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Institutional design in transformation: A comparative study of local irrigation governance in Uzbekistan

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... "Skill Significance(SS)", "Career Growth(CG)", and "Supportive Working Environment(WE)") determining the success of outcome "Employee Satisfaction (ES)". QCA allows for combination of conditions to achieve an outcome; this is viewed as an advantage for better understanding whether certain conditions either individually, or in combination, or their absence are sufficient for facilitating successful outcome (Ragin, 2000;Ragin, 2009;Schneider and Wagemann, 2010;Hamidov, et al., 2015). With these features, QCA is a suitable method for determinant conditions and outcome study, as QCA allows standardized causal analyses, concurrent testing of numerous conditions, and multifaceted results (Verhoeven and Oana, 2017, p.8). ...
... In this study, the author employs fsQCA as an analytical technique as fuzzy-sets are the sets in which an element is not limited to be a member (value = 1.00) or a non-member (value = 0.00), but in which different degrees (crossover point where its value ranges from 0.00 to 1.00) of membership exist (Verweij, et al., 2013, Hamidov, et al., 2015. Causal relations between conditions and outcomes are stated in terms of necessity and sufficiency. ...
... The QCA research method was first introduced by Charles Ragin in 1987 and became popular among social scientists that it was widely used by a variety of other disciplines -including the political sciences, international relations, business and economics, management and organization, and legal studies(Hamidov, et al., 2015). ...
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Digital technologies have changed how human work in all sectors, particularly the banking, in Thailand. As machines are taking more and more roles and responsibilities, it is important for the banks transform their human capitals who will be the key factor into driving the organizational changes into a desirable future state. This research examines the human capital transformation in the response of technological change in Thai banking sector. The research aims to examine the Thai major banks' digital workforce transformation strategies, and the consequential outcomes through the perspective of bank management and bank employees, respectively. This qualitative empirical study is conducted by evaluating the results from qualitative content analysis and qualitative comparative analysis, where data are collected mainly from expert interviews with bank management, questionnaires with bank employees; scholarly articles, working papers documents, and news and press releases are also sources of this study. The results indicate that retraining and internal mobility are the most important strategies among workforce transformation strategies. Following that, hiring digital-competent talents is an important path in building the future digital workforce. Outsourcing is a less popular strategy among case banks as they rather retain such talents with their banks, whilst releasing strategies is the least important solution toward sustainable digital transformation. The study also identifies future in-demand skills in banking sector in Thailand. The study further provides the evidence that three paths of local factors can lead to employee satisfactions: (1) the combination of appropriate skill improvement programs for employees and the absence of career responsibility pressures, or (2) the combination of supportive working environment and the absence of career responsibility pressures, or (3) the combination of appropriate skill improvement programs with supportive working environment.
... He discusses the ways in which experimental methods are often applied from a static perspective, pointing out discrepancies with attempts at institutional crafting, where institutions are considered as being endogenous to actors and changing in an evolutionary way. As metatext the same tension surfaces in contributions by Koontz et al. (2015), Thiel et al. (2015), and Hamidov et al. (2015). ...
... They revisit the literature on adaptive governance and develop a framework to guide future research and theory development in this area while also underlining the importance of methods such as action research and using practitioner knowledge to match and tailor scientific findings to specific social-ecological contexts. Indeed, all of the contributions to this SI acknowledge the emergent and contingent character of institutions and the processes changing them, while some additionally presuppose that objective institutional design according to scientific findings is possible, based on a positivist understanding of institutional settings exogenous to actors (Hamidov et al., 2015;Koontz et al., 2015;Werthmann, 2015;Thiel et al., 2015). In contrast, Ison et al. are normative with regard to the detailed characteristics of social learning processes, insisting that care be taken in framing SES situations so as to avoid reification of understandings and, consequently, achieve governance solutions best suited to specific social-ecological contexts. ...
... Nevertheless, among the more empirical contributions of this SI, Werthmann (2015) illustrates how careful application of the SES framework can enable analysts to do justice to the complexity and specificity of particular cases, here India and the Greater Mekong region, while at the same time allowing aggregate conclusions to be generated. The interrelation of methods and conceptions of institutions is also corroborated by Hamidov et al. (2015), who show how a specific analytical tool, Qualitative Comparative Analysis (QCA), has difficulties in identifying the process characteristics of purposeful institutional change and the richness of historic context that can be a factor in explaining performance levels. Problems that arise when examining the contextual, multi-scalar, path-dependent and agency-ridden process characterizing purposeful institutional change illustrate the limits of this method for addressing the micro-politics of particular contexts -here Uzbekistan. ...
... At the constitutional level, de facto property rights regarding water might be decided at the central level, according to long-term national (or even international) agricultural policies, like the Water Framework Directive or the Common Agricultural Policy in the European Union (EU) [73]. As several studies in which the author has been involved have shown, imposed changes often target the constitutional choice level, ignoring operational and collective choice rules often surviving from pre-colonial, pre-European or pre-socialist times [50,73,74,76,77]. This might partially explain the limited success of internationally supported and technologically innovative development projects in transformative contexts, being encapsulated by dysfunctional operational and collective choice rules [78]. ...
... In fact, pre-Soviet, pre-colonial or even pre-European structures have survived, indicating that institutional stability is strong and still supported by old, well-rooted and sometimes quite effective ideas. An example of this situation is the role of leadership in very diverse settings, associated with social status as a determinant for the success of new institutions like the resource users' associations (e.g., [50,69,76,77]) and the stability of existing practices resisting change. Where the process of delegitimisation was concluded, however, as in pastoral practices in Kyrgyzstan, new ideas never managed to reduce uncertainty and allow collective action to a degree that would enable the formation of new and stable institutional structures [119]. ...
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The study of conflicts over natural resources is neither governed by a coherent set of theories nor limited by strict disciplinary boundaries. Rather, it encompasses a multitude of conceptions grounded within a wide array of disciplines and epistemological assumptions concerning the links between institutional change and conflicts, often concluding in contradictory propositions. This article aims at providing conceptual guidance for the special issue, by reviewing institutional research with a particular focus on institutional change and associated conflicts and drawing some implications from transformative settings. More specifically, the paper explores certain propositions and concepts utilised by institutional economists to explain why conflicts persist despite institutional reforms explicitly or implicitly introduced to resolve them. The author revisits diverse cases from different regions to investigate key concepts related to institutional change and its implications on environmental conflicts associated to transformations, complementing this view from a political science perspective. The paper concludes by offering an overview of factors identified as instrumental in understanding the institutional change and conflict–cooperation continuum.
... Previous research has focused on single cases or countries (Biggs et al., 2009;Hamidov et al., 2015) or the impact of single policy instruments achieving a particular policy goal (Tapsuwan et al., 2014). By comparing seventeen cases -across a range of different governance situations (governance levels from local to national and substantive issue areas such as wastewater, water reuse, rainwater) -that already integrate modular technology into a centralized infrastructure, this study identifies commonalities in terms of policy instrument mixes across successfully operated modular water systems within hybrid infrastructures. ...
... These assumptions are not only appropriate for analyzing policy instrument mixes, but for many other social phenomena. For example, Hamidov et al. (2015) have used QCA to show how two configurations of three conditions (appropriate chairmanship skills, sustainable resource appropriation and effective participatory water governance) can lead to well-maintained irrigation canals in Uzbekistan. ...
... Raising a healthy gene pool, mature staff, first of all, starts with this system. Pre-school education institutions have not introduced educational, social, personal, emotional, speech, mathematical, physical, psychological, physical, and creative development programs for children "-critics point out that the analysis of reforms carried out in preschool education on December 19, under the chairmanship of President Shavkat Mirziyoev and a video platform meeting on the future tasks (Frehywot, Vovides, …, & 2013, n.d.;Hamidov, Thiel, & Zikos, 2015;Hong, Park, Surender, Reddy, & Jurn, 2001;Hornidge et al., 2011;Redfoot, 1984). ...
... The student's learning activities consist of three steps, such as collecting all information on the subject, processing the collected information, and applying information. If one of these steps is insufficient, there will be no knowledge or knowledge in the learning activities (Blank, 2013;Cohen, 1979;Hamidov et al., 2015). ...
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This article analyzes the content of the educational content linking the problematic teaching methodology with information and pedagogical technologies, interactive teaching methods in the teaching of future teachers and coaches in order to implement the pre-school education reform and the requirements of this sector. It also focuses on creating a psychological environment that is related to achieve designing the learning processes.
... Irrigation systems provide a prime example of common pool resources (CPRs). The constituent users of irrigation systemswater and infrastructurehave the defining characteristics of being difficult to exclude and are subject to competition among themselves when seeking to access the subtractable resources (Hamidov et al. 2015). Rivalry among water users may be due to inadequate water supply, issues of water distribution, or timing of water delivery. ...
