FACULTY OF AGRICULTURAL SCIENCES Institute of Agricultural Economics and Social Sciences ...

320 Pages·2017·6.5 MB·English

FACULTY OF AGRICULTURAL SCIENCES

Institute of Agricultural Economics and Social Sciences in the Tropics and Subtropics

University of Hohenheim
Social and Institutional Change in Agricultural Development

Prof. Dr. Regina Birner

GOVERNANCE CHALLENGES IN POST-CONFLICT AGRICULTURAL
RECOVERY PROGRAMS IN NORTHERN UGANDA:
A COMPARATIVE STUDY OF THE NORTHERN UGANDA SOCIAL
ACTION FUND (NUSAF) AND THE NATIONAL AGRICULTURAL
ADVISORY SERVICES (NAADS)

Dissertation

submitted in fulfillment of the requirements for the degree

“Doktor der Agrarwissenschaften”

(Dr. sc. agrar./ Ph.D. in Agricultural Sciences)

to the

Faculty of Agricultural Sciences

2015

Presented by

EMMY WASSAJJA

Born in Ntinda-Kampala, Uganda
This thesis was accepted as a doctoral dissertation in fulfillment of the requirements for the
degree “Doctor of Agricultural Sciences” (Dr. sc. agr.) by the Faculty of Agricultural Sciences
at the University of Hohenheim.

Date of oral examination: 3 May 2016

Examination Committee
Supervisor and Reviewer: Prof. Dr. Regina Birner
Co-Reviewer: Prof. Dr. Andrea Knierim
Additional Examiner: Prof. Dr. Manfred Zeller
Head of Examination: Prof. Dr. M. Rodehutscord
Committee

