations, a spatial
model must be limited to the major vegeta-
Rv (r ) = y (p − c ) − ytr (2.7) ble crops or crop aggregates and cropping
technologies. At the very least, a significant
where percentage of vegetable crops covering the
RV(r) = location rent per unit area of major production locations of a country,
land used for vegetable productionV at dis- together with regional time-specific
tance r from the centre of demand; (monthly) supply and demand balances,
y = output per unit area; must be incorporated. A major problem is
p = market price per unit of output at model calibration. In some cases, data can
market location (r = 0); be derived from agricultural census and
c = average cost of production; crop production statistics. Often, however,
t = average rate of transportation cost primary data on vegetable production tech-
per unit of commodity and distance; and nologies must be collected in topically
r = distance of production location to focused surveys with mainly purposive
market location. sampling, which can be discussed in expert
Land rent for vegetable production workshops.
areas RV at each production location is a As mentioned in the preceding sec-
linear function, decreasing with the dis- tion, typical farm models can be estab-
tance from the marketplace. At some critical lished representing a significant group of
distance, land rent becomes zero when r = producers. To be of use in the assessment
rm, i.e. the marginal production locations of the impact of a change in exogenous fac-
where revenues are fully offset by produc- tors and interventions such as economic
tion and transportation costs. Producers and environmental policies, such models
enjoy a positive land rent only if r < rm. This must incorporate the main components of
is also the zone where competition for production and marketing. For each of the
vegetable-growing land exists. Beyond the main production locations, a typical pro-
margin non-vegetable crops (RNV) are eco- duction system (vegetable farm) must be
nomically more attractive, i.e. the land rent formulated and a reasonably precise depic-
RV < RNV. Location theories are the concep- tion of the wholesale and retail market
tual basis for analysis of vegetable produc- interactions has to be incorporated. One
tion at the sector level, taking into account limitation of such a normative model is the
the spatial distribution of production presentation of the demand side. Own-
locations. price and cross-price elasticities for indi-
A useful methodological tool for vidual vegetable commodities are rarely
modelling vegetable supply chains is a available, so that a welfare analysis with
regionally disaggregated mathematical pro- the maximization of the sum of consumer
gramming model (Hardeweg and Waibel, and producer surplus is not possible.
2009). The perishable nature of vegetables, Hence, the objective function of a sector
multiple and sequential cropping schemes, analysis of vegetables may have to be for-
as well as the seasonality of production as a mulated as cost minimization that yields
consequence of climatic conditions, can be the marginal costs of supply for specified
depicted by static or comparative–static demand quantities. Other limitations are
equilibrium models. As the inter-regional that dynamic processes, such as labour
trade of vegetable commodities takes place migration or structural change, cannot be
at the wholesale level, the inclusion of the reflected in a static sector model. On the
transport system is necessary. As vegetable other hand, a spatial resolution of the
production represents only a minor part results and the combination with geogra-
of agricultural resource use and demand phic information systems can facilitate the
for external inputs and labour, supply presentation of the results and make such
16 H. Waibel

