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Journal of Rural Studies 94 (2022) 462–476
Contents lists available at ScienceDirect
Journal of Rural Studies

journal homepage: www.elsevier.com/locate/jrurstud
Social capital and soil conservation: Is there a connection? Evidence from

Peruvian cocoa farms
Naara Cancino a, b, *, Cathy Rubiños a, c, Silvana Vargas b
a
Universidad Del Pacífico, Lima, Peru
b
Pontificia Universidad Católica Del Perú, Lima, Peru
c
Center for Behavior, Institutions, and the Environment, Arizona State University, Tempe, AZ, USA
1. Introduction Aste, 2018; Bebbington et al., 2009).

Given the prevalence of two types of social organizations in the
Agricultural activity is sustainable when it maintains and improves agricultural sphere of Peruvian Amazonia, it is worth enquiring into
the health of soils, ecosystems, and people (Smyth & Dumansky, 1995). their social capital and its effects on and interactions with agricultural
Accomplishing these conditions is especially important in regions whose sustainability. Previous studies have found that social capital has the
development is strongly linked to agricultural production, as is the case potential to increase overall efficiency in the management of natural
of rural Peru. In Peru’s rural areas, 39% of the economically active resources, and that it promotes the conservation of natural resources,
population is engaged in agricultural activities,1 which, when combined insofar as it solves the problem of collective action (Pretty and Ward,
with precarity and subsistence, are unequivocally connected to poverty 2001; Schneider et al., 2010; Bodin et al., 2006; Markelova and
(Eguren, 2015). Meinzen-Dick, 2009; Coleman, 1988; Flora, 1998).
In Peruvian Amazonia, these negative socio-environmental condi Specifically, when it comes to the influence of these social capital
tions are aggravated by the processes of settler colonization, expansion manifestations on soil conservation, studies show that fair trade and
of the agricultural frontier, and deforestation (Dourojeanni, 2019; organic partnerships can address sustainability challenges at the pro
Bravo-medina et al., 2017). Cocoa, an industrial crop that has expanded duction level (Bitzer et al., 2008). Internationally, there are two main
significantly in Amazonia and furthered producers’ market connections academic precedents on the relationship between social capital and soil
(Dourojeanni, 2019; Barrantes et al., 2014), has also accelerated the rate conservation, both of which employed mixed-methods methodology. On
of deforestation due to unsustainable soil practices (Zegarra et al., the one hand, Cramb (2004) found that bridging the social capital
2015). provided by landcare associations improved agricultural producers’
Peruvian agricultural policies have barely touched on these issues in access to the information and training they needed to tackle soil erosion
Amazonia, and have not taken into account the characteristics of each problems and develop new livelihood activities based on agroforestry.
territory or the environmental and social sustainability of agricultural On the other hand, Ali et al. (2007) showed that farmers who performed
activity (Dourojeanni, 2019; Barrantes et al., 2014; Zegarra et al., 2015). better on indicators of social capital such as cooperation, extent of trust,
To address the illicit production of coca and encourage agricultural information sharing, and participation in collective activities also
production, Peruvian state institutions have promoted the adoption of exhibited greater adoption of soil technologies. Both studies used
cocoa-producing associations and have assisted them financially and self-collected quantitative data and a complementary qualitative
technically (Dourojeanni, 2019). approach. Our study differs primarily by conducting a national-level
Nonetheless, in the social panorama of rural Peru, association survey with a bigger sample, which gave us access to more informa
membership is nothing new. Amazonia also involves the engagement of tion and allowed us to better characterize the Amazonian region and
native Amazonian communities which, along with agricultural and establish relations with greater representativity. The main limitation
service cooperatives, represent the most traditional forms of rural concerned the questions that were less specific and less related to our
associativity (Urrutia and Diez, 2016). Native Amazonian communities main study objectives, which we addressed by complementing the
have their own social organization dynamics and forms of communal questions with in-depth interviews in the qualitative stage.
government that promote the development of social capital (Correa In Peru, three studies have explored the relationship between
* Corresponding author. Universidad Del Pacifico, 2020 Av. Salaverry, Jesús María, Lima, Peru.
E-mail addresses: [email protected] (N. Cancino), [email protected] (C. Rubiños), [email protected] (S. Vargas).
1
INEI official statistics (2020). Retrieved from: https://www.inei.gob.pe/media/MenuRecursivo/publicaciones_digitales/Est/Lib1790/libro.pdf.
https://doi.org/10.1016/j.jrurstud.2022.07.002
Received 15 January 2022; Received in revised form 9 July 2022; Accepted 12 July 2022
Available online 12 August 2022
0743-0167/© 2022 Elsevier Ltd. All rights reserved.
N. Cancino et al. Journal of Rural Studies 94 (2022) 462–476
agricultural associations as a manifestation of social capital and soil of this research can contribute to a better approach to rural agricultural
conservation, finding this to be either positive (Swinton, 2000; Gómez and environmental policies in Amazonia, especially in terms of pro
and Flores, 2015) or potentially negative (Rodríguez and Pascual, 2004). moting associativity as a strategy and to incentivizing the adoption of
However, none of these studies explored this relationship by way of a sustainable soil practices, taking into account the vulnerability of many
mixed-methods approach, which might be better suited to analyzing rural populations.
social capital, and none focused on the Amazonian region (Table 1).
In this context, we investigate whether the social capital present in 2. Social capital, cocoa cultivation, and sustainable
the native Amazonian communities and/or agricultural associations can development
promote sustainable cocoa agriculture in rural Amazonia, or whether,
conversely, it makes the population more vulnerable to the negative 2.1. Social capital
socio-environmental effects of unsustainable agriculture and deforesta
tion processes. Social capital in this context refers to the ability of actors To define social capital, it is worth recalling the concept’s three
to secure benefits by virtue of membership of social networks or other founding pioneers: Pierre Bourdieu, James Coleman, and Robert Put
social structures (Bourdieu, 1985; Coleman 1988; Putnam, 2003; Portes, nam. Despite different nuances in their definitions, the three authors
1998; Ramírez, 2005). Therefore, we ask the following question: How agree that social capital represents the ability of actors to secure benefits by
does the social capital present in the associative connections of indigenous virtue of membership in social networks or other social structures (Bourdieu,
and non-indigenous Amazonian cocoa producers influence their adoption of 1985; Coleman 1988; Putnam, 2003; Portes, 1998; Ramírez, 2005).
sustainable soil practices? Social capital lowers the costs of working together and facilitates
In our study, (i) we analyze the social capital present in the cooperation; people have the confidence to invest in collective activities,
Amazonian native communities and agricultural associations connected knowing that others will also do so and will be less likely to engage in
to cocoa cultivation; (ii) we describe the soil practices of cocoa pro unfettered private actions that run the risk of negative outcomes, such as
ducers in Peruvian Amazonia, differentiating between indigenous and resource degradation (Pretty and Ward, 2001).
non-indigenous; and (iii) we explain the relationship that the social From an economic point of view, social capital can have the qualities
capital of indigenous and non-indigenous cocoa producing association of a public good, and so it is likely to be underproduced due to incom
members has with the adoption of soil practices. plete collective internalization of the positive externalities2 inherent in
We find that it is not enough to belong to an association or a native its formation (Collier et al., 2002). Thus, social capital has the potential
community to ensure the adoption of sustainable soil practices, but that, to increase overall efficiency in the management of natural resources.
nonetheless social capital can minimize the collective problem of soil For example, a farmer’s actions to reduce water or wind erosion can
degradation and ensure positive externalities for conservation, if certain benefit neighboring fields by slowing the movement of water or wind on
conditions, which are analyzed in this study, are met. the land in question. Although these benefits are not captured by the
The following section details the theoretical approach that frames farmer’s investment in conservation, community or agricultural orga
this study. In Section 3 we explain the mixed-methodology approach nizations can internalize these externalities.
that we used. In Section 4 we present the results, while in Section 5, we Following Portes (1998) and Pretty and Ward (2001), this study
discuss them. Finally, in Section 6 we conclude. We hope that the results analyzes five characteristics of social capital: (1) formal and informal
social capital; (2) common rules, norms, and sanctions; (3) trust; (4)
maintenance efforts; (5) and motivations of social capital. These are the
Table 1
main characteristics that will help us to describe the nature of social
Literature review overview and methods used related to the subject.
capital and analyze its influence on the adoption of soil practices.
Relation Studies Methodology First, social capital can be formal and informal (Putnam, 2003).
Social capital and its Pretty and Ward (2001); Qualitative Formal social capital is characterized by networks and associations that
positive effects on solving Schneider et al. (2010); Coleman are founded on identifiable organizational bases and possess structure,
environmental issues (1988); Flora (1998)
authorities, operating rules, and so on. (Putnam, 2003). Informal social
At the international level, Bitzer et al. (2008): fair trade Qualitative
social capital and organic partnerships can capital refers to the broad spectrum of social coexistence that lacks such
manifestations on soil address sustainability challenges formality, and can include family meals, spontaneous sports games, and
conservation at the production level other activities. (Putnam, 2003).
Cramb (2004) and Ali et al. Mixed- This relates to a second feature of social capital: common rules,
(2007) found that farmers with a methods
norms, and sanctions. These are the mutually-agreed-upon or handed-
higher degree of social capital
had a higher adoption of soil down norms of behavior that ensure group interests complement those
technologies and a higher of individuals (Pretty and Ward, 2001). Rules and sanctions give in
probability to address their soil dividuals the confidence to invest in the collective good, knowing that
erosion problems.
others will also do so, while sanctions ensure that those who break the
In Peru, three main studies Swinton (2000) in Puno: when Quantitative
have explored the producers are members of an rules know they will be punished (Pretty and Ward, 2001).
relationship between agricultural association the Third, multiple authors recognize trust as a sign of the existence of
social capital and soil adoption of sustainable soil social capital (Putnam, 2003; Bourdieu, 2002; Portes, 1998). The posi
conservation practices increases. tive externalities of social capital occur when there is mutual trust in
Gómez and Flores (2015) in Ica: Quantitative
social relations (Putnam, 2003; Portes, 1998). Relations of trust foster
asparagus producers members of
associations were more likely to cooperation and reduce transaction costs, thus freeing up resources.
adopt sustainable soil practices. Instead of having to invest in monitoring others, individuals are able to
Rodríguez and Pascual (2004) in Quantitative trust them to act as expected, thereby saving money and time. This can
Ayacucho: social capital
also create a social obligation that engenders reciprocal trust (Pretty and
associated with cultivation of
opuntia scrubland can be
Ward, 2001).
perverse from an
agri-environmental point of
view, as the land clearing that 2
However, social capital can also have negative externalities: A given form of
occurs harms those who do not
social capital that is valuable in facilitating certain actions may be useless or
benefit from production.
even harmful for others.” (Coleman 1988: S98).
463
Trust takes time to build and is easily broken, so a fourth charac small-scale farmers face situations of uncertainty with regard to their
teristic to take into account is that social capital, like other forms of property rights over natural resources.3
capital, is not free to produce; there is an expense in maintaining it. In addition to the formal structure that an indigenous community or
Hence, according to Bourdieu (1985), social capital is “the product of an agricultural association represents, there is also non-formalized so
investment strategies, individual or collective, consciously or uncon cial capital based on solidarity stemming from kinship, symbolic
sciously aimed at establishing or reproducing social relations directly patronage, and spatial proximity (Bebbington, 1997). These networks
useable in the short or long term” (p. 251). can involve labor mobilization or present themselves as formal and
Fifth, and finally, Portes (1998) based on Durkheim (1983) and informal governance structures. For example, the ayllu structure, which
Coleman (1988) noted that there are two forms of motivation behind refers to kinship groups, regulates access to and use of natural and media
participating in social relationships or joining social networks that resources in intra-community and inter-community conflicts.
generate social capital. First, consummatory motivation, which can be On the one hand, scholars have proposed that the communal ties of
understood as a kind of bounded solidarity or altruistic disposition on the native Amazonian communities imply consanguineous and/or
the part of actors in very specific situations that are delimited by the symbolic relations that allow plots to be cultivated in a mandatory
