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Figure 1 The sustainable livelihoods framework12
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trade-offs Analysis of institutional
influences on access to building blocks and composition of strategy
portfolio Analysis of building
blocks: trade-offs, combinations,
sequences Contextual and
policy analysis
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2. Poverty reduced
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Po l i c y t y p e s a n d m e d i a t i n g s t ru c t u re s
The impact on people and their livelihoods of different types of policy is conditioned by the different structures which ‘channel’ or mediate each policy. These structures can be classified as either institutions or organisations. Key institutions include markets and formal legal codes, as well as the media.16 Key organisations include government service delivery and law enforcement agencies, as well as private-sector or civil society groups which deliver services under contract to government. Macroeconomic, regulatory and rights-based policies operate primarily through institutions. The former type of policy will typically be transmitted through markets: devaluation increases the price of imported goods in the inputs market, while interest-rate rises will increase the cost of borrowing in the formal-sector credit market. The latter two types of policy will typically involve changes in the law or in official rules governing access to resources: land tenure reform will extend or restrict rights of access to ‘natural capital’, while social assistance policy may extend different groups’ entitlement to transfers and even introduce new rights, such as the right to paid work which underpins some employment guarantee schemes.17 Rights-based policies will also tend to depend on the media to ensure that people are aware of their rights and can claim them. Other types of policy operate primarily through organisations. Governance reform policies (such as decentralisation) change the allocation of resources and responsibilities among different branches and/or levels of government, or between government and the private sector. Organisational change policies alter the allocation of resources and responsibilities within a particular government organisation, such as a sectoral ministry. Some policies may operate through both institutions and organisations: an example would be a forest policy which both changed the law on access to state-owned forests and devolved decision-making to front-line forestry officers. Where a policy operates through institutions, its impact on livelihoods will be conditioned by the extent to which people operate within those institutions (for example the extent to which they conduct transactions in the market or consider themselves to be bound by formal rather than customary law). Where it is channelled through organisations, the impact of policy will depend on the extent and nature of people’s interactions with those organisations (for example the size of their presence on the ground and the degree of fear or trust which they inspire). In addition, the shape in which a given policy reaches people and, indeed, whether it reaches them at all, will be significantly influenced by the internal politics and priorities of the organisation through which it is channelled.
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IDS Sustainable Livelihoods Programme research in Bangladesh included a detailed case study of an attempt to ‘privatise’ a fishpond (beel) which had formerly been treated as a common-property resource by local residents. The case highlighted the role of party affiliation and links to state structures (including the police) in determining access to natural capital. This led the researchers to conclude that ‘contests over state and non-state resources in the context of unequal power relationships amongst the claimants’ were such a significant influence on livelihood strategies and outcomes that the SL framework should be modified to include ‘political capital’ (Toufique 1999: 1). This echoed the recommendation of Booth et al. (in an analysis predating the development of the SL framework) that political capital should be included in ‘a more comprehensive conceptual framework for analysing the assets of the poor’ (1998: 15). However, Booth et al. treat ‘political capital’ as effectively synonymous with power, and therefore as a factor at the intra-household and intra-community levels as well as in vertical relations with state structures. While this approach highlights important issues (in particular of gender relations), it does not address the need to identify the power of an individual, household or group specifically in relation to the structures most directly involved in policy formulation and implementation, that is, the institutions and organisations of the state.
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B o x 3
C h a ra c t e ri s t i c s o f d i f f e r e n t p o l i c y m e a s u r e s
In addition to external factors (mediating structures and the local context), the likelihood that a given policy measure will influence specific livelihood resources, strategies and outcomes will be affected by the attributes or characteristics of the measure itself. Design characteristics, such as stated objectives and targeting, will determine which groups, resources and strategies fall within its scope and which are excluded. Commitment, which includes the level of support the measure enjoys from policymakers and senior implementing agency staff as well as the importance given to it by ‘street-level bureaucrats’, will affect the strength of its influence on mediating institutions and organisations. The same applies to the human and material resources committed to the implementation of a measure, including the level of management capacity in the implementing agency. Links between the ‘champions’ of the measure and other important stakeholders determine whether its impact will be strengthened by complementary initiatives or undermined by contradictory ones, as well as the extent to which it is open to influence by people outside the implementing agency (including the poor and their allies). Finally, time is also important because it will affect the degree to which any lack of impact can be attributed to other factors; if a measure is very recent, it may be too early to make judgements about the extent of its influence.
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B o x 4
A n a l y s i n g p o l i c y f o r s u s t a i n a b l e l i v e l i h o o d s : a c h e c k l i s t Part 1: Livelihood priorities
1 Who and where are the poor? 2 What are their livelihood priorities?
3 What policy sectors are relevant to these priorities?
Part 2: The policy context
1 What is policy in those sectors? 2 Who makes policy in those sectors? 3 What is the macro policy context?
Part 3: Policy measures
1 What measures have been put in place to implement each policy? 2 What are the characteristics of these policy measures?
