UNIVERSITY OF GHANA COLLEGE OF HUMANITIES RESOURCE MANAGEMENT AND CLIMATE CHANGE ADAPTATION: IMPLICATIONS FOR FARMERS’ LIVELIHOOD IN THE TRANSITION AGRO ECOLOGICAL ZONE OF GHANA MABEL ENYONAM MENSAH INSTITUTE OF STATISTICAL, SOCIAL AND ECONOMIC RESERACH JUNE 2021 University of Ghana http://ugspace.ug.edu.gh UNIVERSITY OF GHANA COLLEGE OF HUMANITIES RESOURCE MANAGEMENT AND CLIMATE CHANGE ADAPTATION: IMPLICATIONS FOR FARMERS’ LIVELIHOOD IN THE TRANSITION AGRO ECOLOGICAL ZONE OF GHANA BY MABEL ENYONAM MENSAH (10014725) THIS THESIS IS SUBMITTED TO THE UNIVERSITY OF GHANA IN PARTIAL FULFILLMENT OF THE AWARD OF DEGREE OF DOCTOR OF PHILOSOPHY IN DEVELOPMENT STUDIES INSTITUTE OF STATISTICAL, SOCIAL AND ECONOMIC RESERACH JUNE 2021 University of Ghana http://ugspace.ug.edu.gh i DECLARATION I, MABEL ENYONAM MENSAH, author of this thesis titled “Resources Management and Climate Change Adaptation: Implication for Farmers’ Livelihood in the Transition Agro Ecological Zone of Ghana”, do hereby declare that the work presented in this thesis was done entirely by me at the Institute of Statistical, Social and Economic Research (ISSER), University of Ghana, Legon. All Literature cited in this thesis has been duly acknowledged. This study has never been presented either in whole or part for any degree in this University or elsewhere. Date: 19-12-2022 (Mabel Enyonam Mensah) PhD Candidate This thesis has been submitted for examination with our approval as supervisors: Date: 19-12-2022 Lead Supervisor (Prof Akwasi Mensah-Bonsu) Date: 19-12-2022 CO - Supervisor Date: 19-12-2022 (Prof Felix Ankomah Asante) CO – Supervisor University of Ghana http://ugspace.ug.edu.gh ii DEDICATION This work is dedicated to God Almighty without whom I would not have made it this far. God my Provider! University of Ghana http://ugspace.ug.edu.gh iii ACKNOWLEDGEMENTS I am thankful to my supervisory committee, Dr. Simon Bawakyillenuo of the Institute of Statistical, Social and Economic Research (ISSER), Prof. Akwasi Mensah-Bonsu of the Department of Agricultural Economics and Agribusiness and Prof Felix Ankomah Asante of the Institute of Statistical, Social and Economic Research (ISSER) for their guidance, constant advice and encouragement. I am also thankful to all senior members of ISSER for their contributions to my work, during the seminar sessions. I am grateful to the DAAD team (Ghana/Germany), for giving me the opportunity to participate in the two month students exchange programme, although I was not on a DAAD scholarship. The exposure and lessons learnt were great, thank you. To the senior members of Carlton University, Ottawa Canada, who constituted the team of mentors on the Queen Elizabeth Scholarship on Climate Change and Societal Transformation, I say a big thank you for your mentoring and suggestions during the three-month mobility period. I am grateful to my family for their support and especially indebted to my elder sister Mrs Pearl Adwoa Ohenewaa Mensah - Ahiamadi for providing funds for my field work. My dear friend, Lawyer Christie Kafintu and her family the Kafintus at Adenta, God bless you for all the support you gave me throughout the PhD journey. To all friends and colleagues who contributed in one way or the other to the success of this work especially Innocent Agbeli, I salute you all. God bless you. I also wish to express my sincere gratitude to the following persons and organisations for their contributions towards the success of this study: Dr Dorgbetor of Methodist University, Wenchi Campus without whom, my primary data collection would have been very difficult to implement, since it was done during the early months of Covid 19. I also say a big thank you to the Directors and the Agricultural Extension officers of the Ministry of Food and Agriculture (MoFA) Municipal/District Directorate, Wenchi, Techiman North and Nkoranza South. I also thank the respondents for the time sacrificed during the participatory focus group discussions, especially the leaders who wrote down the outcomes from the group discussions for this study. Their contribution has indeed helped in making this study a success. University of Ghana http://ugspace.ug.edu.gh iv ABSTRACT This study seeks to examine the imperatives of resource management in enhancing adaptation to climate change in Ghana. It explores the extent to which the effective use of resources impacts on climate change adaptation processes and how that in turn, influences the livelihoods of farmers in the Transition Agro Ecological Zone of Ghana. Adaptation to climate change needs planning and innovativeness. This study provides logical and empirical evidence that demonstrate that the effective use of resources positively influences climate change adaptation and invariably improves livelihoods. Primary and secondary data were used in this study. Primary data was collected from five farm communities purposely selected in the transition agro ecological zone of Ghana. Groups of farmers from three communities in Wenchi, and one community each from Techiman North and Nkoranza South districts were interacted with in a participatory focus group discussion. Data from the Ghana Living Standards Survey 7 (GLSS7) was the source of secondary data used for the study. The study assesses the importance of resources in building the adaptive capacity of farmers against the negative effects of climate change in the transition agro ecological zone of Ghana. Household adaptive capacity is estimated using Vincent (2007) framework, with variables from the GLSS7 data. Ordinary Least Square (OLS) and Simultaneous Quantile (SQ) regressions are used to estimate factors that influence the adaptive capacity of farmers. The effect of climate change adaptation on the livelihood of farmers is also estimated using the Simultaneous Quantile and Multinomial Logit regressions. Farmers’ perception on climate change, the causes of climate change, and what can be done to reduce the negative effects of climate change were obtained from the primary data collected. Farmers’ views on what resources and which stakeholders are important for capacity building and adaptation against the negative effects of climate change were also obtained from both primary and GLSS7 data. Results from the OLS and SQ regressions show that, locality, poverty status of the household, education level, size of landholding of household, ownership of bank account and possession of a mobile phone have a positive influence on household adaptive capacity. SQ results on the effects of climate change adaptation on the livelihood of farmers also show that household adaptive capacity, farm size, mixed cropping, farm diversification, livelihood diversification and ownership of farm land, all have a positive relationship with farmer’s net income (a proxy for farmer’s livelihood). Processing, however showed a negative relationship with farmer’s net income. Findings from the primary data collated indicate the need for the provision of good roads for easy access to markets by farmers. Secondly, there is the need to revisit the use of standardisation and scaling for the sale of some farm produce like maize and groundnuts among others. The Study also recommends that basic amenities like water and toilets in their communities, access to credit and regular interactions with agricultural extension officers for training on new strategies to better adapt against the negative effects of climate change should be provided. Furthermore, empowering local authorities through legislation in fighting against the indiscriminate cutting down of trees and protection of water bodies is crucial. University of Ghana http://ugspace.ug.edu.gh v TABLE OF CONTENTS DECLARATION....................................................................................................................... i DEDICATION.......................................................................................................................... ii ACKNOWLEDGEMENTS .................................................................................................. iii ABSTRACT ............................................................................................................................. iv TABLE OF CONTENTS ........................................................................................................ v LIST OF TABLES .................................................................................................................. ix LIST OF FIGURES ................................................................................................................. x LIST OF ACRONYMS .......................................................................................................... xi CHAPTER ONE ...................................................................................................................... 1 INTRODUCTION.................................................................................................................... 1 1.1 Background ................................................................................................................ 1 1.2 Problem Statement .................................................................................................... 6 1.3 Objectives of the Study ........................................................................................... 12 1.4 Relevance of the Study ............................................................................................ 13 1.5 Structure of the Thesis ............................................................................................ 15 CHAPTER TWO ................................................................................................................... 16 LITERATURE REVIEW AND CONCEPTUAL FRAMEWORK .................................. 16 2.1 Introduction ............................................................................................................. 16 2.2 Climate Change and Agriculture ........................................................................... 16 2.2.1 Overview on Climate Change and Agriculture ............................................. 16 2.2.2 Shifting Agro Ecological Zones in West Africa ............................................. 18 2.2.3 Climate Change and Smallholder Farming in Ghana .................................. 20 2.3 Climate Change Adaptation, Vulnerability and Capacity Building .................. 22 2.3.1 Vulnerability ..................................................................................................... 23 2.3.2 Climate Change Adaptation............................................................................ 24 2.3.3 Climate Change Adaptation and Adaptive Capacity ................................... 26 2.3.4 Resilience .......................................................................................................... 28 2.4 Resource Management in Rural Livelihoods........................................................ 29 2.4.1 Livelihood Strategies ....................................................................................... 29 2.4.2 Provision of Alternative Livelihoods .............................................................. 31 2.5 Alternative Livelihood Strategies as Climate Adaptation Strategies for Smallholder Farmers ......................................................................................................... 34 2.5.1 Livelihood Diversification ............................................................................... 34 2.5.2 Employing Climate Smart Agriculture (CSA) .............................................. 36 2.5.3 Migration .......................................................................................................... 37 University of Ghana http://ugspace.ug.edu.gh vi 2.5.4 Improving Post-Harvest Activities ................................................................. 