... New bodies may not be perceived as legitimate, and low social capital may hamper cooperation and trust (Sehring 2007;Hamidov et al. 2015). For example, in Tajikistan, government officials have underlined the difficulty in introducing monetary mechanisms, such as water-related fees, because of a so-called 'Soviet mentality' that expects and may encourage non-payment for services including water (Sehring 2007;Matveeva 2009). ...
... micro-irrigation. In line with the literature, the awareness of water scarcity can motivate farmers to manage water resources (Hamidov, Thiel, & Zikos, 2015;Yazdanpanah et al., 2014). The perception of rare rainfall positively influenced installation (p < .05). ...
... These positive effects are in line with expectations. As the local farmers' livelihood and agricultural production heavily rely on fresh water, participation in collective water management and adoption of water-saving technologies are generally supported by village groups and local farmers (Gheysari et al., 2015;Hamidov et al., 2015). The negative effect of higher-level government interventions suggests that political interventions could hinder the establishment of participation-and collaboration-based water institutions. ...
Article
This study investigates smallholder farmers’ participation in and knowledge of village-based water user associations in north-western China, and analyzes their interplay with membership in water associations and installation and application of micro-irrigation systems. Using farmer survey data, a multivariate probit model is built to analyze the effects of influential factors. Results show significant effects of farmers’ perceptions of water shortage and its causes, attitudes to water conservation, village-based information, and incentives on the membership in water user associations and installation and application of micro-irrigation. Policies promoting micro-irrigation adoption should target decentralized water management and facilitate farmers’ participation.
... Meanwhile, with the breakdown of the Soviet system where agricultural production was well-organized and each entity or individual had clear responsibility over who had rights for land use and who managed irrigation canals, this system was no longer functional in Central Asian countries, particularly in Uzbekistan. This was most noticeable in the irrigation sector [16]. There was a huge vacuum over who was to manage and maintain on-farm (secondary and tertiary) irrigation and drainage canals, which had been managed and maintained by former collective farms during the Soviet era [17]. ...
... Additionally, though there are clear formal rules on what individual resource users must or are supposed to do, there are still practices where people follow their own traditional customs. For instance, farmers formally agree to and sign the agreement with local Water Consumer Associations (WCAs) to financially contribute for irrigation services, but in most cases, they either do not fulfill their promises or contribute through in-kind services to certain WCA employers [16,22,23]. ...
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Central Asian countries have experienced a transition from a centralized state-managed economy to a decentralized market-oriented one, and gained valuable experience in designing institutions involving common-pool resource (CPR) management. Top-down policy interventions have affected natural resource usage practices and had environmental, social and economic consequences. On the other hand, in a bottom-up transformation process, many informal practices for using local resources and many forms of cooperation have emerged and become institutionalized, adapting to the changing socio-economic context. This paper demonstrates an empirical application of the Institutions of Sustainability (IoS) framework, analyzing these emerged institutions, and governance structures in pasture and irrigation management. It studies how the physical nature-related transactions are institutionalized through the operationalization of a discriminative alignment principle. The research results show that actors' interdependencies caused by the attributes of nature-related transactions play a decisive role in institutional development in CPR management in Central Asia. The authors argue that differences in the properties of physical nature-related transactions in pasture and irrigation water use can be linked and explained through differences in the key characteristics of governance structures.
... Age and education play a significant positive and negative relationship in technology adaptation and leadership role in irrigation governance (Deressa et al., 2009;Hamidov et al., 2015). ...
... In the village of Garasha in the Forish district, there are two pilgrimage sites, named after Muhammad Sharif (MevlanaGrekushoh). The first one is the guesthouse of the blessed one, and the second one is "Jondahar Ata" ("comforter of soul") (Hamidov, Thiel, & Zikos, 2015;Moje, Quarterly, & 2009, n.d.). ...
Article
The Constitutionality of Adultery Law has been challenged in Supreme Court at the time of writing of this paper. The attempt has been to justify as to whether the adultery law, which is considered to be too medieval ought to be declared ultra-vires or it should remain as a provision in the law books. Attempt has been to make a proper analysis over this law so as to enable the Judiciary and the Legislature with certain observations which holds significance in relation to this area. The researcher finds that the adultery law in present form is archaic and treats women as a chattel of her husband. Nevertheless it‟s also found that should adultery law be given requisite amendments as suggested in main manuscript, then it would certain benefit the public welfare and specifically the emancipation of the women class.
... Thus, the importance of irrigated agriculture has been reinforced due to the growing demand for food, the increasing world population and the trend to use more and more organic products. In water-scarce regions, it becomes essential to maintain agricultural production, especially in environments undergoing transformation processes, as it is a vital source of income in rural areas with fewer resources [14,15]. Despite this, in regions that are prone to drought, water use for irrigation is an impediment to water use in agriculture and energy production [16]. ...
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Natural resources are becoming scarcer and, together with the growth of the population, a widespread situation of overexploitation is inevitable that has become the biggest challenge for today's world. In this context, the agri-food sector has a considerable environmental impact in terms of water and energy consumption. For about two decades, the Water-Energy-Food Nexus (WEF) Nexus has been trying to address this problem, focusing on efficient interrelationships among these dimensions. The objective of this work is to analyse the evolution of research on WEF Nexus in the agri-food sector and its development in scientific databases. For that purpose, a bibliometric study was carried out with publications obtained from the Scopus database, examining the main journals, authors, institutions, countries, subject areas, funding sponsors, and keywords. Moreover, a final section is specifically dedicated to the agri-food innovations in WEF Nexus in order to explore innovative aspects to effectively overcome technical barriers that hinder a real implementation of the Nexus approach. The results show that, over the past decade, Nexus research in the agri-food sector has been growing exponentially. The top country in this field is USA, the most studied area is environmental science, and the most relevant keywords are "energy use", "water budget", "food secu-rity", "sustainable development", and "water resources".
... Comparative case analysis provides a robust interpretational base to address its complexity and contextual uniqueness [35]. QCA enables planners to draw lessons to facilitate evidencebased multilevel policy interventions [2,36]. QCA methodology sits well within complexity theory due to its sensitivity to context, bridging the gap between quantitative and qualitative analysis, and addressing the conjunctural causation [2]. ...
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Regional and spatial studies, such as urban planning, energy planning, and sustainable development, address the complexity of the inter-disciplinary relationship between subsystems and their components. Such research requires multidisciplinary concepts, varied lenses, and differentiating approaches and models to address the conflict between contextual sensitivity and universal applicability. This paper reviews the debate on the research approaches adopted in regional studies and initiated by researcher Ann Markusen, followed by a review of contemporary literature on fuzziness in qualitative research. Markusen evaluated the conceptual fuzziness, empirical evidence, and policy dimensions of regional studies based on three fundamental aspects of regional and urban development studies; strong contestation of phenomena, empirical evidence to support the concept, and collective action to deal with the problems under investigation. As highlighted by Markusen almost two decades ago, conceptual fuzziness and methodological weaknesses in qualitative research persist in interdisciplinary qualitative research. In this study, we have dissected the concept of fuzziness to distinguish between Inherited fuzziness derived from the configurational complexity of a case and bequeathed fuzziness that could be transferred ahead due to a researcher’s methodological and perceptual weaknesses. Despite efforts to address the relevance, reliability, validity, and replicability of qualitative research, the field is still facing challenges from conceptual bias, methodological and operational constraints, empirical weakness, and prejudiced interpretation.
... Nonetheless, limited empirical research, in terms of configurational thinking, has been conducted to discern how the interaction effect between multiple CPR factors influences the likelihood of success in governing CPR [10,17,18]. For example, understanding the interaction effect between a resource system's geographical area and its number of users is overlooked in the CPR literature [19]. ...
Article
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Egypt, akin to many countries in the global South, has striven to promote collective management to overcome the challenges of irrigation management since the 1990s. Establishing shared pumping stations (SPSs) has been one of the cornerstones helping farmers better manage water for irrigation. Operating SPSs successfully poses collective action problems, for which there is no single set of solutions. This paper utilizes fuzzy set qualitative comparative analysis (fsQCA) to identify which conditions or configurations are sufficient or necessary for well-operated SPSs. The study draws on empirical data gathered through semi-structured interviews from 45 cases, located in Kafr El-Sheikh Governorate in Egypt’s Nile Delta. Results show that three different paths are sufficient to ensure well-operated SPSs. These are: (1) the condition of effective rules related to allocation, monitoring, and sanctions; (2) the configuration of small group size of SPSs and large irrigated sizes of SPSs; or (3) the configuration of adequate water supply and appropriate location of the SPS command area. The paper concludes that neither group size nor resource size alone explains the outcome of collective action, while a combination of both factors does. Similarly, an adequate water supply is essential to enhance users’ engagement in collective actions only when resource location characteristics do not provide alternative water sources for irrigation.
