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Available online 9 August 2014 Climate change represents one of the biggest threats to agriculture today. The aim of this
paper is to analyze the decision and intensity of adaptation to this phenomenon among
Keywords: farmers in Central Chile and to identify the factors that influence the adoption of
Climate change adaptation measures. The list of adaptation practices was created with the assistance
Adaptation practices of a panel of experts. A two-part hurdle model was used to identify the adoption and
Farm practices intensity of adoption. The decision to adapt is strongly influenced by land tenure
Agricultural systems security and access to weather information, which increase the probability of adaptation
Hurdle model by 13% and 30%, respectively. The intensity of adaptation is highly influenced by
Chile affiliation to a farm organization or association, which tends to boost intensity by
72.2%. Land tenure also increases intensity by 44.5%. Years of experience in agriculture
and the income obtained from crops in the previous season also have a positive impact.
Empirical results reveal that the most effective way to reduce barriers to adaptation is to
improve access to information, while a highly relevant mode to increase the intensity of
adaptation is to encourage social networking.
# 2014 Elsevier Ltd. All rights reserved.
Environment, 2011). Approximately half of the area in Di Falco et al., 2011; Sofoluwe et al., 2011; Tambo and Abdoulaye,
continental Chile (51.6 million ha) is used for agriculture 2012). Practices in the second group can be divided in three main
or forestry (ODEPA, 2013) and in the last three decades there categories: water and soil conservation practices; changes in
has been a shift in land use toward specialized export crops; and improvement in irrigation systems (Bryan et al., 2009;
oriented crops with increasing reliance on purchased inputs Deressa et al., 2009; Gbetibouo, 2009). As expected, adaptation
(Bengoa, 2013). Despite these changes, various challenges practices vary locally depending on particular agro-ecological
remain that constrain agricultural development and sus- and socio-economic conditions (Gbetibouo, 2009; Deressa et al.,
tainability. For example, recent results reveal a low level of 2009; Di Falco et al., 2011).
adoption of water and soil conservation practices (Jara-Rojas The literature suggests that even though alternative
et al., 2012; Roco et al., 2012) and limited access to financial adaptation strategies are available in different locations,
capital (Reyes and Lensink, 2011), leaving the sector various types of barriers reduce or even prevent adaptation.
vulnerable to climate change. The 2001 and 2007 IPCC reports noted significant financial,
All global circulation models predict a more arid future for cultural and policy barriers. From the financial point of view,
the country (IPCC, 2007, 2014; AGRIMED, 2008). This prediction recent studies in Africa show that farm size, used as a proxy
is especially important in the Central zone, since it constitutes for capital, could be an important barrier as this variable has
approximately half of the arable land in the country (ODEPA, exhibited a positive and significant association with the
2013) and it is expected to experience a decrease in precipita- adoption of climate change adaptation practices (Gbetibouo,
tion of up to 40% and a rise in temperatures between 2 and 4 8C 2009; Di Falco et al., 2011). Likewise, another relevant barrier to
in the next 40 years (Chilean Ministry of Agriculture, 2012). adapt could be low access to credit as pointed out by Bryan
These projections highlight the importance of understanding et al. (2009), Sofoluwe et al. (2011), Di Falco et al. (2011) and Piya
not only the dynamics of climate change in the country, but et al. (2012). Below et al. (2012) and Silvestri et al. (2012) claim
also the subtleties of human adaptation. that a low level of education also decreases the chances of
The rest of the paper is organized as follows: Section 2 gives adaptation to climate change. In addition, land tenure
an overview of the recent literature on climate change insecurity can have a negative effect on the decision to adapt
adaptation in agricultural systems; Section 3 contains a to climate change, as reported by Yegbemey et al. (2013) in
description of the data used in the study, the methodological their analysis of maize farmers in Benin.
