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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.