39 2.5.5 Improving Access to Information and Use of Indigenous Knowledge ........ 39 2.5.6 Agroforestry as an Alternative Livelihood Strategy .................................... 40 2.5.7 Employing Sustainable Intensification (SI) ................................................... 41 2.5.8 Remarks on Alternative Livelihood Strategies as Climate Adaptation Strategies ......................................................................................................................... 43 2.6 Theoretical Framework of Study ........................................................................... 44 2.7 Conceptual Framework of the Study .................................................................... 45 2.8 Conclusion .................................................................................................................... 50 CHAPTER THREE ............................................................................................................... 53 METHODOLOGY ................................................................................................................ 53 3.1 Introduction ............................................................................................................. 53 3.2 Study Area ................................................................................................................ 53 3.3 Philosophical Underpinnings of the Study ............................................................ 57 3.4 Study Design and Data Gathering ......................................................................... 57 3.5 Study Sample and Data Sampling ......................................................................... 59 3.6 Analytical Framework ............................................................................................ 62 3.7 Analytical Approaches ............................................................................................ 66 3.7.1 Assessing the Resources of Smallholder Famers in the Transition Agro Ecological Zone of Ghana ............................................................................................. 67 3.7.2 Examining the Adaptive Capacity of Smallholder Farmers ........................ 68 3.7.3 Examining the effect of climate adaptation on the livelihood of smallholder farmers. ........................................................................................................................... 80 3.8 Limitation of Study ................................................................................................. 85 3.9 Conclusion ................................................................................................................ 85 CHAPTER FOUR .................................................................................................................. 86 SOCIO – ECONOMIC CHARACTERISTICS OF FARMERS ...................................... 86 4.1 Introduction ............................................................................................................. 86 4.2 Composition of Ethic groups, Age, Level of Education, Gender and Size of Household of Farmers ....................................................................................................... 86 4.3 Poverty Status of Farmers ...................................................................................... 93 4.4 Farmer Household Land Holding, Farm size and Crops Cultivated ...................... 97 4.5 Conclusion .................................................................................................................. 100 CHAPTER FIVE ................................................................................................................. 101 ASSESSING RESOURCES AVAILABLE TO FARMERS AND FARMERS’ PERCEPTIONS ON CLIMATE CHANGE IN THE TRANSITION AGRO ECOLOGICAL ZONE ........................................................................................................ 101 5.1 Introduction ................................................................................................................ 101 University of Ghana http://ugspace.ug.edu.gh vii 5.2 Resources of Smallholder Farmers .......................................................................... 101 5.3 Thematic Analysis of Farmers’ Perceptions on Climate Change and Resource Needs ................................................................................................................................. 106 5.3.1 Perceptions of Farmers on Climate Change ..................................................... 106 5.3.2 Perceptions of Farmers on the Causes of Climate Change ............................. 108 5.3.3 Farmers’ Perceptions on the Effects of Climate Change in their Communities ........................................................................................................................................ 109 5.3.4 Farmers’ Perception on Who the Actors in the Climate Action Discourse should be and the Roles they should Play .................................................................. 111 5.4 Conclusion .................................................................................................................. 113 CHAPTER SIX .................................................................................................................... 115 ADAPTIVE CAPACITY OF SMALLHOLDER FARMERS IN THE TRANSITION AGRO ECOLOGICAL ZONE ........................................................................................... 115 6.1 Introduction ................................................................................................................ 115 6.2 Results on Estimates of Adaptive Capacity of Smallholder Farmers ................... 115 6.3 Regression Results of the Factors that Influence the Adaptive Capacity of Smallholder Farmers ....................................................................................................... 122 6.4 Conclusion .................................................................................................................. 128 CHAPTER SEVEN .............................................................................................................. 130 THE EFFECT OF CLIMATE CHANGE ADAPTATION ON THE LIVELIHOODS OF FARMERS ..................................................................................................................... 130 7.1 Introduction ................................................................................................................ 130 7.2 Description of Climate Change Adaptation Strategies Adopted by Farmers ...... 130 7.3 Resources Needed by Farmers for Effective Climate Change Adaptation .......... 133 7.4 Effect of Climate Adaptation on the Livelihoods of Farmers ................................ 136 7.5 Conclusion .................................................................................................................. 144 CHAPTER EIGHT .............................................................................................................. 146 SUMMARY, CONCLUSION AND RECOMMENDATIONS ....................................... 146 8.1 Introduction ................................................................................................................ 146 8.2 Summary of Study ..................................................................................................... 146 8.3 Conclusion and Implications of Findings for Resource Management and Capacity Building for Adaptation to Climate Change ................................................................. 149 8.4 Recommendations ...................................................................................................... 150 REFERENCES ..................................................................................................................... 154 APPENDICES ...................................................................................................................... 170 APPENDIX I .................................................................................................................... 170 Questionnaire for Primary Data Collection .................................................................. 170 APPENDIX II ................................................................................................................... 173 University of Ghana http://ugspace.ug.edu.gh viii Multinomial Logit Regression Results on the Influence of Climate Change Adaption on the Livelihood of Farmers .......................................................................................... 173 APPENDIX III ................................................................................................................. 175 Cross tabulation of Household Adaptive Capacity by Some Key Socioeconomic Variables ........................................................................................................................... 175 University of Ghana http://ugspace.ug.edu.gh ix LIST OF TABLES Table 2. 1: Factors That Influence Climate Adaptation Vs Characteristics Of Smallholder Farming 49 Table 3. 1: Distribution Of Sampled Households From The Glss7 Data By Regions And Districts ............................................................................................................................ 60 Table 4. 1: Composition Of Ethnic Groups ............................................................................. 87 Table 4. 2: Gender, Age And Level Of Education Of Respondents ........................................ 88 Table 4. 3: Cross Tabulation Of Age And Education By Gender ........................................... 89 Table 4. 4: Size Of Household Of Respondents ...................................................................... 90 Table 4. 5: Size Of Household By Gender .............................................................................. 90 Table 4. 6: Primary Occupation And Marital Status Of Respondents ..................................... 91 Table 4. 7: Farm Equipment Own By Farmers ........................................................................ 92 Table 4. 8: Poverty Status By Gender Of Head Of Household ............................................... 95 Table 4. 9: Poverty Status By Level Of Education And Age Of Head Of Households .......... 96 Table 4. 10: Size Of Household Landholding And Farm Size By Gender .............................. 98 Table 4. 11: Land Ownership By Cultivation Of Farmland In The Past 12 Months ............... 98 Table 5. 1: Resources Owned By Respondents ..................................................................... 102 Table 5. 2: Community Resources And Perceptions ............................................................. 104 Table 5. 3: Services Rendered By Extension Agents In Communities .................................. 105 Table 5. 4: Perceptions Of Farmers On Climate Change....................................................... 107 Table 5. 5: Perceptions Of Farmers On The Causes Of Climate Change .............................. 108 Table 5. 6: Farmers Perceptions On The Effects Of Climate Change In Their Communities ........................................................................................................................................ 110 Table 5. 7: Farmers’ Perception On Actors And Roles They Should Play............................ 111 Table 6. 1: Summary Statistics On Estimated Household Adaptive Capacity ...................... 115 Table 6. 2: Household Adaptive Capacity - Hac ................................................................... 116 Table 6. 3: Comparing Household Adaptive Capacity By Gender ........................................ 117 Table 6. 4: Adaptive Capacity By Urban And Rural Location .............................................. 118 Table 6. 5: Household Adaptive Capacity By Ecological Zone ............................................ 119 Table 6. 