the implementation and institutionalisation of agroforestry in western kenya

455 Pages·2001·24.18 MB·English

THE IMPLEMENTATION AND INSTITUTIONALISATION
OF AGROFORESTRY IN WESTERN KENYA:
A GENDER AND AGENCY ANALYSE
by
Helen Victoria Hambly
A Dissertation submitted to the Faculty of Environmental Studies and the Faculty of
Graduate Studies in partial fiilfilment of the requirements for the degree of
Doctor of Philosophy
York University, North York, Ontario, Canada
November 1999
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The hplementation and Institutionisation of Agroforestry
in Western Kenya: A Gender and Agency Analysis
by
Helen Victoria Hambly
a dissertation submitted to the Faculty of Graduate Studies of
York University in partial fulfillment of the requirements for the
degree of
DOCTOR OF PHILOSOPHY
1999
@
Permission has been granted to the LIBRARY OF YORK
UNIVERSITY to lend or seIl copies of this dissertation, to the
NATIONAL LIBRARY OF CANADA to microfilm this dissertation
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MICROFILMS to publish an abstract of this dissertation.
The author resewes other publicaticn rights. and neither the
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othewise reproduced without the author's written permission.
ABSTRACT
This study analyses agro for* project implementation and efforts to institutionalise new
and improved agroforestry technologies at the IocaI level. It concentrates on the case of the
CARE Agro forestry Extension Project (AEP) in Siaya District, in western Kenya, which is
one of the oldest and largest agroforestry projects in sub-Saharan fica.
Farmers in western Kenya have used trees for centuries-I n the eariy 1980s, fears of
an impending 'îvoodfuel crisis" in the region catalysed the set-up of agro forestry research
and development projects to promote technologies such as tree nurseries, dey-cropping,
multipurpose woodlots and "green" fencing with trees. Women's groups have been the
primary means through which agroforestry projects have been implemented in western
Kenya..
The theoretical fiamework of this dissertation combines insights fiom policy and
project implementation, gender relations and institutional and organisational studies. Its
research rnethodology involved in-depth interviews with 96 male and female fmers and
33 women's groups in Siaya District, as well as discussions with representatives of
government and non-govemmental organisations-Q uantitative data provided baselule
information about the farmers, women's groups and agroforestry adoption. Qualitative
data was aiialysed with NUD*IST (Non-Numencal Data Indexing, Search and Theorïzing)
software to explore famier perceptions, organisational relationships and project processes.
The analysis covers 12 years of the implementation of the AEP, investigating its
content and context between 1983 and 1995. The author argues that the project failed to
recognise farmers as social agents who act both in appreciation of, as weii as in opposition
to, the structures of a project that seeks to institutionalise agroforestry. Institutional
analysis in agrof orestry can be improved by investigating policy and project
implementation. However, gender relations influence farmers' agency and should be
incorporateci into implementation aoaiysis.
This study concludes that efforts to institutionalise agroforestry at the local level
failed to take into account the extent to which agroforestry was already being practised by
farmers, the abandonment of some agroforestry technologies and the collapse of women's
groups. On these Eonts, in fact, there was de-institutionalisation as a resuit of project
implementation.
This study would not have been possible without the support of many individuals and
organisations. The hard work and collaboration of the field research team: Sylvan
Oteku, Beatrice Akinyi, John Pedha, Gabriel Okech, Serphine Obanda and Jenta
Opwapo and also, the many fmers and women's groups in Siaya which paaicipated in
the individual and group farmer inte~ewasr e gratehliy acknowledged.
Funding for this research was provided by the John G. Bene Fellowship in
Social Forestry organised by the International Development Research Centre (IDRC)
and the specid Eco-Research Fellowship supported by Environment Canada.
