Browsing by Subject "Institutionen"

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Activating institutional innovations for hunger and poverty reduction : potential of applied international agricultural research
(2015) Kamanda, Josey; Birner, Regina
The CGIAR system has made several attempts to improve its organizational structure, the latest being a reform process initiated in 2009. A key issue that has been debated over the years is how the CGIAR centres are best placed within the range of institutions involved in agricultural research and development. The CGIAR still faces the unresolved dilemma between a focus on upstream research that produces international public goods versus downstream activities that ensure impact. Therefore, there is a need to review the CGIARs position on this important question, and to obtain the views of centre scientists and other actors on this question. It is equally important to develop objective approaches to assess the comparative advantage of the CGIAR within the spectrum from upstream research on IPGs to downstream technology dissemination, taking context-specific factors, such as national capacities into account. Case studies are suitable to better understand what works in diverse circumstances and the conditions that have, so far, driven centres to engage in downstream activities. To fill these knowledge gaps, this study used a comparative qualitative case study approach focusing on the legume breeding program of the International Crops Research Institute for the Semi-Arid Tropics (ICRISAT). The studies were conducted in India, Malawi and Ethiopia, a set of countries that makes it possible to study variation in the capacity of national systems. Data was gathered using a combination of methods including a participatory mapping technique called Net-map, expert opinion interviews and a review of relevant documents. Respondents were purposively selected and included ICRISAT scientists, national partners, non-governmental organizations (NGOs), seed corporations, male and female farmers and other stakeholders involved in the research and promotion of improved groundnut and chickpea varieties. The narrative policy analysis confirms that there are contrasting views on whether the CGIAR should primarily focus on the production of IPGs, or also conduct more uptake-oriented activities. The dominant story is that the IPG concept is ideal for framing CGIAR research in a niche that would not be served by the private sector or national systems. The counterstory is that the CGIAR can only achieve impact if attention is paid to both research and development-oriented activities. In view of these contrasting views, which cannot easily reconciled, there is a need to develop objective and practical criteria for assessing the comparative advantage of the CGIAR, taking context-specific factors into account. Using the case studies to illustrate the transactions involved in the development and uptake of technologies, propositions are derived regarding the attributes of transactions for which international agricultural research centres (IARCs) have a comparative advantage over national systems. The analysis indicates that basic and strategic research transactions, such as molecular breeding, have high economies of scale and spillover potential and should ideally be carried out by IARCs. On the other hand, adaptive research, promotion and seed multiplication transactions have low economies of scale and spillover potential and should therefore be ideally assigned to national systems. Besides these two attributes, which are also highlighted in the literature on international public goods, the analysis revealed that transaction intensity and the scope for elite capture and corruption also influence the comparative advantage of the CGIAR centres. Applying this normative framework to the case studies, the influence of contextual factors, especially capacity of national systems, emerges as critical factor. Even though the legume varieties developed by ICRISAT fitted agro-ecological conditions in the target countries, the adoption of these varieties was hampered by institutional constraints. All legumes varieties included in the case studies remained “on the shelf” after their release until ICRISAT got itself involved in seed production and promotion. Capacity building in national systems should be an important role of the CGIAR to ensure that improved varieties are sustainably adopted on a large scale. However, organizations that fund development were found to have a tendency to avoid the difficult and long-term task of capacity strengthening of national systems, and instead use the centres to fill the capacity gaps, which induced the centers to engage in downstream activities. Decision-making and resource allocation for research under the CGIAR Research Programs (CRPs) should therefore take into account the issue of NARES capacity. The centers should constantly assess capacities of national systems to carry out activities that will enable impact in their target locations, and for their mandate crops. Finally, the centres should also manage learning from their involvement in research, as well as complementary activities.
