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The Role of Smallholder Farmers in the Import Substitution and Industrialization of Ethiopia: the Case of Malt Barley Producers in Arsi and Bale Areas, Ethiopia

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The Role of Smallholder Farmers in the Import Substitution and Industrialization of Ethiopia: the Case of Malt Barley Producers in Arsi and Bale Areas, Ethiopia Indira Gandhi National Open University School of Continuing Education Department of Rural Development The Role of Smallholder Farmers in the Import Substitution and Industrialization of Ethiopia: The Case of Malt Barley Producers in Arsi and Bale Areas, Ethiopia Submitted to: Indira Gandhi National Open University (IGNOU) St. Mary's University (SMU), Addis Ababa, Ethiopia By; Tarekegn Garomsa Enrolment No: 109100733 Tel: +251 913 289151 E-mail: [email protected] November, 2016 Addis Ababa, Ethiopia 1 | P a g e Declaration I hereby declare that the dissertation entitled " The Role of Smallholder Farmers to the Import Substitution and Industrialization of Ethiopia: The Case of Malt Barley Producers in Arsi and Bale Areas, Ethiopia", submitted by me for the partial fulfillment of MA degree in Rural Development to Indira Gandhi National Open University (IGNOU), New Delhi, is my own original work and has not been submitted earlier either to IGNOU or any other institutions for the fulfillment of any course of study. I also declare that no chapter of this manuscript in whole or part is lifted and incorporated in the Thesis from any earlier work done by me or others. Place: Addis Ababa, Ethiopia Date: November, 2016 Signature: Name: Tarekegn Garomsa Enrolment No: 109100733 Address: Tel: +251 - 913 289151 E-mail: [email protected] 2 | P a g e Certificate This is to certify that Mr. Tarekegn Garomsa, Student of Master of Art in Rural Development from Indira Gandhi National Open University (IGNOU), New Delhi, has been working under my supervision and guidance for this project work. His project work entitled "The Role of smallholder farmers in the Import Substitution and Industrialization of Ethiopia: The Case of Malt Barley Producers in Arsi and Bale Areas, Ethiopia", which he is submitting, is genuine and original work. Place: Addis Ababa, Ethiopia Date: November, 2016 Signature: Name: Mulugeta Taye (PhD, Associate Professor), Address: Tel: +251- 911 345728 Email: [email protected] 3 | P a g e Acknowledgment First and foremost, I would like to express my deepest gratitude to my advisor, Dr Mulugeta Taye for his relentless technical and constructive comments, advices and supports he extended to me during the whole course of the work starting from the proposal through writing this report. I am delighted and feel privileged to have worked under his close supervision in this work using his rich of experience and profound skills and knowledge about the concept and practice of import substitution and the role of smallholders in this process in Ethiopia. I would like to extend my gratitude with utmost pleasure to my wife, Meron Belayneh for her unreserved encouragement and support throughout the whole work of this project. I have special thanks for my children (Bekam and Faya) for giving me time to work on my thesis and took their golden time with their father. I also would like to thank all those who helped me in collecting the required data and information from different sources. In this regard, special thanks have to go to EUCORD team (Lemmi, Aschalew, Gadissa, Muzayen and Nigusu) who are experts in malt barley production and import substitution efforts; malt barley focal persons of Breweries and Maltsters in Ethiopia; malt barley producers in Arsi, West Arsi and Bale areas; Zonal and Woreda Agriculture Office and ATA/Oromia wing. This work would not have been complete without the help of Ato Merga Bekele (Lecturer, AAU, Department of Statistics) and Dr. Tesfaye Zeleke (Lecturer, AAU, Department of Anthropology) in template design, data entry, and analysis using SPSS. Tarekegn Garomsa November 2016 Addis Ababa, Ethiopia 4 | P a g e Table of Contents Acknowledgment ............................................................................................................................. 4 List of Tables ................................................................................................................................... 7 List of Figures .................................................................................................................................. 8 Acronyms ......................................................................................................................................... 9 Abstract .......................................................................................................................................... 10 CHAPTER ONE ............................................................................................................................ 12 1. Introduction ............................................................................................................................ 12 1.1 About Ethiopia ........................................................................................................ 12 1.2 Background of the Study......................................................................................... 17 1.3 Statement of the Problem ........................................................................................ 19 1.4 Research Questions ................................................................................................. 22 1.5 Objective of the Study............................................................................................. 23 1.6 Significance of the Study ........................................................................................ 23 1.7 Scope of the Study .................................................................................................. 24 1.8 Limitation of the Study ........................................................................................... 25 1.9 Organization of the Study ....................................................................................... 25 CHAPTER TWO ........................................................................................................................... 26 2. LITERATURE REVIEW .............................................................................................................. 26 2.1 Conceptual Framework ........................................................................................... 26 2.1.1 Smallholder Farming ........................................................................................... 26 2.1.2 Inclusive Business Models and Contract Farming .............................................. 26 2.1.3 Foreign Direct Investment and Local Development ........................................... 32 2.2 Factors Limiting Smallholders’ Market Participation ............................................ 34 2.3 Import Substitution as a Strategy of Industrialization Policy ................................. 37 2.4 Mechanisms for Increasing Domestic Production of Imported Goods ................... 45 2.5 Smallholders’ Commercialization – Challenges and Opportunities ....................... 49 2.5.1 Challenges of Ethiopian Malt Barley Production and Marketing ....................... 55 2.5.2 Opportunities of Ethiopian Malt Barley Production and Marketing ................... 58 2.6 The Ethiopian Malt Barley Value Chain ................................................................. 60 2.7 Large Farms versus smallholders – Performances and Rationales ......................... 71 2.8 Role of Support Providers and Enablers ................................................................. 77 5 | P a g e 2.9 Engagements with Smallholders through Contract Farming .................................. 83 CHAPTER THREE ....................................................................................................................... 95 3. RESEARCH DESIGN AND METHODOLOGY ................................................................................ 95 3.1 Research Design ...................................................................................................... 95 3.2 Description of the Study Area ................................................................................. 96 3.3 Data Gathering Procedures and Instruments ........................................................... 99 3.4 Sources of Data and Collection Methods .............................................................. 100 3.5 Data Processing and Analysis ............................................................................... 101 CHAPTER FOUR ....................................................................................................................... 102 4. PRESENTATION AND ANALYSIS OF DATA .............................................................................. 102 CHAPTER FIVE ......................................................................................................................... 131 5. SUMMARY, CONCLUSION AND RECOMMENDADATION ....................................... 131 5.1. Overview ............................................................................................................... 131 5.2. Summary of Major Findings ................................................................................. 131 5.3. Recommendations ................................................................................................. 136 5.4. Conclusion ............................................................................................................ 140 References .................................................................................................................................... 142 Annexes ......................................................................................................................................
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