Climate-Smart Agriculture in Practice: Insights from smallholder farmers, Timor-Leste and the Philippines, Southeast Asia Alvin Chandra Master of Science (Distinction) Master of Environmental Science, Policy and Management (Distinction) Postgraduate in Environmental Management Bachelor of Environmental Sciences A thesis submitted for the degree of Doctor of Philosophy at The University of Queensland in 2017 School of Earth and Environmental Sciences Page left intentionally blank Abstract The climate challenges confronting agriculture are multiple, interconnected and multi-scaled. Agriculture is a source of increasing greenhouse gas emissions, but it is also vulnerable to climate change impacts. Adopting resilient approaches in the agricultural industry can help to contribute to both climate change mitigation and climate change adaptation. Climate-smart agriculture has emerged as a solution to address the multiple challenges of climate change and food security by sustainably increasing productivity, enhancing resilience and reducing greenhouse gas emissions. To date, there is limited scholarly evidence on what constitutes climate-smart agriculture, and how it is framed globally and practiced by smallholder farming communities. This research helps to bridge this gap by analysing the international discourse around climate-smart agriculture, and providing local empirical evidence derived from smallholder farming communities in the Philippines and Timor- Leste. At the broad level, this research aims to identify how climate-smart agriculture within community- based adaptation programs is contributing to the integration of mitigation and adaptation responses to climate change. Drawing from political ecology and climate change (adaptation and mitigation sciences) theories, the research explains how socio-institutional factors – inequality, unequal power relations and social injustice – influence climate-smart agriculture. The theoretical arguments are illustrated with empirical case studies of smallholder farmers and civil society organisations in the two case studies. Using mixed qualitative methods and descriptive analysis of over 150 semi- structured interviews, focus group discussions and participant observation, the research examines climate-smart agriculture practices across three broad categories: vulnerability of smallholder farmers (socioeconomic factors), synergistic relationships (adaptation, mitigation and food security) and governance (socio-institutional determinants). This research argues that mitigation and adaptation interventions are climate-smart for smallholder farmers when they directly address local climate risks, support a combination of adaptation, food security and livelihood strategies, and empower at-risk and marginalised populations. Results indicate that climate-smart agriculture in the Philippines and Timor-Leste are characterised and influenced by multiple socio-institutional factors. The increasing burden of loss and damage as a result of extreme climate events subject women to migration, increased discrimination, loss of customary rights to land, resource poverty and food insecurity. In terms of farming practices implemented by smallholder farmers, most adaptation actions were found to have corresponding positive mitigation, food security and livelihood co-benefits. At the community level, climate-smart interventions are highly location- specific, technically rigorous, involve knowledge-intensive processes, and are influenced by the finance and capacities of local farming communities and implementing partners. Furthermore, of relevance at the global level, this research finds that there is a growing divide between how developed and developing countries frame solutions to the impacts of climate change on agriculture despite agriculture featuring prominently in the United Nations Framework Convention on Climate Change negotiations. Such a divide is limiting the recognition of solutions that integrate mitigation and adaptation opportunities. The insights from the Philippines and Timor-Leste make a compelling case for joint adaptation and mitigation actions in the agriculture sector across three broad policy frontiers. First, implementation of climate-smart agriculture will require participatory platforms that have a focus on livelihood and income opportunities for smallholder farmers. Second, policies and institutions on agriculture, agrarian reform, land use and climate change should mainstream both adaptation and mitigation outcomes using local plans and community level programs. Third, partnerships with community- based organisations and local governments are pivotal to coordinating services with farmers, providing an array of agriculture and climate services generating new knowledge