framework, and the model selected; Section 4 presents and However, public policies may accelerate the speed of
discusses the empirical results; Section 5 describes the policy adaptation. For example, extension services and training can
implications, summarizes and concludes. have a positive effect on adoption of climate change
adaptation practices (Bryan et al., 2009; Di Falco et al., 2011;
Silvestri et al., 2012). Therefore, as the public sector
2. An overview of the recent literature encourages the development of appropriate extension and
training programs, the capacity of the agricultural sector to
Adaptability is the capacity of actors to manage change and is adapt to current climatic change rises. The flow of relevant
considered mainly a social phenomenon (Walker et al., 2004). information may also facilitate adaptation. Research shows
Adaptation is also the response or the ability of economic that access to climatic information has a positive effect on the
agents and societies to remain functional under mayor shocks decision to adopt practices to cope with climate change. In
such as climate change on the basis of extra efforts (Zilberman Ethiopia, Di Falco et al. (2011) argue that such information had
et al., 2012; Rose, 2007). In agriculture, adaptation will imply a positive connection with the decision to use adapted crop
pushing the production frontier outward (Rose, 2007), which varieties, soil and water conservation practices, and tree
results in modifying prevailing practices to cope with growing planting. Recent findings by Bryan et al. (2013) highlight the
climatic variability. Although adaptation has been persistent effect of the use of weather forecasts on adaptation. Similarly,
over the centuries, the occurrence of extreme events, such as Piya et al. (2012) confirm that climate information is relevant
droughts, floods and frosts, has become more prevalent for the adoption of soil conservation practices, diversification
making adaptation an essential feature in current agricultural measures, varietal selection, water accumulation, and
systems (Clements et al., 2011). changing planting times in Nepal. A recent study carried
As recognized by Zilberman et al. (2012), adaptation can be out in Nigeria by Tambo and Abdoulaye (2012) notes that the
defined as changes in the private and public decision making decision to adopt a new variety of maize is positively
process in resource allocation; therefore, we can expect that correlated with climate change awareness.
adaptation strategies will include public and private actions. As already stated, the role of policy makers in aiding the
According to Brechet et al. (2013), some adaptation measures adaptation process could be relevant to generate effective long-
have public good characteristics while others are motivated by term and location-specific adaptation strategies (Manandhar
the self-interest of individual economic agents. In the first et al., 2011). Several authors argue that policy makers need to
group we can cite public investment in irrigation infrastruc- have a good understanding of local conditions as well as local
ture, and the breeding of drought, heat-tolerant and early adaptive strategies and capacities before they can promote
maturing plant varieties (Deressa et al., 2009). The second technologies to help farmers (Wang et al., 2013; Osbahr et al.,
group includes the adoption by individual farmers of practices 2011; Deressa et al., 2009; Mertz et al., 2009). The preceding
such as increased irrigation, crop diversification, tree planting, review of literature reveals that most of the adaptation
and soil and water conservation measures, among others studies have been done in Africa; therefore, little is known
(Hageback et al., 2005; Gbetibouo, 2009; Manandhar et al., 2011; about this phenomenon in South America.
88 environmental science & policy 44 (2014) 8696
Acknowledging the relevance of promoting an effective detailed analysis compared to what is available in the
adaptation to climate change in the agricultural sector, the literature reviewed earlier (e.g., Gbetibouo, 2009; Deressa
Chilean Ministry of Agriculture (MINAGRI) prepared a et al., 2009; Sofoluwe et al., 2011; Silvestri et al., 2012).