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TABLE OF CONTENTS
TABLE OF FIGURES ......................................................................................................................... vi
TABLE OF TABLES ......................................................................................................................... vii
PICTURES ........................................................................................................................................... vi
DEDICATION .................................................................................................................................... vii
ACKNOWLEDGEMENTS ................................................................................................................viii
LIST OF ABBREVIATIONS ............................................................................................................ xvii
1 INTRODUCTION ........................................................................................................................ 1
1.1 Overview..............................................................................................................................1
1.2 Problem
statement.........................................................................................................................................2
1.3 Research objectives and research questions........................................................................6
1.3.1 Specific objectives ......................................................................................................... 7
1.3.2 Research questions ....................................................................................................... 7
1.4 Structure of the thesis..........................................................................................................8
2 LITERATURE REVIEW ............................................................................................................. 9
2.1 Overview...............................................................................................................................9
2.2 Theories of corruption........................................................................................................11
2.2.1 De Graaf’s classification of theories ............................................................................ 11
2.2.2 Theory of ethical decision-making in organizations: A person –situation interactionist
model 13
2.2.3 Degree of organization ............................................................................................... 15
2.2.4 Institutional location of the actors.............................................................................. 15
2.2.5 Nature of the transactions .......................................................................................... 16
2.2.6 Systemic corruption .................................................................................................... 17
2.2.7 Motive or purpose ...................................................................................................... 18
2.3 Dimensions and determinants of corruption......................................................................18
2.3.1 Dimensions of corruption ........................................................................................... 18
2.3.2 Determinants of corruption ........................................................................................ 19
2.4 Impacts of corruption on public service delivery................................................................21
2.5 Corruption in procurement................................................................................................23
2.5.1 Entry points for corruption in procurement of goods and services ........................... 24
2.5.2 Control of corruption in public procurement ............................................................. 25
2.6 Interventions to curb corruption in public service delivery...............................................29
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2.6.1 Supply-side strategies ................................................................................................. 29
2.6.2 Demand-side strategies to control corruption ........................................................... 35
3 CONCEPTUAL FRAMEWORK ............................................................................................... 38
3.1 Introduction........................................................................................................................38
3.2 Description of the conceptual framework.........................................................................40
3.2.1 Overview ..................................................................................................................... 40
3.2.2 The Supply-side of public service delivery .................................................................. 43
3.2.3 The Demand-side of public service delivery ............................................................... 45
4 STUDY AREA AND PROGRAMS ........................................................................................... 50
4.1 Background on Uganda.......................................................................................................50
4.1.1 Agricultural extension reform in Uganda over the years............................................ 53
4.1.2 The Plan for the Modernization of Agriculture (PMA) ................................................ 54
4.1.3 The Northern region of Uganda .................................................................................. 55
4.1.4 Agricultural livelihoods reconstruction in Northern Uganda ...................................... 62
4.2 The NAADS program...........................................................................................................64
4.2.1 NAADS within a broader policy context ...................................................................... 64
4.2.2 NAADS structure and functioning ............................................................................... 66
4.2.3 Provisions in NAADS design to address the governance challenges .......................... 71
4.2.4 NAADS implementation in reality-insights from literature ........................................ 72
4.3 The NUSAF program...........................................................................................................77
4.3.1 NUSAF within a broader policy context ...................................................................... 77
4.3.2 The rationale for the NUSAF program ........................................................................ 80
4.3.3 NUSAF structure and functioning ............................................................................... 82
4.3.4 Provisions in NUSAF to addresss the anticipated governance challenges ................. 85
4.3.5 NUSAF implementation in reality-insights from the literature ................................... 89
5 RESEARCH DESIGN AND METHODS .................................................................................. 93
5.1 Data sources and methods................................................................................................94
5.1.1 Primary data sources .................................................................................................. 94
5.1.2 Secondary data sources .............................................................................................. 99
5.2 Data quality assurance......................................................................................................100
5.3 Data management and analysis.......................................................................................101
5.4 Ethical issues.....................................................................................................................102
6 RESULTS AND DISCUSSIONS ............................................................................................. 103
6.1 Overview...........................................................................................................................103
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6.2 NAADS implementation process in practice....................................................................103
6.2.1 The implementation process of NAADS using the Process-Influence Mapping
procedure .................................................................................................................................. 103
6.2.2 Level of influence of the different actors on the quality of inputs delivered to the
beneficiaries .............................................................................................................................. 107
6.2.3 Governance challenges in NAADS implementation .................................................. 111
6.3 NUSAF implementation process in practice.....................................................................170
6.3.1 Implementation process of NUSAF using the process Influence-Mapping procedure170
6.3.2 Levels of influence by the different actors in NUSAF implementation .................... 173
6.3.3 Governance challenges in NUSAF implementation .................................................. 179
7 QUANTITATIVE SURVEY RESULTS .................................................................................. 222
7.1 Household characteristics, income levels and enterprises...............................................222
Household characteristics, income levels and enterprises ............................................... 223
7.2 223
7.3 Access to information about NUSAF/NAADS .................................................................... 225
7.4 Benefits obtained from joining the groups ....................................................................... 225
7.5 Working together in the community (Social capital) ........................................................ 226
7.6 Level of satisfaction and constraints in the programs ...................................................... 227
7.7 How can the problems be solved and adequacy of Services and adequacy of services of
services offered by the programs? ............................................................................................... 228
7.8 Support to join group ........................................................................................................ 229
7.9 Main source of motivation to join NAADS/NUSAF affiliated groups ................................ 231
7.10 Procurement issuess, accountability and access to inputs ............................................... 232
7.11 Entitlements and group leadership .................................................................................. 233
7.12 Main benefit from joining the group ................................................................................ 234
Group participation and leadership .................................................................................. 235
7.13 235
7.14 Challenges that group leaders face to get inputs to their members ................................ 236
7.15 Trust by beneficiaries in programme implementation ..................................................... 237
Perception of honesty of the beneficiaries towards the program implementers ............ 238
7.16 238
7.17 Comparisons of responses between group leaders and non-group leaders .................... 240
Support to join the group ................................................................................................. 240
7.18 240
7.19 Decision making within the farmer groups ....................................................................... 241
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7.20 Procurement problems (comparison of group leaders and non-group leaders) ............. 242
8 GENERAL DISCUSSION OF RESULTS ............................................................................... 242
8.1 Key Supply-side constraints affecting NAADS and NUSAF implementation ..................... 242
8.2 Key Demand –side constraints affecting NAADS and NUSAF implementation ................ 249
9 RECCOMENDATIONS, CONCLUSIONS AND POLICY IMPLICATIONS ....................... 256
9.1 Policy implications ............................................................................................................ 260