... Using irrigation water in agriculture plays a key role in the economy of the five CA countries as the agriculture sector contributes from 10 to 45 percent of the GDP and employs 20 to 50 percent of the rural population (Qushimov et al. 2007). There is an estimated 7.84 million ha of land suitable for irrigation in CA (0.77 million ha in Kazakhstan; 0.42 in Kyrgyzstan; 0.72 in Tajikistan; 1.73 in Turkmenistan; and 4.2 in Uzbekistan) with annual water use reported at 124.6 km 3 (Hamidov 2015;Russel 2018). Figure 7.1 illustrates the contribution of agriculture to national GDP, share of rural population and agricultural employment as well as water withdrawal from the major rivers. ...
... Using irrigation water in agriculture plays a key role in the economy of the five CA countries as the agriculture sector contributes from 10 to 45 percent of the GDP and employs 20 to 50 percent of the rural population (Qushimov et al. 2007). There is an estimated 7.84 million ha of land suitable for irrigation in CA (0.77 million ha in Kazakhstan; 0.42 in Kyrgyzstan; 0.72 in Tajikistan; 1.73 in Turkmenistan; and 4.2 in Uzbekistan) with annual water use reported at 124.6 km 3 (Hamidov 2015;Russel 2018). Figure 7.1 illustrates the contribution of agriculture to national GDP, share of rural population and agricultural employment as well as water withdrawal from the major rivers. ...
... As a common-pool resource (CPR), irrigation water use governance is a widely studied topic all over the world. See for instance [59][60][61][62][63][64][65][66]. Among the forms of governance outlined in the vast literature, polycentric governance, involving the community of users at the basin and the state or another authority at a higher level has gained prominence and near global acceptability. ...
Article
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While high urban vegetable demand has driven unprecedented intensification of small private irrigation in peri-urban Kenya, absence of appropriate local governance mechanisms has necessitated interventions by concerned state agencies. Based on Ostrom’s design principles for sustainable commons, this paper evaluates the robustness of the irrigation management regime emanating from involuntary self-governance among peri-urban farmers. Findings show that since conflicts were fueled by water scarcity peaks corresponding with market price peaks, the interventions overemphasized facilitating water sharing among users. With conflicting users viewed as the problem by the agency, their experiences with the resource system, existing social structures, and resource use dynamics causing conflicts were largely ignored in the change process. Consequently, narrowly focused use rules that failed to properly define important resource parameters resulted. Further, user drawing rights have no significant input requirement, monitoring of water resource condition and sanctioning of deviant behavior are overlooked due to a lack of sufficient social capital and commitment to the collective establishment. Although inherent conflicts signify high economic valuation of water access by users, the lack of local ownership of the transition process made the policy interventions fail to produce rules that can guarantee sustainable irrigation development in an environment characterized by intensive irrigation and agrochemicals application, and growing domestic and industrial water demand. Therefore, recognizing water as a commercial input, recognizing conflicting users and their experiences as an essential solution, and integrating them in a participatory manner in subsequent institutional change is deemed necessary for effective governance in the post-conflict setup.
... The transition process has been seen as an experimental laboratory, where different rules and new forms of organization have been initiated and tested (Bichsel et al., 2010). At the same time, it has been proposed that path dependence has also influenced ongoing institutional development through the persistence of actors' mental models and organizational forms (Sehring, 2009;Hamidov et al., 2015). Meanwhile, institutional complementarities between new and old institutions have also been highlighted (Brousseau et al., 2011;Steimann, 2011). ...
... The role of irrigated agriculture is increasing in response to increasing food demand, because of an increase in the world's population and a trend towards more bio-based products. It is essential to maintain agricultural production in water-scarce regions, especially in settings undergoing transformative process, since it is an important source of income in poor rural areas [26,27]. However, in drought prone regions, water-use for irrigation competes with the use of water for agriculture and energy production [28,29]. ...
Article
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Irrigated agriculture is essential to satisfying the globally increasing demand for food and bio-based products. Yet, in water scarce regions, water-use for irrigation aggravates the competition for the use of water for other purposes, such as energy production, drinking water and sanitation. Solutions for sustainable food production through irrigated agriculture require a systemic approach to assess benefits and trade-offs across sectors. Here, the water–energy–food (WEF) nexus has become an important concept in natural resource management. It has been conceptualized to analyze linkages and trade-offs between the three sectors, across temporal and spatial scales. However, the concept has so far mainly been conceptual, with little empirical evidence or proof of concept in real world cases. The objective of this paper was to take stock of the rapidly advancing literature on the WEF nexus in irrigated agriculture, and to analyze how the concept was actually implemented in research studies, and how the nexus between water, food and energy was actually dealt with. The study period ranges from 2011 to 2019, and includes 194 articles. Results showed that the WEF nexus is indeed very relevant in irrigated agriculture, and the respective literature makes up one third of all WEF nexus papers. Modeling and empirical research have caught up with conceptual synthesis studies during the last four years, thereby indicating that the WEF nexus concept is indeed increasingly operationalized. However, most studies addressed the WEF nexus from a perspective of either socioeconomic, technological or environmental categories, and they place one of the dimensions of water, food or energy into the foreground. To address sustainable development, there is a need to fully integrate across research disciplines and thematic dimensions. Such studies are only starting to emerge. These findings are an important evidence-base for future WEF nexus research on irrigated agriculture, in support of sustainable solutions for water scarce regions, especially in settings undergoing transformations.
... The method also enables assessment of contextspecific causality including conditions that might have a positive or negative effect depending on the context in which it is set (Marx et al., 2014). To date, QCA has been used to study irrigation institutions by Lam and Ostrom (2010) and Hamidov et al. (2015) using crisp and fuzzy datasets, respectively, derived from interview methods. Further, Baggio et al. (2016) assess the presence and absence of Ostrom's DPs Table 1 DPs modified by Cox et al. (2010) and endorsed by Ostrom (2010). ...
Article
In many places irrigation systems rely on robust governance for continued existence. Elinor Ostrom listed design principles that should achieve robust governance, but doubted that any list could be both necessary and sufficient to result in robust governance. To date, this assumption has never been formally tested. We conduct a meta-analysis and ultimately evaluate 62 case studies via fuzzy-set qualitative comparative analysis to identify necessary/sufficient conditions for robust irrigation system governance. We identify four necessary conditions and seven configurations sufficient for robust governance. Further, we identify a union of conditions that, when absent, are likely to result in system failure.
... Ragin 1987) and is suitable to intermediate number of cases (5-100) (Ragin, 2000: p. 25, see also . Recently, there have been first applications of QCA in institutional environmental governance analysis (e.g., Hamidov et al., 2015;Pahl-Wostl and Knieper, 2014;Bodin and Österblom, 2013;Basurto, 2013;Chen et al., 2018). However, existing literature focusses either on QCA case study applications to institutional environmental governance structures, or else, on a QCA application in general, in terms of method papers, textbooks, and handbooks (e.g. ...