models useful for policy recommenda- Thirdly, the benefit of technological and
tions. institutional innovations in vegetable pro-
An example of a sector model will be duction may be found in the field of environ-
given in the fourth section of this chapter ment and human health, e.g. by reducing
(Selected Examples of Socio-economic chemical pollution or health hazards. How-
Research in Vegetables). ever, producers may not adopt such technol-
ogies, especially when such benefits are
external and mechanisms to internalize them
Impact assessment of technological and are absent. This will lead to under-adoption
institutional innovations of such technologies, unless regulation is
changed or appropriate incentive schemes
Impact assessment must be a crucial part of are established. On the other hand, new
socio-economic research in vegetable pro- mechanisms have emerged through the
duction in Africa. Funding agencies and requirements to access international value
research managers, accountable for their allo- chains. Such specific topics of impact assess-
cation decisions, need a notion of the rate of ment that deal with vegetables (production,
return of the research investment. In addi- environmental health and social and human
tion, impact assessment results often stimu- health standards) will be specifically dis-
late improvements in project designs and cussed in Chapter 3 of this volume.
there is a general information gap for vegeta- While economic theory provides well-
bles, unlike for cereals where ample evidence defined principles for impact assessment,
has been collected for crop genetic improve- the complexity and specific features of
ment (CGI) research (Evenson and Gollin, projects focusing on vegetable production
2003) and in natural resource management may require more complex approaches
research in the Consultative Group on Inter- than those suggested by much of the litera-
national Agricultural Research (CGIAR) (Zil- ture on the productivity supply shift (e.g.
berman and Waibel, 2008). Griliches, 1957; Evenson and Gollin, 2003).
In vegetable production systems, impact Improvements in vegetable production may
assessment has to take into account the spe- affect consumers’ and farmers’ surplus
cial features of this commodity. First, in the beyond the traditional supply-shifting
case of new input technologies, one problem effects associated with increased yields or
is small market size as a result of the multi- reduced costs. These often touch upon
tude of vegetable species. For example, a externalities, risk reduction, stabilization of
pesticide or a new biocontrol agent ecosystems or the quality enhancement of
requires a certain market size to recover products. Hence, while the impact assess-
high development costs. ment of projects related to the improvement
A similar problem can apply for out- of vegetable production should provide a
put markets with small market volumes notion of the internal rate of return of the
or specialized contractual arrangements R&D investments, such analysis must be
with agents, which can make the assess- complemented by additional indicators.
ment of productivity effects complex; Specific aspects of project design and man-
therefore, it is unlikely that a new technol- agement need to be considered in order to
ogy related to vegetable production will generate some lessons learned. This can pro-
reach the high rates of return to agricul- vide additional value to impact assessment
tural research that are found in research studies.
on cereals. Secondly, vegetable technolo- The proper implementation of impact
gies are knowledge intensive. The level assessment studies requires the application
that needs to be spent on research and of at least the basic toolbox of information
development for innovations depends on and methods. These generally include: (i)
prior knowledge. For many vegetable adoption; (ii) income effects; (iii) risk
crops, prior research may be either limited aspects; (iv) economic surplus and rate of
or not publicly accessible. return; and (v) externalities.
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 17

The most crucial aspect in impact markets, but only a few attempts have been
assessment is adoption. As pointed out by made to describe and quantify the external
Asfaw et al. (2009) for the case of production costs of pesticides in vegetable production
and health standards in Kenyan horticul- in Africa. Studies on externalities can be
ture, a time lag exists between the intro- grouped into three broad categories:
duction of a technology and the time of
1. Accounting approach: this begins
adoption. Hence, the diffusion process
with establishing scientific evidence of the
needs to be taken into account and the shape
externality and uses actual market prices
of the diffusion curve needs to be estab-
to value the physical effects. For example,
lished. For the classic S-curve, statistical
the treatment costs of cleaning pesticide-
tools such as logit and probit models exist to
contaminated water can be valued.
analyse discrete choices by producers, such
2. Economic approach: in the absence of
as early and late adopters. However, in veg-
market prices, hypothetical and surrogate
etables, the assumptions underlying the imi-
markets are used to value the negative effect
tation model often do not hold, and the
of pesticides.
homogeneity assumption is hardly met in
3. Mixed approach: combining both app-
reality. In vegetables, different market seg-
roaches.
ments with rather distinct features exist and,
under these conditions, the likelihood of The accounting approach includes
technology adoption may vary greatly and three steps: identification, quantification
therefore a different likelihood of technol- and monetization. A clear identification of
ogy adoption exists. This calls for the thresh- externalities means the collection of all
old model of diffusion. David (1969) has available scientific evidence from reliable
developed a threshold model of adoption sources in order to establish the causality
that considers an explicit economic micro- between an action and the effect. For exam-
level decision-making mechanism, recog- ple, the health symptoms of a farmer must
nizes the heterogeneity of the adopters and be linked to his pesticide application prac-
incorporates dynamic processes and diffu- tices. Quantification is the measurement of
sion drivers, such as policies and institu- the physical or biological effect of the pesti-
tions that move the diffusion process cide externality. Finally, monetization
forward over time. means attaching a suitable price to the
quantities identified for the different exter-
nalities. A total is established by aggregat-
ing different externalities, e.g. human health
Assessment of the externalities of and environment and others (see Waibel et
vegetable production al., 1999). The accounting approach is theo-
retically questionable as it does not con-
While this topic could also be included in sider the choices made by economic agents.
Chapter 3 of this book (Framework for Eco- However, it is a first attempt that may stim-
nomic Impact Assessment of Production ulate useful discussion leading to further
Standards and Empirical Evidence), a sepa- studies.
rate section will be devoted to it here due to The economic approach is based on
its importance. Research on the externali- decisions made by economic agents. How-
ties of vegetable production is a necessary ever, since by definition externalities are
component of a socio-economic research non-market effects, pesticide externalities
portfolio for vegetable research. Often, the can be derived only from surrogate or hypo-
perception exists that vegetable production thetical markets (Zilberman and Katti, 1997;
systems in Africa are of low input intensity Crissman et al., 1998; Cuyno et al., 2001;
and, thus, the problem of pesticide use is Hanley et al., 2003).
almost ubiquitous. However, vegetable pro- Indirect methods rely on observations
duction in Africa tends to be highly inten- in related markets (surrogate market). The
sive, especially when targeting export following methods have become especially
18 H. Waibel