6: Household Adaptive Capacity By Poverty Status ............................................... 121 Table 6. 7: Ols And Sq Results On Factors That Affect The Adaptive Capacity Of A Farmer ........................................................................................................................................ 123 Table 7. 1: Climate Change Adaptation Strategies Adopted By Farmers ............................. 131 Table 7. 2: Resource Needs For Climate Change Adaptation ............................................... 134 Table 7. 3: Simultaneous Quantile Regression - Climate Change Adaptation On Farmers’ Livelihood ...................................................................................................................... 137 Table 7. 4: Size Of Landholding And Farm Size Of Respondents ........................................ 141 Table 7. 5: Cropping Type And Land Ownership Of Farmers .............................................. 143 Table 7. 6: Land Ownership By Cultivated Farm Size .......................................................... 144 University of Ghana http://ugspace.ug.edu.gh x LIST OF FIGURES Figure 2. 1: Map Of Agro-Ecological Zones Of West Africa……………………………… 19 Figure 2. 2 Conceptual Framework Of The Study………………………………………… 46 Figure 3. 1: Map Of Ghana Showing The Agro Ecological Zones ......................................... 53 Figure 3. 2: Map Of The Regions With The Districts Within The Transition Agro Ecological Zone ................................................................................................................................. 55 Figure 3. 3: Composition Of Transition Agro Ecological Zone By Vegetation And Locality Across The Districts ......................................................................................................... 56 Figure 4. 1: Poverty By Urban And Rural Households ........................................................... 93 Figure 4. 2: Poverty Status By Vegetation And Locality ........................................................ 94 Figure 4. 3: Size Of Household Landholding By Age ............................................................. 97 Figure 4. 4: Cultivated Farm Size By Age ............................................................................... 97 Figure 4. 5: Crops Growing On Farm In The Past 12 Months ................................................ 99 Figure 4. 6: Crops Harvested In The Past 12 Months ............................................................ 100 University of Ghana http://ugspace.ug.edu.gh xi LIST OF ACRONYMS AGRA Alliance for a Green Revolution in Africa DFID Department for International Development EPA Environmental Protection Agency FAO Food and Agricultural Organization GDP Gross Domestic Product GLSS Ghana Living Standards Survey HAC Household Adaptive Capacity HACI Household Adaptive Capacity Index IDS Institute of Development Studies IFAD International Fund for Agriculture Development IFPRI International Food Policy Research Institute IISD International Institute for Sustainable Development IPCC Intergovernmental Panel on Climate Change MESTI Ministry of Environment, Science, Technology and Innovation MoFA Ministry of Food and Agriculture MPES Modern Productivity Enhancing Strategies NGO Non-Governmental Organization OLS Ordinary Least Squares REDD Reducing Emissions from Deforestations and Forest Degradation SCP Sustainable Consumption and Production SDGs Sustainable Development Goals SL Sustainable Livelihood SLF Sustainable Livelihood Framework SSA Sub Saharan Africa UNEP United Nations Environmental Programme UNICEF United Nations Children’s Emergency Fund. USDA United States Agriculture Development University of Ghana http://ugspace.ug.edu.gh 1 CHAPTER ONE INTRODUCTION 1.1 Background Climate change is affecting and will continue to impact on the global environment, especially, social, economic and ecosystem resources, in decades to come (Adami, Tubino, Ragazzi, Conto & Rada, 2020; Tahiru, Sackey, Owusu & Bawakyillenuo, 2019; Yaro & Hesselberg, 2016; USDA, 2016). Increasing population and the continual increase in demand for ecosystem services with regards to agriculture, mining, logging, and urbanization, would further increase the rate of degradation of the environment (Tahiru et al., 2019; Yaro & Hesselberg, 2016; FAO, 2010; FAO, 2008; IPCC, 2007). Climate change is real, global and inevitable, and the negative impacts on agricultural productivity in particular intense (AGRA, 2016; IPCC 2014; FAO, 2010). Agriculture is important in less developed countries, as a major contributor to Gross Domestic Product (GDP) and employment for a majority of rural poor (AGRA, 2016; AGRA, 2014; Tanko & Musstinat, 2014; FAO, 2010). Humans have had to adapt to their environments throughout history by developing practices, cultures, and livelihoods suitable for their various local conditions (AGRA, 2016; IPCC, 2014, 2007). Climate change, however, raises the possibility that existing societies will experience shifts, in temperature, storm frequency, flooding and other factors that previous experience has not prepared them for (Adami et al.,2020; IPCC, 2014). Societies would therefore have to learn to live with these changing environmental conditions, thus the need to build capacity and resilience to reduce vulnerability (Adami et al., 2020; Kurukulasuriya & Rosenthal, 2013). Reducing the effects of climate risks should not solely focus on tackling the genesis of the hazards, but also on strategies for capacity building to reduce vulnerabilities (Osman et al., 2017; Yaro et al., 2016). Risk reduction and capacity building remain a key challenge for both developing and developed countries due to University of Ghana http://ugspace.ug.edu.gh 2 the increasing exposure to climate change (Kurukulasuriya & Rosenthal, 2013). The impact of climate change is especially crucial for developing countries, unlike developed countries (Wahid et al., 2017; Preston, Yuen, & Westaway, 2011)) especially in Sub - Saharan region (Muchuru & Nhamo, 2019; IPCC, 2014), because, vulnerabilities stem from inadequate or lack of capacity to adapt due to poverty issues, inaccessible resources, over-reliance on natural resources for sustenance (Wahid et al., 2017; Nyamwanza & Kujuga, 2016; Ford et al., 2014), and developmental priorities (Adani et al., 2014). A study conducted by Anamika, Suparana, Bhupen & Pernilleet (2013), in South Sikkim, India, an agrarian community, found that vulnerability to climate change was not due to the physical nor geographical factors alone but mostly on socio economic factors such as lack of livelihood opportunities, lack of healthcare, lack of access to education and limited available resources. These non-climatic factors made it difficult for farmers to overcome poverty and contributed to their weak resilience to overcoming the impact of climate change. The story may not be different from Ghana, which has about 70% of its rural population depending on agriculture and forest and has a high dependence on the climate for their livelihood (AGRA, 2016; EPA, 2017; AGRA, 2014; Mbow, Smith, Skole, Duguma, & Bustamante, 2014). Any variability in climatic conditions, therefore directly impacts on the livelihoods of farmers, who are mostly found in the rural parts of the country, where poverty levels are relatively high and therefore increases their vulnerabilities (EPA, 2017). Climate impacts increase pressure on rural dwellers. It endangers their operational systems (farm activities and general environment), as well as their well-being, rendering them even more vulnerable (Muchuru & Nhamo, 2019; Yiran & Stringer, 2017; EPA, 2017; Mbow et al., 2014; Adger et al., 2005). To reduce the vulnerabilities of rural farmers to the various effects of climate change, adaptation action at the local and regional levels is much needed (Muchuru & Nhamo, 2019; Yiran & Stringer, 2017; University of Ghana http://ugspace.ug.edu.gh 3 Mbow et al., 2014; Adger et al., 2005). Awareness creation as well as planning for and implementation of adaptation measures form crucial parts of the climate change adaptation process (Muchuru & Nhamo, 2019; Mbow et al., 2014; Adger et al., 2005). The picture with regards to climate change adaptation in Sub Saharan Africa and for that matter Ghana remains diffuse and challenging due to power relations in the climate change adaptation discourse and conflicting views on the effects of climate change on agriculture (Muchuru & Nhamo, 2019; Sava et al., 2015; Annim-Kwapong & Frimpong, 2010). Some of the areas that need strengthening in the climate change adaptation discourse include; capacity building, awareness creation, climate information, well-resourced research and development systems, adequate climate change education into school curriculum, need for policy and budgetary allocation for climate change research and education and strengthening the relationships between scientific knowledge and traditional or indigenous knowledge (Yiran & Stringer, 2017; Sova et al., 2015; Biagini et al., 2014; Annim-Kwapong & Frimpong, 2010). All of these point to the availability, accessibility and effective deployment and use of resources. Society has the ability to respond to the effects of climate change on their natural and self - made systems in a number of ways (USDA, 2016; IPCC, 2014; Morton, 2007). Generally, the strategic options for tackling impacts of climate change could be through mitigation, which addresses the root causes of climate change by eliminating completely where possible or reducing greenhouse gas emissions (USDA, 2016). Mitigation requires a change in lifestyle because it requires adjustments or changes in processes and behaviours that are leading to climate change such as any form of energy use or activity that increases the emission of greenhouse gases into the atmosphere (USDA, 2016; Gorddard et al., 2016; Wise et al., 2014). Adaptation is another means of addressing the negative impacts of climate change which is University of Ghana http://ugspace.ug.edu.gh 4 geared towards reducing the negative effects of present and future climate change, by putting in place measures that lower the risks posed by the consequences of climate change (Adami et al., 2020; Muchuru & Nhamo, 2019; Yiran & Stringer, 2017; USDA, 2016). Adaptation also takes advantage of the positive ways that climate change impacts on society (USDA, 2016). Thus, whilst mitigation concentrates on the causes and measures put in place to eliminate or reduce the determinants of the causes, adaptation measures focus more on what can be done to reduce the negative impacts (Adami et al., 2020; Muchuru & Nhamo, 2019; Yiran & Stringer, 2017; USDA, 2016, IPCC; 2014). There is the broad consensus internationally that even if the world makes a significant reduction in greenhouse gas emissions, the lag in the climate system means that the world would still be faced with decades of climate change due to greenhouse emissions already put into the atmosphere (USDA, 2016). Moreover, for developing countries that are seeking to industrialize and develop, issues of sustainability in development come to play. Sustainability entails ensuring a balance between economic growth, environmental care, and social welfare, that is, development in totality without leaving anyone behind (Muchuru & Nhamo, 2019; IFPRI, 2019; USDA, 2016; ADRA, 2016). Agricultural development still remains a key driver to poverty reduction (welfare improvement) in most developing countries, and its importance in the climate change mitigation and adaptation discourse has been internationally recognized (IFAD, 2019; IFPRI, 2019; ADRA, 2016). For most developing countries, a majority of which are vulnerable to climate impacts, adaptation is generally prioritised over mitigation because failure to adapt would be a great threat to food security (IFAD, 2019; Muchuru & Nhamo, 2019; Yiran & Stringer, 2017). It is important