boundaries of their community. Examples of consummatory motivation community-based manner, while individual plots are exploited mainly
are the participation of agricultural producers in sympathy marches, or using the family’s labor force and relations of reciprocity within the
the organization of strikes to support their colleagues. Second, instru communal network (Matos Mar, 1976; Mossbrucker, 1990; Correa Aste,
mental motivation is that whereby the gain in the relationship does not 2018; Rodríguez and Pascual, 2004). On the other hand, the associative
concern the knowledge of the recipient but the presence of both actors in connections within agricultural associations for the cultivation of cocoa
a common social structure. For example, trust occurs because obliga in Peruvian Amazonia tend to preserve traditional elements of security
tions are enforceable not through recourse to the law or to violence but and to continue with the strategy of fostering market connections and
through the power of the community (Portes, 1998). diversification (Diez, 2014).
On the influence of these social capital manifestations on soil con
2.2. Social capital manifestations and sustainable development in servation, at the international level, Bitzer et al. (2008) found that fair
agriculture trade and organic partnerships can address sustainability challenges in
production, such as poor working conditions and environmental
Some agricultural decisions can generate adverse effects that dete degradation, and that these partnerships generally go hand in hand with
riorate natural resources, often with social costs or negative externalities producer assistance. There have also been studies on this topic that have
(Swinton et al., 2007). Although these decisions may be beneficial to the employed mixed methods. First, Cramb (2004) conducted a survey of
individual, they are not beneficial to the set of producers who use these 313 farmers from 18 sitios (villages), representing about 11% of the total
resources, giving rise to a dilemma of the commons (Gardner et al., number of farm households in Barangay Ned, the Philippines, to analyze
1990). The agricultural agent’s economic decision should not be limited whether investment in social capital within landcare groups was a major
to maximizing one’s own profits based only on the production function cause of rapid adoption of sustainable soil practices. The author found
and the budgetary restriction; it should also include the costs and ben that major factors influencing adoption of contour barriers in Ned were
efits associated with the conservation of natural resources utilized in the participation in farmer-based, group training events and membership of
process. One of the solutions to this dilemma is to use and apply social landcare groups. Bridging the social capital provided by the landcare
capital to ensure a correspondence between individual and collective groups and landcare facilitators improves farmers’ access to the infor
interests. mation and training they needed to address their soil erosion problems
The literature indicates that the relationship between social capital and develop new livelihood activities based on agroforestry, in turn
and conservation of natural resources can be positive, insofar as it solves boosting the rate of adoption in the region.
the problem of collective action (Pretty and Ward, 2001; Schneider Second, Ali et al. (2007) conducted a survey involving a structure
et al., 2010; Bodin et al., 2006; Markelova and Meinzen-Dick, 2009). questionnaire, focus group discussion, and network analysis among 103
Social capital can reduce the costs of working together, as it facilitates female and male farmers in two sub-counties, Usukuru and Kisoko, of
cooperation and reduces the likelihood of selfish actions that diminish Tororo district, Uganda, to investigate the levels and dimensions of so
social and environmental well-being (Coleman, 1988; Flora, 1998). cial capital and their influence on the adoption of soil fertility man
Long-term changes in attitude and behavior can also emerge due to agement technologies. Logit regression model results using the data
repeated participation in a social network with sufficient levels of collected showed that the probability of current use of legume cover
mutual trust, strong and weak ties, and opportunities for social learning crops was higher among farmers who belonged to producer groups
(Daly and Silver, 2008). compared to other community members. Farmers’ groups performed
The subject of study is the social capital present in agricultural as better on indicators of social capital such as cooperation, extent of trust,
sociations and native communities in rural Peru. In these areas, peasant information sharing, and participation in collective activities, and
communities as well as agricultural and service cooperatives are the adopted soil technologies to a greater extent.
most traditional forms of rural associativity (Urrutia and Diez, 2016). In Both prior studies used self-collected quantitative data and a com
rural Amazonia, native communities are institutions of vital importance plementary qualitative approach. In our study, the main difference is
in which territorial and communal identities play a part along with that we analyze a national-level survey, conducted by Peruvian state
ethnic ones. These communities have their own logics of social organi agencies, which has a bigger population (29,218 productive units). This
zation and forms of communal governance that allow social capital to gave us access to more information and allowed us to better characterize
develop. The common denominator in native communities is the the Amazonian region and establish relations with higher representa
importance of the assembly in deciding collective issues (Matos Mar, tivity. We could had a general outlook of sustainable soil practices
1976; Mossbrucker, 1990) as well as the need to guarantee and maintain adoption in Peruvian Amazonia but we could not focus enough on social
property (Diez, 2014). Possession rights are very precarious, so capital dynamics. Therefore, we conducted in-depth interviews while
3
The 1993 Constitution eliminated the protection of “intangibility of indig
enous lands” throughout Peru, which empowered peasant and native commu
nities to transfer their they saw fit, so long as the decision was made by the
general assembly (Urrutia and Diez, 2016).
464
Cramb (2004) and Ali et al. (2007) only complemented the survey with and can represent an additional benefit for both farmers and the envi
less specific qualitative data such as: (i) project reports and statistics; (ii) ronment (Vebrova et al., 2014).
interviews with project staff and other key informants; (3) case studies of Another strategy is to avoid using chemical fertilizers and instead
community landcare groups. opt for the regular usage organic fertilizers, compost, or manure. This
In Peru, three notable studies have explored the relationship between promotes the absorption of nutrients and water by the soil and, in turn,
agricultural associations and soil conservation. First, Swinton (2000) root penetration and plant development (Bravo-medina et al., 2017).
found that if producers are members of an agricultural association, the There are farmers who, rather than dealing with degraded soil, use more
effect on the adoption of sustainable soil practices is positive because synthetic fertilizers to compensate for the loss of ecosystem productivity,
these organizations can enforce norms and have common beliefs on soil thus generating a vicious circle (Folke et al., 2007). Likewise, biological
conservation. The authors employed a quantitative approach using data pest control is also recommended to avoid the use of pesticides. This
from a survey administered in 1999 to 197 farms engaged primarily in consists of promoting the survival and reproduction of bioregulators or
cattle, sheep, and alpaca husbandry in the Peruvian altiplano. Moreover, natural enemies present in the crops and their surroundings in order to
their fields were small and fragmented, with about 1 ha of cropped area increase their impact on pests.
in average.
Second, Rodríguez and Pascual, (2004) for the case of Ayacucho, 3. Methodological design
observed that the social capital associated with cultivation of opuntia
scrubland can be perverse from an agri-environmental point of view, as Following Creswell’s (2013) classification, we employed a concur
the land clearing harms those who do not benefit from production. rent triangulation design mixed-methodology in this study, therefore we
Opuntia scrubland cultivation comprises opening trails of access, worked through quantitative and qualitative data separately and then
pruning spiny bushes, and clearing land, so a participatory strategy with we compared the results during the interpretation (Fig. 1). This meth
communal organizations and households is required. And for Ica, Gómez odology allowed us to expand the scope of the research, carry out a
and Flores (2015) showed that asparagus producers who were members broad and in-depth analysis, employ quantitative methods, and trian
of agricultural associations were more likely to adopt sustainable soil gulate quantitative and qualitative results (Greene et al., 1989; Creswell
practices. and Plano Clark, 2011).
The literature is divided on the relationship between native com First, we performed a quantitative estimation of the effects of
munities’ social capital and soil conservation. Some authors have argued different variables, including those that approximate social capital, on
that the traditional horticulture practiced by some native Amazonian the probability of adoption of sustainable soil practices. To this end, the
societies, which is based on hunting, fishing, and gathering, generally main source of data used was the 2018 National Agricultural Survey
represents a more sustainable use of natural resources (Cairns, 2015; (Encuesta Nacional Agropecuaria, ENA, 2018), which we chose as the
Valqui et al., 2014). However, others have contended that most ethnic predominant agricultural data source at the Peruvian national level. The
groups in the Amazon basin use the slash-and-burn technique to prepare topics it covers are in line with this research: production and yields of
land for cultivation (Shaver and Dodds, 2008), are oblivious to the need the main crops, good agricultural and livestock practices, food safety,
to protect nature, and, if it suits them, contribute to its destruction agri-food, training, technical assistance, and the financial system (INEI,
(Dourojeanni, 2019). Nonetheless, according to this latter study, these 2018). The ENA provided relevant data concerning land practices and
populations can develop “harmony” with nature as a consequence of the agricultural producer (socioeconomic variables, ethnic
their low numbers, which means that their demands are minimal, self-identification, association membership). Nonetheless, the survey
facilitating a balance with the supply of natural goods. There are proven does not include questions on deforestation, even though agriculture is
cases of rotation of hunting and crop cultivation, of reserves for hunting one of the most important drivers of deforestation in Peruvian
and fishing, and of self-imposed restrictions on these activities, which Amazonia.
can promote the conservation of natural resources. In the first stage, we conducted a general approximation of the in
fluence of different variables, including social capital proxies, on the
2.3. Sustainable soil conservation practices and cocoa cultivation adoption of sustainable soil practices. However, it was not possible to
analyze certain specific details related to social capital, such as the
Intensive agriculture can affect the soil, water, and forestland in the relationship dynamics among producers, those between producers and
vicinity. For example, degradation of productive lands can lead to soil the association, and specific soil practices.
erosion and the salinization of irrigation soils (Folke et al., 2007). For these reasons, a qualitative analysis was subsequently carried
Agriculture can also be an agent of deforestation due to the expansion of out. We performed fieldwork, semi-structured interviews, and content
the agricultural frontier. In Peru, cocoa is a crop that has been strongly analysis of two case studies. The qualitative methodology allowed us to
promoted as an alternative to coca, and its cultivation has enhanced characterize the social capital and dynamics of adoption of sustainable
farmers’ connections to the market (Dourojeanni, 2019; Barrantes et al., land practices (including deforestation dynamics), and to outline the
2014). But at the same time, its production has been linked to Amazo necessary conditions for conservation. This qualitative approach
nian deforestation processes (SERFOR, 2015). allowed to complement, expand on, and triangulate our findings
Studies analyzing the environmental effects of cocoa cultivation through the quantitative methodology in order to address our main
have proposed that an emphasis on fine or flavor cocoa and organic research question. From there, we compared both quantitative and
agriculture could meet the access requirements of international markets qualitative results and interpreted the findings (Fig. 1).
that demand quality (Barrientos, 2015; Laroche et al., 2012). Organic
agriculture can be sustainable because it maintains and improves the 3.1. General approximation: quantitative methodology
health of soil, ecosystems, and people by respecting rotation time and
avoiding the use of synthetic fertilizers and agrochemicals. For the first stage, the main source of data used was the ENA.4 Only
There are several strategies for sustainable soil management, ac
cording to FAO (2018), Swisscontact (2017), and DEVIDA (2016). One
of them is the establishment of agroforestry systems, a land-use 4
The ENA, carried out by the Peruvian National Institute of Statistics and
technology in which trees are combined with agricultural crops Informatics every year, collects statistical information about small, medium,
and/or pastures, depending on the time and space available to increase and large agricultural units throughout the country via an electronic ques
and optimize production in a sustained manner. Particularly in the case tionnaire administered during site visits. The database is open access and can be
of cocoa, agroforestry systems can help diversify agricultural production found at http://iinei.inei.gob.pe/microdatos/.
465
Fig. 1. Conceptual model for research.
agricultural cocoa producers in Amazonian regions were considered for