popular: hedonic prices, travel cost app- relate external effects, and the economic
roach and avoidance costs. The hedonic costs attributed to the choice sets.
method postulates that the price of a good is In most studies to date, a combination
a function of its attributes whose influence of the economic and the accounting
can be quantified. For example, the health approach has been applied (see Waibel et
hazards from pesticides can be reflected in al., 1999; Pretty et al., 2000). For example,
the wage paid to labourers hired to spray in a study about pesticide externalities in
fruit orchards regularly. The precondition Germany for estimating losses in various
for the successful application of this production sectors an accounting approach
approach is that the markets for the surro- was used, while for the loss of species con-
gate good are competitive. The travel cost tingent valuation approaches were applied.
method draws upon the price of visiting In the case of Pretty et al. (2000), the cost of
outdoor recreation sites as a proxy for envi- monitoring and remediation of damaged
ronmental amenities. For pesticide exter- habitats, bee colony losses, treatment of
nalities, this method may be relevant only pesticide-contaminated drinking water, as
in the case of recreational activities, such as well as the treatment cost of acute pesticide
fishing, where more distant locations must poisonings, were carried out by relying on
be used as a result of pesticide pollution of the accounting approach for the most part,
nearby water bodies. The avoidance cost but were partially complemented by the
method involves the purchase of goods in economic approach.
markets that can be used to mitigate adverse
effects, e.g. the price of protective clothing
as a proxy and minimum value for the
expected health damage.
Selected Examples of Socio-economic
Direct methods are based on stated Research in Vegetables
preferences in hypothetical markets for a
good or a bad to be assessed and include the Sector modelling of Thai vegetable
two approaches, namely contingent valua- production
tion (CV) and choice experiments (CE). In
contingent valuation respondents are asked Applying the theory of location to agricul-
to reveal their ‘willingness to pay’ (WTP) for tural production as outlined in the previous
improvements in non-market goods and ser- section, an example is presented of a spatial
vices or their ‘willingness to accept’ (WTA) model of the vegetable sector in Thailand
compensation for the loss of well-being (Hardeweg, 2008). This model portrays the
associated with a change. For example, entire vegetable supply chain and allows
respondents can be asked about their WTP identification of the factors that determine
for a pesticide that is less toxic to their the spatial mobility of vegetable produc-
health. In the following section (Selected tion. It shows to what extent the ongoing
Examples of Socio-economic Research in shift away from the traditional vegetable
Vegetables), an example for pesticide use in production locations (i.e. from peri-urban to
vegetable production in Nicaragua is given. more rural areas) can result in a reduction
In choice experiments, respondents are in the potentially polluting high external
asked to judge their most preferred choice inputs such as pesticide and nitrogen fertil-
among several attributes of a bundle of izer. As such, the model is a policy tool for
goods, one of which involves an environ- the assessment of policies that can facilitate
mental good. The precondition for a suc- the adoption of environmentally friendly
cessful application of this method is that production technology in this process.
respondents are knowledgeable about the For the multi-period mathematical pro-
item to be judged. Furthermore, preferences gramming model, activities are included
for the market goods in one bundle and that reflect the multiple and sequential crop-
non-market goods in the other bundle must ping nature of the vegetable production sec-
exist. Random utility functions are used to tor to mirror the seasonality of production.
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 19