to note, however, that there are synergies between adaptation and mitigation, especially in agriculture. A typical example being the use of climate-smart agriculture, a strategy whose objective is to increase productivity, whilst keeping sustainability University of Ghana http://ugspace.ug.edu.gh 5 in mind by enhancing climate adaptation and mitigation where possible (IFAD, 2019; Muchuru & Nhamo, 2019; FAO, 2013). Some soil and water management practices which have been noted for their mitigation potentials, are other examples of synergy between climate adaptation and mitigation (IFAD, 2019; Altieri & Koohafkhan, 2008). In order to effectively manage resources in the face of climate change, there is the need to have a better understanding of what resources or systems are likely to be affected by the effects of climate change and how best capacity can be enhanced to deal with these changes (Biagini et al., 2014; Travis &Sumner, 2010; Morton, 2007; Lawler et al., 2010). Managing natural resources and ecosystems as well as being successful in climate change adaptation in the face of uncertain climate requires new approaches and certain resource management processes in order to improve rural livelihoods (Travis &Sumner, 2010; Morton, 2007; Lawler et al., 2010). Resource management is the efficient and effective development of an organization’s resources when they are needed (Lawler et al., 2010; Klien, 1999; Remade, 1984). Such resources may include financial resources, human skills, and production resources (Lawler et al., 2010; Klien, 1999; Remade, 1984). Resource management entails sustainable socioeconomic development of human society through purposive and judicious utilization of natural resources and the maintenance of environmental quality. In terms of conservation, resource management is a set of practices pertaining to maintaining a balance in the natural environment (Lawler et al., 2010; Klien, 1999; Burton, 1996; Remade, 1984). Increasing human population, rapid industrialization, unplanned urbanization and steady technological growth amongst others, exert tremendous pressure on the utilisation of existing natural resources and thus requires effective management to check over exploitations and extinction of many of these non- renewable resources (AGRA, 2016; IPCC, 2014; Remade, 1984). University of Ghana http://ugspace.ug.edu.gh 6 Possible socio-economic scenarios needed for climate change impact and adaptation analysis for different sectors was developed in 2006 by the United Nations Environmental Programme (UNEP, 2006). Land use, water use, food demand, agricultural policies and adaptive capacity were identified as important to explore in relation to agriculture (UNEP, 2006). UNICEF (2019), also in an evaluation and multiple solution series, identified knowledge, technology, innovativeness, infrastructure, institutions, and governance as dimensions to explore in assessing adaptive capacity. These identified dimension by both UNEPmand UNICEF are the underlying factors that build the adaptive capacity of economies, communities as well as households. These have been confirmed by studies and reports such as found in IFPRI (2019); World Bank (2018); USDA (2016); Nyamwanza and Kujuga (2016); Ford et al. (2014); Adani et al. (2014), amongst others. On this premise, this study, conceptualises resource management as the availability, accessibility and effective use of resources and categorised resources into; human resource, natural resource, capital resource and social resource. 1.2 Problem Statement Although extreme poverty (people who live on $1.90 or less a day), has seen a decline globally (from 36% of the world’s population in 1990 to about 10% of world’s population in 2015), in Sub-Saharan Africa (SSA), the number of people living in extreme poverty is rather on the increase (World Bank, 2018; FAO/IFAD/WFD report, 2015). The number of people living in extreme poverty in SSA constitutes more than half the total number of extremely poor per the 2015 projection (World Bank, 2018). Whereas the East Asia, Pacific Region, Europe and Central Asia Region actually experienced a reduction in poverty levels, that of SSA increased, with 413 million people still leaving on less than $1.90 a day. Projections by the World Bank (2018) indicate that if this poverty trend continues, nine out of every ten people living in extreme poverty would be found in Sub Saharan Africa by 2030. In Ghana, majority of those University of Ghana http://ugspace.ug.edu.gh 7 who fall under the poverty line live in rural areas, and have agriculture as their mainstay (AGRA, 2016). These are mostly smallholder farmers who depend on rainfall for their activities (AGRA, 2016; Yaro, 2016). Although the overall poverty levels in Ghana has seen some improvements over the years, poverty in rural areas, urban slums and particularly the northern parts of the country seem to be persistent due to the impacts of climate change (William et al., 2018; Asante & Amuakwa-Mensah, 2015; MESTI, 2013). Unfortunately, it is these poor group that are most vulnerable to the negative impacts of climate change because of their reliance on the weather for their livelihood activities (De Souza et al., 2015). Data on the trend in the growth of Ghana’s population from 1960 to 2021 shows an increase in growth in population across both rural and urban areas. The growth rate of the rural population although is at a decreasing rate, increased from 10,688,436 (56.82%) in 1999 to 12,681,435 (46.58%) in 2014 and currently stands at 13, 332,254(42.02%) in 2021 (FAO, 2015, World Bank, 2021). The negative impact of climate change and variability poses a challenge to the country’s efforts at realising its vision of improving livelihoods (William et al., 2018; De Souza et al., 2015) if efforts are not hastened to build capacities of the rural populace. The transition agro ecological zone of Ghana, originally a forested zone has gradually lost its cover into a wet savannah zone (Asante & Amuakwa-Mensah, 2015; Cudjoe, 2006) and has had its fair share of changes in vegetation due to climatic changes. These changes started manifesting as shifting agro ecological zones through West Africa since 1983 (Asante & Amuakwa-Mensah, 2015; Tarawali et al., 1999). These shifts and continual impact of climate change, which is said to be gradual and severe, has led to the loss of farmlands in low lying areas, destruction of food crops due to flooding or loss of crops due to drought (IPCC, 2014; AGRA, 2014; Codjoe & Owusu, 2011). The transition agro ecological zone in Ghana still exhibits a unique variation in climatic and vegetation conditions, which is attractive to a lot of University of Ghana http://ugspace.ug.edu.gh 8 farmers from other regions in Ghana especially those from northern part Ghana to farm (Cudjoe, 2006). Projections into 2020, 2050 and 2080 however, indicate a rate of desertification of 20,000 hectares per annum and a decrease in the suitability of cocoa production in current production areas, as well as low rice and tuber crop production, which will worsen the plight of the poor, particularly women and children (Asante & Amuakwa-Mensah, 2015). The transition agro ecological zone which is currently a haven for different categories of migrant farmers, some of whom transit down south after acquiring some wealth from their farming activities, is fast changing due to climate change impacts and human activities (Asante & Amuakwa-Mensah, 2015; Codjoe & Owusu, 2011). There is therefore a need for a strategy for recovery and sustenance. The transition zone has two rainy regimes and has a variety of crop farmers, who farm crops like maize, yam, cassava, cowpea, groundnuts, vegetable and plantain (Addai & Owusu, 2014; Antwi Agyei et al., 2014; Cudjoe, 2006). The transition zone which was popular for tobacco and yam production in the 1950s, still produces a large share of the country’s yam, maize and cassava (Addai & Owusu, 2014; Antwi Agyei et al., 2014; Nsiah & Sakyi Dawson, 2012; Cudjoe, 2006), and is basically one of the largest food baskets in Ghana. There is therefore the need to put in place strategies that can mitigate the rate of desertification as well as effectively deploy resources for capacity building for better adaptation against the negative impacts of climate change. Poverty and environmental degradation within rural localities could lead to migration to wetter regions and urban areas which could also pose problems like population densification, increasing number of people exposed to other effects from climate change like floods, diseases, heat waves primarily due to lack of adequate planning and infrastructure (MESTI, 2012). Vulnerability assessments indicate that such informal settlements are most University of Ghana http://ugspace.ug.edu.gh 9 likely to be negatively affected by climate change impacts like floods, droughts, and disease (cholera and Malaria) due to overpopulation (MESTI, 2012). Although Ghana is less vulnerable to climate change compared to its neighbours in West Africa, climate change has negatively impacted on sectors such as agriculture, water, forests, fisheries, energy and health (De Souza et al., 2015). The Ghana National Climate Change Policy and National Climate Change Adaptation Strategy, put together in 2015 sought to help togther strategies against the impacts of climate change (De Souza et al., 2015), identified and outlined key priorities across the various affected sectors. Amongst the key areas of priority is agriculture because of its importance in poverty reduction and economic growth in the economy of Ghana. As identified in the UNEP (2006) study, wealth is one and the strongest explanatory variable that determines adaptive capacity, confirming the influence of poverty in building adaptive capacity. The wealthier one is, the more resources one has at their disposal to seek out and pay for adaptation options to reduce vulnerability against climate impacts. The UNEP (2006) study also identified scientific understanding of potential impacts (education, information), institutions (government and private sector), degree of flexibility of a society or household (how and where resources are managed), distribution of wealth (equity), access to information, technology, technological skills in building adaptive capacity for adaptation against the negative effects of climate change. To successfully manage climate change, a better understanding will be needed on what combinations of resources to use and which resources should be prioritised (Pavlickova & Vyskupova, 2015). Active adaptive management based on potential future climate impacts scenarios will need to be a part of everyday operations (Lawler, 2009; Lawler et al., 2008). University of Ghana http://ugspace.ug.edu.gh 10 Although many concepts and tools for addressing climate change have been proposed, there is little explicit recognition of climate change within the implementation level of agricultural policy (Morton et al., 2014). This is attributed to the weak collaboration between institutions. Morton et al. (2014) for examples cites the weak linkage between the agriculture and environment ministries in their study of some selected African countries. They noted that substantive agricultural issues feature in climate change discourses and thus the need to involve the agriculture ministry in putting together policies on climate change. To tackle the severe impacts of climate change calls for immediate action at multiple levels of all stakeholders (Morton et al., 2014). Climate adaptation needs planning and has to be strategic for effectiveness, because the process entails adjustments of natural and/or human systems as well as the exploitation of potential opportunities (Morton et al., 2014; IPCC, 2014; Travis & Sumner, 2010; Kohler et al., 2010; Gallopin, 2006; Nuoteva et al., 2010; Bates et al., 2008). In most rural communities worldwide, agriculture