Pi = E [Yi / Xi ] (1)
the estimations, with only one observation per producer. Therefore, the
cleaning procedure of the database involved one observation per pro
Pi = [(Pi / 1 − Pi )] = β0 + β1 X1i + … + βk Xki (2)
ducer regarding the independent and dependent variables of interest.
The database modules entailed production and yields of the main crops, The unknown parameters β are generally estimated using the
good agricultural and livestock practices, training, technical assistance, maximum likelihood method. We estimated five dichotomous depen
the financial system, and, at the producer level, socioeconomic vari dent variables that represent soil practices that the literature considers
ables, ethnic self-identification and association membership. We there to be sustainable for cocoa cultivation (as described in Section 2.3): (i)
fore took into account a total of 1394 producers and observations, adoption of cocoa agroforestry systems; (ii) use of organic fertilizers;
inferring a total population of 112,432 Amazonian cocoa producers. (iii) pesticide-free pest control; (iv) the non-use of chemical fertilizers,5
The model applied draws from the literature on soil conservation and (v) optimal management of organic waste. The description and
practice theories collected in Prager and Posthumus (2010), and the descriptive statistics of these variables are found in Appendix1.6 In turn,
economic models proposed by Antle et al. (2005) and Aneani et al. Appendix 2 disaggregates sustainable soil practices at the level of
(2011). The model is based on the economic constraints paradigm in association-member and indigenous producers.
which the adoption of sustainable soil practices is defined by the The independent variables that we used as controls and as relevant
profit-maximizing behavior of agricultural producers. In this regard, variables for the study are based on the systematization of numerous
agricultural producers maximize the sum of profits of all their crops
subject to restrictions. Farmers will choose a given practice if the ex
pected net present value (NPV) of the production system with the in 5
While Variable (ii) takes into account a statement on the actual use of
vestment is greater than the NPV without the investment.
organic fertilizers, Variable (iv) only includes a statement on the non-use of
We used a probit model because the dependent variables of interest
chemical fertilizers.
include two categories. The dependent variable is the decision to adopt 6
All appendices are presented in the Supplementary Material section.
soil practices (Y), and the set of independent explanatory variables that
can influence the final practice adoption probability Pi is conveyed in
vector Xi . So:
466
empirical studies conducted by Prager and Posthumus (2010) and explore the formal rules, benefits, and incentives that each association
Posthumus et al. (2010), which are framed in the theory of soil con provides. Appendix 4 presents the semi-structured interview models for
servation practice adoption.7 The description and descriptive statistics both the member producers and the associations’ management officers.
regarding independent variables can be found in Appendix 3. The social Both the formulation of the questionnaire and the content analysis
capital variable whose effect is relevant in this study corresponds to the entailed deductive and inductive iterations. First, we administered the
institutional dimension specified by Prager and Posthumus (2010) and questionnaire deductively on the basis of the literature review and
Posthumus et al. (2010). For quantitative empirical purposes, social theoretical framework. Then, we conducted a fieldwork pilot with two
capital is measured by proxy variables. This study took network mem interviewees, which we used to adjust the questionnaire. Subsequently,
bership as the proxy of social capital (Rodríguez and Pascual, 2004; and through deduction, we carried out the content analysis through a
Swinton, 2000; Putnam, 2003; Bourdieu, 1985), referring specifically to preliminary coding list based on a qualitative operationalization matrix.
membership of formal agricultural associations or native Amazonian Finally, we performed further content analysis through inductive coding
communities. and modification of the coding list.
Therefore, the following empirical model is specified: Both associations are located in the department of Junín in central
Peruvian Amazonia (Fig. 2). Because both are in the same department,
Uin = β0 + β1 X1i + β2 X2i + β3 X3i + β4 X4i + β5 X5i + β7 X7i + β8 X8i
any geographical differences between the two cases are minimal. Some
+ β9 X9i + β10 X10i + β11 Ai + β12 Ii + β13 Ai Ii + e of the characteristics of the associations and interviewees are outlined in
(3) Appendix 5.
The information collection stage took place over two weeks (one
where: week for each association) from February 24 to March 7, 2020. We then
transcribed and analyzed the interviews using the content analysis
● Uin is a binary dependent variable of the nth decision to adopt sus technique with the help of Atlas. ti software package. The content
tainable soil practices (n = 1, 2 …,5) by agricultural producer i; analysis followed a coding protocol based on the semi-structured in
● Ai is a binary variable that takes the value of 1 if agricultural pro terviews and other codes contained in the deductive iterations. This
ducer i belongs to an agricultural association, and 0 otherwise; protocol can be found in Appendix 6.
● Ii is a binary variable that takes the value of 1 if agricultural producer
i self-identifies as indigenous, and 0 otherwise; 4. Results
● Ai Ii is the interaction variable that takes the value of 1 if producer i is
an association member and self-identifies as indigenous at the same 4.1. General statistics of cocoa producers in Peruvian Amazonia
time, and 0 otherwise;
● Xki is the k-th relevant independent variable (k = 1, 2, 3, …, 10) that Cocoa is Peru’s sixth-biggest agricultural product in terms of culti
characterizes agricultural producer i vated area, accounting for 4% of the total production area in Peru
● βi is the parameters to be estimated and e, the error term. (Table 2). According to the 2018 ENA, producers in the study area
allocate an average of 127,546 kg of cocoa for sale per year. The average
For the estimation of probabilistic models, we used the Stata statis size of a cocoa plot is 9.9 ha in the study area, which means that cocoa
tical software package. cultivation is characterized by producers who sell 12.8 tons of cocoa per
hectare per year.
3.2. In-depth analysis: qualitative methodology Amazonian cocoa producers are predominantly educated to primary
level, and have an average age range of 30–50 years. Very few belong to
For case studies to contribute to the cumulative development of an association (12%) or self-identify as indigenous (14%), while an even
knowledge and theory, they must explore the same phenomenon, pursue smaller proportion have some form of quality certification for their
the same research objective, adopt equivalent research strategies, cocoa granted by an institution (2%).8 To sum up, cocoa cultivation in
formulate the same set of standardized questions, and select the same Peruvian Amazonia is predominantly small-scale, individual, and low
theoretical approach and set of criteria (George and Bennett, 2005). quality, and is dominated by middle-aged farmers with limited
Following these guidelines, we studied two prototypical cases of the education.
selected research study categories: (i) an agricultural association made The most widespread sustainable soil practice is the non-use of
up of non-indigenous cocoa producers (CAC Pangoa); and (ii) an agri chemical fertilizers, followed by the non-use of pesticides. The least
cultural association made up solely of indigenous cocoa producers widespread, on the other hand, is the adoption of agroforestry systems.
(Kemito Ene). The differences in the results of our analysis of the two The use of organic fertilizers and the control of pests without pesticides
allowed us to identify the relevant relationships with respect to the is slightly higher among member producers compared to non-member
situation prior to the association’s formation and to the selection con ones, but the use of chemical fertilizers is also higher. Indigenous pro
dition of being indigenous. Likewise, the comparison between the two ducers use fewer chemical fertilizers but also fewer organic fertilizers
allowed us to determine the characteristics related to the presence of and tend to control pests without pesticides to a greater extent, and to
both connections at the same time. better manage organic waste, than non-indigenous ones. On the basis of
The data collection method entailed semi-structured interviews this evidence, it appears that indigenous producers employ more “nat
through field visits. We interviewed 15 producers from CAC Pangoa and ural” forms of crop management.
14 from Kemito Ene. These 29 producers met the selection conditions of The results of the estimation of probabilistic models to analyze the
being a member of their respective associations for at least one year and adoption of sustainable soil practices are shown in Table 3 and Table 4.
having different educational levels and ages. We identified and pre In all probit models the log pseudolikelihood estimator and the chi-
selected the producers with the help of the association managers; square were significant, indicating that the independent variables
however, during the fieldwork we used snowball sampling. In addition, together determine the adoption decision of Amazonian cocoa pro
we interviewed a management officer from each association to further ducers regarding each practice. Appendix 7 shows the correlation matrix
for all explanatory variables (see Table 5).
7
The inclusion of these variables controls for the possibility of having
omitted relevant variables for the decision to adopt sustainable soil practices
8
and assess the robustness of the model. Appendix 1 to 3 present all descriptive statistics.
467
Fig. 2. Geographical location of the associations studied.
468
Table 2
0.593***
CULTIVATED area and agricultural production in peru.
− 0.252
dy/dx
0.059
Agricultural product Area (Ha) % area Production (ton) % production
–
Corn (all species) 547,439 12% 3,855,429 7%
PEST CONTROL WITHOUT

