Assessing how strategies and capabilities shape the sustainability trajectories of smallholder farms in Northern Samar toward E+ESG performance

Date of Publication

12-2025

Document Type

Dissertation

Degree Name

Doctor of Philosophy in Business

Subject Categories

Business

College

Ramon V. Del Rosario College of Business

Department/Unit

Decision Sciences and Innovation Dept

Thesis Advisor

Emilina R. Sarreal

Defense Panel Chair

Louie Divinagracia

Defense Panel Member

Dennis Berino
Ruth Angelie Cruz
Dinah Purah Depositario
Arnel Onesimo Uy

Abstract (English)

This study examined how smallholder farms in Northern Samar, Philippines achieves sustainable business performance across the four dimensions: economic, environmental, social, and good governance (E+ESG). Anchored in the Sustainability Assessment for Food and Agriculture (SAFA), the Sustainable Food Value Chain (SFVC) framework, and dynamic capabilities theory, an embedded multiple-case, mixed-methods design integrated interviews and field observations with quantitative assessments of sustainability-specific dynamic capabilities (SsDCs) across fourteen domains. Four purposively selected farms represented distinct production contexts and strategy profiles.

Findings revealed that farm and farmer’s profile have influence in the sustainability performance of smallholder farms. Also, sustainability-oriented strategies enhanced farm performance when supported by substantial to large SsDCs. Dynamic capabilities mediated economic, environmental, and social outcomes but were insufficient to improve governance without formalized strategies and documentation. Value chain integration linked internal capacities with external performance where vertically structured farms achieved stronger governance and economic outcomes, while community-based circular systems fostered high environmental and social results. Although all farms reached “good” sustainability levels, none achieved the “best” category, and governance dimension got the lowest sustainability performance score for three farms, highlighting the need for institutional strengthening.

The study introduces the Integrated Strategy-Capability Framework (E+ESG-Aligned), a four-stage cyclical model showing how farms evolve from strategic intent to integration maturity through continuous learning and feedback. Broadly, recommendations focused on institutional and governance strengthening, value chain and capability development, recognition and incentive mechanisms, and social and gender inclusion. The study contributed theoretically by extending dynamic capability theory into a cyclical, community-based sustainability model, methodologically by contextualizing SAFA for smallholders, and practically by linking sustainability audits, recognition systems, and value chain programs. Limitations include contextual specificity and time-bound data, suggesting future longitudinal and comparative validation.

Abstract Format

html

Abstract (Filipino)

Sinuri sa pag-aaral na ito kung paano nakakamit ng mga smallholder farms sa Probinsya ng Northern Samar sa Pilipinas ang pagpapanatili ng sustainable na kaunlaran ng kanilang operasyon at negosyo sa apat na dimensyon: ekonomiko, pangkapaligiran, panlipunan, at mabuting pamamahala (E+ESG). Nakaangkla ito sa Sustainability Assessment for Food and Agriculture (SAFA), Sustainable Food Value Chain (SFVC) framework, at teorya ng dynamic capabilities. Gumamit ang pag-aaral ng embedded multiple-case, mixed-methods design na pinagsama ng mga panayam at obserbasyon sa field kasama ng mga kwantitatibong pagtatasa ng sustainability-specific dynamic capabilities (SsDCs) sa labing-apat na domeyn. Apat na sadyang pinili na sakahan ang kumatawan sa magkakaibang konteksto ng produksyon at mga estratehikong katangian ng mga farms.

Natuklasan sa pag-aaral na ito na ang katangian ng mga farm at magsasaka ay may impluwensya sa sustainability performance ng smallholder farms. Pinatataas din ng mga sustainability-oriented strategies ang sustainable na paglago ng sakahan kapag sinusuportahan ng makabuluhan hanggang malaking antas ng SsDCs. Ang dynamic capabilities ay namagitan sa mga kinalabasang ekonomiko, pangkapaligiran, at panlipunan, ngunit hindi sapat upang mapabuti ang pamamahala nang walang pormal na estratehiya at dokumentasyon. Ipinakita rin ng value chain integration na ang ugnayan ng internal na kakayahan at external na pagganap ay nakasalalay sa estruktura ng farm business. Mas malakas ang governance at ekonomikong resulta sa mga vertically structured farms, habang mataas ang pangkapaligiran at panlipunang resulta sa mga community-based circular systems. Bagama’t lahat ng sakahan ay umabot sa antas na “good” sa sustainability, wala sa mga ito ang nakapantay sa “best” category, at ang dimensyon ng governance ang nakakuha ng pinakamababang marka sa tatlong sakahan, na nagpapahiwatig ng pangangailangan para sa mas matibay na institusyonal na suporta.

Ipinakilala ng pag-aaral ang Integrated Strategy-Capability Framework (E+ESG-Aligned), isang apat-na-yugtong cyclical model na nagpapakita kung paano umuunlad ang mga sakahan mula strategic intent patungo sa integration maturity sa pamamagitan ng tuloy-tuloy na pagkatuto at feedback. Sa pangkalahatan, ang mga rekomendasyon ay nakatuon sa pagpapatibay ng institusyon at pamamahala, pagpapaunlad ng value chain at kakayahan, mga mekanismo ng pagkilala at insentibo, at pagsulong ng inklusyon sa lipunan at kasarian. Nag-ambag ang pag-aaral sa teorya sa pamamagitan ng pagpapalawak ng dynamic capability theory tungo sa isang cyclical, community-based sustainability model; sa metodo sa pamamagitan ng paglalagay sa konteksto ng SAFA para sa smallholders; at sa praktikal, sa pamamagitan ng pag-uugnay ng sustainability audits, recognition systems, at value chain programs. Kabilang sa mga limitasyon ang partikular na konteksto at time-bound na datos, na nagmumungkahi ng pangangailangang magsagawa ng hinaharap na longitudinal at comparative validation.

Abstract Format

html

Language

English

Format

Electronic

Keywords

Sustainable agriculture

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