Thesis
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Meine Dissertation beschäftigt sich mit den institutionellen Aspekten staatlicher Zahlungen für Ökosystemleistungen (Payments for Ecosystem Services „PES“) in China. Marktbasierte Ansätze zur Steuerung von Ökosystemleistungen, insbesondere von PES, wurden in den letzten Jahrzehnten als neue und innovative Politikinstrumente angesehen. Entsprechend diesem internationalen Trend sind PES auch in China populär, werden jedoch meist mit dem inländischen Begriff der Ökokompensation beschrieben. Einen wirtschaftlichen Anreiz für Verhaltensänderungen zu schaffen, wenn das Ökokompensations-Programm nur ein Ausgleich für gesetzliche Einschränkungen ist, kann eine Herausforderung darstellen. Die Merkmale der Ökokompensation unterscheiden sich von anderen nationalen PES-Programmen, da sich das Governance-Modell, die Eigentumsrechte und die gesellschaftlichen Strukturen in China stark von anderen Staaten unterscheiden. Die Ökokompensation steht vor vielen institutionellen Herausforderungen, wenn es darum geht, ökonomische Anreize für Verhaltensänderungen zu schaffen. Zahlungen für Ökosystemleistungen, die Elemente sowohl eines freiwilligen, marktbasierten als auch eines hierarchischen Systems kombinieren, um mit den besonderen institutionellen Rahmenbedingungen umzugehen, wurden bisher noch nicht ausreichend untersucht. Eine Wissenslücke besteht insbesondere hinsichtlich der Anpassung des Designs von PES an die institutionellen Rahmenbedingungen in China. Die Mechanismen von Zahlungen für Ökosystemleistungen in China unterscheiden sich in wichtigen Punkten von den aus der westlichen Erfahrung bekannten Mechanismen. Die vorliegende Dissertation zielt darauf ab, die Diskrepanz zwischen der allgemein gültigen Rahmung von Zahlungen von Ökosystemleistungen und der Realität ihrer Praxis zu verringern, indem sie eine institutionelle Analyse des chinesischen staatlichen PES-Programms vornimmt. Das Sloping Land Conversion Program (SLCP) gilt als eines der weltweit größten PES-Programme und ist ein wichtiger Bestandteil der Ökokompensation. Das erste Ziel dieser Dissertation ist es, anhand des SLCP als empirische Fallstudie zu verstehen, wie das institutionelle Design des staatlichen PES in China verbessert werden kann. Das zweite Ziel ist in einem breiteren internationalen Kontext zu sehen und zielt darauf ab, einen methodischen Beitrag zur Analyse der Governance von Ökosystemleistungen zu leisten. Die Dissertation folgt einer kumulativen Struktur, die aus einem Rahmentext besteht, in den fünf, von Experten begutachtete, Artikel aus internationalen Fachzeitschriften integriert sind. Kapitel 1 ist eine Einführung, in der die Forschungslücken und die Forschungsziele im Hinblick auf staatliche PES beschrieben werden. Kapitel 2 liefert die theoretische Grundlage der institutionellen Ökonomie und zeigt die Bedeutung der Governance von Naturressourcen in China auf. Darauf aufbauend konkretisiert Kapitel 3 das Forschungsdesign, indem es die Forschungsziele in verschiedene Forschungsfragen untergliedert. Kapitel 4 beinhaltet den Ergebnisteil, der fünf Zeitschriftenartikel umfasst. Der erste Artikel liefert die konzeptionelle Grundlage für alle nachfolgenden Untersuchungen, die in dieser Dissertation vorgestellt werden, und gibt einen Überblick über die Wirksamkeit und die institutionellen Herausforderungen des chinesischen SLCP. Sowohl der zweite als auch der dritte Artikel sind empirische Untersuchungen. Der zweite Artikel untersucht, wie die sozioökonomischen und institutionellen Bedingungen Anreize für Haushalte in ländlichen Gebieten schaffen, um die primären Umweltziele des SLCP zu erreichen. Der dritte Artikel zeigt, wie lokale Dynamiken die Umsetzung des SLCP beeinflusst und geprägt haben. Der vierte Artikel veranschaulicht und diskutiert die im zweiten Artikel angewandte Methode im Vergleich zu einer weiteren Fallstudie in Deutschland. Der fünfte Artikel schließlich stellt die Stärken und Schwächen der im dritten Artikel angewandten Methode den Erfahrungen ähnlicher Studien in vier weiteren Ländern gegenüber. Zusammen liefern diese Artikel wichtige Beiträge für die beiden Ziele der Dissertation. Kapitel 5 beinhaltet die Synthese und Diskussion der Ergebnisse und Kapitel 6 schließt die Dissertation ab. Das wichtigste Ergebnis dieser Dissertation ist, dass die Wirksamkeit des staatlichen PES in China das Ergebnis der Interaktion der treibenden sozialen Kräfte ist, während institutionelle Rahmenbedingungen und lokale Dynamiken eine Schlüsselrolle bei der Ausgestaltung der Programmumsetzung spielen. Das SLCP hätte unter bestimmten institutionellen Bedingungen ein großes Potenzial für die Schaffung signifikanter Skaleneffekte und für die Verbesserung der Umwelteffektivität. Allerdings weicht die derzeitige Umsetzung des SLCP wegen der besonderen institutionellen Rahmenbedingungen erheblich von dem von der Politik geförderten Marktansatz ab. Zwar haben die institutionellen Rahmenbedingungen die breite Akzeptanz und schnelle Entwicklung des SLCP in der Anfangsphase nicht behindert, doch gibt es keine Möglichkeit, einen langfristigen Erfolg im Hinblick auf die Umwelteffektivität zu erreichen, wenn die wichtigsten PES-Elemente fehlen. Der überwiegend von oben nach unten gerichtete Ansatz des Programms und das Fehlen von echter Freiwilligkeit, Konditionalität und Eigentumsrechten werden zusammen als kritische Faktoren verstanden, die mögliche Misserfolge langfristig erklären. Ein weiterer Beitrag der Dissertation sind die methodischen Ansätze, die zum besseren Verständnis der Governance von Ökosystemleistungen beitragen. Diese Dissertation zeigt, dass Ansätze, die qualitative und quantitative Methoden kombinieren, wie z.B. Qualitative Vergleichende Analyse (Qualitative Comparative Analysis „QCA“) und Soziale Netzwerkanalyse (SNA), ein großes Potenzial für die institutionelle Analyse und partizipative Forschung von PES haben. Bei beiden Methoden wurde besonderes Augenmerk auf die detaillierte Beschreibung ihrer Anwendung sowie die damit verbundenen Vor- und Nachteile gelegt. My dissertation focuses on institutional aspects of governmental payments for ecosystem services (PES) in China. Market-based approaches for ecosystem service governance, particular the PES, have been considered new and innovative policy instruments over the past decades. Corresponding to this international trend, PES schemes in China are mostly described by the domestic term eco-compensation. However, the characteristics of eco-compensation are distinct from other national PES programs, as governance model, property rights and societal structures in China are different to the PES theory. Eco-compensation faces many institutional challenges in creating economic incentives for behavioral change. However, PES that combines elements of both a voluntary market and hierarchy-based system in dealing with incomplete institutional settings has not yet been sufficiently addressed. In particular, there is a knowledge gap regarding fitting the design of PES and institutional settings in China together. The mechanisms of PES in China differ in important ways from mechanisms familiar from the western experience. This dissertation aims to reduce the divergence between the common framing of PES and the reality of its practice by presenting the institutional analysis of China’s governmental PES program. As a major component of eco-compensation, the Sloping Land Conversion Program (SLCP) is considered one of the world’s largest PES programmes. By taking SLCP as an empirical case, the first objective of this dissertation is to understand how to improve the institutional design of governmental PES. The second lies in a broad international context, aiming at methodologically contributing to the analysis of ecosystem services governance. This dissertation follows a cumulative structure, integrating the framework text and five papers. Chapter 1 is an introduction, outlining the research gaps and objectives of governmental PES. Chapter 2 provides a theoretical foundation to the institutional economic schools, their respective theories and the relevance of nature resource governance in China. Based on this, Chapter 3 confirms the research design by deconstructing the research objectives into different research questions. Chapter 4 is the results section, which comprises five papers. The first paper provides the conceptual basis for all subsequent studies presented in this dissertation, as it is an overview of the effectiveness and institutional challenges of China’s Sloping Land Conversion Program (SLCP). Both the second and third papers are empirical works. The second paper explores how socioeconomic and institutional conditions encourage rural households to reach the primary environmental goals of SLCP. The third paper shows how local dynamics derived and shaped the SLCP’s implementation. The fourth paper illustrates and discusses the method used in paper 2, comparing it with another case study in Germany. Finally, the fifth paper present the strengths and weaknesses of the method used in paper 3 based on the experiences of four different countries. Together, these papers deliver important contributions to both objectives. Chapter 5 is the synthesis and discussion, and Chapter 6 concludes the dissertation. The key finding of this dissertation is that the effectiveness of governmental PES is a result of interacting driving forces, whereas institutional settings and local dynamics play key roles in shaping program implementation. The SLCP could achieve its potential in creating significant economies of scale and environmental effectiveness under certain institutional conditions. However, against incomplete institutional settings, the current implementation of SLCP has deviated substantially from the market approach promoted by policy makers. While the incomplete institutional settings did not prevent SLCP’s wide acceptance and fast development in its first phases, there is no by-pass to reach the long term success in terms of environmental effectiveness in the absence of key PES elements. The program’s predominantly top-down approach and lack of genuinely voluntary characteristics, conditionality and property rights are jointly understood to be critical factors that explain possible failures in the long-term. Another contribution which this dissertation makes is in methodological approaches of ecosystem service governance. This dissertation has shown that mixed approaches combining qualitative and quantitative methods, such as Qualitative Comparative Analysis (QCA) and social network analysis (SNA), could have great potential for institutional analysis and participatory research for PES. The two methods were given particular emphasis in the detailed description of application, as well as in the inherent merits and limitations.
... They show the resistance of state water bureaucracies towards handing over competencies to WUAs, often resulting in state dominance or an 'institutional bricolage' of old and new governance institutions. These as well as other studies [55,82,28], focus also on the internal politics of water user associations. Much of this research shows how WUA performance is impacted by unequal power relations and informal institutional arrangements that often contradict the ideas of democratic, independent organizations and is unsustainable once donor support ends. ...
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After the Central Asian republics became independent in 1991, the transformation process challenged water governance arrangements at all levels. Analysis of transboundary water governance has mainly found that cooperation has been prevailing over conflict. Much research is driven by the question how global concepts like IWRM or good water governance are implemented in the context of Central Asia; studies reveal how their inherent ideas of participation and transparency clash with local realities. Only few authors have focussed on national water governance. Their studies show how powerful actors either resist reforms or use them to secure or enhance their positions. A genuine focus on region-specific forms of water governance as well as on national politics is underrepresented in the literature, which is explained with funding policies and the restrictions of the authoritarian political regimes.
... Thus, absence of formal water regulations for smallholders opens space for opportunistic behavior and potential conflicts among water users as a result of poor social capital, that is lack of trust between water users and general perception that solutions should be external and technical (Hamidov et al. 2015;Theesfeld 2004). This could be also seen by the fact that respondents suggested appointment of a water guard for smallholders as a solution to water stress in their plots, yet they indicated that this should be done by authorities. ...