Coffee 433,793 10% 370,198 1%
Robust Std.
Rice 424,465 10% 3,435,585 6%
Errors
0.138
0.166
0.520
0.049
Potatoes (all species) 322,280 7% 5,123,297 9%
Bananas 162,386 4% 2,171,880 4%
Cocoa 160,493 4% 137,056 0%
PESTICIDES
Barley 155,542 4% 645,056 1%
− 69770.5
1.565***
95.43***
0.122**
− 0.155
− 0.666
Wheat 126,652 3% 194,279 0%
0.079
1394
Cassava 104,537 2% 1,261,256 2%
3
Bean (all species) 96,485 2% 147,127 0%
Peas 81,655 2% 191,136 0%
− 0.163***
Oil palm 68,273 2% 921,306 2%
− 0.026
Note: *p < 0.1; **p < 0.05; ***p < 0.01. B=Coefficient of the explanatory variables. None of the above variables introduced numerical problems into the model estimation.
Others 1,708,795 39% 39,477,318 68%
0.197*
dy/dx
APPROPRIATE MANAGEMENT OF
Total general 4,392,793 100% 57,930,923 100%
–
Source: Ministry of Agriculture of Peru, 2018
Std. Error
Robust
4.1.1. Organic fertilizers
0.200
0.257
0.620
0.517
ORGANIC WASTE
About the “use of organic fertilizers” variable, 8.5% of the variation
is explained jointly by the regressors in the complete model of Table 4.
− 1.012***
− 1.199***
The marginal effects indicate that being indigenous reduces by
–35241.5
15.72***
1.227**
− 0.165
21.2% the probability of using organic fertilizers but being both an as
0.029
1394
sociation member and indigenous increases it by 41.7%. Therefore, the
3
fact of being a member implies a change in organic fertilizer adoption
NON-USE OF CHEMICAL FERTILIZERS
0.343***
behavior among indigenous cocoa producers. This is the only practice in
− 0.002
− 0.141
dy/dx
which the “Member and indigenous” variable take a different direction
compared to the significant direction of “Amazonian indigenous” and is
–
compatible to the “Membership of an association” significant direction.
Robust Std.
It is worth noticing, comparing Tables 3 and 4, that “Membership of
Errors
0.142
0.152
0.395
0.053
an association” is significant when there are no controls and loses
relevance when introducing variables that characterize the producer
such as level of education and age.
− 0.472***
− 61273.6
1.230***
0.570***
90.96***
− 0.124
0.063
4.1.2. Agroforestry systems
1394
Results of the probit model for five sustainable soil practices and social capital proxies marginal effects.
As to the “adoption of agroforestry systems” variable, 7.2% of the

B
3
variation is jointly explained by the regressors in the complete model.
− 0.005
− 0.015
0.068*
dy/dx
The interaction between being both a member and indigenous positively

influences the adoption of agroforestry systems, increasing by 8.5% the
probability of adoption, which implies a significant positive correlation –
AGROFORESTRY SYSTEMS
Robust Std.
with the adoption of agroforestry systems, compared with the non-

Errors
significant results of the other social capital variables.