Farming forest enclosures : contestations, practices and implications for tackling deforestation in Ghana
(2022) Kumeh, Eric Mensah; Birner, Regina
Scientists and policymakers are waking to the menacing impacts of deforestation on biodiversity and the livelihoods of the over one billion people reliant on forests. Concurrently, an upward trend in population and its corresponding rise in the global demand for feed, food, fuel, and fibre exerts new demands on limited land resources available to multiple stakeholders. As the competition over land intensifies, many farmers in the tropics employ several strategies to cultivate areas designated as forest reserves for their livelihoods, leading to further deforestation and conflicts with state forestry agencies. Moreover, despite decades of investments in institutions to directly fund smallholder farmers’ participation in rehabilitating deforested landscapes, little is known about the reach and performance of existing financial incentive mechanisms. This dissertation adds to filling these knowledge gaps based on qualitative case studies embedded in multiple analytical and data collection approaches in Ghana, which loses near 2% (135,000 ha) of its forests annually despite several efforts to overcome the challenge. Following a brief introduction and clarification of conceptual underpinning in Chapter 1, the knowledge gaps are addressed with three empirical publications (chapters 2-4). Chapter two examines why and how farmers in forest communities gain and secure access to their farmlands within forest reserves to produce food and cash crops against state law. Through process-net maps, focus group discussions, interviews, and field observation, data were gathered through an extended field stay in Ghana’s Juabeso district. The findings unbridle the multiple structural and relational mechanisms farmers apply to evade state attempts to rein in illegal farming in the area and how institutional deficiencies, notably corruption and elite capture of farming benefits by native chiefs, reinforce farming in forest reserves. The chapter discusses the broader implications of the findings for the Ghanaian government’s attempts to accelerate forest landscape rehabilitation, noting that such efforts will need to adapt to the multiple struggles and latent actor interests to succeed. Chapter three disentangles the narratives and experiences of forest communities and compares them with the current assumptions underlying forest policy in Ghana from the perspective of the most dominant forest policy actors. The results contend with current assumptions that portray forest communities as environmentally destructive. Alternatively, it reveals that while several factors combine to drive forest-dependent communities to cultivate forest reserves, the challenge of food insecurity is paramount but unconveyed to the forest policy arena. The chapter proposes a novel concept of food security corridors (FSCs) as a meta-narrative for harmonising competing actor interests in forest reserves. The chapter also discusses the feasibility of FSCs and calls for further efforts to refine and pilot the concept in the global search for solutions to forest and agriculture land-use conflicts in the tropics. Chapter four examines the governance of Ghana’s Forest Plantation Development Fund as an incentive system instituted to attract smallholders into landscape rehabilitation based on interviews with tree growers, forestry officials and NGO staff. The study revealed that the legal provisions instituted to ensure the fund’s transparent operation were not implemented by fund administrators. Many stakeholders were clueless about the Fund and could neither access nor demand accountability in its administration. The chapter clarifies the information needs of various fund stakeholders, such as eligibility criteria, funding cycles, annual inflows and outflows, and a list of beneficiaries. It also discusses the implications of the findings, including mechanisms required to trigger the transparent running of the fund by its administrators. The thesis reveals new patterns of perennial land competition between state and traditional institutions. It demonstrates how prevailing institutional challenges reinforce this competition and enable unsustainable land use to flourish. At the same, it points to lapses in governance, including state failure to evolve its forest policies to meet changing demands and needs among contemporary actors and how the same challenges curtail access and ability to support forestation rehabilitation efforts in Ghana. Overall, the thesis notes that while tackling farming in forest reserves can be challenging due to its multiple drivers and the competing actor interests, FSCs have the potential to serve as an entry point that enables government and other actors to resolve their differences and find lasting solutions that enable local communities to achieve their livelihoods needs while contributing to sustainable land use. However, for this potential to be realised, actors need to invest in refining and piloting FSCs in specific localities.
Gender and equity in market-based environmental programs : case studies from Kenya
(2016) Kariuki, Juliet; Birner, Regina
Reconciling global environmental goals with local community needs has been the focus of conservation approaches for several decades now; however scant attention has been paid to the role of gendered – men’s and women’s - dynamics within these environmental contexts. Although well-intentioned, the tendency has been to direct practical attention to only women, which offers an inadequate account of the gender-differentiated access to, and control over natural resources. Against this background, the objective of this thesis is to analyse how formal and informal institutions interact with the design of market-based environmental programs to influence gender and equity outcomes. Payments for Ecosystem Services (PES), a new addition to the suite of environmental conservation approaches, are market-based instruments that include “Reduced Emissions from Deforestation and Forest Degradation - plus - sustainable management of forests, conservation of forest carbon stocks and enhancement of forest carbon stocks” (REDD+). PES/REDD+ are considered promising tools that reward resource users financially or in-kind, on the condition that conservation of natural resources and/or a reduction in carbon emissions is achieved through the adoption of stipulated resource-use regulations. PES/REDD+ programs are therefore heralded for their ‘win-win’ potential to overcome the flaws of previous coercive state-led and community-based approaches. The case studies analyse four PES/REDD+ programs in Kenya, namely the Kitengela Wildlife Lease Program, the Mara North Conservancy, the Kasigau Corridor REDD+ Project and Imbirikani Group Ranch. The study sites host mainly pastoral and agro-pastoral communities and are adjacent to some of the most prominent protected areas in the country. The thesis concludes that more attention to the historical processes leading up to PES/REDD+ establishment is required if more equitable outcomes are to be achieved. Deliberate efforts by implementing agencies that consider the multi-dimensional nature of equity can play a crucial role in addressing distributional and procedural equity, especially in contexts where land is unevenly distributed. However, as secure land tenure is not the only determinant of equity outcomes, the study advocates for a nuanced understanding of gendered norms in an effort to contribute to selecting suitable gender strategies for PES/REDD+ programs. Ultimately, greater effort is also required to challenge prevailing—yet flawed—gender discourses if participation in, and benefits from PES/REDD+ are to become more gender balanced.
