Assessing Agroforestry Adoption in Smallholder Coffee Cooperatives, Sumatra, Indonesia

Thesis Abstract

Agricultural landscapes in Sumatra's coffee zones face increasing climate variability, soil degradation, and market volatility, yet smallholder farmers remain pivotal to productivity and rural livelihoods; agroforestry offers a pathway to resilience but its adoption among dispersed smallholder coffee cooperatives is uneven, constrained by landholding fragmentation, knowledge gaps, and organizational dynamics. This study aims to assess the adoption of agroforestry practices within smallholder coffee cooperatives in Aceh and North Sumatra provinces, evaluating determinants, implementation pathways, and implications for sustainability. Specific objectives are to (i) quantify the prevalence and typologies of agroforestry practices adopted by members of selected coffee cooperatives, (ii) identify economic, social, and biophysical drivers and barriers to adoption, (iii) examine the role of organizational governance, extension services, and access to credit in shaping adoption decisions, (iv) evaluate the environmental and productivity outcomes associated with agroforestry adoption, and (v) develop a policy–practice framework to enhance scalable adoption. A mixed-methods design is employed, combining a cross-sectional survey with qualitative case studies. The population comprises registered smallholder coffee farmers belonging to five cooperatives in Aceh and North Sumatra, totaling approximately 2,400 members. A stratified random sample of 480 farmers is selected, with proportional representation across cooperatives and farm sizes. Primary data are collected via a structured questionnaire that captures farm characteristics, agroforestry typologies (e.g., shade tree species, intercropping patterns, biomass management), adoption status, income, yields, input costs, and perceptions of climate resilience. In-depth interviews (n=40) with cooperative managers, extension agents, and key informants explore governance, information flows, credit access, and institutional support. Focus group discussions (eight groups) illuminate communal norms and collective action dynamics. Instrument validation includes content validity by forestry and agroecology experts, and a pilot with 50 farmers to test reliability (Cronbach's alpha >0.70 for multi-item scales). Data analysis employs descriptive statistics to profile adoption prevalence and agroforestry types, and inferential methods to test relationships multiple regression and multilevel modeling assess determinants of adoption and income/yield outcomes; logistic regression analyzes adoption likelihood; and propensity score matching (PSM) estimates causal effects of agroforestry on productivity and sustainability metrics. The qualitative component utilizes thematic analysis of interview and focus group transcripts, triangulated with field observations to contextualize quantitative results. The theoretical framework integrates Innovation Diffusion Theory and the Theory of Planned Behavior to interpret adoption decisions, complemented by the Commons Governance perspective to examine cooperative structures and collective action. A conceptual model linking farm-level factors, organizational dynamics, and environmental outcomes is proposed. Key expected findings include (i) a spectrum of agroforestry adoption, with slow uptake among smallholders owning less than 1 hectare, and higher adoption where cooperative extension is active; (ii) significant positive associations between adoption and farm income, soil organic carbon, and natural pest regulation, alongside potential short-term yield trade-offs during transition; (iii) essential roles for credible extension services, demonstration plots, and favorable credit terms in accelerating adoption; (iv) governance features—transparent benefit-sharing, member participation, and timely information flow—emerging as critical enablers; and (v) differentiated policy implications for Aceh and North Sumatra due to agroecological and institutional contexts. The study contributes to knowledge by linking agroforestry adoption at the micro (farm) and meso (cooperative) levels with measurable livelihood and environmental outcomes in Southeast Asia, advancing understanding of how governance, credit, and extension interact with farmer perceptions and capabilities to drive sustainable transitions. Practical implications include a scalable policy–practice framework for public and private sector actors to strengthen extension delivery, design incentive structures for agroforestry investments, and tailor cooperative governance arrangements to promote inclusive participation and knowledge exchange. The main conclusion anticipates that integrated agroforestry adoption, supported by robust extension services and credit access within well-governed cooperatives, can enhance resilience, diversify farmer incomes, and improve soil and biodiversity outcomes, with recommendations emphasizing targeted capacity-building, demonstration-scale implementation, and policy alignment across climate-smart agriculture programs.