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A Case Study Perspective Lincoln University Digital Thesis Copyright Statement The digital copy of this thesis is protected by the Copyright Act 1994 (New Zealand). This thesis may be consulted by you, provided you comply with the provisions of the Act and the following conditions of use: you will use the copy only for the purposes of research or private study you will recognise the author's right to be identified as the author of the thesis and due acknowledgement will be made to the author where appropriate you will obtain the author's permission before publishing any material from the thesis. Investigating the Livelihoods of Families Operating Small Sugarcane Farms in Jamaica: A Case Study Perspective A thesis submitted in partial fulfilment of the requirements for the Degree of Doctor of Philosophy at Lincoln University by Michael N. Prince Lincoln University 2010 Abstract of a thesis submitted in partial fulfilment of the requirements for the Degree of Doctor of Philosophy. Abstract Investigating the Livelihoods of Families Operating Small Sugarcane Farms in Jamaica: A Case Study Perspective by Michael. N. Prince This research project sets out to gain theoretical insights and develop an understanding of issues relevant to the livelihoods of families operating small sugarcane farms in Jamaica. The study started with the observation that small sugarcane operations in Jamaica were on the verge of collapse. This observation was based on the existing situation together with the fact that the preferential market price Jamaica received from the European Union for sugar would be reduced by 36 per cent in the 2009/2010 marketing year, and that these families would be severely affected. The primary aim was to identify strategies that can inform policy and planning relating to improving the livelihoods of these families in a sustainable manner. The case study strategy was chosen as the appropriate approach for carrying out the research. Two of the seven sugarcane growing regions in Jamaica were selected as case study sites. Philosophically, the study was conducted within the constructivist-interpretive research qualitative paradigm, together with principles drawn from grounded theory. The sustainable livelihoods approach formed the theoretical base and framework of analysis to guide the study. The study showed that two-thirds of the sampled families’ per capita income averaged $2.1 per day. They viewed themselves as poor. Even though sugarcane farming played an important role in the asset and activity dynamics of the families, it was factors other than sugarcane production that were responsible for achieving positive livelihood outcomes. Better off families with a per capita income that averaged $8.8 per day were able to participate in lucrative income generating activities more readily, than members of poor families, due to their higher education status. While formal sector employment characterised the better off families, informal and illegal activities were critical adaptive strategies for most of the poor. ii To improve the livelihoods of these families, evidence from the fieldwork revealed the need to tackle the elements of crime, invest in technical/vocational skill training and microenterprise development with particular attention given to non-sugarcane crops to provide an incentive and to boost on-farm earnings. Keywords: Livelihoods, Jamaica, families, small sugarcane farms, case study. iii Acknowledgements I would like to extend my gratitude and appreceiation to my supervisor, Professor Keith Woodford, and my associate supervisor, Professor Bruce McKenzie for their continuous support and encouragement in completing this thesis. Special thanks are due to Professor Keith Woodford for his patience, astute advice and thoughtful criticism given to me thorouhout the course of this project. Particular thanks go to the Commonwealth and New Zealand Agency for International Development Scholarship Programme for financing this research and providing other assistance during this study. Thanks are also extended to my partner Marlene and my son Joseph for their understanding, patience, resilience, encouragement, care and support of me throughout this time. I am very grateful to my dad, sisters, brothers, nieces, nephews and friends for their useful support, encouragement and advice at different stages of the project. Finally I extend sincere thanks for the cooperation of the families for interview, members of the community group discussions, the chairman of the All Island Jamaica Cane Farmers Association, the head of the Sugar Transformation Unit in the Jamaica Ministry of Agriculture, Professor Patricia Anderson of the University of the West Indies and the extension officers, together with a great number of people whose contribution