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Agricultural water stress is a critical problem undermining socioeconomic development and environmental sustainability of water and land resources in many agriculture-based economies. Uzbekistan is an example of such case, where for coping with the problem, water reforms such as creation of Water User Associations (WUAs) attempted to decentralize the decision-making to some extent encouraging bottom-up approach to water governance. However, the results have been disappointing so far, particularly visible in persistence of priority in water allocation for farmers with state-ordered crops and neglect of smallholders as legitimate water users. The study presented here describes some of the discrepancies between paper and practice in the example of water governance in one studied community. Using household survey, interviews, and focus group discussion, the authors show that true transformation into bottom up cannot be achieved through pure state-facilitation, especially if it remains on paper and largely limited to technical measures. Such state-facilitated bottom up is bound to fail with the arrival of new levels of water stress. Preferential treatment also undermines incentives of farmers to improve productivity in using water and land resources. The authors highlight that a balanced attention is needed in relation to reforms that encourage not only supply-side solutions, even though they are very necessary. Reforms are also necessary directed at enabling smallholders to participate in decision-making in dealing with water stress, and take more active role in communicating their needs, negotiating fair allocation, and coordinating implementation of agreed water plans.
... Using irrigation water in agriculture plays a key role in the economy of the five CA countries as the agriculture sector contributes from 10 to 45 percent of the GDP and employs 20 to 50 percent of the rural population (Qushimov et al. 2007). There is an estimated 7.84 million ha of land suitable for irrigation in CA (0.77 million ha in Kazakhstan; 0.42 in Kyrgyzstan; 0.72 in Tajikistan; 1.73 in Turkmenistan; and 4.2 in Uzbekistan) with annual water use reported at 124.6 km 3 (Hamidov 2015;Russel 2018). Figure 7.1 illustrates the contribution of agriculture to national GDP, share of rural population and agricultural employment as well as water withdrawal from the major rivers. ...
... Examples of project-level cases (N ¼ 5) are residential and commercial building projects in India(Ahuja, Sawhney, and Arif 2017) and the use of green technologies in Korean road construction projects(Jang, You, and Han 2015). Examples of organizational-level cases include small-scale fisher organizations in Chile(Marín et al. 2015) and water consumers associations in the Bukhara region in Uzbekistan(Hamidov, Thiel, and Zikos 2015). Microlevel cases were analyzed in seven articles, the majority of which featured individuals as the units of analysis (N ¼ 6). ...
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Qualitative comparative analysis (QCA) is a potentially interesting method for spatial planning researchers. Although increasingly used, its application in spatial planning research is lagging behind other disciplines. We conducted a systematic literature review of QCA applications in spatial planning and related disciplines (SPARD), addressing two questions: when, where, and how is QCA used in SPARD and what are the main advantages of QCA for spatial planning research? We found that the main reasons why QCA is used in SPARD are its sensitivity to context, its ability to use small-/medium-n cases, and its attention to causal complexity.
... Again, Kazakhstan introduced WUAs earlier than Uzbekistan and went further in granting them autonomy from state administration. However, local implementation proved difficult in either of the countries, as top-down government initiatives often conflicted with donor interests favouring bottom-up mobilisation of water users, and because of the rapid increase in the number of individual farms, changes in cropping patterns, generally poor financial and technical capacity of the new organisations, lacking leadership skills, and the persistence of mandatory state deliveries in Uzbekistan (Abdullaev & Rakhmatullaev, 2013;Barrett et al., 2017;Hamidov, Thiel, & Zikos, 2015;Veldwisch & Mollinga, 2013). ...
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This study contributes to the understanding of long- and short-term determinants of cooperation among water users. We experimentally investigate the potential of water users’ self-governance in enhancing their contributions to a common pool as opposed to external regulation. Our focus is on the irrigated areas of Kazakhstan and Uzbekistan. Due to their Soviet past, these countries have a reputation for low bottom-up cooperation potential. Based on the different pre-Soviet irrigation traditions of the two study sites, we assess the effectiveness of short-term incentives compared to long term cultural factors of cooperation. History might matter, but we find it does not predetermine the success of current water decentralization in ancient as compared to relatively recently established irrigation sites. Our study reveals that external regulation, in fact, decreases farmers’ cooperation, whereas face-to-face communication increases it. This finding calls into question the top-down approach prevalent in current water policies of the region. Moreover, it suggests the viability of endogenous cooperation and hence encourages the implementation of truly self-governed water management policies in Central Asia. However, the substantial heterogeneity in individual contributions apparent at the village level also signals a warning that one-size-fits-all approaches to local cooperation are unlikely to succeed.
... Ragin 1987) and is suitable to intermediate number of cases (5-100) (Ragin, 2000: p. 25, see also Schneider and Wagemann, 2012). Recently, there have been first applications of QCA in institutional environmental governance analysis (e.g., Meyer et al., 2015;Hamidov et al., 2015;Pahl-Wostl and Knieper, 2014;Bodin and Österblom, 2013;Basurto, 2013;Chen et al., 2018). However, existing literature focusses either on QCA case study applications to institutional environmental governance structures, or else, on a QCA application in general, in terms of method papers, textbooks, and handbooks (e.g. ...
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... She concluded that when the chairman is educated and has vast experience in the area of irrigated agriculture, its success is most probable (ibid.). This was also confirmed by the research findings of Hamidov et al. (2015). Therefore, this study employs the hypothesis that when a WCA chairman has a high educational background in the area of agriculture and water resources, then there is a great chance that the WCA becomes successful. ...
Technical Report
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The Government of Uzbekistan is highly interested in improving water resources in the southern provinces of Uzbekistan, especially in the Karshi Steppe, where irrigation water is lifted up to 130-140 m using pumps. Electricity cost is thus an additional burden for the Uzbek government. The main aim of this study is to describe the problems of WCAs and farmers, living in Karshi Steppe of Kashkadarya Province with regard to water resources management and learn about their opinions on which actions need to be taken for better water management at WCA level.
... Due to the arid climate, more than 85% of agricultural land in Uzbekistan depends on irrigation (WB 2015: p. 11). However, the lack of appropriate institutions managing water at the community level, water is used largely inefficiently and is distributed unequally between users, resulting in the deterioration of ecological conditions, increasing social tensions and conflicts between users and limiting the land productivity (Hamidov et al. 2015;Wegerich 2002: p. 4). ...
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The governance of common-pool resources, such as irrigation systems, is a highly debated topic in research. Numerous studies suggest that actors can successfully manage these resources through cooperation, especially in hybrid governance structures, if they are able to design and enforce their own rules. Thereby, certain factors, such as the composition of a group of resource users, influence the likelihood of cooperation and the performance of self managed resource systems. This study employed an economic framed field experiment to compare the effects of externally imposed and self-set rules of water distribution on homogeneous and heterogeneous groups of irrigation users who differ in their economic endowment. The experiment was conducted with 20 farmers in an Uzbek community. Furthermore, questionnaires, group discussions and interviews complemented the analytical method. The results show that groups, homogenous in their economic endowment are more inclined to comply with self-designed rules than groups that are economically heterogeneous. Thus, homogenous groups achieve a better performance in terms of resource maintenance and water harvest under self-governance. However, water distribution was more equal and illegal activities decreased in both homogeneous and heterogeneous groups with self-implemented rules. It was found that trust was a crucial factor regarding both greater individual rule adherence and more cooperative behaviour within homogeneous entities compared to heterogeneous groups of irrigation users. Finally, the results support the argument that economic heterogeneity among resource users lowers the likeliness of cooperation in self-governed common-pool resource systems
... Configurational approaches have been used in comparative analyses (Ragin 1989), in organizational studies (A. D. Meyer et al. 1993), and have recently also been applied in multifunctional agriculture (Hassink et al. 2012), institutional analyses of irrigation governance (Hamidov et al. 2015), adaptation to climate change (Roggero 2015), and in identifying archetypes of large-scale land acquisitions (Oberlack et al. 2016). ...