plays a vital role in improving the well - being of the rural folks; it occupies 45% of the land and employs about 75% of the rural population (AGRA, 2016; Mutabazi et al., 2015; FAO, 2010). It is crucial, to enhance the adaptive capacity of the rural smallholders as they face some of the greatest vulnerabilities that may result from climate change. This is not only a matter of risk reduction but also building resilience to improve lives and livelihoods. With the extreme pressure on the existing natural resources, especially in the face of climate change, there is the need for innovativeness (Lawler et al., 2010) and transformation in the way resources are used, which will support a reduction of the negative effects of climate change as well as increase the productivity of the farmer. A study by Williams et al. (2018), on the vulnerability of smallholder agricultural systems to climate change in Africa identified the need for effective decision making on allocation of University of Ghana http://ugspace.ug.edu.gh 11 scarce resources for building capacity to enhance the climate change adaptation process. The study also indicated the need to interrogate the trade-offs in resource management as well as put in place of a system that builds an understanding among stakeholders to guide possible pathways to reducing vulnerabilities. With the advent of climate change, the rate of degradation of natural resources is increasing and this has implications for soil productivity, household food security and the environment (Singh et al., 2016; IPCC, 2014; FAO, 2010), which could negatively affect the well-being of farmers. Increasing temperature, for example, has implications for water demand particularly for irrigation (Wang et al., 2014) and household consumption. Consumption of natural resources is steadily increasing with population growth and development. Overconsumption of natural resources threatens the fundamental economic, social and environmental systems, on which our development relies, thus affecting livelihoods in general and rural livelihoods and development in particular. Rural folks basically depend on the use of natural resources for their survival. With the growing evidence of climate change, it is required that relevant adaptation actions are put in place for survival (Simonet & Faton, 2015). Populations living in poverty are particularly vulnerable to the negative effects of climate change. Vulnerabilities to the effects of climate change in Ghana, for example, stems from an interplay between accessibility to and use of land and other resources, governance systems and policies (Padghem et al., 2015). “Supporting people experiencing poverty in their efforts to respond to climate change will be a defining climate challenge in the coming decades” (Logan et al., 2017 pg 1554). There would be the need for effective engagements, relevant knowledge production and information dissemination (Logan et al., 2017) to help decision makers in determining their priority areas for adaptation plans. To be able to effectively put in place supporting structures, there would be the need to do a situational analysis of the local community; by finding out what resources there are, how easily University of Ghana http://ugspace.ug.edu.gh 12 accessible these resources are, who has access, how effectively the resources are being used, and to what extent the use of these resources is impacting on the livelihoods of the people. This study is grounded on the idea that in order to have favourable outcomes in planning adaptation strategies against the effects of climate change, it should be done within the framework of efficient resource management. This study, therefore, seeks to improve the understanding on the interrelationships between the effective and efficient use of resources in climate adaption and its effect on the livelihood of smallholder farmers in Ghana. From the foregoing, the research question this study seeks to address is: To what extent does resource management contribute to climate change adaptation and its implications on the livelihood of smallholder farmers in the transition agro ecological zone of Ghana? 1.3 Objectives of the Study The main objective of the study is to examine the contribution of resource management to climate change adaptation and its implications on the livelihood of smallholder farmers in the transition agro ecological zone of Ghana. The following specific objectives have been set to guide the study: • To assess resources available to smallholder farmers for adapting to climate change in the transition agro ecological zone of Ghana. • To examine the adaptive capacity of smallholder farmers for adapting to climate change. • To examine the effect of climate change adaptation on the livelihood of smallholder farmers. University of Ghana http://ugspace.ug.edu.gh 13 1.4 Relevance of the Study As farming systems evolve, the problem of resource degradation sets in (Singh et al., 2016) and the effects of climate change exacerbates this problem, especially for smallholder farmers (Singh et al., 2016) making them more vulnerable. Examining the adaptive capacity of farmers in the transition agro ecological zone in Ghana would increase the understanding on what resources are necessary to build capacity and which resources enhance the adaptive capacity of farmers. This information would serve as a guide for policy makers and other stakeholders as they put together for implementation, relevant strategies for increasing agricultural productivity and improving the livelihoods of rural dwellers. Increasing agricultural productivity entails the intensive use of land as well as the effective and efficient use of other agricultural resources (Singh et al., 2016; AGRA, 2016). This study also improves the understanding on the inter linkages in the use of the resources that builds and enhances the adaptive capacity. In the corporate world, in order to improve productivity and profit levels, management puts in place strategies for improving human resource through training, putting in place enhancing structures and even motivating staff to work harder. This study demonstrates how just as in the corporate world, having such enhancing structures as motorable roads, markets, easily accessible agricultural inputs and extension agents to train farmers in place, could be emulated by policymakers and other relevant stakeholders in advancing or advocating for efficiency and effectiveness in the use of resources for increased productivity to improve the well-being of farmers. The sustainable management of resources, a critical objective in the effort to reconcile socio-economic development and environmental preservation on a global scale, requires improved resource efficiencies and alternatives. This study therefore demonstrates how University of Ghana http://ugspace.ug.edu.gh 14 promoting the efficient and effective use of natural resources could improve rural livelihood and lead to sustained growth. In order for the process of rural development, whose expected outcome is improved quality of life and economic well-being of people living in remote areas to be achieved, innovative strategies are required. This study demonstrates empirically how poverty weakens resilience due to lack of resources (low adaptive capacity) and places severe limits on the ability to adapt to environmental changes (UNICEF, 2019; Norris et al., 2015). This study further demonstrates that to reduce poverty, which is one of the Sustainable Development Goals (SDGs), the adaptive capacity of rural dwellers (smallholder farmers), needs to be enhanced to position them better to adapt against the negative effects of climate change. Like the UNEP’s Resource Efficiency programme, which seeks to promote efficiency and sustainable consumption and production (SCP) in both developed and developing countries as a strategy for building resilient households this study also demonstrates how the effective use of resources help build capacities against the negative effects of climate change. This study also contributes to an improved understanding of the linkages between resource management and climate adaptation against the effects of climate change across the various categories of smallholder farmers in selected communities for future interventions and policy formulation towards improving livelihoods. There is not enough empirical evidence on how climate hazards impact on the livelihoods and resources of different well-being groups and how each group is responding to climate change. It is, however, important to know the differential climate impacts on different social groups to help future interventions. University of Ghana http://ugspace.ug.edu.gh 15 This study also seeks to demonstrate how different farmer groups with different skill sets and resources adapt to the effects of climate change and how this influences their livelihoods. This could help government and other stakeholders in planning for interventions geared towards improving the lives of smallholder farmers. A comparison of livelihood indicators across some key variables from the study could also influence policy or serve as a guide to government and other stakeholders in drawing plans for interventions geared towards improving the adaptive capacity and welfare of smallholder farmers in the face of climate change. These would contribute towards achieving the objectives of the Sustainable Developments Goals 2 (Zero Hunger), 10 (Reduced Inequality) and 15 (Protection of Terrestrial Ecosystem). 1.5 Structure of the Thesis The thesis is divided into eight chapters. The introductory chapter, presents a brief overview on climate change and adaptation and how it has affected humanity and the environment, the problem statement and objectives of the study. Chapter two contains an account of literature review, theoretical framework, and conceptualisation of the study. Chapter three presents the methodology of the study. Chapter four presents the background and socioeconomic characteristics of the study population, and in chapter five, resources of smallholder farmers for climate change adaptation is analysed and described. Chapter six presents findings on the estimation of the adaptive capacity of smallholder farmers in the transition agro ecological zone of Ghana and results from the ordinary least square and simultaneous quantile regressions on the factors that influence the adaptive capacity of farmers to climate change. The seventh chapter presents discussions on the effect of climate change adaptation on the livelihood of farmers, and the eighth chapter, which is the concluding chapter, presents the summary of the study, conclusion, and policy recommendation. University of Ghana http://ugspace.ug.edu.gh 16 CHAPTER TWO LITERATURE REVIEW AND CONCEPTUAL FRAMEWORK 2.1 Introduction This chapter reviews various studies on climate change and variability and how different economies, communities and farm households have tackled the climate adaptation process to reduce their vulnerabilities against the negative impacts of climate change with regards to smallholder farming. The importance of resource availability, accessibility, and use; conceptualised as resource management, within the climate adaptation value chain is also reviewed. Literature on discourses on agroforestry, rural livelihoods, and poverty reduction strategies adopted by smallholder farmers to improve their livelihood and the environment is also reviewed. The chapter is divided into eight major sections: the introduction; climate change and agriculture; climate change adaptation, vulnerability, and capacity building; resource management in rural livelihoods; alternative livelihood strategies as climate adaptation strategies for smallholder farmers; the theoretical framework and conceptual framework of the study and conclusion. 