program for the next 20 years called Plan for Climate Change
Adaptation in the Agricultural Sector. This plan includes 3.1. Study area and survey
the following key strategies: improving management of
water resources (planning and building reservoirs, develop- The area studied includes four locations in the Maule Region in
ing organizations to improve water management, and Central Chile: Pencahue, San Clemente, Cauquenes, and
increasing irrigation efficiency); reinforcing breeding Parral. IPCC models predict significant drying and warming
programs to generate crops adapted to more extreme in these locations (Falvey and Garreaud, 2009; FIA, 2010; IPCC,
climate conditions; and generating training systems for the 2014). The Maule region is part of the Mediterranean transition
implementation of new technologies (Chilean Ministry of area, and the prevailing agricultural activities focus on fruit
Agriculture, 2012). The strategies also include the improve- and vineyard production, along with annual crops and
ment of the national meteorological network, monitoring of livestock. The area under study (Fig. 1) presents climatic
potential agricultural productivity, and adequate insurance and agro-ecological heterogeneity; Pencahue and Cauquenes
and credit programs for farmers. The strategies at the farm are dryland areas, San Clemente has considerable irrigated
level are intended to promote irrigation efficiency, water land near the Andes Mountains, and Parral is located in the
accumulation, and incentives for soil conservation; changes central irrigated valley. According to the last agricultural
in planting schedules; and the use of renewable energy. Our census, there are about 9000 farms in the four municipalities
study deals with several of these strategies and thus (INE, 2010). In Pencahue, the main crops are spring vegetables,
contributes to the discussion and implementation of the while in Cauquenes, because of more restrictive growing
program envisioned by the MINAGRI. conditions and a lack of irrigation, the main crops are wheat
and oats. In San Clemente, maize, beans and potatoes are the
most prevalent crops, while in Parral, a relatively flat area,
3. Data and methods wheat, rice and oats are predominant. The main agricultural
systems are described in Table 1.
A survey of farmers in Central Chile was implemented to elicit The data used in the analysis were obtained through a
information about their use of various practices recom- survey applied in 2011 to a sample of 274 farmers (3% of the
mended by a panel of experts as relevant in adapting to total farmers in the study area) proportionally distributed
climate change. The adaptation analysis was modeled as a according to the number of farms in each municipality.
two-step decision-making: (1) the decision to adapt; and (2) the Farmers were randomly selected from lists obtained from
intensity of adaptation. Therefore, our approach distinguishes water communities and government agricultural services in
between the drivers of the decision on the one hand and the each area. The farmers contained in the list were numbered
factors affecting the degree of adaptation among farmers on sequentially and the selection was made by using the random
the other. This approach permits a more comprehensive and number generator in Excel.
Table 1 General information and main crops for the study area.
Municipality Zone Surveys applied Main cropping systems (%a)
The size of farms selected for the study varies from small and public sectors to evaluate the expected impact of each
(1 ha) to large (900 ha). The target population for the study was of the practices as a measure of adaptation, as well as their
growers of annual crops, which makes the farmers in the relevance to Central Chile. Of the 18 panelists contacted, 14
sample comparable in terms of potential benefits from answered a survey that was sent to them by They were
adaptation practices. The survey included three sections asked to evaluate the impact of each practice in a scale from
designed to capture the socioeconomic characteristics of 0 to 3, where 0 is no impact, 1 is low, 2 is medium and 3 is
farmers, their farming systems and productivity, and their high impact. Therefore, the maximum possible score that
adaptations to climate change. A preliminary version of the each of the 15 practices can have in terms of impact for
instrument was tested and revised in June 2011, allowing us to climate change adaptation at the farm level is 42 points
make corrections and simplify some sections. The final (3 14) equivalent to 100%. Beyond the 15 practices, the
version was applied in the field from August to November experts were able to include and evaluate additional
of the same year. practices deemed relevant by them. The frequency of
The motivation of farmers to adopt new technologies can adaptation practices generated from the survey applied to
vary, which poses a challenge to researchers in identifying producers was then compared to the evaluations provided
responses to climate change from other drivers of change by the panel.
such as innovation, prices, and policies (Gbetibouo, 2009).
Keeping this issue in mind, the question Have you made 3.3. Model estimation for climatic change adaptation
adjustments in your farm to cope with changes in climate?