Inter-regional trade is presented at the Land use for vegetable production over all
wholesale level, with transport activities regions at peak production time amounts to
reflecting different technologies. Completely 148,000 ha, equivalent to 0.93% of the total
elastic supply equations for production arable land in Thailand. The labour profile
inputs and agricultural resources, such as for resources on vegetable farms shows that
land and unskilled hired labour, can be most of the labour is allocated to vegetable
assumed since vegetable production repre- production, with averages between 53% in
sents only a minor part of agricultural the lower northern region (LN) and 83% in
resource use and demand for external the southern region (SO). Labour is a major
inputs. The multitude of the cropping activ- constraint to the expansion of vegetable
ities is covered by regionally and seasonally production, and the model can show that
differentiated cropping technologies for 23 farm land suitable for vegetable production
vegetable crops or crop aggregates that rep- is underused because of the lack of labour.
resent 90% of the vegetable supply in eight In terms of resource use, the model
regions of the country. Monthly supply and shows, for example, that the total transport
demand balances at the regional level are of vegetables in Thailand amounts to 3.6
formulated in the model. Data for model million t per year over an average transport
parameterization have been derived from distance of 293 km. This requires 90 million
the Thai Agricultural Census 2003 and crop litres of diesel, corresponding to about
production statistics. Primary data on cur- 0.61% of the national diesel consumption.
rent vegetable production technology were
collected in expert workshops carried out in
2002. The model, which is based on the typ-
ical farm approach (see Methodologies of
the Analysis of Vegetable Production; Farm UN
management analysis), was calibrated to
reproduce a 3-year average of monthly pro-
duction data at the regional level by apply- UNE
ing a positive mathematical programming
LN
approach.
The initial solution of the model shows WNE ENE
the spatial distribution of production and
the transport flows to local (in the produc- BK
CE
tion region) and external (Bangkok) markets
(Fig. 2.1). More than half of the vegetable
production is consumed outside the respec-
tive regions of origin (Fig. 2.1), and thus the
supply of vegetables is highly transport BK: Greater Bangkok
intensive. Moreover, in Bangkok a central CE: Central region
marketplace exists that receives the major- LN: Lower North
UN: Upper North
ity of produce from the nearby central ENE: East North East
region (CE). However, a significant propor- SO
UNE: Upper North East
tion comes from the upper northern region WNE: West North East
(UN), which has good climatic conditions SO: South
for the temperate vegetable types. On the
other hand, inter-regional trade, other than
with the central marketplace, is less pro-
Fig. 2.1. Production locations and trade flows
nounced and most regions are surplus derived from Thai vegetable sector model (from
regions. Additional model outputs are the Hardeweg, 2008). CE, central region; ENE, east-
total resource use (e.g. of land) of the sector north-eastern region; LN, lower northern region;
and the input quantities supplied by factor UN, upper northern region; WNE, west-north-
markets, e.g. for pesticides and fertilizer. eastern region.
20 H. Waibel

One of the environmental consequences of factors, such as demand or new technologies

fossil energy use for transportation is CO2 in production, transportation and storage.
emission, which amounts to 245,000 mil- One example of policy simulation,
lion t annually. namely the introduction of a ‘Pigouvian-
Total nitrogen (N) use in the vegetable type tax’ is shown in Fig. 2.2. Through this
sector in Thailand is 60,000 milion t, equiv- model, it may be demonstrated that a tax on
alent to about 6% of the national nitrogen pesticides can be effective in reducing the
fertilizer consumption, which is used on environmental impact of pesticide use. The
less than 1% of the arable land. The regional environmental impact quotient (EIQ),
disparity in nitrogen intensity shows, how- which is a composite measure of occupa-
ever, that in the central region (CE) nitrogen tional, consumer and environmental haz-
use is higher than 600 kg/ha, much above ards caused by pesticides, is reduced by
the national average. Similarly, pesticides nearly 25% compared with the baseline
in the vegetable sectors account for 1528 value. Figure 2.2 also shows the effects
million t of active ingredients, which corre- of a pesticide tax on other variables such
sponds to 3.9% of total pesticide use in as transportation (measured in ‘ton-
Thai agriculture and vis-à-vis a land use of kilometres’) and on nitrogen use.
below 1%. The average pesticide use per One of the interesting results is that
hectare in vegetable production thus Greater Bangkok in particular benefits from
amounts to more than four times the sector pesticide reduction but, on the other hand,
average. farm gate prices remain constant and the
The model was applied to simulate the return on family labour is reducing.
impact of various policy interventions, such This example shows that, even when
as energy and environmental taxes or area data are scarce, intelligent usage of statisti-
zoning for intensive production. It can also cal data, survey data, expert knowledge and
simulate the impact of changes on external intuition allows the development of a model
10
0
Change (%)
–10
–20
–30

0 100 200 300 400 500

Pesticide tax (THB/1000 units EIQ)

Nitrogen use Transport (t-km)