3 Through what institutions and organisations are these measures channelled?
Part 4: Policy in the local context
1 In what shape do these institutions and organisations exist locally? 2 What other institutions and organisations affect local responses to policy? 3 What other local institutions and organisations might policy affect?
Part 5: People and policy
1 What resources can poor people draw on to influence policy? 2 What opportunities exist for poor people to influence policy directly? 3 What opportunities exist for poor people to influence policy indirectly?
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B o x A 1
E t h n i c i t y a n d v u l n e ra b i l i t y i n M a l i
Power inequalities based on ethnicity can be a major factor in social exclusion, which in turn accentuates the vulnerability of the excluded. However, the case of the village of Dalonguebougou in Mali’s Southern Sahel illustrates that this is not inevitably the case, and emphasises the point that social difference within ethnic groups can in fact play a more significant role in determining vulnerability. Dalonguebougou has been dominated by Bambara people since it was first settled over a century ago. They control access to land and water and have consistently refused to allow households belonging to the minority Maure ethnic group to dig wells from which to water their herds. The village also has a large number of Bambara farmers who have come in recent years to cultivate fields within its territory, but who return after the harvest to their villages of origin (where they have had to abandon their own fields as a result of constant losses to crop pests). These households belong to the same ethnic group as the dominant households in the village. However, they do not have the status of permanent residents, and must rely on kinship obligations alone for the continued right to farm in Dalonguebougou. With increasing pressure on land in the village, these obligations have come under strain. As a result, the livelihoods of the visiting Bambara are less secure than those of the Maure households, who despite their apparent second-class status in the village have developed long-term relationships with the resident Bambara (based on contracts to exchange the manure from their herds for water from Bambara wells) which have proved robust enough for past attempts to expel them from the village to have come to nothing.
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B o x A 2
H e a l t h a s a p ri o r i t y f o r t h e r u r a l p o o r
SLP research in Ethiopia and Mali has demonstrated that shortage of labour is often a critical constraint for poorer households in rural areas. While such shortages may result from a number of factors (including the position of the household in the demographic cycle and government policies such as forced recruitment of young men into the military), several SLP case studies demonstrate how the prolonged illness or death of a person of working age is one of the factors most likely to push the whole household into poverty. People in all the study areas emphasised the threat to livelihood sustainability which ill-health represents, and access to health care was accordingly given a very high priority when they came to identify areas for action to protect livelihoods. In the Malian village of Dalonguebougou, for example, the first initiative undertaken by the newly-formed community association was the mobilisation of local residents to respond to the absence of government-provided health care by establishing their own village dispensary.
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B o x A 3
Ve t e ri n a r y s e rv i c e s i n Et h i o p i a
During the final years of the Derg régime in Ethiopia, there was a collapse in the provision of veterinary services by the state. The incoming government of the Ethiopian Peoples’ Revolutionary Democratic Front (EPRDF) took several years to begin to re-establish service provision, and when it did so it introduced an emphasis on cost recovery which meant that many livestock keepers were unable or unwilling to use the official services. The Derg’s restrictions on private veterinary practice have meanwhile been kept in place, except for animal health practitioners licensed under a new government programme. These practitioners are overwhelmingly concentrated in areas of commercial livestock and dairy production close to the major cities. Though some NGOs have secured local-level government approval for their efforts to train paravets or community animal health workers, national policy remains opposed to granting official status to this type of practitioner. This situation has left livestock keepers in remoter areas with little option but to resort to purchasing drugs from illegal suppliers and treating their animals themselves. Such treatment is often ineffective, since under-dosing in an effort to save money is a widespread practice. Incidence of trypanosomiasis (the main killer of cattle in lowland areas) climbed sharply with the collapse of government services after 1989, and has continued to rise in those areas where services have not been re-established. In one SLP study area, Mundena, 22 per cent of the entire cattle herd had been lost to trypanosomiasis in a single year (1996). Although government policy is beginning to emphasise re-establishing services in areas classified as ‘pastoralist zones’, SLP research has demonstrated that a large proportion of the households pushed into poverty by the loss of cattle to trypanosomiasis live in areas where it is not pastoral livestock raising but smallholder agriculture which predominates. These households own fewer cattle, and are thus less able to sell healthy animals to cover the costs of treating the remainder of the herd. For them, cattle deaths not only mean the loss of assets which provide some insurance against destitution, but also represent a threat to household food security since they reduce the availability of plough oxen and manure for agriculture. Livestock loss is particularly damaging for women, for whom the production and sale of butter is often the principal source of income. Government policy on veterinary services thus has significant implications for livelihood strategies based on petty trade and agriculture, as well as for those which emphasise livestock-raising.
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