There are many others to thank for their technicaI and moral support to this
study. In The Hague, Amin Kassam and Mirela Zoita kindly assisted in proofieading
and formatting of the manuscript. Joachim Voss (IDRC), Christian Bontt Fnedheim,
Stein Bie and Zenete França always provided encouragement. Sara Scherr generously
shared her field data, Peter Ondiege at the University of Nairobi assisted with
York/Nairobi university collaboration and Jeff Odera and Paul Ongugo at KEF'RI
provided institutional support and policy-related information. CARE-Kenya and CARE-
Canada often facilitated my fieldwork and their openness to discussing the project was
appreciated. My doctoral committee members, Bonnie Kettel and Patricia Stamp have
always been great mentors. Don Freeman provided valuable inputs on earlier drafts. 1
especially wish to acknowledge the great support of Bill Found, my supervisor, who
provided guidance throughout my Ph-D. program. Finally, 1 express my heartfelt
gratitude to my husband, Hannington, our son Rupert, as well as my parents, brothers
and sisters and many dear fkiends in Canada and Kenya who encouraged me through this
process.
vii
FOREWORD
This dissertation responds to the requirements of the PhD. program in Environmental
Studies at York University, Canada. The Ph.D. program (FES) offers an opp\srtUnity to
pursue interdisciplinaryr esearch that brings theory into practice and bases practice in
theory. My Ph.D. Program Plan concentrated on the field of "Environments, Institutions
and Interventions". This area, according to the FES guidelines,
.. . focuses on the relationship between human institutional frameworks and the
social and cultural construction of human environrnents. In these terrns,
uenvironrnentnr efers to the individual, social, organisational, built, and natural
situations that are initiated by the direct and indirect interventions of human
institutions in their settings (e-g., through analysing, understanding, cnticising,
organising, planning, designing, policy rnaking and managing).
My Program Plan set as its main objective the analysis of agroforestry research and
development institutions in sub-Saharan AiÏica fiom a theoretical viewpoint of feminist
political ecology. This dissertation represents the final step of my Program Plan. It
follows completion of approximately eighteen rnonths of course work and comprehensive
examinations in four areas: 1) Gender, Environment and Development, 2) Land Rights,
Markets and Expropriation, 3) The State and Women's Agency in AfEca, and 4) Rural
Planning and Women's Role in Agriculture. As recognized in my Program Plan, and
subsequently, explained in the course of this dissertation, an interdisciplinary approach
and the need to comect theory and practice are fundamental to advancing environment
and development studies.
Table of Contents
....................................................................................................
COPYRIGHT PAGE II
CERTIFICATE PAGE ................................................................................................ III
ABSTRACT ....................................................................t..........................................I..V.
.........................................................................................
ACKNOWLEDGEMENTS VI
.............................................................................................................
FOREWORD VIlI
.......................................................................................
TABLE OF CONTENTS I X
............................................................. .
LIST OF TABLES XLII
LIST OF FIGURES.. ............................................................................................ .......XV
LIST OF ANNEXES ................................................................................................. XVI
.
1 INTRODUCTION ...................................................................................................... 1
1 .1 THER ESEARCH PROBLEMAN D QUESTIONS ...................................................... 3
1.2 THEC ASES TUDY.. ................................................................................................ 8
1.3 RESEARCHM ETHOD AND APPROAC.H... ................ ..... ......................................... 11
1.4 RELEVANCE AND OVERVIEWOF THE STUDY. ................... .. .............................. 13
1.5 OVERVIEWCIF THE DISSERTATI.O...N... .................................................................. 17
Notes ................... ....................................................................................... 18
.-
.