2.2 Climate Change and Agriculture 2.2.1 Overview on Climate Change and Agriculture Human activities such as the burning of fossil fuel, changes in land use and land cover have led to the increase in atmospheric concentration of greenhouse gases such as carbon dioxide, methane and nitrous oxide, leading to extreme weather events such as floods, drought, heat waves and storms ((IPCC, 2014; IPCC, 2007a). These disturbances are altering ecological systems around the globe (Olmstead, 2013; Lawler, 2009; Agrawal & Pernin, 2008) and pose stress to humanity and to rural livelihoods in particular (Arsano & Milman, 2013; Agrawal & Pernin, 2008). The impact of climate change is said to be gradual and severe and could lead to University of Ghana http://ugspace.ug.edu.gh 17 the loss of farmlands in low lying or coastal areas, destruction of food crops dues to flooding or loss of crops due to drought (IPCC, 2014; Mbow et al., 2014; AGRA, 2014; Codjoe & Owusu, 2011). These changes pose a challenge to natural resources mangers and planners and calls for adaptation to reduce vulnerabilities. In the rural context, climate stresses are in two categories; that which reduces existing livelihood options and that which leads to the unpredictability in the flow of livelihood benefits (Agrawal & Pernin, 2008). The world witnessed rapid changes in its ecosystems with the demand for ecosystem services significantly increasing between 1960 and 2005 due to the increase in the world’s population, which had significant implications for food production (Altieri & Koohafkhan, 2008). As the world continues to experience a rather unstable state in climatic conditions, the vulnerability of agricultural farmers in general and smallholder farmers especially (AGRA, 2016; Morton et al., 2014; Mbow et al., 2014) is increased. Some notable negative effects of climate change include poor quality soils (AGRA, 2016), frequent drought, increased crop infestation by pests and diseases and changing vegetation types among others, all of which affects food production (Adger, 2006; Altieri & Koohafkhan, 2008; Ogunsola, Olugbire, Oyekale, & Aremu, 2015; Tarawali et al., 1999). Conversion of forest and grassland into farmlands for example also influences the degree of climate variability (Mbow et al., 2014; AGRA, 2016). These changes affect the livelihood of farmers and smallholder farmers in Sub Saharan Africa (SSA) particularly because they are said to be the most vulnerable (AGRA, 2016; Morton et al., 2014). The demand for food globally is expected to increase by 60% as the world population hits 9.1 billion by 2050 (Alexandratos & Bruinsma, 2012). This has implications for world food supply and demand issues (AGRA, 2016). Agriculture plays an essential role in improving societal wellbeing; it occupies 40% of the land surface, consumes 70% of global water resource and is dependent on biodiversity at all levels (Altieri & Koohafkhan, 2008). Human activities such University of Ghana http://ugspace.ug.edu.gh 18 as urbanisation, deforestation due to logging, and agricultural activities such as shifting cultivation are said to have effects on the climate (FAO, 2008; IPCC, 2007). By 2025, it is estimated that about 480 million Africans are likely to experience water scarcity and water stress as well as a reduction in rain-fed agricultural yields in 2020 (FAO, 2008; IPCC, 2007). Smallholder farmers are the most badly affected by the variabilities and changes in climatic conditions which tend to affect their livelihoods drastically (Altieri & Koohafkhan, 2008). The effects of climate change manifests as low productivity of smallholder farmers, which renders them poor. Christiansen et al. (2011), however note that a 1% increase in agriculture per capita GDP could reduce the poverty gap by five times more than a 1% increase in per capita GDP in other sectors of a given economy, thus the need to build the capacity of farmers to better adapt against climate change impacts to increase productivity. Farmers in developing countries face a big challenge of unstable climatic conditions, because, they are mostly dependent on rain fed agriculture with about 80% of their farmers operating at the small-scale level (Yaro, 2013; Fosu-Mensah Vlek & MacCarthy, 2013; AGRA, 2016). The next sub-section describes how the negative impacts of climate change has led to a shift in agro ecological zones, and thus agricultural activities. 2.2.2 Shifting Agro Ecological Zones in West Africa As far back as 1993, West Africa was described as experiencing a shift in ecological zones; parts of the Sahel region (Arid/Savannah) gradually changing into Sahara (Hyper arid/Sahara), termed desertification, parts of the Sudan region (Semiarid/Guinea savannah) also changing into Sahel termed sahelization of the savannah and parts of the Guinean region (Sub Humid/Semi deciduous rainforest) is also gradually changing into Savannah, also termed “savannnation” of the forest (Tarawali et al., 1999). University of Ghana http://ugspace.ug.edu.gh 19 Figure 2.1 presents the agro ecological zones of West Africa, showing the Hyper-arid, Arid, Semiarid, Sub humid and Humid from the northern side to the south. Figure 2. 1: Map of Agro-ecological zones of West Africa Source: Bourn, 2013 Some authors also refer to these zones as Sahara, Sahel Sudan, Guinean and Guineo - Congonlian also from the driest region up north to the wettest region down south. Generally, the boundaries have shifted southwards with changes in climatic conditions and human induced activities. Tarawali et al. (1999), describe the West African ecological zone as Mid altitude, Humid, Semi humid and Semi-arid. The humid vegetation is mostly forest, the semi humid has some forest and savannah and the semi-arid, savannah and the arid and hyper arid extremely dry lands. The semi humid zone is subdivided into humid bimodal rainfall region, also referred to as the forest savannah zone or derived savannah zone and covers an area of 7 million hectares, with average rainfall between 1000 mm – 1500 mm and has two rainy seasons in a year; April to July and September to November (Tarawali et al., 1999), similar to what is experienced in the Transition Agro Ecological Zone of Ghana, the study area for this study. The second region within the semi humid zone, is the drier monomodal rainfall area, located University of Ghana http://ugspace.ug.edu.gh 20 towards the northern side, also referred to as the Guinea savannah zone. It spreads over 8.5 million hectares with an average annual rainfall of 1200mm. It has a longer dry season and one rainfall season in a year, between May/June – September/October. Some manifestations of the shifts across the agro ecological zone in West Africa is what is being experienced in some farm communities in the Transition Agro Ecological Zone of Ghana as the non-suitability of some vegetation for cocoa production and the gradual change for some wet savannah vegetation to drier savannah vegetation. Knowledge about these changes and categories helps governments, development and relief agencies understand better the kind of vulnerabilities the various localities would be facing in the light of climate change and variability so they can come up with relevant, suitable and sustainable interventions for their survival. 2.2.3 Climate Change and Smallholder Farming in Ghana Agricultural production in Africa is considered to be the most viable means in boosting economic development (FAO, 2010) but it is faced with a lot of challenges (Poulton, Dorward & Kydd, 2010) including the climate (AGRA, 2016; Niang et al., 2014; Rurinda et al., 2014 FAO, 2010). Sub Saharan Africa (SSA) is ranked among the most vulnerable region to climate change due to its high dependence on rain-fed agriculture (Niang et al., 2014) with majority of its farmers, smallholders (Batino & Wasara, 2011). Smallholder farmers like other farmers face all kinds of vulnerabilities including soil conditions, access to markets, declining natural resources, weak institutional support (Rurinda et al. 2014), but their case is particularly more severe per the size of their land and limited technological advancement (AGRA, 2016; Niang et al, 2014; Rurinda et al. 2014; FAO, 2010). These vulnerabilities are further worsened by climatic conditions (Altieri & Koohafkhan, 2008). Smallholder farmers per the size of their farmlands are unable to exploit economies of scale not only in production but also in marketing their products and storage (Rurinda et al., 2014). They use low technology, have low University of Ghana http://ugspace.ug.edu.gh 21 capitalization, faced with both climate and non-climate related issues like drought, floods, pests, and diseases, increasing population and decreasing landholdings (AGRA, 2016; Niang et al., 2014; Rurinda et al., 2014; FAO, 2010; Altieri & Koohafkhan, 2008). Development practitioners, however, see smallholder farmers as the driving force to economic growth and poverty reduction in Africa (AGRA, 2016; AGRA, 2014; Njang et al., 2014; FAO, 2010; World Bank, 2008). Smallholder farmers are categorised as producers whose farmland sizes are three hectares or below and practice what is termed “low resource agriculture” with a majority of them producing grains, almost all roots and tubers, plantain, and legumes (AGRA, 2014). Morton (2007) and AGRA (2016) report have categorised smallholder farmers as farmers whose farm size is below five hectares and are mostly found in developing countries, using family labour for their activities, with their main source of livelihood from the farming activities (Altieri & Koohafkhan, 2008; Morton, 2007). This renders them very vulnerable. Mutabazi et al. (2015), in their research in rural Tanzania on the determinants of poverty and vulnerability of smallholder farmers using descriptive statistics, a 3 stage least square econometric analysis and $1.25 as the poverty line, revealed that households leaving in agro-climatically less favourable areas were more income poor. Their findings also indicate that increasing farm sizes enhanced level of income of farmers, increasing it further also equally reduced future vulnerabilities. Farm experience was also found to reduce vulnerability. Their results indicate that large household sizes, as well as aging household heads, increased vulnerability of farmers to risks. Most smallholder farmers are dependent on the weather for their farming activities. The crop types cultivated by these farmers are usually staple, for household consumption and for sale (Tanko & Muhsinat, 2014). Mutabazi et al. (2015), note that farmers who perceive climate change to be human induced, tend to significantly reduce losses from climate impacts, thus University of Ghana http://ugspace.ug.edu.gh 22 increase their incomes. Farmers who perceive climate change probably adopt the necessary strategies to safeguard against the effects of the climate and subsequently enhance their productivity (Mutabazi et al., 2015). Smallholder farmers are characterised by low productivity, high poverty levels, poor nutrition, lack of access to certain basic amenities like schools, health facilities, credit facilities and markets among others (Morton, 2007). There is the need to support local capacity building to enable farmers build the necessary capacity (World Bank, 2010) to reduce these vulnerabilities. Reducing rural poverty in SSA forms part of the objectives of the Sustainable Development Goals (SDGs) (AGRA, 2016) and a holistic approach to farming in the face of the changing climate is critical. Agriculture in Africa has the potential to being highly productive in spite of the negative effect of the climate (AGRA, 2016; World Bank, 2010). This potential can only be tapped if smallholder farmers are well equipped to adapt and rapidly respond to the changing climate. Effective adaptation to reduce the negative effects of climate change would require some investments in integrated approaches such as the development and use of irrigation that improves the efficient use of water (Cassman, Grassini, & Van Wart, 2010), improving storage facilities and processing activities. “Making food systems more resilient in the face of increasing climatic variability” (AGRA, 2016) is key to reducing vulnerability and improving the livelihoods of smallholder farmers. 