Microeconomic impacts of institutional transformation in Vietnam?s Northern uplands : empirical studies on social capital, land and credit institutions
(2012) Saint-Macary, Camille; Zeller, Manfred
Vietnam's economic achievement over the last two decades is frequently regarded as a successful case of development. The Doi Moi reform program enacted in 1986 gradually led the transition from a centrally-planned to a market-oriented economy. In rural areas, reforms entailed a deep transformation of institutions and were aimed at placing back farmers at the center of decision making as a way to boost agricultural production and alleviate poverty. Agricultural markets were gradually liberalized, user rights were transferred to smallholder farmers for most of the agricultural land, and anti-poverty programs were implemented. At the national level, the high economic growths in all sectors of the economy have permitted a drastic reduction of poverty. These successes however did not take place evenly through the country. Mountainous regions and its inhabitants have lagged behind in the process. The poverty incidence in the Northern Uplands was still twice as large in 2008 than in the rest of the country. In addition, the rapid population growth combined with the intensification and expansion of agricultural systems into fragile ecosystems have considerably increased pressure on natural resources. This accentuates the risk for resource-based economies such as Vietnam?s mountainous regions to get trapped in a vicious circle whereby environmental degradation and poverty mutually reinforce each other and durably undermine economic development. The existence of complex relations between poverty and environmental degradation in fragile ecosystems implies that equity, economic growth and environmental sustainability cannot be treated as separate objectives but must jointly be addressed to ensure sustainable development. Drawing on a conceptual framework that highlights the determinant role of institutions in the poverty-environment nexus, this thesis investigates to which extent the current institutional framework addresses objectives of equity, economic growth and environmental sustainability. It focuses on three critical dimensions: the definition of property rights, the functioning of intertemporal markets, and social capital. More specifically, the thesis addresses the following research questions: (i) Has the individualization of land access and land titling policy enhanced tenure security, and thereby increased the adoption of soil conservation practices? (ii) Has a land market emerged in the study area? (iii) Is the credit market equitable and efficient? Does state intervention induce a more equitable and efficient allocation than other sectors? (iv) Does ethnic diversity undermine collective action and the formation of social networks? These questions are investigated empirically in the six chapters of this thesis. Analyses build on a rich and primary quantitative household- and village-level dataset collected in 2007/2008 in Yen Chau, a mountainous district of the Northern Upland region, as well as on qualitative information gathered in the field through focus group discussions and informal discussions with local stakeholders. Successes of the land reform lie in its egalitarian character which enables most farmers to cultivate land with long term user rights. Yet, results show that tenure security is not fully guaranteed and land reallocations conducted by the government as well as its indecision regarding the prolongation of land use rights at the end of their term have created mistrust and uncertainty. The incertitude is found to impede the adoption of soil conservation technologies and to hamper the land market, depriving the local economy from potentially important equity and efficiency gains, and threatening environmental sustainability. The credit market, thanks to good levels of social capital, is found to function relatively well and enable all farmers including the poor to finance agricultural input and consumption through loans. The state-governed formal sector, despite offering competitive contract terms remains a secondary credit source, particularly for the poor. The costly micro-credit program of the government fails to reach the poor and is found to have only limited impact on welfare. This inefficiency causes an important leakage of state resources. Finally, we do not find as predicted by the literature, that ethnic heterogeneity undermines participation in local organizations and the formation of social networks. This impact appears to depend on the political nature of organizations, and the public nature of goods managed. Moreover, evidence shows that heterogeneity encourages bridging connections among farmers and constitutes as such a factor that can foster innovations and economic development. The contributions of this thesis are twofold. First, it identifies sources of success and failure in the current institutional framework to promote sustainable development in Vietnam?s mountainous areas from which we derive policy recommendations. Evidence in this thesis highlights limitations of the top-down approach that dominates public intervention in mountainous areas. These interventions are usually costly and not always successful in enhancing equity, efficiency and the environmental sustainability of resource use. This stresses the need for the Vietnamese government to further enhance the functioning of incentive-based mechanisms in the economy as a complement to current policies. In this perspective, the clarification of the land reform objectives, the development of a land market, the promotion of independent and financially sustainable financial institutions, the reinforcement of the legal system, and the support of the emergence of an independent civil society are all measures that may support sustainable development in Vietnam?s mountainous regions.