Pesticide use (t AI) EIQ

Fig. 2.2. Impact of introducing a pesticide tax on the vegetable sector in Thailand –
modelling results. EIQ, environmental impact quotient; THB, Thai baht (currency); t AI,
metric tons of active ingredient.
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 21

of the vegetable sector of a country that is use in the previous growing period and expe-
capable of assessing the implications of pol- riences with poisoning and poisoning symp-
icy interventions and can, thus, be a good toms. Information was then given about the
entry point for guided policy discussion. possible health effects of pesticides, using a
list identifying the most commonly applied
pesticides as either high, medium or low risk
based on their respective World Health Orga-
Vegetable farmers’ willingness to pay for nization (WHO) classification. The distinc-
improved health in Nicaragua tion between acute and chronic health risks
was explained. Subsequently, WTP was
A major issue in vegetable production and established for two scenarios: (i) a pesticide
consumption is health. On the one hand, avoiding chronic risks; and (ii) a pesticide
vegetables have nutritional benefits for con- avoiding both chronic and acute risks. The
sumers due to their high level of micronu- comparison of WTP in these scenarios was
trient contents (Bellin and Leitzmann, used for a scope test, indicating whether the
1995). On the other hand, vegetable produc- respondents understood and valued the dif-
ers are at risk from pesticide use, which has ferences in the extent of health benefits. The
potentially negative consequences for the elicitation of WTP was designed as an open-
environment. Hence, research on the health ended bidding game, starting with a 100%
aspects of vegetable production systems is price premium, then lowering or increasing
another area that needs to be given attention the price depending on the farmer’s response.
in the African context. After two bidding rounds, respondents were
In Nicaragua a study was conducted asked to rethink their decision and the WTP
looking at the health implications of pesti- question was repeated. Total WTP was calcu-
cide use in vegetable farming, and at estab- lated as the product of price premium and
lished farmers’ willingness to embrace the purchased amount of the pesticide (Table
health improvements (Garming and Waibel, 2.1).
2008). For the empirical basis, a total of 433 The positive WTP for avoiding risks
farmers in four vegetable-producing regions from pesticides demonstrates that Nicara-
were interviewed. A contingent valuation guan vegetable farmers are well aware of
approach to assess the health effects of pesticide health risks. Table 2.2 shows that
chemical pesticides was applied. The value WTP represents a significant fraction of a
of health was measured by farmers’ willing- family’s health expenditure and pesticide
ness to pay (WTP) for low-toxicity pesti- use although the distribution is rather
cides. Results show that farmers are willing skewed, with more extreme values in the
to spend an additional amount of about upper quartile.
28% of their current pesticide expenditure The study showed that the health costs
to avoid health risks. The validity of the from pesticide hazards in vegetable pro-
results was established in scope tests and by duction were underestimated, and that
means of a two-step regression model. WTP was for only the directly measurable and
depends on the farmers’ experiences with observable costs. In fact, farmers value
poisoning, income variables and their cur- their health more highly than what is
rent exposure to pesticides. The results pro- expressed in productivity loss, protective
vided inputs to the design of rural health clothing and medicine. The WTP estima-
policies and in the formulation of pro- tions of the health costs of pesticides are
grammes aiming to reduce the negative important information for policy makers.
effects of pesticides. For example, they can be used to assess the
The survey instrument was a specially benefits of IPM (integrated pest manage-
defined experiment combined with a ques- ment) programmes more realistically.
tionnaire, where the respondents’ understan- Information about pesticide health costs
ding of pesticide-related health problems was can serve as a basis for government deci-
updated by asking them to recall pesticide sion making regarding investments in rural
22 H. Waibel

Table 2.1. Willingness of Nicaraguan vegetable farmers to pay (in US$) for health improvements in two
scenarios (2004) (Source: Garming and Waibel, 2008).

Scenario Mean (SE) Median 1st Quartile 3rd Quartile Skewness

Chronic health effects 25.8 (3.7) 6.0 0 20.3 6.2

Chronic and acute health effects 61.6 (9.6) 20.75 6.0 50.0 7.8

SE, standard error.

Table 2.2. Willingness to pay (WTP; US$) as a proportion of pesticide expenditure and incomea
(Source: Garming and Waibel, 2008).

Parameter Mean (SE) Median 1st Quartile 3rd Quartile

Pesticide expenditure/year 609.0 (61.7) 222.5 95.2 618.8

WTP ‘chronic and acute’/pesticide 23.0 (2.5) 5.9 1.0 20.0
expenditure
Agricultural net income/year 1846.5 (228.4) 666.7 143.3 1851.7
Household income/year 2096.0 (235.6) 904.7 265.0 2257.3
WTP ‘chronic and acute’/ household 3.1 (1.6) 1.2 0.07 3.8
income
Family expenditure on health care 97.8 (14.3) 30.0 0.0 66.7
a The displayed values are the means of the ratios calculated on an individual basis over the whole sample. SE, standard
error.