2 PROJECT IMPLEMENTATION AND INSTITUTIONS: DEBATES AND
CONCEPTUAL FRAMEWORK ............................................................................... 22
2.1 INTR .......O............D...........U............C..........~...ION 22
2.2 POLICYA ND PROJECTI MPLEMENTASTTIUODNIE .S.. .............................................. 23
2.2.1. Generations of Implementation Analysis ...................................................... 25
2.2.2. Transitions in Implementation AnaZysis ....................................................... 31
2 -3 ORGANISATIOANNSD INSTITUTIONS ...................... ... ..... . ................................ 35
2.3.1 Structure and Agen cy.. ................................................................................... 39
2.4 FEMINIST PERSPECTIVOENS DEVELOPMEANNTD ENVIRONMEN...T... ..... .- ... ... -42
2.4.1 Gender Analysis und DeveZopm ent Policies and Projects ...................~4~3 ~~~~~~~
2.5 CONCEPTUASCL HEMAFO R AGROFORESTRPYR OJECTM LEMENTANAALTYSIIOS N
... ...................................................................................................... 49
..................a.
2.6 S ~ ...........Y............... ................................................................................... 51
Notes ............................................................................................................ 52
3.1 I N T R o D u ~ N.. .................................................................................................... 56
.............................................................
3.2 CHARACTERISTOICFS T HE STUDY h E A 57
3.3 CASES TUDYA ND QU ALITA^ RESEARC.H.... ..................................................... 65
3.4 RESEARCMHE THOD.S.. ..................,.................................................................... .7 0
Phase 1: D ata Collection ...................... .. .......................................................... 73
Phase 2: PreiimHiary Data Analysis and Feedback ................... ..,. ...................... 73
Phase 3: Final Data Analysis ................................ ....................................... 73
.,
3-41R esearch Team and Role of Rerenrch Assistants .......................................... 74
3.4.2 Selection of Farmers and Women 's Groups. ................................................. 75
3-43 Phase 1: Data Collection .............................................................................. 79
Archival research and analysis of secondary fiterature. ......... ... ..... ......... . 79
Fanner interviews .......... ........... .. ................................................................. 80
Interviews with women's groups ........................................................................ 82
Official interviews .............................................................................................. 83
Other sources of information .............................................................................. 83
3.4.4 Phase 2: PreZiminary Results and Feedback ................................................ 84
3-45P hase 3: Final Data Analysis .............................................................. 85
3.5 SUMMAR..Y... ................. .. ................................................................................ 90
Notes .............................................................................................................. 91
.
4 AGROFORESTRY XN WESTERN KENYA: HISTORICAL AND
................................................................................
CONTEMPORARY CONTEXT 95
4.1 ~NTRODUC~ON... ................................................................................................... 95
4.2 THEL UOP EOPLE( P mL uo) ....... ., ................~~....................................................9. 5
4.3 TRADITIONAAGLR OFORESTARMYO NGTH E LUO. ......................... .... ................ 98
4.4 COLONIAINLF LUENCE ON AGROFORESTIRNYS I AYA.. ........................................ 103
4.5 AGROFORESTRY-RELATEPDO LICYIN ITIATIVES IN KENYA, 19 63 -95 ................... 109
4.5.1 Eqansion of National Policy and Programmes ........................................ 110
4-5-2R ehant Policies and Programmes at the District Level ............................ 117
4.5.3 Non-Govemmental Organisations QVGOs) ............................................... 122
4.5.4 Organisational Linkages in Agroforestry. ....~.............................................. 125
4.6 SWMMAR...Y... .....................................................................................................1 27
Notes ............................................................................................................. 128
. ...............................~......~............
5 EVOLUTION OF THE CARE AEP (1983-95) 133
5.1 INTRODUCT...I..O.....N.... .............................................................................. 133
5.2 DATAS OURCEASN D ORGANISATIONAANLA LYSIOSF THE AEP ...................... ,.. 133
5-3 ORIGNSO F THE AEP ....... ...........,. , ................................................................ 135
5.3.1 National and International Linkages ........................................................... 137
5.3.2. Design of the AEP ......................................................... .. . .14 0
5.4 CARE AEP, 1983-86: THE START-UP YEARS .............. ,. ............................... 144
5.4.1 AEP Diugnosis and Design of Prototype Agroforestry Technologies-. ....... 146
5.4.2 Expansion of the AEP .................................................................................. 152