The role of informal institutions in agricultural development : case studies from Kenya, Pakistan and Malawi
(2017) Aberman, Noora-Lisa; Birner, Regina
Why have so many countries lagged behind in terms of agricultural development, structural transformation and poverty alleviation? This thesis is based on the proposition that a lack of attention to institutions and governance is partly responsible for the limited success in meeting food security and development goals in many developing countries, in spite of significant investments in agricultural development. In particular, the interplay between formal and informal intuitions has not been thoroughly explored, in part because this interplay is not well captured in the quantitative analytical approaches that dominate the literature on agricultural development. Informal and non-market institutions play an important role especially in early phases of agricultural development. Therefore, a better understanding of informal institutions and their interaction with formal institutions is expected to provide valuable insights on how to facilitate agricultural development more effectively and to better use its potential to promote food security, and poverty reduction. Institutions can be defined as the socially constructed formal and informal rules that constrain human behaviour and provide the framework of incentives that shapes economic, social and political life. In the literature on agricultural development, institutional analysis typically builds on the theory of neoclassical economics and draws on its analytical tools, but it appears useful to explore theoretical approaches developed in other branches of the social sciences and to apply their methodological approaches to analyse the role of institutions in agricultural development. Qualitative methods are particularly promising to provide new insights into the role of institutions in agricultural development, in particular with regard to informal institutions. The main objective of this thesis is the development and application of novel methodological approaches to analysing the interplay of informal and formal institutions in agricultural development. The thesis is based on four case studies conducted in three developing countries: Malawi, Pakistan and Kenya. The case studies deal with three selected themes of institutional development in agriculture, where the interplay of formal and informal institutions is particular important. Two themes relate to specific sub-sectors of agriculture: institutions for managing irrigation systems and institutions that facilitate agricultural exports. The third theme is cross-cutting and addresses the question how gender equity can be promoted in institutions that matter for agricultural development. Considering that institutions are nested, the case studies cover different levels, including the household, farmer group, local government and national government level. Together the case studies provide insights on how institutional analysis—with an emphasis on social institutions, informal rules, perceptions, and norms—affect agricultural development initiatives. The case studies make use of methodological approaches that are relatively novel in the field of agricultural development studies and thus serve to broaden the toolkit of methods for institutional analysis. These methods include two versions of a participatory mapping tool called Net-Map and Process Net-Map. As a third approach, qualitative interviews with the inclusion of tactile power mapping exercises have been applied. As the case studies cover different levels, the data collection methods have been applied with a wide range of participants that had highly diverse social and educational backgrounds, ranging from national-level policy actors to farmers residing in remote areas. Epistemologically, these methods support a social constructionist research approach, wherein the informal and socially constructed aspects of agricultural policy and governance can be assessed. Four distinct case studies are presented here, from Kenya, Pakistan and Malawi. Taken together, the case studies show that in a developing country context, the informal rules (described as “rules-in-play”), which are based on social norms, often play a more significant role in guiding the behaviour of economic actors than the formal rules and regulations of the state. Thus, the consideration of social norms is critical when devising policy reform strategies, devolution processes, and addressing corruption. The studies identified the following factors, which should be considered when undertaking policy development or policy reform: a) the capacity of the government to enforce rules and laws; b) social norms that determine the extent to which rules-are followed; and c) the impact of additional rules that aim to promote compliance on transaction costs. The case studies also provide insights on the role of that informal institutions play with regard to gender, power and community groups. The findings indicate that gender norms are slowly changing even in the remote area of Kenya where the case studies were conducted, which is confirmed by other empirical work. The findings indicate that such change is very slow due to internal societal pressures against it. However, a better understanding of when and how informal institutions are changing provides entry points for action. The studies indicate that there is a potential for community groups to serve as a parallel institution to that of the home, governed by constitutions and by-laws, that do enable women to push the boundaries of community gender norms, although both are embedded in the same community. And although gendered participation in groups is mixed, there are drivers that can be supported to flourish by development partners and government.