was used in this study as a filter to determine the Zilberman et al. (2012) argue that adaptation at the
motivation of the adopted practices. The implementation micro-level may include selection among discrete strategies
of a given adaptation practice was registered only when the such as adoption of technologies, and changes in input
farmers primary motivation was climatic change and use with traditional technologies and, in extreme cases,
variability. migration to other areas. The adoption of multiple technolo-
gies in agricultural systems is often modeled as a one-step
3.2. Practices considered for climatic change adaptation decision (Rahm and Huffmann, 1984; Boyd et al., 2011; Engler
and Toledo, 2010; Bryan et al., 2009; Davey and Furtan, 2008;
In general, management practices that increase agricultural Batte, 2005; Wossink and van Wenum, 2003). By contrast,
productivity and reduce production risk also contribute to we tested a modeling approach based on a two-step
climate change adaptation, because they increase resilience decision process. The first step is whether or not to adopt,
and reduce yield variability (Bryan et al., 2011). A total of 15 and the second is how much to adopt. These two decisions
practices were extracted from the literature and grouped into can be modeled jointly or separately and different
the following three main categories based on previous studies variables can be incorporated in each part of the model
as presented in Table 2 (Bryan et al., 2009; Deressa et al., 2009; (Mullahy, 1986; Gebremedhin and Swinton, 2003; Tambo and
Gbetibouo, 2009): Abdoulaye, 2012). The hurdle model proposed first by Cragg
(1971) addresses the two-stage process by implementing the
1. Water and soil conservation practices (WSC): techniques to joint estimation of two equations. The first equation is a
improve water use and soil conservation. binary probability model that captures the adaptation
2. Changes in crops (C): changes in cropping schedules and decision (Yes/No) and constitutes the first hurdle. The
the use of varieties more resistant to drought and high second equation is a truncated count distribution model
temperatures. that incorporates only the observations with a positive
3. Improvement of irrigation systems (I): actions taken to outcome (second hurdle) (Greene, 2008; Cameron and
make irrigation systems more efficient. Trivedi, 2010). In our model, the first equation is a logit
regression and the second is a zero-truncated count regres-
We then invited a panel of 18 national experts in sion. Based on Tambo and Abdoulaye (2012), the combined
agricultural systems and climate change from the academic model is expressed as:
90 environmental science & policy 44 (2014) 8696
Table 2 Climatic change adaptation practices recommended by a panel of experts and adopted by farmers.
Practice Typea Panel of experts (n = 14) Farmers (n = 274)
)
a w0i a ei
First hurdle likelihood values of the two models to determine if they are
ai 1 if ai > 0 and 0 if ai 0
significantly different from each other using the formula:
Yes=No decision (1)
l 2LC LL LCT (3)
9
y x0i b mi =
yi yi
if yi > 0 and ai > 0 Second hurdle intensity where LC, LL, and LCT are the log-likelihood function values for
; the count, logit, and truncated count models, respectively. The
yi 0 otherwise
(2) LR statistic value (l) has a Chi-square distribution with degrees
of freedom equivalent to the number of explanatory variables.
where ai is a latent variable that describes the decision to The variables in the specification of the empirical model
adopt, ai is the observed adaptation decision and takes the and its descriptive statistics are presented in Table 3 and were
value of 1 if the farmer adopts at least one practice and 0 chosen based on the related literature (Bryan et al., 2009;
otherwise; yi is a latent variable related to the intensity of Gbetibouo, 2009; Sofoluwe et al., 2011; Di Falco et al., 2011;
adaptation and yi is the observed intensity of adaptation Tambo and Abdoulaye, 2012) and the particular variables of
measured as the number of adopted practices; w and x are interest for this study. The socio-demographic variables
vectors of explanatory variables for decision and intensity; a include: age; educational level; years of experience in
and b are vectors of parameters to be estimated; and ei and mi agriculture; membership in an association; and access to
are error terms. According to the theory of utility maximiza- weather information via mass media and the Internet. The
tion, the ith farmer adopts a new technology only if the farm production variables are: income from crops in the
expected utility (in this case the latent variable) is greater than previous season; land tenure security; and binary variables for
the utility associated with the current technology (Boyd et al., the most important crop(s) (wheat and oats, spring crops,
2011; Engler and Toledo, 2010; Davey and Furtan, 2008; Batte, spring vegetables, rice, other). The crop classification is based
2005; Rahm and Huffmann, 1984). Since the parameters a and on the prevailing farming systems as well as on differences in
b do not have a direct interpretation, it is customary to com- crop management. The farm location is also included to
pute the marginal effects at the mean of each variable (Greene, control for factors specific to each municipality.
2008).