0.161
0.166
0.370
0.080
4.1.3. Non-use of chemical fertilizers

− 1.706***
− 20186.6
In turn, 5.7% of the variation in the “non-use of chemical fertilizers”

0.742**
− 0.053
− 0.165
variable is explained by the regressors jointly according the complete

15.72
0.007
1394
model. The only correlated social capital variable is “Amazonian

B
indigenous,” which increases the probability of not using chemical fer

− 0.254***
tilizers by 34.3%. Likewise, the model indicates that the “agricultural

0.066**
0.233**
ORGANIC FERTILIZER APPLICATION
technical assistance” variable is significant but negatively related to the

dy/dx
non-use of chemical fertilizers.

–
Comparing Tables 3 and 4, the variable of membership in an asso

Robust Std.
ciation loses significance when we introduce controls. In this case, the

variable of “Agricultural technical assistance” captured the effect that
Errors
0.161
0.335
0.613
0.064
was previously assigned to the “Membership of an association” variable.

According, to the complete model, receiving agricultural technical
− 380046.9
− 1.560***
− 1.181***
assistance would reduce the adoption chemical fertilizers by 80%. We

30.38***
0.407**
1.430**
believe that being member of an association was relevant because they

0.053
1394
gave technical assistance and information regarding the non-use of

B
chemical fertilizers. In this specific practice one could see that assistance
and capacitation seems to have more influence compared to other var
Log pseudolikelihood
Degrees of freedom
Membership of an
Pseudo R squared
iables such as education or age.

association
indigenous
indigenous
Member and
Chi-squared
Amazonian
VARIABLE
4.1.4. Adequate management of organic waste

Intercept
Table 3
For the “appropriate management of organic waste” variable, 16.2%

is explained jointly by the regressors in the complete model. Being
N
469
N. Cancino et al.
Table 4
Results of the probit model for five sustainable soil practices and all their marginal effects.
ORGANIC FERTILIZER APPLICATION AGROFORESTRY SYSTEMS NON-USE OF CHEMICAL FERTILIZERS APPROPRIATE MANAGEMENT OF PEST CONTROL WITHOUT PESTICIDES
ORGANIC WASTE
VARIABLE B Robust dy/dx B Robust dy/dx B Robust dy/dx B Robust dy/dx B Robust dy/dx
Std. Std. Std. Std. Std.
Errors Errors Errors Errors Errors
Degraded soil − 0.100 0.153 − 0.018 0.147 0.191 0.011 − 0.153 0.131 − 0.051 0.286 0.183 0.036 − 0.156 0.120 − 0.061
Financial market − 0.130 0.170 − 0.023 − 0.608** 0.238 − 0.045** − 0.130 0.138 − 0.044 0.373** 0.173 0.047** − 0.289** .13,320 − 0.114**
access
Quantity of cocoa − 0.000* 0.000 − 0.000* 0.000 0.000 − 0.000 − 0.000 0.000 0.000 0.000** 0.000 0.000** − 0.000 0.000 0.000
for sale
Cocoa plot size 0.001 0.004 0.000 0.007* 0.004 0.001* 0.003 0.004 0.001 0.003 0.006 0.000 − 0.004 0.003 − 0.002
Membership of an 0.163 0.195 0.029 0.111 0.243 0.008 − 0.006 0.195 − 0.002 − 0.816*** 0.300 − 0.103*** 0.069 0.190 0.027
association
Amazonian − 1.192*** 0.397 − 0.212*** − 0.135 0.323 − 0.010 1.022*** 0.250 0.343*** − 1.075*** 0.413 − 0.136*** 1.444*** 0.233 0.567***
indigenous
a
Member and 2.341*** 0.755 0.417*** 1.138* 0.632 0.085* − 0.421 0.668 − 0.141 - – – − 1.383** 0.671 − 0.543**
indigenous
Agricultural 1.870 1.177 0.333 0.504 1.163 0.038 − 2.393** 1.033 − 0.803** 2.422* 1.269 0.307* − 2.617*** 0.982 − 1.028***
470
technical
assistance
Cocoa plot 0.315 0.235 0.056 − 0.052 0.269 − 0.004 − 0.130 0.181 − 0.044 0.275 0.267 0.035 − 0.229 0.167 − 0.090
Certification 0.399 0.427 0.071 − 0.249 0.480 − 0.019 − 0.025 0.451 − 0.009 0.097 0.521 0.012 0.856* 0.496 0.337*
Educational level 0.106** 0.048 0.019** 0.022 0.044 0.002 − 0.044 0.037 − 0.015 0.130** 0.054 0.017** − 0.037 0.036 − 0.014
Age of cocoa 0.338** 0.153 0.060** 0.359** 0.165 0.027** − 0.035 0.122 − 0.012 0.068 0.158 0.009 − 0.068 0.113 − 0.027
farmer
Farmer working − 0.006 0.006 − 0.001 − 0.014* 0.008 − 0.001* 0.004 0.006 0.001 0.010 0.007 0.001 0 0.005 0.000
experience
Intercept − 2.139*** 0.367 – − 1.818*** 0.517 – 0.925*** 0.310 – − 2.894*** 0.455 – 0.756*** 0.293 –
N 803 803 803 799 803

Log − 24679.2 − 12911.969 − 39993.516 − 18421.221 − 43489.214
pseudolikelihood
Chi-squared 51.99*** 29.69*** 56.05*** 53.59*** 107.73***
Degrees of freedom 13 13 13 12 13
Pseudo R squared 0.085 0.072 0.057 0.162 0.0955
Journal of Rural Studies 94 (2022) 462–476

Note: *p < 0.1; **p < 0.05; ***p < 0.01. B=Coefficient of the explanatory variables. None of the above variables introduced numerical problems into the model estimation.
a
The variable “Members and indigenous” was dropped for the analysis of “Appropriate management of organic waste” because it imposes a problem for the estimation of the probabilistic model, since the maximum
likelihood estimate for the coefficient of “member and indigenous” in this circumstance is negative infinity. Otherwise put, the model cannot converge with “Member and indigenous” in it. This situation is not uncommon
when there is a small sample, as here. There are few observations with “Member and indigenous = 1” and “Appropriate Management of Organic Waste = 1”, so the data set does not have enough information to reasonably
estimate the effect of “Member and indigenous” = 1 on this outcome.
Table 5 account previous characteristics of producers.