health infrastructure, especially in inten- ments can be used. There is a need for
sively farmed areas. innovative approaches of aggregation and
incorporating the spatial dimension of pro-
duction within and beyond the national
level. Furthermore, addressing more
Summary and Conclusions openly the factors not related to productiv-
ity, but to health and the environment,
The main message of this chapter is that deserves more attention in socio-economic
more emphasis needs to be placed on a studies.
theory-based approach in future socio- This chapter has introduced concepts
economic analysis of vegetable production and examples of socio-economic research in
systems in Africa. In contrast, most of the vegetable systems from various parts of the
studies to date have been driven by avail- world. These were drawn from research
able data. The two examples presented in conducted under the supervision of the
section four of this chapter (Selected author at the Leibniz University of Han-
Examples of Socio-economic Research in nover. Methodologies and examples were
Vegetables) demonstrate that this is possi- introduced that may not be used frequently
ble even with limited resources. While the in current socio-economic studies about
technical aspects of vegetable production vegetables in Africa. Therefore, they can be
are important, the multitude of vegetable used as a guide for the design, planning and
crops and varieties requires alternative implementation of such issues concerning
ways of data collection. For example, vegetable systems within the African con-
expert opinions and workshop arrange- text. Considering the complexity of the
 Theoretical Concepts for Socio-economic Research of Vegetables in Africa 23

technical and socio-economic problems of particular value for Africa if such studies
vegetable systems in Africa, the framework could be implemented.
presented here necessarily must remain
partial.
However, the framework has addressed Acknowledgements
the main features of vegetable production,
namely baseline information, seasonality, The author greatly appreciates the useful
heterogeneity, externalities and research comments and suggestions of Dr Diemuth
methodology. These were linked to varying Pemsl and Prof. Erich Schmidt on this
degrees to the methods briefly described. chapter. He sincerely thanks all those PhD
Thereafter, two examples from other conti- students who carried out their thesis work
nents – one each from Asia and Central on the socio-economic aspects of vegetables
America – were presented, which are of in developing countries.

References

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 3 Framework for Economic Impact
Assessment of Production Standards
and Empirical Evidence

Dagmar Mithöfer

Introduction (Antle, 2000). Often, performance standards

are assumed to perform better economically
Economic development and global trade in when inefficient firms prevail in a sector,
products from developing to developed for situations of highly variable input use
countries have steadily increased over time, and if a regulator is more interested in the
while the institutions governing such trade level of the standard than in the variability
have become more complex and inter- of compliance across a sector or industry
twined. Driven by the increasing demand (Cho and Hooker, 2009). However, accord-
for products of high quality, production ing to Fulponi (2007), standards tend to
standards have proliferated (Swinnen and shift from product (i.e. considering output
Maertens, 2007). Henson (2006) distin- only) to production process perspectives
guishes mandatory standards, voluntary and take more of a management system
consensus standards and de facto manda- approach, which governs the complete pro-
tory standards. Mandatory standards are set duction system. Standards can act as busi-
by public institutions whereby compliance ness-to-business signals if the standard is
is obligatory in a legal sense. Voluntary con- not used to label the final product or, when
sensus standards arise from a formally coor- used for the labelling of the final product,
dinated process involving market and standards can serve for product differentia-
non-market actors including the govern- tion (Henson and Humphrey, 2008). Stan-
ment, while de facto mandatory standards dards have increased in scope, starting from
arise from an uncoordinated process of mar- food safety to social standards, environmen-
ket-based competition between private tal health (energy, water use, packing, dis-
actors (Henson, 2006). Freedom of response tribution) and even to animal welfare
to these groups of standards increases from (Fulponi, 2007).
mandatory, de facto mandatory to voluntary Comprehensive production standards,
consensus (Henson, 2006). such as GlobalGAP (a process standard in
Standards can be differentiated by their fresh fruit and vegetable production) or
point of intervention: concerning food Rainforest Alliance (a process standard in
safety: performance standards regulate the coffee production), are often defined and
upper level of risk in food, while process enforced through private actors, while stan-
standards specify risk control inputs, and dards of the public domain often concen-
often a combination of the two prevails trate on a certain risk factor, such as
© CAB International 2011. Vegetable Production and Marketing in Africa: Socio-economic Research
(eds D. Mithöfer and H. Waibel ) 25
26 D. Mithöfer