To determine if the hurdle model is preferable for the
available data compared to the estimation of a one-stage 4. Results and discussion
count model (Poisson or negative binomial), a likelihood ratio
(LR) test is applied to verify if adoption/intensity is a one or a 4.1. Importance of adaptation practices
two-step decision (Tambo and Abdoulaye, 2012). The null
hypothesis is that the count model is superior to the hurdle The evaluation made by the panel of experts, applying a scale
model. According to Wooldridge (2002), the test compares the from 0 (no impact) to 100% (maximum impact) leads to a rating
environmental science & policy 44 (2014) 8696 91
above 42.5% for all 15 practices considered. This suggests that those that require the lowest investment. The practices that
all practices included were deemed suitable adaptation the experts consider to have the greatest potential benefit
options in Central Chile (see Table 2). In the category of water have low adoption rates among farmers. For instance, fewer
and soil conservation, the most relevant practices are: than 12.0% use drip irrigation or sprinklers and less than 0.7%
forestation of bare soil (76.2%); the use of zero tillage use improved varieties resistant to drought and high tem-
(69.0%); and the use of green manures (66.0%). In terms of peratures. The latter finding is consistent with the current lack
crop improvement, the most important practice is the use of of resistant varieties in the domestic market (Lobos et al., 2014;
varieties with greater resistance to drought (85.7%) and heat Araus et al., 2008).
(80.9%). For irrigation, an important practice is the incorpo- Our results are consistent with the measures that have
ration of drip and sprinkler systems (83.3%). These results been prioritized by the MINAGRIs Climate Change Adaptation
suggest that research and incentives for adaptation to climatic Plan, especially for farm-level practices, given that a signifi-
change should be focused primarily on the use of improved cant number of farmers (43.1%) have not yet adopted any of
crops and on the promotion of efficient irrigation systems. the 15 practices. Fig. 2 shows that only a small fraction has
Table 2 shows a sharp divergence between the practices adopted more than three or four practices.
adopted by farmers and those most recommended by the Many farmers in Central Chile will need to incorporate
panel of experts. The practices most frequently adopted by water-conserving practices in the near to midterm. At the
farmers are: changes in planting and harvesting dates (40.1%); national level, INDAP (National Agency for Agricultural
cleaning of canals (21.9%); the use of hoses and pumps for Development) is implementing an irrigation program for
irrigation (18.9%); the implementation of water accumulation small-scale producers, with a budget of approximately US
systems (13.8%); and the use of green manure (12.0%). It can be $22 million per year. The main objective of this program is to
seen that the most widely used practiceschanges in planting promote productivity growth and the competitiveness of these
and harvesting dates and the cleaning of canalsare the ones farmers by bringing new areas under irrigation and the
that require the lowest level of investment. This finding is development and adoption of water conservation technolo-
consistent with Jara-Rojas et al. (2012) who reported that the gies. According to our results, despite the importance of
water conservation techniques most frequently adopted are irrigation improvements as an adaptation mechanism, the
92 environmental science & policy 44 (2014) 8696
found that age is relevant in the decision to adopt drought- There was no evidence of a clear effect of the main crop on
tolerant maize in Nigeria. According to Zilberman et al. (2012), the adaptation decision; however, the main crop has an effect
younger producers are more likely to adopt technologies on intensity. Producers of spring crops (maize, beans, and
because they have lower cognitive cost and they operate with potatoes), tobacco and cabbage are more likely to adopt a
a longer planning horizon. larger number of practices than grain producers. It is
Future plans for adaptation should consider not only the important to note that spring crops are intensive production
improvement of meteorological networks but also access to activities and often involve modern irrigation systems and
information. Our results show that access to weather have higher economic margins, while grains (rice, wheat, and
information through mass media (press, radio, and television) oats) tend to be cultivated with more traditional technologies
has a marginal effect of 21.1%, while access to weather (Garcia and Ruiz, 2010).