The role of institutions and networks in developing the bioeconomy : case studies from Ghana and Brazil
(2019) Scheiterle, Lilli; Birner, Regina
An increasing number of countries have begun putting focus on developing a bioeconomy strategy. The bioeconomy provides a new concept with the aim to design a sustainable economy, which is knowledge-based and based on the use of biological resources. This entails on the one hand higher production of biomass and on the other tighter networks of traditional, national and international institutions. Institutional networks are pivotal for the sustainable production and use of biological resources, as well for the development of innovative biological processes and principles to exploit the potential of biomass. This thesis explores three pivotal aspects needed to take advantage of the considerable untapped potential of the bioeconomy. The first case study aims to identify the determinants of the persisting low maize yields in northern Ghana, despite the introduction of a fertilizer subsidy program. The policy is largely regarded as an instrument to increase crop productivity and contribute to food security. The second empirical study explores the role of female-led market institutions in Ghana. Marketing is central to the development of the bioeconomy and as such, trader organizations have a key role to play the value chain. The third case study investigates, taking sugarcane as a case study example, how well Brazil, the world’s leader in sugarcane production, is positioned to realize the shift from a fossil-based to a bio-based economy (bioeconomy). The two case study countries Ghana and Brazil were chosen because of their comparable net primary productivity and pedo-climatic conditions, and because of their different stages in the realization of the bioeconomy. Two components are pivotal to the success of the bioeconomy: biomass and knowledge. Based on two case studies in Ghana, this thesis investigates first the efforts to increase maize productivity in the Guinea savanna and secondly explores the role of collective action groups as central actors to address the sustainability dimension of the bioeconomy. Brazil has successfully implemented pivotal aspects of the bioeconomy, especially in the sugarcane sector. For this reason it lends itself well to analyze the role of institutions and networks in the development of new processes and products. This study adopts a mixed methods approach to address three key aspects of the development of the bioeconomy: production, marketing, and the overall innovation system. Data collection and analysis included qualitative and quantitative methods from various disciplines. The findings are presented in three papers, which this cumulative thesis is composed of. The first paper adopts a multidisciplinary approach. A household survey, in-depth interviews, and focus group discussions served to gather data on the socio-economic challenges of maize production in the Guinea savanna. Additionally, soil and fertilizer samples were analyzed to identify natural constraints and potential governance challenges. The results from this paper show that both socio-economic and biophysical parameters contribute to an improved understanding of site-specific challenges, resulting in low maize productivity in the Guinea savanna of Ghana. The second paper explores the role of female-led market associations across regions, ethnicities, and market typologies throughout Ghana. For this study a qualitative approach was chosen with participant observation and in-depth open-ended interviews conducted with traders, both in and out of leadership positions. The results could not empirically confirm the prevailing discourse on the monopolizing power of female-led market associations. The study rather finds that traders’ collective action provides vital safety-net measures for asset-poor women engaging in risky market activity. However, the public perception is challenging female trader agencies. The third paper analyzes the role of institutions and focuses on the innovation networks in the sugarcane sector in Brazil. The study combines the novel concept of ‘biomass value-webs’ with the established National Innovation System concept. For data collection, in-depth interviews and Net-Maps as a participatory tool were applied. The results illustrate the importance of innovation networks for Brazil to become a front-runner in the future bioeconomy. In particular, it emphasizes the importance of integrating national and international private sector organizations, and the need for incentives to foster collaboration with knowledge institutions. Based on these findings, one can conclude that strengthening the efforts to tailor site-specific solutions that consider the inter-disciplinary nature of crop production, marketing and development of processes is crucial to the bioeconomy. Overall, more attention to innovation networks is required to master the challenges of the bioeconomy and take full advantage of its opportunities.