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The action situation is a core component of actor-centered institutional analysis of natural resource governance. Institutional analysis frameworks have been extended to observe multiple situations structured into networks. If further operationalized, this extension can improve policy diagnosis of human–environmental interactions. This paper proposes two complementary ways to move in that direction. First, we propose the use of qualitative configurational analysis and game theory to study the interactions between situations and assess the contribution of each to a desired outcome. Second, we draw on centrality measures to assess the benefits and risks of implementing policies that aim to change the equilibria in action situations. Both analytical strategies are applied to two cases involving irrigation and energy governance. In the Spanish case, centrality of the water allocation situation justifies a configuration of drought measures that also tackle cooperation in monitoring and infrastructure maintenance. In the Indian case, groundwater governance and adequate infrastructure capacity provision are necessary preconditions to enable coordinated technology adoption, which facilitates incentives for regulated irrigation. In both the cases, some action situations’ positive outcomes are necessary in every configuration to guarantee optimal equilibria in the network. In the context of energy-fed irrigation systems, the proposed analytical strategies permit integrating interactions between water use, energy use and food production decisions in policy diagnoses. The analysis can be extended to identify archetypes, network closure, as well as structural and functional connectivity of networks in social-ecological systems. Read More: http://www.worldscientific.com/doi/abs/10.1142/S2382624X18500054?journalCode=wep
... Since declaring its independence, Uzbekistan has undergone substantial reform of irrigated agriculture through externally imposed institutional change in the form of the top-down implementation of the WCA system. However, this has not produced the expected results of successful cooperation in the CPR management, and most associations have undergone a difficult transformation [19]. Although WCAs were introduced in Uzbekistan about two decades ago (in the late 1990s) with donor and government support, they are still not widely accepted by individual resource users and they are institutionally weak. ...
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The rapidly growing population in Uzbekistan has put massive pressure on limited water resources, resulting in frequent water shortages. Irrigation is by far the major water use. Improving irrigation water use through the institutional change of establishing water consumer associations (WCAs) has been identified as a way to increase agricultural production and meet the food demand in the area. However, most WCAs are not fully able to organize collective action or generate sufficient funds to carry out their responsibilities. This study investigated the water-resource-related challenges faced by WCAs and local farmers in Kashkadarya Province in Uzbekistan, using semi-structured expert interviews and focus group discussions. The resulting data were analyzed using qualitative analysis software (Atlas.ti). The results indicated that outdated infrastructure, poor governance, and farmers’ non-payment of irrigation service fees hamper sustainable water management. Greater trust and communication within the WCAs would make an important contribution to effective collective action and to the long-term sustainability of local associations.
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There is wide consensus among scholars and practitioners that improved irrigation technologies increase farm productivity and improve resource use efficiency. However, there is also growing empirical evidence that efficiency improvements in irrigation water use may create rebound effects, i.e., they may trigger changes in farmers’ behavior that partly or fully offset the technical water savings expected under ceteris paribus conditions. In extreme cases, total water consumption may even increase. We studied the impacts of introducing water-saving irrigation technologies in Uzbekistan and used structured stakeholder interviews for an expert-based assessment of potential rebound effects. Our findings contribute to the understanding of impacts of technological and institutional responses to environmental and economic pressures in sustaining water resources. The study demonstrates that although the objective of increasing irrigation efficiency may be achieved, the actual water savings under Uzbek conditions are likely to be reduced due to rebound effects. Unless there are effective policy interventions, we expect rebound effects through an increase in water supply for crops that compensates for current shortages of irrigation water availability, an increase in irrigated area, a switch to more water-intensive crops, and overall economic growth. The findings of this paper provide a reference point for estimating the water-saving potential and for evaluating and adapting policies.
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Increasing water and energy demand in agriculture due to changing climatic conditions and high resource consumption is widespread in Central Asia. Under these constraints, compounded by lack of irrigation water, farmers are opting to use drainage water for crop production, with negative consequences. Focusing on Uzbekistan, we evaluate the governance of farmer adoption of selected technological innovations (i.e., constructed wetlands and biogas) to improve crop productivity while providing water and energy savings. We build upon farmers’ expressed views of the strategic decisions they would take regarding constructed wetlands and biogas plants. We use institutional analysis to identify relevant action situations, highlight potential institutional complementarity between these situations, and indicate promising areas for policy intervention. © 2022 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group.
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The literature on common-pool resources (CPRs) has mostly focused on institutional conditions for successful governance of the commons. However, many scholars have emphasized that the explanatory power of institutional variables 'per se' is limited and that institutions should not be isolated from the context in which they operate. Consequently, the success of CPR governance requires a more nuanced understanding of specific combinations of institutions in a specific social-ecological context. Using community-based irrigation systems as an example, this paper examines how combinations of institutions and contexts affect irrigation governance based on a qualitative systematic review of 83 English language peer-reviewed articles published since 1990. The review firstly summarizes the basic characteristics, main research subjects, and development trends in the literature on community-based irrigation governance. Then, revealing the specific effects of major combinations of institutional variables and contextual variables on the performance of irrigation governance, the review suggests that (a) the congruence of institutional arrangements with attributes of actors (e.g., group size, group heterogeneity, and social capital), (b) the specific combination of institutions and contexts of resource system and related ecosystems (e.g., hydrology, soil, and agriculture), and (c) the market incentives (e.g., irrigation systems’ spatial proximity to markets) associating with formal governance organizations, are important for improving irrigation governance performance. The main findings not only reveal existing gaps in understanding how institutions and contexts interact in community-based irrigation governance, but also indicate potential pathways to theoretical construction in complex CPR systems by further exploring the relationships between institutions and the contexts in which they operate.
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In any integrated watershed management programme (IWMP), community participation is indispensable. The success of the community participation mechanism (CPM) correlates positively with IWMP accomplishment. However, unlike watershed success evaluation, CPM, in practice, is seldom evaluated, nor is there a theoretical framework developed to baseline such assessment from stakeholders' perspective. This paper conceptualises a socially resilient community participation evaluation framework (CPEF) for bottom-up evaluation of watershed CPM to bridge this knowledge gap. For identifying various critical domains and variables for CPEF from a socio-hydrological perspective, we studied Integrated Water Resource Management (IWRM) and IWMP programme policies and literature. Based on crucial watershed management actions, we built two constructs for the framework: (1) organisational - consisting of 36 organisational actions (OAs) in 10 domains of organisational management and (2) managerial – consisting of 46 critical management actions (CMAs) in 8 domains of management practices usually carried out in watershed space. This framework was verified in the IWMP areas of Brahmaputra valley in Assam, India. We applied a stratified structured questionnaire survey method to collect opinions of randomly sampled participants from three group of IWMP stakeholders' in four IWMP projects. We employed relevant statistical tests for analysing primary field data to obtain the most appealing set of community actions for the final CPEF. The results present an overview of the current state of CPM and a set of excludable actions. This evaluation framework methodology can be utilised to gauge community participation endeavour and improve cooperation, system redirection, and goal articulation in watershed space worldwide.
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en The National Irrigation Administration (NIA) has been involving farmer‐irrigators of national irrigation systems (NIS) in planning system improvement and management since the 1980s. It has conducted various organization‐strengthening and capacity‐building programmes for members of irrigators associations. Unfortunately, unauthorized diversions, vandalism of structures, over‐irrigation in upstream farms while downstream farms fall dry, conflicts over water distribution, and non‐adoption of field‐demonstrated water‐saving techniques still occur in several systems. Consultation‐workshops were conducted with farmer representatives of two small‐scale NIS to gain understanding of the causes of such social disharmony, which hinders good system performance. The present case study was specifically aimed at the following: examining the farmer‐irrigators' desired physical structures, system operation, water distribution rules, and institutional arrangements for their respective NIS vis‐à‐vis their envisioned quality of water delivery service; determining the levels of consistency of the desired irrigation technology and techniques; and generating data input for formulating programmes aimed at enhancing farmer‐irrigators' appreciation of the operational procedures and mechanisms of water delivery. The results of the consultation‐workshops showed conflicting farmers' preferences for system modernization options. The findings implied that a participatory approach to system modernization planning would be more fruitful when farmers are equipped to make informed choices on possible improvement solutions. Abstract fr L'Agence nationale d'irrigation (NIA) a impliqué les agriculteurs‐irrigants des systèmes d'irrigation nationaux (NIS) dans la planification de l'amélioration du système et de la gestion depuis les années 1980. Il a mené divers programmes de renforcement organisationnel et de renforcement des capacités pour les membres des associations d'irrigants. Malheureusement, les détournements non autorisés, le vandalisme des structures, l'irrigation dans les fermes en amont et les fermes en aval se dessèchent, les conflits sur la distribution de l'eau et la non‐adoption des techniques d'économie d'eau ont encore lieu dans plusieurs systèmes. Des ateliers de consultation ont été organisés avec les représentants des agriculteurs de deux petits États indépendants afin de comprendre les causes d'une telle disharmonie sociale, qui entrave la bonne performance du système. La présente ‘étude de cas visait notamment à: examiner les structures physiques souhaitées par les agriculteurs‐irrigants, le fonctionnement du système, les règles de distribution de l'eau et les dispositions institutionnelles de leurs NIS respectifs par rapport à la qualité envisagée du service de distribution d'eau; déterminer les niveaux de cohérence de la technologie et des techniques d'irrigation souhaitées; et générer des données pour la formulation de programmes visant à améliorer l'appréciation des agriculteurs‐irrigants sur les procédures opérationnelles et les mécanismes de distribution de l'eau. Les résultats des ateliers de consultation ont montré une sélection de préférences contradictoires pour les options de modernisation du système. Les conclusions impliquaient qu'une approche participative de la planification de la modernisation du système serait plus fructueuse lorsque les agriculteurs sont équipés pour faire des choix éclairés sur les solutions d'amélioration possibles.