2.3 Climate Change Adaptation, Vulnerability and Capacity Building In studying human-environmental interactions, it is important to understand vulnerability, adaptation and resilience issues (Adger, 2006). This understanding helps to appreciate better what smallholder farmers are faced with and how and who can move to help reduce their burden and improve their livelihoods. It is important that people perceive the risk due to climate and University of Ghana http://ugspace.ug.edu.gh 23 environmental issues they are faced with (Yaro, 2013; Fosu-Mensah et al., 2013; Codjoe & Owusu, 2011). They must also perceive and accept that they are vulnerable, only then would they appreciate or feel the need for mechanisms to be put in place to mediate their vulnerabilities, through building adaptive capacity and resilience (Yaro, 2013). In the following sub-sections, the concepts of vulnerability, adaptation, adaptive capacity, resilience and factors that influences these concepts are discussed. 2.3.1 Vulnerability Vulnerability has been defined in different contexts and means different things in engineering, psychology, anthropology, economics and in human-environment relations. Vulnerability is defined as a state of susceptibility to harm from the exposure to stress (in our case the climate and its changes and variability) and social change from the absence of the capacity to adapt (Adger, 2006). MacCarty et al. (2001), define vulnerability in terms of the degree to which a system is susceptible to climate change and the inability of the system to cope with the adverse effects of climate change, variability, and extremes. The system which is exposed to stress (the climate condition) in this case, is sensitive to the stress but does not have or has not built the necessary capacity to appropriately adapt to the stress. Turner et al. (2003), define vulnerability of a system as the degree to which the system is likely to experience harm due to the exposure to a stress, hazard or disturbance. The key components of vulnerability have been identified as the stress or disturbance that the system is exposed to, the sensitivity of the system to the stress or disturbance and the adaptive capacity and resilience of the system to cope (Adger, 2006; Nelson et al., 2015). Social factors create and to a large extent contribute to vulnerabilities (Adger, 2006; Nelson et al.,2015). Vulnerability applies to issues of climate change, its impacts, and risks (Adger, 2006). Vulnerability cannot be isolated from the wider political economy of resource use and environmental change. Strategies for coping with climate University of Ghana http://ugspace.ug.edu.gh 24 challenges must include components (i.e., the stress or disturbance, the adaptive capacity and resilience of the system or person to cope) for reducing vulnerabilities. 2.3.2 Climate Change Adaptation Climate change adaptation is defined by the United Nations Framework Convention on Climate Change (UNFCCC) as an adjustment in ecological, social and economic systems in response to observed or expected climatic stimuli and their effects or impacts. It refers to changes in processes, practices and structures to moderate potential damages or to benefit from associated opportunities (Biagini et al., 2014). The Intergovernmental Panel on Climate Change (2007), defines adaptation to climate change as the adjustment in natural or human systems in response to actual or expected climatic stimuli and their effects, which moderates harm or exploits beneficiary opportunities (Biagini et al., 2014). The United Nations Development Program UNDP (2005), has also defined climate change adaptation as “a process by which strategies to moderate, cope with and take advantage of the consequences of climatic events are enhanced, developed or implemented” (Biagini et al., 2014). These definitions draw attention to the different expectations from adaptation with regards to outcomes by different stakeholders. According to Burton (2008), climate change adaptation is basically any activity, strategy, tool or approach used in reducing the negative effects of climate change on humanity, biodiversity and society at large and positioning humanity to new opportunities that may be present. Some other schools of thought view adaptation to climate change as an issue of risk management, which can be undertaken by individuals or the state, depending on the measure of risk (Patt &Schroter, 2007). In all of these, what is important is the reduction in vulnerability realised due to the adaptation action undertaken. University of Ghana http://ugspace.ug.edu.gh 25 Adaptation could be anticipatory, that is putting measures in place before impacts or reactive; which happens after impact. Anticipatory adaptation is usually planned, whereas reactive adaptation is spontaneous or unplanned. (Burton, 2008; IPCC, 2007). Adaptation to climate change can involve both the building of adaptive capacity of individuals, groups or organisations to increase their ability to adapt to changes and the implementation of adaptation decisions, that is, transforming capacity into action (Adger et at., 2005). Adaptation is made up of actions throughout society by individuals, groups and governments. Adaptation can be motivated by many factors and this includes but not limited to the protection of economic wellbeing or the improvement of safety (Adger et al., 2005). Burton (1996), classified climate adaptation options into structural, technical, institutional, and market base. Klien (1999), also outlines some climate adaptation options that farmers could use in reducing the negative impacts of climate change. This entails sharing or bearing the loss due to the negative impacts of climate change amongst farmers to lessen the burden, using strategies that would prevent/modify the negative effects to their advantage, change use of resource, change location, research, education and behavioral change. The way each of these strategies is effected can to a large extent be influenced by what resources are available, how efficiently they are being used and to what extent they are effectively used (Lawler et al., 2010; Klien, 1999; Burton, 1996). Policy relevant frameworks used in examining climate change adaptation practices in the context of rural livelihoods and institutions needs to consider the following (Agrawal & Pernin, 2008): i. What the likely increases in environmental risks are due to climate impacts. ii. What the extent of reduction in livelihood opportunities are likely to be. iii. What the stress on existing social institutions would be. University of Ghana http://ugspace.ug.edu.gh 26 The risk climate change poses on rural livelihoods could be classified into four different types: across space, over time, across assets classes and households. Climate change adaptation strategies and coping mechanism in the context of rural livelihoods are equally categorised into four corresponding analytical types: mobility, storage, diversification and communal pooling. Access to markets is another potential adaptation strategy that encourages, specialisation, exchange and diversification (Agrawal & Pernin, 2008). Successful adaptation would therefore result in the reduction of spatial, temporal, asset-related and community level risk either directly or reducing risks by pooling uncorrelated risks associated with flows of livelihood benefits from different sources (Agrawal & Pernin, 2008). Mobility is a response to environmental risks that reduces the potential risk across space. Information on rainfall pattern enhances this adaptation strategy. Storage reduces risks over time, reduces waste as well. Diversification reduces risk across assets owned by households and communities. These adaptation strategies are further discussed in section 2.4 and 2.5 under livelihood strategies and alternative livelihoods as adaptation strategies. 2.3.3 Climate Change Adaptation and Adaptive Capacity Climate change adaptation can be likened development agenda in the sense that, they are strategies employed to reduce vulnerability due to existing climate variability through socio economic development. These socio-economic agendas are geared towards building capacities and capabilities of individuals, households and communities. These built capacities are what is termed adaptive capacity. The adaptive capacity of a system, institution or person is therefore their ability to adjust to an exposure of danger, risk or damage and being able to take advantage of opportunities or respond to the consequences of a risk (IPCC, 2014). Keller & Adger (2000), also define adaptive capacity as the ability of a system to evolve in order to accommodate University of Ghana http://ugspace.ug.edu.gh 27 environmental hazards or policy change as well as expand the range of variability with which it can cope. There are four dimensions to building adaptive capacity. These are: being able to live with change and uncertainties; being able to nurture diversity for resilience; the ability to learn by combining different kinds of knowledge and taking advantage of opportunities that can lead to socio-ecological sustainability (Mclead et. al., 2016). Low adaptive capacity usually manifests as low resilience and people with low adaptive capacity are usually unable to cope with restrictions nor compliance to resource use (Mclead et.al., 2016). Social capital, social networks, institutional arrangements, and governance are influencing factors for building adaptive capacity (Nelson et al., 2015; Mclead et al., 2016; IPCC, 2014). Some schools of thought have measured economic development (GDP per Capita), in terms of adaptive capacity making developing countries seem more vulnerable to climate change (IPCC, 1996). That is the higher your GDP per Capita, the greater your adaptive capacity, given that it is the proper deployment and management of resources that builds adaptive capacity (Ogunsola et al., 2015; Mbow et al., 2014; UNEP, 2006; Remade, 1984). Developing countries are characterized by low GDP per capita compared to developed countries and also lack the institutional capacity for adapting to environmental changes. This assertion could be true, in that, given resources and favourable circumstances, adaptation ultimately could reduce the impact of disturbances. Low GDP implies lower resources available to build the necessary capacity to reduce vulnerability (IPCC, 1996). Communities and countries could however have significant capacity to adapt to climate change and variability issues, using local knowledge and experience (Berkes & Jolly, 2001; Mortimore & University of Ghana http://ugspace.ug.edu.gh 28 Adams, 2001). Using local knowledge and experience may not necessarily be dependent on state resources and in that sense, could be a way for communities and farmer families to build their own adaptive capacities or putting in place the necessary strategies to reduce their vulnerabilities (Yaro, 2013). The capacity to plan, learn and respond to climate stress have been identified as some key factors that enhance adaptive capacity (Mclead et.al., 2016). Other determining factors are the effectiveness and access to institutional support, local knowledge, practice and mechanisms of coping as well as the perception of climate change (Mclead et.al., 2016). Assessing the adaptive capacity of an ecosystem or human community ensures that the right intervention measures are implemented (Mclead et.al., 2016). 