maximum residue level. Both types of stan- rules. For the assurance mechanism, verifi-
dards impact production systems. The cation of the chain of custody is often seen
impact of standards has been subject to a as a necessary requirement to uphold trust
lively debate in recent years. On the one in the certification schemes and to uphold
hand, concerns were raised that standards consumer willingness to pay (Overdevest
constitute technical barriers to trade poten- and Rickenbach, 2006). Another classifica-
tially associated with negative distri- tion of standards differentiates between
butional effects (Reardon et al., 2003; risk management and product differentia-
Weatherspoon and Reardon, 2003; Jensen, tion standards. The former ensures that a
2004; Augier et al., 2005; Okello, 2005, product complies with the process and
unpublished doctoral thesis), while on the product requirements, while the latter is a
other hand standards may constitute a cata- marketing tool (Aragrande et al., 2005;
lyst for modernization (Jaffee and Henson, Henson and Humphrey, 2008).
2004; Maertens and Swinnen, 2008). So far, The aim of this chapter is to outline a
few studies have formally quantitatively framework for the impact assessment of
assessed the impact of standards, although production standards1 including an outline
the number of such studies has increased of potential impact pathways. Its main
(see, for example, case studies presented in example is Kenyan horticulture and the pri-
Chapters 4, 5 and 6 of this book) and, for vate process standard GlobalGAP, but it
those conducted, different approaches and also draws on other standards. The chapter
indicators have been used. links changes potentially triggered by stan-
Standards define the ‘dos and don’ts’ dard introduction to methodological chal-
in the production-to-marketing chain and, lenges associated with impact assessment
due to credibility requirements, they and attribution in the context of a dynamic
impact on enforcement structures. Stan- setting (changes over time), and a multidi-
dards are an institutional change, follow- mensional (direct and indirect effects on a
ing North’s definition of an institution as range of factors) setting. The chapter builds
‘the rules of the game – both formal rules, on recent research on the agrifood transfor-
informal norms and their enforcement mation in developing countries (Reardon et
characteristics’ (North, 2005, p. 22). Differ- al., 2009). The chapter expands the existing
ent impact pathways have been suggested analysis by linking the existing standards
for standards and certification, varying on impact assessment work to general
from being a market-based mechanism pro- advances in methods for impact assess-
viding market advantages, to a learning ment, drawing on Shiferaw et al. (2005)2
mechanism for knowledge transfer, to and by highlighting the ambiguity between
assurance mechanisms of non-observable achieving multiple goals, such as consumer
characteristics and practices (Overdevest needs, and development and environmental
and Rickenbach, 2006). For the market- outcomes.
based mechanism, certification schemes
are seen as a market-based approach for the
conservation of natural resources and the Impact Evaluation
provision of environmental services by
collecting price premiums for environmen- The need for impact assessment (synony-
tally sustainably produced products, mously referred to as impact evaluation)
whereby the premium can be considered as and impact evaluation practices is not
a reward (the price) for the environmental only of particular interest in the area of
service provided. For the learning mecha- development and aid (see, for example,
nism, new rules and the credibility of the Network of Networks of Impact Evaluation
label necessitate structures that provide (NONIE)3), but also in the area of agri-
stakeholders with knowledge on how to cultural research for development (see, for
implement the rules and how to work in example, Consultative Group on Inter-
systems that are compliant with these national Agricultural Research (CGIAR)4).
 Framework for Economic Impact Assessment of Production Standards 27