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The objective of this study is to identify and explain the underlying patterns for rural collective action based on the practices of rural construction land consolidation (RCLC) in contemporary China. To that end, an analytical framework is developed to decompose rural collective action into diagnostic attributes, design attributes and outcomes. Then, an archetype analysis is performed, and a total of eight patterns regarding the collective action for RCLC are extracted from 30 first-hand cases in eastern, central and western China. These patterns jointly demonstrate that the alignment between the diagnostic attributes of rural construction land and rural households and the design attributes of institutional mechanisms contributes to the collective action for RCLC. The research findings corroborate the classic theoretical propositions of rural collective action, including small group size, coercive power, exclusive incentives and unequal interest. More importantly, several distinctive implications are drawn: 1) the sizes, locations and quality of rural construction land raise governance demand or create favorable conditions for rural collective action; 2) despite the small group size, the government and enterprises, as external actors, still engage in RCLC motivated by their political and economic goals in the transitional context of China, and they contribute to divergent pathways to rural collective action; 3) self-governance mechanisms consisting of community control, decision-making and coordination differ to prevent opportunistic behavior, mitigate conflicts of interest and reach consensus, depending on group sizes, whether RCLC is implemented within a village group or an administrative village as well as the extent to which the social capital accumulates in a rural community; 4) given the small group size but the large area of rural construction land involved, government participation or the formal and institutionalized self-governance mechanisms with powerful rural leadership can overcome “the tragedy of the anticommons”. In general, this study provides new insights into land-related rural collective action and references for subsequent research on other types of rural collective action or in other transitional countries.
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We review historical and contemporary literature on change in water-management institutions in post-socialist Uzbekistan, exploring the dynamics of change of formal institutions in irrigation-water management there by analyzing relationships between the perceptions and beliefs of policymakers, policy interventions they undertake, and the consequences that these seem to have on resource-use practices. We have mainly relied on the reviewed literature, but have also made use of expert interviews conducted by the authors during 2011–2016 in Uzbekistan. Our results indicate that Uzbek policymakers have learned much from the unanticipated and undesired consequences of earlier irrigation reforms, as their perceptions and beliefs have changed and developed over time. Yet, although policymakers’ beliefs have been fostered by a newly emergent Integrated Water Resources Management approach – which has become a central, globally promoted paradigm – the beliefs and institutions inherited from the Soviet era, as well as informal practices in irrigation-water use, have also been acting to constrain the choices of politicians and economic entrepreneurs.
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This paper makes investigation on the role and importance of the kvalimetric formation in the future elementary teachers’ life. On this way, teaching methods of the Uzbek elementary education were analyzed. Major points of the development were seen in the future perspective.
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Infrastructure projects are notoriously hard to manage so it is important that society learns from the successes and mistakes made over time. However, most evaluation methods run into a conundrum: either they cover a large number of projects but have little to say about their details, or they focus on detailed single-case studies with little in terms of applicability elsewhere. This book presents Qualitative Comparative Analysis (QCA) as an alternative evaluation method that solves the conundrum to enhance learning.
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The analysis of necessary conditions for some outcome of interest has long been one of the main preoccupations of scholars in all disciplines of the social sciences. In this connection, the introduction of Qualitative Comparative Analysis (QCA) in the late 1980s has revolutionized the way research on necessary conditions has been carried out. Standards of good practice for QCA have long demanded that the results of preceding tests for necessity constrain QCA’s core process of Boolean minimization so as to enhance the quality of the solution. Schneider and Wagemann’s TheoryGuided/Enhanced Standard Analysis (T/ESA) is currently being adopted by applied researchers as the new state of the art in this respect. In drawing on Schneider and Wagemann’s own illustrative data example and a meta-analysis of 36 truth tables across 21 published studies that have adhered to current standards of good practice in QCA, I demonstrate, however, that T/ESA and its methodological predecessors defeat their purpose once a hitherto unacknowledged bias in tests of necessity relations is corrected. In conclusion, I urge that methodologists of QCA stop misleading applied researchers by declaring their latest ideas to be standards of good practice before these have undergone sufficient evaluation by other researchers.
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Social science theory often builds on sets and their relations. Correlation-based methods of scientific enquiry, however, use linear algebra and are unsuited to analyzing set relations. The development of Qualitative Comparative Analysis (QCA) by Charles Ragin has given social scientists a formal tool for identifying set-theoretic connections based on Boolean algebra. As a result, interest in this method has markedly risen among social scientists in recent years. This book offers the first complete introduction on how to perform QCA in the R software environment for statistical computing and graphics with the QCA package. Developed as a comprehensive solution, QCA provides an unprecedented scope of functionality for analyzing crisp, multi-value and fuzzy sets. The reader is not required to have knowledge of R, but the book assumes an understanding of the fundamentals of QCA. Using examples from published work, the authors demonstrate how to make the most of QCA’s wide-ranging capabilities for the reader’s own purposes. Although mainly written for political scientists, this book is also of interest to scholars from other disciplines in the social sciences such as sociology, business, management, organization, anthropology, education and health.
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A 'farmer-centric' innovative institutional mechanism, a public-private partnership, was created and strengthened, in the Fergana valley of Central Asia, for facilitating communication between farmers and researchers, and to disseminate knowledge on improved agronomic and irrigation management practices to improve water productivity at field level. As a result, yields of cotton from the twenty five demonstration sites in the three countries of Fergana valley - Kyrgyzstan, Tajikistan and Uzbekistan - were, on the average, 28% higher than the average yield of cotton in the valley, suggesting that the proposed institutional mechanism was very effective in dissemination of information to farmers. Yields from neighboring farmers of demonstration fields were 14% higher than the average yields. In addition, demonstration site farmers used, on the average, 20% less water than the non-project farmers. Two independent external reviewers stated that this innovative public-private mechanism was very effective in disseminating information on improving water productivity at plot level to farmers, and suggested that the focus in the future should be on devising effective policy and economic instruments for financial sustainability of the innovation cycle after the donor support is withdrawn.
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This paper presents the analysis of historical transformation of water management in Central Asia with the specific focus on Uzbekistan. The time frame of the analysis is from the Middle Ages to contemporary times, with different political, social and economic settings in the framework of theory of transformative capacity of institutions. Empirical evidence suggests that the approach of the hydraulic mission has not changed dramatically over the years, but transformed into various forms of control on water management. In recent decades, integrated water resources management paradigms are gaining momentum, while the traditional, State-centric, hydraulic mission approach is losing its attractiveness in the arid Central Asian region. Nevertheless, the State-centric model of water management still persists in the region with clear signs that water management is still more under socio-political control.
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Efforts to engage citizens in democratic forms of governance in developing societies are complicated by deeply rooted socioeconomic and political inequalities. In this article, the authors analyze the conditions under which local politicians in rural areas of Latin America are likely to open up to citizen participation in governance decisions. The analytical approach focuses on the incentive structures of local politicians under both decentralized and centralized regimes. The argument is that, regardless of regime type, participatory governance institutions are more likely to emerge when the goals of these institutions are compatible with the interests of the local executive. The authors test the argument by analyzing patterns of interaction between central and local governance actors in 390 municipal governments in Brazil, Chile, Mexico, and Peru. They find that local politicians' incentive structures explain a great deal as to why local governments decide to invite citizens to take part in governance activities.
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The paper discusses the potential of action research to meet the challenges entailed in institutional design for urban water management. Our overall aim is to briefly present action research and discuss its methodological merits with regard to the challenges posed by the different conceptual bases for extrapolating the effects of institutional design on institutional change. Thus, our aim is to explore how Action Research meets the challenge of scoping the field in an open fashion for determining the appropriate mechanisms of institutional change and supporting the emerging of new water institutions. To accomplish this aim, we select the Water Framework Directive (WFD) as an illustrative driving force requiring changes in water management practices and implying the need for the emergence of new institutions. We employ a case of urban water management in the Volos Metropolitan Area, part of the Thessaly region in Greece, where a Pilot River Basin Plan was implemented. By applying action research and being involved in a long process of interaction between stakeholders, we examine the emergence of new institutions dealing with urban water management under the general principles of the major driving force for change: the WFD.
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Agrarian reform in Uzbekistan has been informed by contradictory objectives and priorities. Legislation has oscillated between measures to increase private access to land, in line with populist pressures and the structural reform agenda of international agencies, and counter–measures to tighten and restrict such access in response to the Government imperative of retaining control over the production and export earnings of cotton. Drawing on fieldwork carried out in the provinces of Andijan and Khorezm in 2000–1, this article analyses the role of gendered divisions of labour in the maintenance of a commercial cotton sector alongside a smallholder economy that has become the mainstay of rural livelihoods since the post–Soviet collapse of public sector employment and wages. It also discusses the outcomes of different types of farm restructuring and highlights the gender differentiated outcomes of a reform process that forces a growing number of women out of the recorded labour force into casual, unremunerated and informal work.