and implementing climate-smart farming solutions. Declaration by author This thesis is composed of my original work, and contains no material previously published or written by another person except where due reference has been made in the text. I have clearly stated the contribution by others to jointly-authored works that I have included in my thesis. I have clearly stated the contribution of others to my thesis as a whole, including statistical assistance, survey design, data analysis, significant technical procedures, professional editorial advice, and any other original research work used or reported in my thesis. The content of my thesis is the result of work I have carried out since the commencement of my research higher degree candidature and does not include a substantial part of work that has been submitted to qualify for the award of any other degree or diploma in any university or other tertiary institution. I have clearly stated which parts of my thesis, if any, have been submitted to qualify for another award. I acknowledge that an electronic copy of my thesis must be lodged with the University Library and, subject to the policy and procedures of The University of Queensland, the thesis be made available for research and study in accordance with the Copyright Act 1968 unless a period of embargo has been approved by the Dean of the Graduate School. I acknowledge that copyright of all material contained in my thesis resides with the copyright holder(s) of that material. Where appropriate I have obtained copyright permission from the copyright holder to reproduce material in this thesis. Publications during candidature Peer-reviewed Papers Chandra, A., McNamara, K.E. and Dargusch, P. 2017 The relevance of political ecology perspectives for smallholder Climate-Smart Agriculture: a review. Journal of Political Ecology 24. 24: 821-842. Chandra, A., McNamara, K.E., Dargusch, P., Damen, B., Rioux, J., Dallinger, J. and Bacudo, I. 2016. Resolving the UNFCCC divide on climate-smart agriculture. Carbon Management 7 (5-6): 295-299. Chandra, A., McNamara, K.E. and Dargusch, P (in press). 2017. Climate-smart agriculture: Perspectives and framings. Climate Policy. doi: 10.1080/14693062.2017.1316968 Chandra, A, Dargusch P. and McNamara, K.E. 2016. How might adaptation to climate change by smallholder farming communities contribute to climate change mitigation outcomes? A case study from Timor-Leste, Southeast Asia. Sustainability Science 11(3): 477-492. Chandra, A., McNamara, K.E., Dargusch, P., Caspe, A.M. and Dalabajan, D. 2017. Gendered vulnerabilities of smallholder farmers to climate change in conflict-prone areas: A case study from Mindanao, Philippines. Journal of Rural Studies 50: 45-59. Chandra, A., Dargusch, P., McNamara, K.E., Caspe, A.M. and Dalabajan, D. 2017. A study of climate-smart farming practices and climate-resiliency field schools in Mindanao, the Philippines. World Development 98: 214–230. Chandra, A and Gaganis, P. Deconstructing vulnerability and adaptation in a coastal river basin ecosystem: A participatory analysis of flood risk in Nadi, Fiji Islands. Climate and Development 8 (3): 256-269. Book Chapters Chandra, A. and McNamara, K.E (Forthcoming). 2017. Climate-smart Agriculture in Southeast Asia: Lessons from Community-based Adaptation Programs in the Philippines and Timor-Leste. In: Alverson, K. and Zommers, Zinta (eds), Resilience: The Science of Adaptation to Climate Change, New York, USA: Elsevier, Inc. Babran, S., Banerjee, M. and Chandra, A. 2016. Regional context and priorities: Asia and the Pacific population dynamics. In: Duffy-Iosefa et al. (eds.), The Global Environment Outlook (GEO 6) Regional Assessment for Asia and the Pacific,. Nairobi, Kenya: United Nations Environment Program. pp.5-11. Conference & Workshop Papers “Self-financing and sustaining adaptation: lessons and benefits of savings and credit scheme from Timor-Leste” 8th Annual International Conference on Community-Based Adaptation, Kathmandu, Nepal, 24-30 April 2014. “Synergies and conflicts between adaptation and mitigation strategies in community-based agriculture initiatives: Evidence from Timor-Leste” The Climate Adaptation 2014 Conference, Gold Coast, Australia, 29 September- 2 October 2014. “Developing a Climate-Smart Agriculture negotiation strategy for Southeast Asia”4th Special ATWGARD Workshop, ASEAN CRN Promotion of Resilience in Rice and Other Crops, Ho Chi Minh City, Vietnam, 19 May 2015. “Towards a climate-resilient agriculture policy strategy for Southeast Asia: Understanding smallholder perspectives” ASEAN-German Programme on Response to Climate Change, Jakarta, Indonesia, 20 August 2015 Conference & Workshop Presentations “Towards integrated mitigation and adaptation strategies in the agriculture