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TABLE OF FIGURES
Figure 2.1: Interactionist model of ethical decision making .................................................... 14
Figure 3.1: The accountability triangle .................................................................................... 39
Figure 3.2: Conceptual framework .......................................................................................... 42
Figure 4.1: Map of Uganda showing the Northern sub-regions .............................................. 52
Figure 4.2: Map of northern Uganda showing the study areas ................................................ 56
Figure 4.3: NAADS organogram ............................................................................................. 70
Figure 4.4: : Institutional structures and linkages for the implementation of NUSAF ............ 84
Figure 6.1: Process Net- Map 1 for NAADS procurement process ....................................... 106
Figure 6.2: Perceived levels of influence of the different actors ........................................... 107
Figure 6.3: The mean influence level..................................................................................... 108
Figure 6.4: NAADS implementation challenges ................................................................... 109
Figure 6.5: NUSAF procurement process Net-Map .............................................................. 170
Figure 6.6: Levels of influence of actors ............................................................................... 175
Figure 6.7: NUSAF mean influence level of actors ............................................................... 176
Figure 6.8: NUSAF implementation challenges .................................................................... 177
Figure7.1: Main source of motivation to join NAADS/NUSAF affiliated groups ................ 232
Figure 7.2: Main benefit from joining the group ................................................................... 235
Figure 7.3: Challenges that group leaders face to get inputs to their members ..................... 237
Figure 7.5: Perception of honesty of the beneficiaries towards the program implementers .. 239
Figure 9.1:Proposed interaction between the Supply and Demand-side strategies for improved program
perfomance ............................................................................................................................. 259

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TABLE OF TABLES
Table 2.1: De Graaf’s classification of theories of corruption ................................................. 12
Table2.2: Definition of terms related to corruption ................................................................. 17
Table 2.3: Procurement challenges .......................................................................................... 24
Table 4.1: Comparison of beneficiary targeting in NAADS and NUSAF programs Source:
Adopted from NUSAF operational guidelines......................................................................... 68
Table 4.2: Summary of the structure of NAADS and actor responsibilities ........................... 69
Table 5.1: Summary of data collection .................................................................................. 101
Table 6.1: Entry points for corruption in procurement of goods and services in NAADS-
insights from the study ........................................................................................................... 110
Table 6.2: Entry points for corruption in procurement of goods and services in NUSAF ..... 178
Table 7.1: Household characteristics ..................................................................................... 223
Table 7.2: Income levels and enterprises ............................................................................... 224
Table 7.3: Access to information about NUSAF/NAADS .................................................... 225
Table 7.4: Benefits obtained from joining the groups ........................................................... 226
Table 7.5: Working together in the community (Social capital) ............................................ 227
Table 7.6: Level of satisfaction and constraints in the programs ........................................... 228
Table 7.7: How can the problems be solved and adequacy of services to farmers ................ 229
Table 7.8: Support to join group ............................................................................................ 230
Table 7.10: Procurement issuess, accountability and access to inputs .................................. 233
Table 7.12: Entitlements and group leadership ...................................................................... 234
Table 7.13: Group participation and leadership ..................................................................... 236

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PICTURES
Picture 5.1: Step 1 of the Process Net-Map ............................................................................. 95
Picture 5.2: Final step of Process Net- Map ............................................................................. 95
Picture 5.3: Focus group discussion session in progress ......................................................... 97

APPENDICES
Appendix 1: Questionnaire For NAADS/ NUSAF Affiliated Farmer Groups ...................... 288
Appendix 2: Characteristics of Group Members ................................................................... 293
Appendix 3: Subcounty NAADS Farmer Institutions ........................................................... 294
Appendix 4: NAADS Phase 1 – Procument for Advisory Services ...................................... 295
Appendix 5: Flow of Funds for NAADS Activities .............................................................. 296
Appendix 6: Flow of Funds for NUSAF Activities ............................................................... 297
Appendix 7: NUSAF Subproject Cycle ................................................................................. 298
Appendix 8: Bechmarks for 12 Month Sub-project cycle ..................................................... 299
DEDICATION

I dedicate this work to my family especially the children and grandchildren of my late
grandfather,the family of the late Alimansi Ssali and to my three daughters Bridget Tina
Nabadda, Catherine Muggale, Devine Mercy Naluwembe and my son Andrew Kaggwa
Musanje.

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