information from the Internet increases the likelihood of In terms of location, the model indicates that farmers in
adopting technologies to cope with climate change by 30.2%. San Clemente are the least likely to adopt practices to cope
Vermeulen et al. (2012) argue that improving climate infor- with climate change. Relative to San Clemente, the probability
mation services is one of the most effective ways to reduce of adaptation in Pencahue is 20% higher; in Cauquenes 25.8%
agricultural risk associated with climate change and variabili- higher; and in Parral it is 31.8% higher. On the other hand,
ty. However, the parameters for these variables are not intensity is higher in San Clemente compared to Parral or
significant in the intensity of adoption equation, which Cauquenes, and lower than Pencahue. The drivers that define
suggests that although access to information influences the the decision to adapt and the intensity of adoption are possibly
decision to adopt; such access does not affect the number of the reason for these mixed results. Pencahue is the munici-
adopted practices. pality closest to the regional capital, and producers have easier
Agricultural experience, measured by years of farming, access to information and state programs, which could be
shows a positive association with the number of practices driving the decision to adapt. The lower intensity of adapta-
implemented, a result that is consistent with the findings of tion in San Clemente could be explained by the fact that
Gbetibouo (2009). Crop income also has a positive and production conditions are most favorable in terms of soil
significant effect. Deressa et al. (2009) and Silvestri et al. quality in this location compared to the other three included
(2012) report similar results and note that farm income has a in the study. Simelton et al. (2009) claim that investments in
positive and significant effect on climate change adaptation in rural areas generally correlate with reduced vulnerability
rural communities in Ethiopia and agro-pastoral communities where good harvests are more sensitive to droughts.
in Kenya, respectively. Hence, wealthier households are more Table 4 contrasts the robustness of the hurdle model, the
likely to adapt to climate change and consequently to one that is selected for the analysis, versus the negative
implement more practices at the farm level. binomial. Variables such as age, access to meteorological
As expected, land tenure security represents an impor- information from the Internet, and land tenure show a similar
tant and strategic consideration for investment decisions at behavior in both models. The hurdle model revealed the
the farm level, increasing the probability of a positive importance of variables related to the use of weather
decision for adoption by 13.4%. This latter result is information from mass media and to location on the
compatible with the analysis of Yegbemey et al. (2013) adaptation decision, and the relevance of agricultural experi-
who claim that institutional arrangements and land rights ence and income, social capital, crops and location for the
are important for climate change adaptation. This result is intensity of adoption. Our results are consistent with those
also consistent with Dulal et al. (2011), who argue that land reported in previous studies for other parts of the world,
tenure is an important driver for adoption of greenhouse primarily Africa (Bryan et al., 2013; Tambo and Abdoulaye,
gasoffsetting agricultural systems, especially for poor 2012; Silvestri et al., 2012 among others). A novelty, however, is
smallholder farmers. Similarly, Toni and Holanda (2008) that such converging findings have been generated here using
find that land tenure security positively influences the a different methodological framework than the one typically
decision to adopt practices to reduce vulnerability to used; namely, we separate the dichotomous adaptation
droughts. In our model, land security also has a positive decision from its intensity. Hence, our analysis provides a
effect on the number of practices implemented, increasing richer understanding of producer behavior.
the probability by 44.5%. This finding concurs with the The panel of experts recommends that irrigation
conclusion of Hisali et al. (2011) that owners are more likely enhancements be prioritized, while the MINAGRIs Climate
to implement longer-term investments than non-owners. Change Adaptation Plan (2012) contends that improvements
We find that participation in farmer associations has no in irrigation systems and water accumulation should be
effect on the decision to adapt, but it is highly significant and targeted to rainfed zones, where water is more constraining.
positive with respect to the number of adopted practices. This However, according to Stamp and Viser (2012), to achieve
is consistent with the conclusion of Knowler and Bradshaw global food security by 2050, productivity in primary
(2007) that social capital is a reliable factor in explaining the production must rise by 80% and they argue that the
adoption of water and soil conservation practices. In addition, availability and adoption of improved drought-resistant
we are able to ascertain that the effect of social capital is more seed varieties is critical in achieving that goal. Thus,
relevant in the intensity than in the decision to adapt. Below plant-breeding programs and irrigation policy are two
et al. (2012) claim that membership of one or more family key areas that need steady research and extension funding
members in an agricultural social group can be an important so as to help farmers in preparing for the changing
factor in climate change adaptation among farmers. conditions that lie ahead.
94 environmental science & policy 44 (2014) 8696
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