have help me complete this research. iv Table of Contents Abstract ..................................................................................................................................... ii Acknowledgements .................................................................................................................. iv Table of Contents ...................................................................................................................... v List of Tables .......................................................................................................................... viii List of Figures .......................................................................................................................... ix List of Abbreviations ................................................................................................................ x Chapter 1 Introduction ............................................................................................................ 1 1.1 Background 1 1.2 Jamaica 1 1.3 The Jamaican Sugar Industry 2 1.4 Problem Statement and Rationale 2 1.5 Research Aim, Objectives, and Questions 3 1.6 The Research Scope 4 1.7 Thesis Structure 5 Chapter 2 Jamaica and Agriculture in Jamaica .................................................................... 8 2.1 Introduction 8 2.2 Jamaica 8 2.2.1 A Short History of Jamaica 9 2.2.2 The Physical Geography and the Environment 10 2.2.3 The Macro Economic Environment 16 2.2.4 The Socio-economic Environment 23 2.3 Agriculture in Jamaica 32 2.4 Conclusion 41 Chapter 3 The World Sugar Market and the Competitiveness of the Jamaica Sugar Industry ................................................................................................................................... 43 3.1 Introduction 43 3.2 The World Sugar Market 43 3.2.1 Alternative Sweetener Situation 44 3.2.2 Sugar Production 45 3.2.3 Sugar Consumption 47 3.2.4 Sugar Imports 48 3.2.5 Sugar Exports 49 3.2.6 Sugar Pricing 50 3.3 Government and Sugar Policy Reform 51 3.3.1 WTO/ Uruguay and the Doha Rounds Agreements on Agriculture 51 3.3.2 The Impact of Sugar Policy on Marketing 52 3.4 Competitiveness of the JSI 53 3.4.1 The Porter’s Diamond Framework 54 3.4.2 Origin of Competitive Advantage 57 3.4.3 Critiques of the Porter’s Diamond Framework 59 3.4.4 Investigating the Competitiveness of the JSI 61 3.5 Conclusion 76 Chapter 4 The Sustainable Livelihoods Approach .............................................................. 77 4.1 Introduction 77 4.2 Development of the SLA 78 v 4.2.1 Pioneers of the SLA 80 4.2.2 Definition of Sustainable Livelihoods 80 4.3 The SLA 81 4.3.1 The SLA Principles 82 4.3.2 The Sustainable Livelihood Framework 83 4.4 Comparing Sustainable Livelihoods Frameworks 89 4.5 Criticisms of the SLA 92 4.6 Conclusion 95 Chapter 5 The Research Methodology and Strategy .......................................................... 97 5.1 Introduction 97 5.2 Selection of Paradigm and Methodology 97 5.3 The Methodology 98 5.3.1 The Constructive/Interpretive Approach 98 5.3.2 Grounded Theory 99 5.4 The Case Study Strategy 101 5.5 The Case Study Design 102 5.5.1 Unit of Analysis 103 5.5.2 Theoretical Sensitivity 104 5.5.3 The Case Study Protocol 105 5.5.3.1 Fieldwork Activities and Data Collection Methods 105 5.5.3.2 Data Interpretation and Analysis 111 5.5.3.3 The Case Study Report 113 Chapter 6 An Integrated Review of Data Interpretation and Analysis .......................... 114 6.1 Introduction 114 6.2 Background of the Study Sites 115 6.2.1 Clarendon - Geography and Natural Setting 115 6.2.2 Trelawny - Geography and Natural Setting 118 6.3 Sugarcane Production and Management of the Sample Families 127 6.3.1 Land Use and Tenure 127 6.3.2 Sugarcane Production 128 6.4 The Livelihood System of the Sample Families 134 6.4.1 Livelihood Assets 134 6.4.1.1 Human Capital 135 6.4.1.2 Financial Capital 137 6.4.1.3 Physical Capital 139 6.4.1.4 Natural Capital 141 6.4.1.5 Social Capital 142 6.4.2 Transforming Structures and Processes 143 6.4.3 Livelihood Strategies 146 6.4.4 Livelihood Outcomes 153 6.4.5 The Vulnerability Context 156 6.5 Conclusion 158 Chapter 7 Livelihoods Studies – A Review of Literature ................................................. 160 7.1 Introduction 160 7.2 The Discourse of Livelihood Studies 160 7.3 Livelihood Strategies and the Interlocking Nature of the Components of Livelihoods 161 7.3.1 Agricultural Intensification and Extensification 163 7.3.2 Livelihood Diversification 168 7.3.3 Migration 174 7.4 Livelihood Assets and Livelihood outcomes 177 vi 7.5 Transforming Structures and Processes (Policy Institution and Process) and Livelihood Outcomes 179 7.6 The Vulnerability Context 182 7.7 Poverty Reduction Strategies in Jamaica
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