Number of mentions of feelings of distrust in both associations.
Kemito Ene CAC Pangoa 4.2. In-depth study cases: qualitative results
Distrust in the association’s management 7 61
Distrust in the association 14 103 This section is divided into three parts. First, we describe how social
capital is present in the case studies; then we explore the nature of the
1/More than one mention per interview considered.
observed soil practices; and finally, we present the implications of in
equalities between producers on soil conservation.
indigenous reduces the probability of properly managing organic waste
by 13.6%, while being an association member reduces it by 10.3%. 4.2.1. Social capital
Separately, the “agricultural technical assistance” variable is also sig
nificant: the greater the agricultural technical assistance, the greater the 4.2.1.1. i. Type of social capital. The type of social capital witnessed in
adoption of organic waste management. the agricultural associations and native communities studied is pre
dominantly formal, since they have organizational bases: structure,
4.1.5. Pesticide-free pest control adoption authorities, operating rules, etc. They share common rules, norms, and
In this case, 9.6% of the variation in the “pesticide-free pest control” sanctions. Most of the members interviewed noted that there were rules
variable is explained by the regressors jointly in the complete model. linked with organic certification; rules linked with forest management
The marginal effects indicate that being indigenous increases the like and cocoa agroforestry systems; and operating rules linked to the
lihood of controlling pests without pesticides by 56.7% but being an decision-making process and attendance at meetings.
association member as well as indigenous reduces it by 54.3%. As the Social capital is not totally spontaneous and requires a maintenance
“Amazonian indigenous” variable direction is significant and positive, it expense within the associations to exist. For example, international
might seem that the variable “Member and indigenous” one could imply cooperation and the state contributed to the foundation of Kemito Ene,
that the interaction with the association influences negatively the replicating a common pattern that played out in Peruvian Amazonia for
adoption of this practice between indigenous producers. the creation of agricultural associations in recent years (Dourojeanni,
This could also be explained with the agricultural technical assis 2019). Likewise, the managerial interviewees from both associations
tance results, pesticide-free pest control halves the likelihood of its stated that technical assistance and training for members is constant.
adoption. It may be that training does not necessarily prevent farmers We also found that motivations are instrumental. Not only were the
from using pesticides or promotes the use of chemicals. Another worth benefits received cited as one of the reasons for joining an association,
noticing result is that holding certification increases the probability of but they were also among the reasons for remaining within the structure.
adopting pesticide-free pest control by 33.6%. In this regard, the relationship gain is based on both the knowledge of
the recipient and the integration of the actors into a common social
4.1.6. Social capital structure. Instrumental motivation must be achieved for members to
The results of the probabilistic models indicate that the proxy vari remain within the structure. Therefore, they must feel that they receive
ables of social capital were not significant for the adoption of all sus the benefits that motivated them to join the association in the first place.
tainable soil practices. It is challenging to conclude only with The benefits identified as the minimum motivational basis of social
quantitative results the relations between social capital and sustainable capital were: training and technical assistance, improvements in prices,
soil practices adoption. and fair weighing. When asked which benefit they consider the most
First, we believe that the “Membership of an association” variable important, the most common answers that members gave were training
while is the best proxy we could find, it does not perfectly approximate and technical assistance, as well as financial aid in the form of loans and
social capital, and data base could have few observations for some es inputs.
timations. We found a negative correlation only for proper management Therefore, loyalty in the association and propensity to obey the rules
of organic waste, and no significant relationship with the adoption of depend on several factors, but the most important of them is achieving
any other sustainable soil practice. instrumental motivation. However, the age of the member or the length
Also, when looking through “Member and indigenous” variable, we of time in the association also have a positive influence on loyalty. The
found that being a member of an association increases the probability of older an individual is and/or the longer they have been a member, the
using more agroforestry systems and organic fertilizers for indigenous more likely they will be to stay with the association because they wish to
producers, but at the same time discourages pest control without pes avoid a sense of loss of the time and effort invested. Thus, the associa
ticides in this population. As indigenous producers already have sus tions with older members have less work to do to retain the trust of their
tainable practices regarding non-use of pesticides, associations could be members. On the other hand, trust is endangered when there is gener
not so relevant in the adoption of this practice, or they might impose a ational change and when higher educational levels are achieved.
negative influence. In general, this could show that membership in the Therefore, younger associations such as Kemito Ene need to realize the
case of indigenous producers could have a mixed effect. benefits of building trust in the process of consolidating themselves.
The “indigenous Amazonian” variable was shown to be significant The type of social capital witnessed in native communities is also
and positive for the non-use of chemical fertilizers and pest control formal. All these communities have forms of internal organization,
without pesticides. However, it was significant and negative for the use common rules, norms, and sanctions. Native communities develop
of organic fertilizers and adequate management of organic waste. Once community assemblies, community decision-making, and shared work
again, indigenous cocoa producers would appear to practice more practices known as ayni or minka.9 The interviewees stated that they
“natural” management of their cocoa crop. were better able to share a home, food, feelings, etc. when they didn’t
Other interesting results are those related to organic fertilizer think about the potential economic benefits of this interaction. These
application, for which membership of an associations loses relevance responses provide evidence of relationships that differ from those be
when introducing variables that characterize the producer such as level tween settler members, which tend to be framed by shared occupation of
of education and age; and non-use of chemical fertilizers, for which the the same formal social structure and not necessarily spaces of friendship.
same variable loses significance when the variable of technical assis
tance is introduced. This could indicate that membership of an associ
ation is relevant if they ensure technical assistance and information 9
Ayni refers to mutual help or mutual support between families; and minka,
regarding the non-use of chemical fertilizers, or when take they take into to community or cooperative work for social purposes.
471
I mean, we are united, we have regulations, statutes and we work in package, we found that in both associations trust was closely linked to
minka […] as well as the authorities when they carry out ordinary the perception of clear benefits or rules11 and influenced their rule
tasks, [we are] all united. There is not a single person who is adherence. While CAC Pangoa members complained more about
disobedient [ …], we are an organized community. Now in March we perceiving fewer benefits, they also exhibited greater disobedience,
are going to start mutual aid, minka, today for you, tomorrow for me, discontent, or distrust in the rules. Therefore, the interviewees from CAC
and all united. Pangoa made more mentions of mistrust in the association, in their
fellow members, in the management, and in their neighbors compared
Interviewee 5, Kemito Ene, Boca Anapati community
to their Kemito Ene counterparts.
In the case of Kemito Ene, in which all members are indigenous Just as the decision to remain in the association or to adhere to the
Ashaninka, the feelings of solidarity and reciprocity extended beyond rules owes to instrumental motivation, trust depends essentially on the
the limits of the community to other members of the association. This generation of economic conditions and on the assurance of benefits that
differed from the comments of the Nomatsiguenga members of CAC generated it in the first place. If there is mistrust, it is revealed in rule
Pangoa, which is not completely indigenous, about their relationship disobedience of the rules and discontent, and in the member’s
with members who do not belong to this ethnicity. complaints.
Within the native communities, there are feelings of solidarity and
R10: And do you also know the other members of the association?
reciprocity that are manifested as friendship ties or relationships outside
I: Only the technician, I have forgotten his name. He is the one from the instrumental. These sentiments may have further strengthened trust
the association who advises us. Sometimes there are training sessions between neighbors and members, as can be seen in the case of Kemito
here […]. Ene, the Asháninka indigenous association. As shown in Table 6, fewer
Kemito Ene interviewees expressed mistrust of fellow members or
Interviewee 30 (Nomatsiguenga), CAC Pangoa
neighbors.
R: Do you also trust all 400 members? Kemito Ene interviewees mentioned that knowing or sensing that all
Asháninka native communities were friends or family members created
I: Yes, because we share the same language [as if we were] a family
feelings of trust. This is in contrast to the statements about mistrust
… that is why Ashaninkas, [its] interpretation is family or
towards other members in CAC Pangoa, where there are weaker ties and
brotherhood
greater mistrust.
Interviewee 2 (Asháninka), Kemito Ene
4.2.2. Soil practices adoption and conservation
With the members we are only friends. In the association, when there
The most widely adopted sustainable soil practice among producers,
is a meeting or a general assembly, we know each other. But we do
regardless of educational level, sex, or membership of an association or
not help each other with the work or economically.
native community, was the use of organic fertilizers. Second, the
Interviewee 27 (settler), CAC Pangoa diversification of crops and the non-use of pesticides. The least adopted
practice was cocoa agroforestry systems, replicating what was found in
In the native communities, in addition to the formal social capital,
the quantitative section.
there is informal social capital characterized by feelings of solidarity and
Ther results show that producers from both associations employ
reciprocity that are more intense than is evident in the relationships
similar soil practices. However, the differences are more marked when
between settlers. Therefore, it can be argued that the formal and
distinguishing by membership of a native community. More than non-
informal social capital in the indigenous association is mutually rein
indigenous members, indigenous producers mentioned that they do
forcing, increasing trust between the members.
not use fertilizers of any kind, do not use pesticides, and manage waste
better. This reinforces our previous finding: that indigenous cocoa pro
4.2.1.2. ii. Intensity of bonds. The formal social capital identified does
ducers appear to manage the cocoa crop in a more “natural” way.
not have the same strength in the two associations. There are differences
in how members perceive the institutional structures, and in their levels My habit is only to cultivate the land and that the grass becomes raw
of affiliation to them. The differences in the intensity of the ties can be material. Here we do not use chemicals, because we are aware that if
analyzed through these perceptions of rules and benefits, as well as in we use them, it impoverishes the land. Maybe settlers use that, but
the comments regarding feelings of trust. there are fatal consequences.
First, a higher proportion of CAC Pangoa members said that (i) they
did not know the association’s rules, incentives, or sanctions, (ii) they
disobeyed the association’s rules, or (iii) they were unhappy with the
Table 6
rules governing organic cocoa production. Second, in CAC Pangoa, the
Number of interviewees and their feelings of distrust and trust IN Other asso
complaints were more numerous and covered a broader range of topics, ciates and neighbors.
ranging from a lack of perceptible improvements in their quality of life
Kemito Ene CAC Pangoa
to the ineffectiveness of the training received—none of which were
among the complaints made by Kemito Ene producers. Considering that Trust in associates 11 12
these benefits were also the most mentioned by members, it might be Trust between neighbors 3 7
Distrust of associates 0 7
said that CAC Pangoa are failing to provide the minimum benefits Distrust of neighbors 1 2
necessary for the formation of social capital.
Third, having analyzed co-occurrences using the Atlas TI software 1/Maximum of one mention per interview considered.
10
“R” refers to the researcher while “I” refers to the interviewee.
11
The co-occurrences were focused on the codes linked to benefits: training
and technical assistance, loans, institutions, better weighing, market links, ex
ports; and rules: presence of formal rules in the association, association meet
ings, and organic cocoa rules. For more information about codes, see Appendix
6.
472
Interviewee 3 (Asháninka), Kemito Ene related to the adoption of these sustainable practices.
Therefore, membership of an association can influence soil conser
They have taught us how to do to increase production, to prune, to
vation through the adoption of sustainable soil practices, especially
fertilize […] but we still do not practice [the land] well because we
when the members hold organic certification, stick to the association’s
do not add chemical inputs, we [manage] naturally.
formal rules, and thus receive training and technical assistance. As a
Interviewee 5 (Asháninka), Kemito Ene prior condition, associations must ensure the minimum benefits are
realized so that producers are motivated to adhere to these rules.
However, we found during our fieldwork that indigenous producers
Within the native communities, other reasons for soil conservation
also employ non-sustainable practices, such as crop expansion by way of
have to do with the collective indigenous imaginary, whereby soil and
slash and burn.
forest is considered as inheritance. This differs from the settlers’ imag
The engineer tells us "no, you are polluting, even the fertilizer [is inaries. The propensity to maintain their intergenerational residence in
pollution]," but a long time ago my grandparents burned so they the same native communities also sets the indigenous members apart as
could sow. They burned because we don’t have a chainsaw to go more dependent on the territory they are located in, leaving them more
down and chop. It rots […] Of course some of my Asháninka brothers vulnerable to its deterioration.
knock [the vegetation] down, they don’t burn, and they leave it
So we conserve for the future of our children. If the others want to cut
almost until it rots [ …]. I also burn because I’m in a hurry [ …].
down, that is their business, but we keep [the forest] that way for our
Interviewee 10 (Asháninka), Kemito Ene children.
Another important point concerns the subdivision practices used. Interviewee 14, Kemito Ene
Indigenous producers employ more parceling practices than settlers do
Our descendants are going to stay here, and we try to look after the
because they tend to inherit land. However, there are differences among
land [ …]. We are not going to sell anything, this land is going to be
the indigenous people themselves. Nomatsiguenga producers cannot
for my grandchildren, for my children and for their descendants […].
parcel their lands due to the high population density in their territories,
We are going to take care of it.
or because their lands are closer to populated areas where crop expan
sion is no longer possible. Among Asháninka producers, the Boca Ana Interviewee 4, Kemito Ene
pati community carries out more parceling practices because is further
Changes in practices adopted after joining the association were
away from the population centers and has a larger surface area
mainly concentrated on reforestation and reduction of waste burning
available.
and slash and burn in accordance with the rules framed by organic
When asked about the practices that best conserved the soil, 13 of the
certification.
15 interviewees from CAC Pangoa and 13 of the 14 interviewees from
As to the differences in forest conservation between indigenous
Kemito Ene stated that their association had a positive influence on soil
producers and settlers, in each native community there were specific
conservation. After a co-occurrence analysis using Atlas. TI software, we
rules for forest management, and the indigenous mentioned having
found that the main reasons for soil conservation that association
“natural reserves.12” Likewise, the self-perception of the Asháninka and
members cited were (i) organic cocoa rules, (ii) the benefits provided by
Nomatsiguenga producers is that they conserve more than the settlers,
the association in the form of training and technical assistance, and (iii)