Such impact evaluations in the field of Impact evaluation: establishment

development economics have increasingly of causal chains
been the focus of donors and development
partners. NONIE and the Development An impact evaluation often uses the logical
Assistance Committee of the Organization framework for establishing the causal chain
for Economic Cooperation and Develop- from intervention to impact. The logical
ment define impact as ‘the positive and framework is a well-established tool for
negative, primary and secondary long-term project planning and evaluation and has
effects produced by a development inter- been adopted by many development organi-
vention directly or indirectly, intended or zations. Its structure follows a vertical, as
unintended’ (OECD, 2002, p. 24). Impact well as a horizontal, logic. The vertical logic
evaluations are done before the start of an stretches from inputs, to outputs, to pur-
intervention as well as after. Much of this pose, to contribution, to the overall goal,
trend is driven by the need for accountabil- while the horizontal logic stretches across
ity and by the wish to learn from past the evaluation domain from the vertical
successes and failures in case of ex post axis, to verifiable indicators, to the means of
evaluations. Ex ante impact evaluation can verification given important assumptions
contribute to strategic guidance on inter- (McLean, 1988) (Table 3.1). This framework
vention choice in the presence of alterna- has been further specified to expand from
tive investments and limited resources. outputs to outcomes, which are defined as
Impact evaluations vary in their focus. everything that happens as a consequence
Some emphasize an argument along a causal of a project’s interventions.
chain, such as a logical framework, while Outcome mapping (Earl et al., 2001)
others place more emphasis on attribution and participatory impact pathway analysis
(White, 2009). Attribution establishes a (Douthwaite et al., 2007, 2008) are further
direct causal link between an intervention developments of the logical framework. In
and its effects based on a counterfactual, i.e. outcome mapping, the project team and its
answering the question as to what would partners clarify the selected project’s desired
have happened without the intervention. long-term impacts and identify key bound-
For all impact assessments, appropriate ary partners (partners that control change;
indicators for determining impact have to Earl et al., 2001), as well as progress makers,
be identified. These can be grouped as at the start of the project and during imple-
either economic (such as different poverty mentation. Key boundary partners, as well as
or wealth proxies, efficiency, equity or risk), progress makers, are relied on for tracking
social (such as health or working condi- performance (Walker et al., 2008). In con-
tions) or environmental indicators (such as trast, in participatory impact assessment
water and soil use and management, stakeholder workshops establish hypotheses
amongst others). Finding measurable prox- about cause-and-effect linkages (i.e. impact
ies for these indicators can be a challenge in pathways) that connect project outputs to
particular for environmental indicators. outcomes and, under some circumstances, to
Overall, tracing and understanding the impacts (Walker et al., 2008). Both of these
causal chain of development, from inter- approaches are more participant driven than
vention to impact, is a prerequisite and inte- the logical framework.
gral part of any impact evaluation (Deaton, Further approaches to establish the
2009, 2010; White, 2009). The chapter causal chain between intervention and
departs from the OECD definition of impact impact have been defined in the field of
by also considering short- to medium-term adoption and diffusion of innovation theory
impacts and accounting for the fact that the (e.g. David, 1969; Rogers, 1995; Waibel and
standards under consideration do not Zilberman, 2007), which focuses on the
chiefly focus on achieving development uptake of an innovation such as a technol-
effects, for example, as defined in the ogy or practice through a target group. This
Millennium Development Goals. process includes the stages of information,
28 D. Mithöfer

Table 3.1. The logical framework (from NORAD, 1999).5

Goal: the higher-level objective Indicators: measures (direct Assumptions: important events,
towards which the project or indirect) to verify to what conditions or decisions necessary
is expected to contribute extent the goal is fulfilled for sustaining objectives in the
(mention target group) (means of verification should long term
be specified)
Purpose: the effect that is Indicators: measures (direct Assumptions: important events,
expected to be achieved or indirect) to verify to what conditions or decisions outside
as the results of the project extent the purpose is fulfilled the control of the project that
(mention target groups) (means of verification should must prevail for the development
be specified) objective to be attained
Outputs: the results that Indicators: measures (direct Assumptions: important events,
the project management or indirect) to verify to what conditions or decisions outside the
should be able to guarantee extent outputs are produced control of the project management
(mention target groups) (means of verification should necessary for the achievement of
be specified) the immediate objective
Activities: the activities that Inputs: goods and services Assumptions: important events,
have to be undertaken necessary to undertake the conditions or decisions outside the
by the project in order to activities control of the project management
produce the outputs necessary for the production of the
outputs

decision and implementation. Implementa- Leeuw and Vaessen (2009) and White
tion covers full, partial and non-adoption (2009). It does not strive to give a full insight
of an innovation. This approach traces into the technical detail of approaches to
the decision-making framework and stages impact assessment design and analysis, but
among potential users of an innovation, rather highlights key issues, which, in the
which in the end determine the impact of a next section, will be applied to the case of
project. For example, when an intervention standards, certification and quality assur-
is not adopted, little impact will be realized ance systems. All of these have in common
among the potential target group, while par- that they strive to deal with attribution,
tial adoption may imply that indicators for counterfactual and selection bias.
measuring impact have to be adjusted to the Attribution assigns the output and out-
modifications of the intervention through come to an intervention and addresses the
the target group. question, ‘What would have happened
Such causal chains can be used in a without the intervention?’ This is a com-
wide range of contexts and project stages – plex issue since changes take place con-
for ex ante and ex post assessment, while stantly and other changes may lead to a
quantitative impact assessments that for- similar impact to that caused by the inter-
mally address attribution are only applica- vention in question; linkages to other sec-
ble for ex post analysis. tors and multiplier effects may further
increase the complexity of the context.
Interventions are not ‘stand alone’ changes
Impact evaluation and attribution: what would but have to be seen in context, i.e. changes
have happened without the intervention? of other external factors and sometimes in a
sequence of linked/related interventions.
This section briefly summarizes the current Interventions may be fungible (Elbers et al.,
approaches to impact evaluation establish- 2009). Attribution requires a counterfactual,
ing attribution based on several references, which strives to address this complexity by
including Baker (2000), Ravallion (2001), establishing a comparison group to which
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