2.3.4 Resilience Resilience is defined as the magnitude of disturbance that can be absorbed by a system before it radically changes to a different state and also as the ability to self-organise capacity for adapting to emerging circumstances (Folke, 2006; Carpenter et. al., 2001; Berkes et. al., 2001). Resilience is also used to describe a system’s ability to bounce back to a reference state after a disturbance and the capacity of the system to maintain certain structures and functions even after the disturbances (Mclead et. al., 2016; Adger, 2006; Turner et. al., 2003). Resilience is evaluated in terms of the amount of change that a system can absorb or handle and still remain within a set of natural or desirable state (Turner et. al., 2003). Building capacity through improving skills, technology use and more sustainable use of resources, builds the resilience of farm households (Dalal-Clayton & Sadler, 2014). Resilient households mean there are adequate resources to fall back on in times of need or the ability to find other means of earning income when the weather fails and crop yield fails (Dalal-Clayton & Sadler, 2014). Developers of the Reducing Emissions from Deforestations and Forest Degradation (REDD) project, aimed at reducing carbon emissions from deforestation, for example, recognised the need to ensure University of Ghana http://ugspace.ug.edu.gh 29 that local communities had alternative sources of income before implementing the other aspects of their project by paying them for protecting forests (Dalal-Clayton & Sadler, 2014). Vulnerability, resilience, and adaptation are all interrelated and most importantly, any intervention geared towards reducing vulnerability either through capacity building or resilience improves livelihoods and benefits all the society. Vulnerability and resilience according to Adger (2006), focus on socio-ecological systems, which in totality are the inter linkages between human action, social structures, management of natural resources and its implications to the environment. Building capacity and invariably resilience stems from how well available resources are accessible and utilised to improve the general welfare of the individual or community as a whole. 2.4 Resource Management in Rural Livelihoods 2.4.1 Livelihood Strategies A livelihood is defined as the ability to combine capabilities, assets (material and social resources) and activities to achieve a set outcome (Scoones, 2009). A livelihood is said to be sustainable when it is able to cope with and recover from stress or shock, as well as maintain or enhance its capabilities and assets without undermining the natural environment (Scoones, 2009). Livelihood strategies are actions or measures put in place by humanity to reduce vulnerability, mostly adopted by farmers to manage the impact of climate on their activities and build their capacities towards improving their well - being (Morton, 2007). Diversification is a strategy aimed at reducing risks and increasing options in the face of a hazard or risk (Turner, 2003). Livelihood diversification are therefore strategies that help in spreading risk and reducing the vulnerability of farmers (Morton, 2007). These livelihood strategies for University of Ghana http://ugspace.ug.edu.gh 30 reducing climate risks should be used in an innovative way such that, each farming community could adapt to or mitigate against a disturbance using the resources that are available to them. In the face of the rapid and uncertain changes in rainfall and temperature, farmers especially smallholder farmers due to their characteristics are faced with serious resource management issues. There is, therefore, the need to put in place measures for mitigation, building capacity and resilience by the use of alternative livelihood strategies to reduce climate risk. Changes in climate is known to reduce the carrying capacity of land and livestock production (World Bank, 2013) and hence the need for a plan. The African’s livelihood and agricultural systems is largely dependent on rainfall, thus making the region vulnerable to climate change (FAO, 2010). As declared by the Heads of State and Leaders in Africa during the Malabo Declaration in 2014, there is the need for the transformation of the agricultural system in Africa for developmental purposes as well as to ensure a better life for the African people (AGRA, 2016). Transforming agriculture would require that the capacities of farmers are enhanced, especially the capacities of smallholder farmers since they form the majority of farmers in Africa and are the most vulnerable (AGRA, 2016). Livelihood strategies evolved to reduce vulnerability to climate shocks and to manage the impact of climate risks termed coping strategies (Morton, 2007). Strategies such as the use of bio-diversified crops, allocation of labour across seasons, diversification of economic activities, integrating livestock and crops, improving the storage of food and feed in the case of livestock rearing and late planting of legumes when cereals fail have been identified as alternatives for reducing vulnerabilities against climate change (Morton, 2007). The effectiveness of livelihood strategies may be observed with the end result of alleviation or reduction in the threat of environmental damage or in the changes of the well - being of farmers termed improved livelihood or a change in attitude or behaviour in processes (AGRA, 2016; Morton, 2007). It is important to note that successful intervention may require University of Ghana http://ugspace.ug.edu.gh 31 improving the skills, resources and technology use of farmers, since these are engines through which overall livelihood could be attained. 2.4.2 Provision of Alternative Livelihoods The term alternative livelihoods became very commonly used in the 1980’s when governments, donors and conservation and development agencies sought to discourage people from engaging in environmentally damaging activities but instead using more sustainable and environmentally friendly methods to reduce pressure on the environment which was being depleted very fast (Dalal-Clayton et al., 2014). Alternative Livelihoods are interventions that seek to alleviate human threat to biodiversity through providing and encouraging the use of an alternative resource, an alternative occupation or an alternative method of lower impact of exploitation as found in use now as climate-smart agriculture (CSA), or sustainable intensification (SI) as alternative measures in improving productivity of farmers and invariably improving their livelihoods (AGRA, 2016). Alternative livelihood could therefore also be defined as an activity or a series of activities that promote both conservation and development without degrading the environment (Dalal-Clayton et al., 2014). Another way may be having alternative sources of income in order to reduce pressure on the environment, that is alternative ways of making a living off-farm (Dalal-Clayton et al., 2014). Livelihood focused interventions can be categorised into three broad but overlapping groups; alternative livelihood intervention, compensation, and “incentives” strategies (Dalal-Clayton et al., 2014). The alternative livelihood intervention category is also further grouped into three categories. These are interventions to provide an alternate resource to the one being exploited, an intervention which provides an alternative occupation to reduce pressure on the environment and providing an alternative method for exploiting natural resource. Provision of an Alternative Resource: The first category of provision of alternative livelihood intervention, entails the provision of an alternative resource to the one being University of Ghana http://ugspace.ug.edu.gh 32 exploited. For example, communities are encouraged to farm and eat cane rats instead of hunting for bush meat in West and Central African countries (Bennet et. al., 2007), as a means of conserving fauna as well as the environment since bush meat hunting in most cases ended in bushfires. In Guinea Bissau, an agroforestry strategy was employed to preserve the ecosystem and enhance food security. Farmers in this community were made to replace shifting cultivation with the planting of cashew orchards in response to perceived increasing climate instability (Temudo & Abrantes, 2014). The use of a cash crop, in this case, would increase income and the natural environment would also be improved. Provision of an Alternative Occupation: The second intervention category is the provision of an alternative occupation so as to reduce the need to exploit natural resources for income. A good example is the promotion of butterfly farming as a substitute for expanding agricultural farmlands in Tanzania (Morgan-Brown et al., 2010). Earnings from the butterfly farming served as an alternative income source to improve livelihoods. Farmers perceived a link between butterfly farming and conservation. The primary cause of pressure on natural resources stems from the fact that most rural folks usually smallholder farmers, are poor and lack alternatives (Brown, 2002; Roe et al., 2014). When the capacity of such farmers is built it invariably reduces the pressure they exert on their natural resources. LilieHolm & Weatherly (2010), give an example of wild coffee farmers who changed their marketing strategy from selling wild coffee seeds to processing the seeds before sale, thereby increasing their income. This strategy thus reduced their need to convert more forestland into farmland since their income levels had increased (LilieHolm & Weatherly, 2010). The ultimate way for conservation of the environment and improving livelihoods. Provision of an Alternative Method: This category encourages the use of an alternative method for exploiting a natural resource that has a lower impact. Farmers in Mali and Burkina Faso, for example, have revived an old water harvesting system called Zai adopted (Altieri & University of Ghana http://ugspace.ug.edu.gh 33 Koohafkhan, 2008). This method involves digging 20-30 cm deep pits in “rock - hard barren lands”, into which otherwise water could not penetrate, to collect runoff and fill it with organic manure, which attracts termites into it. These termites dig channels that improve the soil structure and allows water to sip through. These termites in digesting the organic matter also make available nutrients to plants. Millet and sorghum are usually grown in Zai. Farmers use between 9000-18000 per acre and compost of between 5.6-11tonnes per hectare (Reij & Waters-Bayer, 2001). Farmers have used this method to reclaim hundreds of hectares of land in the Yatenga region of Burkina Faso (Altieri & Koohafkhan, 2008). Basic assumptions underlie the use of alternative livelihood strategies; the introduction and use of alternative livelihoods should, in the long run, reduce the desire of smallholder farmers to exploit natural resources (Sieven et al, 2005). It is also assumed that farming communities are homogenous and have common characteristics (Wayne et al, 2013) and therefore the implementation of a strategy at the community level would reach other users of interest. Bene et al. (2009), however, caution that social and political structures could influence access to resources and opportunities at the community level. It is also important to note that the extent to which natural resources are exploited depends largely on the poverty levels of farm households (Kumpel et al, 2010). The poorer the household, the more dependent they would be on natural resource exploitation for survival (Kumpel et al, 2010). The third assumption is that interventions that are aimed at individuals, would automatically spread through the entire population and the desired impact of natural resource conservation is reached (Sieven et al., 2005). University of Ghana http://ugspace.ug.edu.gh 34 2.5 Alternative Livelihood Strategies as Climate Adaptation Strategies for Smallholder Farmers Literature on agricultural development and sustainable livelihoods discuss how agricultural households adopt livelihood strategies as a response to climat