because (i) they have the means to coordinate better among themselves;
the association’s formal rules.
(ii) land inheritance is an important consideration, and (iii) the forest is
Formal rules regarding organic cocoa production were one of the
seen as a source of resources (animals and wood for self-consumption).
main reasons for the associations’ promotion of soil conservation. These
rules included, for example, better management of organic waste, the
4.2.3. Inequalities between producers and environmental injustices
prohibition of the use of pesticides or chemical fertilizers, and the use of
We found that between associates and indigenous producers there
organic compost. Second, the training and technical assistance provided
are differences when it comes to the adoption of sustainable soil prac
by the associations aided soil conservation. Both indigenous and non-
tices that are linked to the level of soil health and the territory. First,
indigenous producers stated that they had improved their soil tech
opinions regarding the state of soil conservation differ between settler
niques after joining an association, through the access to training,
and indigenous producers. A large majority of the former perceive their
technical assistance, and fertilizers, infrastructure, tools, and inputs for
soil as degraded, while indigenous producers perceive it as mostly
production that this provided them.
healthy or partially healthy. Among those settler producers who saw
R: Do you think then the cooperative has helped you much with soil their soil as degraded, there were both conservation-minded opinions
conservation? and the imaginary of “taking advantage of the land while it is possible.”
The latter was in evidence especially in cases where the association did
I: Yes, because of the fertilizers and the training.
not provide sufficient benefits and development opportunities within
Interviewee 16, CAC Pangoa agricultural production, and where the producers were younger and had
other, alternative subsistence activities.
Kemito Ene has taught us how to prune, they also tell us [that] if we
do not prune the plant, it will not produce and it will age and it will I see that the town is already closer and I have to get more out of it
not give us any production. But before we only saw it growing and [the soil], because the population is growing more here, and five
we took out the seed [ …]. Now we know what to do, how to prune years from now, everything will be part of the town. But my mother
and also how to keep up that pruning […] thanks to them. says, "No, we are going to ruin the land," [and I reply] "but mother,
five years, ten years, so what? Right now [we] get should take
Interviewee 8, Kemito Ene
advantage, then all this is going to be for housing." If we were far
This is consistent with the quantitative results, in that certification away, inland, by the Ene [River], I would also look after the soil.
was positively related to the probability of using pest control without
Interviewee 20 (under 35, higher education), CAC Pangoa,
pesticides. Likewise, technical assistance was positively correlated with
pest control without pesticides, appropriate organic waste management,
and non-use of chemical fertilizers. Even though these variables were
separate from the social capital variables under the quantitative meth
odology, our fieldwork shows that membership of an association can be 12
Natural forest land that indigenous communities usually possess or hold.
473
Yes, it is important [to take care of the soil]. If we ruin our soil, where pesticides in this population; and that membership of an association
else are we going to go? Here there is no farmland available either, so loses relevance when introducing variables that characterize the pro
we have to take care [of the soil]. ducer such as level of education and age; and non-use of chemical fer
tilizers, for which the same variable loses significance when the variable
Interviewee 27 (over 60, primary education), CAC Pangoa,
of technical assistance is introduced. Qualitative research could go
Second, among the same indigenous producers, perceptions of soil deeper in the conditions that had to be met for the relation of social
health differed. Those native communities closest to population centers capital and soil conservation to be significant and positive.
cited higher levels of soil degradation than those that were more iso The conditions are, first, to ensure the instrumental motivation of
lated. Indigenous producers who reported having degraded soil were formal social capital in agricultural associations. The instrumental
from the native communities closest to the population centers: Boca motivation must be satisfied so that members adhere to the structure and
Kiatari near Pangoa and Puerto Shampintiari close to Selva de Oro. stick to the rules that enable soil conservation. The minimum basic
The Nomatsiguenga territory within the Boca Kiatary community benefits of instrumental motivation that must be ensured are training,
was the most degraded of all those we visited. On this, coinciding with technical assistance, fair pricing and weighing, and financial aid.
Shaver and Dodds (2008), we found that the increase in agricultural Additional variables such as a member’s age, or time in the association
activity by settlers and Nomatsiguengas alike, as well as migration of can also influence adherence to the rules.
settlers, has caused a decrease in soil fertility and deforestation. This An additional topic found in the qualitative approach corresponds to
differs greatly from the comments of members of the Boca Anapati the type of informal social capital present in the native communities,
community, which was located in a more remote geographical area than confirming the findings of Bebbington (1997), Rodríguez and Pascual
the other the communities and whose soil was healthier. (2004), Matos Mar (1976), and Mossbrucker (1990) on the existence of
Therefore, the need to adhere to more sustainable soil practices reciprocity relations, and Correa Aste (2018) on the use of said reci
among indigenous producers is also mixed. While there are some native procity in agricultural production. Informal social capital extends
communities that experience this with greater intensity (the Nomatsi beyond the boundaries of the community and appears to increase trust in
guengas, for example), there are others that might still be at a lower level the indigenous association. By strengthening the ties of formal social
of vulnerability (such as the Boca Anapati community). In the long term, capital, indigenous associations can place themselves at an advantage in
population pressure could also represent a different challenge for these ensuring adherence to soil conservation rules among their members.
communities. Following Collier et al. (2002), informal social capital in this regard
produces positive externalities of more information about the behavior
5. Discussion of other agents and information about the non-behavioral environment.
Indeed, our quantitative results show that belonging to an association
Amazonian cocoa cultivation is precarious, composed predomi and being indigenous at the same time has positive effects specifically
nantly of small-scale and individual producers and marked by low- for the adoption of organic fertilizers and agroforestry systems. In this
quality crops. State policies are focused on increasing agricultural regard, rural agricultural policies and agriculture associations can take
technology and promoting associations, and so the effects of association advantage of the informal social capital to increase adherence to specific
membership on natural-resource conservation need to be analyzed. rules, including those related to conservation.
We found that producers currently practice certain sustainable soil A second condition is that agricultural associations must promote
practices. The most widespread is the non-use of chemical fertilizers and organic certification and their members’ adherence to it. The rules that
pesticides, while the least adopted is the implementation of agroforestry could contribute to soil and forest conservation are those that are framed
systems. Indigenous producers are less predisposed to using fertilizers in in organic certification. These rules include the use of organic fertilizers,
general or pesticides, and they tend to practice appropriate management the non-use of pesticides, the appropriate management of organic waste,
of organic waste. This pattern was observed in both the quantitative and the non-use of chemical fertilizers, and, on the forestry side, the
qualitative results. In this regard, the qualitative approach showed that implementation of forest plantations, reforestation, and avoidance of
although indigenous producers are engaged in more natural manage slash and burn. Certification of this type is easier to find where fine and
ment of their cultivation, they also used more slash and burn to expand flavor cocoa is cultivated. Thus, rural agricultural policies can promote
their cropland. Therefore, indigenous soil practices are not more sus organic cocoa rules and certification among agricultural associations as
tainable. This contradicts the findings of Cairns (2015) and Valqui et al. ways of increasing crop quality.
(2014) but validates those of Shaver and Dodds (2008), Rojas (1994), Another advantage to consider is that indigenous producers have
and Dourojeanni (2019). community rules regarding forest conservation, lower transaction costs
We also found that social capital can improve soil conservation, due to better coordination, and a collective imaginary about forest care
because of the trust which influences in the adherence to common rules, that could facilitate the adoption of sustainable practices. These com
sanctions and norms. This confirms the findings of Ali et al. (2007) who munity rules may be in fact allowing collective action. There is a need
showed that the probability of adopting sustainable soil practices was for policies to use this as a basis to build synergies and alliances when
higher for farmers who belonged to groups, because of cooperation, trust trying to promote resource conservation.
and sharing information, compared to other community members. This However, there are also aspects where indigenous producers are at a
also replies what was found by Cramb (2004) regarding the positive disadvantage in relation to settlers. First, the collective imaginaries of
effect of investment in social capital and farmer-to-farmer training, long-term residence in the territory—and the legal structure that frames
which led to an accelerated rate of adoption of sustainable soil practices their residence13—may be an incentive for conservation, but it also
in Barangay Ned, Phillipinnes. represents an additional pressure to conserve the soil and the forest and
The literature indicates that social capital allows the collective makes these populations more vulnerable to their deterioration. Indig
problem of soil degradation to be downplayed. However, as seen in our enous producers closer to population centers experience soil deteriora
qualitative and quantitative results, being a member of an association or tion with greater intensity (for example, the Nomatsiguenga
a native community is not enough to ensure soil conservation. Quanti community) than other communities. This is in contrast with settlers,
tative methodology showed results that were necessary to be com who, even if they experience higher levels of soil degradation might be
plemented with qualitative methodology. The quantitative model
showed that being a member of an association increases the probability
of using more agroforestry systems and organic fertilizers for indigenous 13
Peasant and native communities can only transfer their lands and use them
producers, but at the same time discourages pest control without after a decision is made at a general assembly (Urrutia and Diez, 2016).
474
inclined to migrate or to exploit the cocoa plantation if they are young. all the geographical areas. However, while the quantitative results do
Second, the support networks sustained by indigenous producers may give a general picture, the qualitative results were complemented and
represent high levels of informal social capital, but they could also imply expanded, thus partially mitigating this limitation. Future research may
greater vulnerability or dependence on reciprocity, potentially focus on more geographical areas or different native Amazonian pop
contributing to the isolation of that population (Lubbers et al., 2020). All ulations to verify these hypotheses or find more particularities.
of the above, added to the fact that indigenous producers may be more We are aware that there are other dimensions of social capital such as
reluctant to adopt sustainable soil practices such as the use of organic communal property rights, connectedness, coordination mechanisms
fertilizers or appropriate management of organic waste, poses chal and leadership that could have effect on soil conservation. Even though
lenges in ensuring the sustainable development of indigenous these are important dimensions of social capital our research focuses on
populations. social capital and its characteristics (trust; common rules; sanctions;
norms; type of motivation and formal and informal social capital) which
6. Conclusions is by itself innovating.
For future research, we suggest the exploration of social capital in
In this study we asked how social capital present in the associative other dimensions—such as connectedness in the framework of social
connections of indigenous and non-indigenous Amazonian cocoa pro network analysis, for example—that involve more specialized and in-
ducers could influence the adoption of sustainable soil practices. Our depth fieldwork. Another interesting line of research would be the
results show that it is not enough to belong to an association or a native exploration of inequality as a socio-environmental effect of soil degra
community to ensure the adoption of sustainable soil practices. Social dation on indigenous and non-indigenous producers. Finally, a larger-
capital can minimize the collective problem of soil degradation and scale meta-analysis of the Amazonian territory could facilitate identifi
ensure positive externalities, but to this end it must go beyond mere cation in greater detail of the vulnerability of indigenous producers in
membership of a structure: certain conditions are required for its comparison with settlers.
development in order to generate trust and enable adherence to con
servation rules. Funding
We also found that indigenous associations could present as many
benefits as challenges for the conservation of resources. Indigenous This article is funded by the 2020 Fund of the Vice-Rector’s Office for
producers engage in more natural management of their cocoa plots, but Research of Universidad del Pacifico.
they are also more prone to slash and burn practices that are bound up in
their ancestral traditions. Beyond this, the informal social capital pre Author contribution
sent in native communities generates more trust in the formal associa
tion structure and greater adherence to conservation rules. Additional Cancino Naara: Conceptualization, Methodology, Software, Formal
aspects, such as the indigenous and non-indigenous collective imagi analysis, Investigation, Writing – original draft, Validation, Project
naries of permanent residence in the territory, the indigenous communal administration .: Resources, Writing – review & editing, Visualization,
property structure, and population and migration pressures, mean that Validation, Supervision, Funding acquisition : Resources, Writing – re
the adoption of sustainable soil practices by indigenous producers is a view & editing, Supervision.
matter of urgency.
The results of this research can serve as a contribution to rural
Acknowledgments
agricultural and environmental policies in countries that deal with ef
fects of soil degradation and have presence of native populations. First,
We are grateful for helpful feedback provided by the participants of
we recommend the adherence to organic cocoa rules and certifications,
the Brown Bag Seminar at Universidad del Pacifico and the researchers
which are usually correlated with the cultivation of fine and aroma
of the postgraduate program of Sustainable Development and Social
cocoa. Second, policies could strengthen trust and cooperation inside
Inequalities in the Andean Region (trAndeS) affiliated with the Freie
agricultural associations in order to increase the positive effects of social
Universitat Berlin and Pontificia Universidad Católica del Peru for their
capital for the accomplishment of soil conservation rules. These policies
valuable comments during the conduction of this research. We espe
should take into account the differences between indigenous and non-
cially thank the associations CAC Pangoa and Kemito Ene, Central
indigenous soil practices (f.e. native communities use less pesticides,
Ashaninka del Rio Ene (CARE), and all the associate producers who
fertilizers and do not practice waste disposal). Third, we found that
participated in the survey. Thanks also to Arlynder Gaspar, for his
indigenous agricultural associations display a more intense social capital
valuable contribution in the translation of Nomatsiguenga and Asha
bonds which, ceteris paribus, could lead to more soil conservation.
ninka languages during the fieldwork.
Therefore, actions could be oriented to take advantage of the potential of
informal ties. These networks could be seen as allies and play a major
role to enhance cooperation and reach certain sustainability goals. Appendix A. Supplementary data
Limitations in the quantitative section are focused on endogeneity
problems due to omitted variable or measurement error. By one hand, Supplementary data to this article can be found online at https://doi.
measurement error problem could appear as the variable that approxi org/10.1016/j.jrurstud.2022.07.002.
mates social capital (belonging to agricultural associations or native
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Journal of Rural Studies 94 (2022) 462–476

