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The Pennsylvania State University The Pennsylvania State University The Graduate School College of Agricultural Sciences SEED AID, SMALLHOLDERS, AND THE DEVELOPMENTAL STATE: A MIXED METHODS ANALYSIS OF EMERGENCY RELIEF PROGRAMS IN ETHIOPIA A Dissertation in Rural Sociology & International Agriculture and Development by Christian R. Man © 2018 Christian R. Man Submitted in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy December 2018 The dissertation of Christian R. Man was reviewed and approved* by the following: Leland Glenna Professor of Rural Sociology and Science, Technology, and Society Dissertation Adviser Chair of Committee Brian Thiede Assistant Professor of Rural Sociology, Sociology, and Demography Carolyn Sachs Professor Emerita of Rural Sociology Karl Zimmerer Professor of Environment and Society Department of Geography Kathryn J. Brasier Professor of Rural Sociology Director of Graduate Studies in Rural Sociology *Signatures are on file in the Graduate School. ii ABSTRACT In 2015, El Niño induced the worst drought Ethiopia had seen in fifty years. The resulting crop failures left as many as eighteen million people in need of aid, with one-third of the country’s woredas classified as facing dire food insecurity. Tens of millions of dollars in foreign aid poured into the country in response. A portion of this aid was given as seed to smallholders. Drawing on quantitative and qualitative data collected with farmers in four regions of Ethiopia in 2016 following the aid distributions, this dissertation analyzes how the Ethiopian state and Ethiopian smallholders respectively utilize seed aid. I suggest these utilization strategies coincide, that they serve different ends, and that, together, they illustrate the complex effects of emergency response. iii TABLE OF CONTENTS List of Tables ............................................................................................................................. vi List of Figures ............................................................................................................................ vii Acronyms ................................................................................................................................... viii Acknowledgements .................................................................................................................... ix Dedication .................................................................................................................................. x Chapter 1. INTRODUCTION ................................................................................................... 1 Purpose Statement .......................................................................................................... 2 Structure and Approach ................................................................................................. 3 Chapter 2. LITERATURE REVIEW ......................................................................................... 6 Overview ........................................................................................................................ 6 Farmer Seed Security ..................................................................................................... 6 Complex Emergencies, Aid, and Rural Development in Ethiopia ................................ 23 Towards a Theory of Seed Aid ...................................................................................... 28 Chapter Summary .......................................................................................................... 36 Chapter 3. RESEARCH DESIGN ............................................................................................ 38 Overview ........................................................................................................................ 38 Background and Setting ................................................................................................. 38 Methodology .................................................................................................................. 42 Chapter Summary .......................................................................................................... 53 Chapter 4. HOW SEED AID PROGRAMS WORK ................................................................. 54 Overview ........................................................................................................................ 54 Planning ......................................................................................................................... 54 Implementation .............................................................................................................. 64 Evaluation ...................................................................................................................... 68 Limitations ..................................................................................................................... 72 Chapter Summary .......................................................................................................... 73 Chapter 5. HOW SMALLHOLDERS USE SEED AID ............................................................ 74 Overview ........................................................................................................................ 74 Uses of Seed Aid ............................................................................................................ 76 Seed Aid and Household Sowing .................................................................................. 87 Seed Aid and New Seed Varieties ................................................................................. 100 Farmers’ Appraisals of Seed Aid ................................................................................... 103 Discussion ...................................................................................................................... 107 Chapter Summary .......................................................................................................... 109 Chapter 6. HOW THE STATE USES SEED AID .................................................................... 111 Overview ....................................................................................................................... 111 Surveillance.................................................................................................................... 111 Conditionality ................................................................................................................ 116 iv Selectivity ...................................................................................................................... 121 Discussion ...................................................................................................................... 125 Chapter Summary .......................................................................................................... 134 Chapter 7. CONCLUSION ........................................................................................................ 135 Overview ........................................................................................................................ 135 Principal Findings .......................................................................................................... 135 Research Recommendations .......................................................................................... 141 Practical Recommendations ........................................................................................... 143 References .................................................................................................................................. 147 Appendix A: ESAR Survey Instrument ..................................................................................... 162 Appendix B: ESAR Survey Instrument Appendix .................................................................... 170 Appendix C: Community Meeting Instrument .......................................................................... 172 Appendix D: Reasons Farmers Gave for Planting Less or More Than Normal ........................ 175 Appendix E: Differences in Seed Aid Use by Gender of Household Head ............................... 177 Appendix F: Differences in Seed Aid Uses by Age of Household Head .................................. 178 Appendix G: Differences in Seed Aid Uses by Land Area Cultivated ...................................... 179 Appendix H: Differences in Proportion of Seed Sown Derived from Seed Aid by Gender of Household Head ........................................................................................................ 180 Appendix I: Differences in Proportion of Seed Sown Derived from Seed Aid by Age of Household Head ............................................................................................................. 181 v LIST OF TABLES Table 2.1: Comparing Formal and Informal Seed Systems ....................................................... 8 Table 2.2: Aims of the Seed System Security Assessment (SSSA) .......................................... 13 Table 2.3: Typology of Current Seed System Interventions ...................................................... 17 Table 3.1: Kebeles Sampled by Woreda .................................................................................... 47 Table 3.2: Demographic Summary of ESAR Sample ..............................................................
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