Sustainable Agroforestry Adoption in Costa Rica’s smallholder Plantations: A Case Study

Thesis Abstract

Costa Rica’s smallholder plantations face mounting pressures to balance productivity with environmental stewardship, yet agroforestry adoption remains uneven due to barriers related to capital, knowledge, and perceived risk. This study investigates the drivers, processes, and outcomes of sustainable agroforestry adoption among smallholder cocoa, coffee, and mixed-crop farmers in the Turrialba and Tarrazú regions, aiming to illuminate pathways to scalable, resilient practice. The objectives are (i) to evaluate the extent and sequence of agroforestry adoption among smallholders over the past decade; (ii) to identify socio-economic, institutional, and biophysical determinants of adoption and sustained maintenance of agroforestry systems; (iii) to examine perceived ecosystem service benefits, productivity impacts, and trade-offs through farmer-led assessments; (iv) to analyze policy and extension mechanisms that facilitate or hinder adoption; and (v) to develop a context-specific framework for scaled implementation grounded in local realities. The study employs a mixed-methods design rooted in the Diffusion of Innovations and Resource-Based View theories, complemented by Stakeholder Theory to capture governance dynamics. A stratified random sample of 300 smallholder plots across three tenure types (smallholdings, cooperatives, and community-managed lands) will be surveyed, with 60 in-depth interviews conducted with farmers, extension agents, and representative from non-governmental organizations, and 20 focus groups organized with producer associations. Data collection instruments include a structured questionnaire capturing demographic attributes, farm characteristics, historical adoption status, input costs, yield data, and perceived service delivery; semi-structured interview guides exploring motivation, risk perceptions, and knowledge flows; and participatory mapping to delineate agroforestry configurations. Validity and reliability will be ensured through pre-testing, triangulation, and Cronbach’s alpha checks for multi-item scales. Quantitative data will be analyzed using multilevel logistic regression to identify determinants of adoption and sustained use, with hierarchical linear models assessing productivity and income effects, while propensity score matching will address selection bias. Qualitative data will undergo thematic analysis guided by Braun and Clarke, with NVivo coding to extract emergent themes on knowledge exchange, trust in institutions, and perceived ecosystem services. A structural equation model will be estimated to test a hypothesized path from access to credit and extension quality to adoption intensity and long-term maintenance, mediated by perceived economic viability and environmental co-benefits. The study anticipates finding that proximity to extension services, access to credit, ecosystem service awareness, and cooperative membership positively influence adoption, while land tenure insecurity and upfront costs impede sustained practice. Expected productivity benefits include modest yield stabilization and improved resilience to drought and pest pressure, offset by initial establishment costs and transition period labor demands. Theoretical contributions include integrating diffusion theory with a socio-ecological production framework to explain adoption dynamics under tropical smallholder constraints, and refining a context-sensitive model of agroforestry sustainability that incorporates governance and collective action. Policy relevance lies in identifying leverage points for targeted extension programming, credit instruments, and cooperative-based risk-sharing mechanisms that accelerate scalable adoption while ensuring equity among smallholders. The study will provide a practical framework for monitoring and evaluating agroforestry outcomes, with indicators aligned to national sustainable landscape objectives and certification standards. The main conclusion is that sustainable agroforestry adoption in Costa Rica’s smallholder plantations is contingent on synergistic interplay among accessible finance, credible knowledge transfer, secure tenure, and inclusive governance structures; robust extension services and cooperative platforms are pivotal to overcoming perceived risk and enabling long-term maintenance. Recommendations include scaling participatory demonstration plots linked to credit facilities; embedding agroforestry modules in extension curricula; formalizing tenure arrangements to reduce insecurity; and strengthening farmer organizations to coordinate market access and collective risk management.