Contents lists available at ScienceDirect

Journal of Rural Studies

Social capital and soil conservation: Is there a connection? Evidence from

1. Introduction Aste, 2018; Bebbington et al., 2009).

Fig. 1. Conceptual model for research.

agricultural cocoa producers in Amazonian regions were considered for

Fig. 2. Geographical location of the associations studied.

PEST CONTROL WITHOUT

NON-USE OF CHEMICAL FERTILIZERS

As to the “adoption of agroforestry systems” variable, 7.2% of the

The interaction between being both a member and indigenous positively

with the adoption of agroforestry systems, compared with the non-

significant results of the other social capital variables.

4.1.3. Non-use of chemical fertilizers

In turn, 5.7% of the variation in the “non-use of chemical fertilizers”

variable is explained by the regressors jointly according the complete

model. The only correlated social capital variable is “Amazonian

indigenous,” which increases the probability of not using chemical fer­

tilizers by 34.3%. Likewise, the model indicates that the “agricultural

technical assistance” variable is significant but negatively related to the

non-use of chemical fertilizers.

Comparing Tables 3 and 4, the variable of membership in an asso­

ciation loses significance when we introduce controls. In this case, the

was previously assigned to the “Membership of an association” variable.

assistance would reduce the adoption chemical fertilizers by 80%. We

believe that being member of an association was relevant because they

gave technical assistance and information regarding the non-use of

iables such as education or age.

4.1.4. Adequate management of organic waste

For the “appropriate management of organic waste” variable, 16.2%

N 803 803 803 799 803

Journal of Rural Studies 94 (2022) 462–476

Table 5 account previous characteristics of producers.

You might also like

indigenous,” which increases the probability of not using chemical fer

Comparing Tables 3 and 4, the variable of membership in an asso