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Bulgaria’s irrigation facilities have largely deteriorated, property rights over the infrastructure are ambiguous and water loss in the system at present amounts to 70%. Thus, the Bulgarian government is currently attempting to formally reform the sector by implementing collective action management schemes. In analyzing the possible success of this envisaged local cooperation, I draw on Ostrom’s (2007) development of collective action theory. In her theoretical framework, Ostrom posits variables affecting the likelihood of undertaking diverse forms of collective action leading to positive or negative results for others. The core relationships affecting cooperation are between reputation, trust, and reciprocity. In turn, eight structural variables influence these core relationships: one of them being the “heterogeneity of participants“. In the following, empirical evidence from Bulgaria’s irrigation sector is provided to explain how incongruity of rules helps to maintain opportunistic strategies, how various transactions in the foundation of a water user association are affected by abuse of power, and how low the level of trust in formal actors actually is. Based on that, I examine one detailed link in Ostrom’s theory, namely between heterogeneity of participants and trust, showing in particular that the interdependency between abuse of power and decrease in trust produces a downgrading effect on collective action.
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This paper examines the recent emerging informal Water Users Groups (WUGs) on the Ferghana Valley for managing of the water at the former collective farm level and potential for strengthening of the weak Water Users Associations (WUAs) through replication of WUGs formation. Due to the collapse of the Soviet Union, Central Asian states have introduced reforms in different sectors including the water resources sectors. As a part of the water resources management reforms, Water Users Associations (WUAs) formation has implemented to manage water resources infrastructure and water distribution. WUGs have been emerging because WUAs have not been very efficient and effective due to their top-down implementation approach. In future, WUGs are very effective institutional mechanism of water resources management, and a useful support instrument to WUAs. KeywordsWater User Associations-Participation-Integrated water resources management-Irrigation-Ferghana Valley
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The political transformation of the Central Asian region has induced the implosion of the interconnected physical hydraulic infrastructure and its institutional management system. Land-locked Central Asian countries, with their climatic conditions and transboundary water resources, have been striving to meet their food security, to increase agricultural production, to sustain energy sectors, and to protect the environment. The existing water reservoirs are strategic infrastructures for irrigation and hydropower generation. Upstream countries (Tajikistan and Kyrgyzstan) favor the reservoirs’ operation for energy supply, while downstream countries (Uzbekistan, Turkmenistan and Kazakhstan) push for irrigation use. This paper provides an overview of the current challenges and perspectives (technical, institutional, and legal regulations) and presents recommendations for the sustainable management of man-made water reservoirs in Uzbekistan.
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This report addresses a specific context of massive inequity and unevenness in water allocation and distribution experienced presently by the water users in transitional Central Asian economies, as a result of broad-scale fragmentation of the previously large farms. The report describes action research aimed at making water distribution at the tertiary level more reliable, transparent and equitable.
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"Policies of devolving management of resources from the state to user groups are premised upon the assumption that users will organize and take on the necessary management tasks. While experience has shown that in many places users do so and are very capable, expansion of comanagement programs beyond initial pilot sites often shows that this does not happen everywhere. Yet much is at stake in this, with more widespread adoption of irrigation management transfers and other forms of community-based resource management. It is therefore important to move beyond isolated case studies to comparative analysis of the conditions for collective action. "This paper identifies factors affecting organization of water users associations, and collective action by farmers in major canal irrigation systems in India, based on quantitative and qualitative analysis of a stratified sample of 48 minors in four irrigation systems (two each in Rajasthan and Karnataka). Using key variables suggested by the theoretical and case study literature, the study first examines the conditions under which farmers are likely to form formal or informal associations at the level of the minor (serving several watercourses, and one or more villages). Results indicate that organizations are more likely to be formed in larger commands, closer to market towns, and in sites with religious centers and potential leadership from college graduates and influential persons, but head/tail location does not have a major effect. We then examine factors affecting two different forms of collective action related to irrigation systems: collective representation and maintenance of the minors. Lobbying activities are not more likely where there are organizations, but organizations do increase the likelihood of collective maintenance work. "Such studies can assist policymakers by identifying whether there is likely to be a rapid response to management transfer, or if more effort (such as community organizers) is required. For program implementers, this type of analysis can help identify the most 'fertile ground' for starting programs to achieve impact, and to expect to devote extra attention in other areas, if devolution programs are expected to achieve high levels of farmer involvement in resource management."
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For the fulfillment of the thirsty ambition of self-sufficiency of the Soviets for cotton production, the arid Central Asian region and in particular Uzbekistan has been extensively exploited. In fact, vast tracts of deserts have been converted into irrigated agricultural lands without proper consideration to environment and technical standards. As a result trends in natural resource degradation (soil salinity, desertification, water quality) as well as declining crop yields have dramatically increased. The agricultural sector is the backbone for employment, food security and export revenues of the Central Asian countries. Since the independence of the Central Asian countries (after the breakup of the former Soviet Union) the situation has changed dramatically in terms of institutional, political and technical systems. Political transition, which is defined as a shift from once planned centralized economy to a market-driven one, has introduced ‘new' concepts like land tenure, water rights and different kinds of ownership. All of such transformations have impacted the agricultural production in Central Asia. The institutional change can be described as decentralization of the farming systems i.e., transition from the former state collective farms into the smaller forms of private farms. The institutional interventions are aimed to increase agricultural production through improving water management. It is arguable that private production systems are the most effective business driven forces but the situation is quite different in Central Asia due to the irrigated agriculture. The biggest challenge for a sustainable irrigated agricultural production lies in the recent reforms of water management sector in Central Asia and Uzbekistan. The water users associations have been established for replacing the former collective farming systems for irrigation water distribution and maintenance of irrigation infrastructures at on-farm level. The intention of the national government was to shift the operation, maintenance and management of irrigation infrastructures to non government institutions (decentralization). However, these institutions have not fulfilled their promising tasks because of i) a rapid increase of number of private farms along canals; ii) the cropping structure is mosaic with different crop water requirements against the former monoculture; iii) a poor financial, trained and technical capacities of new established institutions; iv) a state ordered agricultural production quota system (for cotton and wheat). This paper analyzes the historical aspects of transformation in the farming production institutions in Central Asia with special focus on Uzbekistan and comprehensively overviews the main current challenges facing the farming system and potential opportunities for reversing the situation.
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Configurational Comparative Methods paves the way for an innovative approach to empirical scientific work through a strategy that integrates key strengths of both qualitative (case-oriented) and quantitative (variable-oriented) approaches. This first-of-its-kind text is ideally suited for "small-N" or "intermediate-N" research situations, which both mainstream qualitative and quantitative methods find difficult to address. Benoit Rihoux and Charles C. Ragin, along with their contributing authors, offer both a basic, comparative research design overview and a technical and hands-on review of Crisp-Set QCA (csQCA), Multi-Value QCA (mvQCA), and Fuzzy-Set QCA (fsQCA).
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Climate change, land degradation and drought affect millions of people living in drylands worldwide. With its food security depending almost entirely on irrigated agriculture, Central Asia is one of the arid regions highly vulnerable to water scarcity. Previous research of land and water use in the region has focused on improving water-use efficiency, soil management and identifying technical, institutional and agricultural innovations. However, vulnerability to climate change has rarely been considered, in spite of the imminent risks due to a higher-than-average warming perspective and the predicted melting of glaciers, which will greatly affect the availability of irrigation water. Using the Khorezm region in the irrigated lowlands of northwest Uzbekistan as an example, we identify the local patterns of vulnerability to climate variability and extremes. We look at on-going environmental degradation, water-use inefficiency, and barriers to climate change adaptation and mitigation, and based on an extensive review of research evidence from the region, we present concrete examples of initiatives for building resilience and improving climate risk management. These include improving water use efficiency and changing the cropping patterns that have a high potential to decrease the exposure and sensitivity of rural communities to climate risks. In addition, changes in land use such as the afforestation of degraded croplands, and introducing resource-smart cultivation practices such as conservation agriculture, may strengthen the capacity of farmers and institutions to respond to climate challenges. As these can be out-scaled to similar environments, i.e. the irrigated cotton and wheat growing lowland regions in Central Asia and the Caucasus, these findings may be relevant for regions beyond the immediate geographic area from which it draws its examples.
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Qualitative Comparative Analysis (QCA) and other set-theoretic methods distinguish themselves from other approaches to the study of social phenomena by using sets and the search for set relations. In virtually all social science fields, statements about social phenomena can be framed in terms of set relations, and using set-theoretic methods to investigate these statements is therefore highly valuable. This book guides readers through the basic principles of set theory and then on to the applied practices of QCA. It provides a thorough understanding of basic and advanced issues in set-theoretic methods together with tricks of the trade, software handling and exercises. Most arguments are introduced using examples from existing research. The use of QCA is increasing rapidly and the application of set-theory is both fruitful and still widely misunderstood in current empirical comparative social research. This book provides the comprehensive guide to these methods for researchers across the social sciences.
Article
Participatory governance mechanisms have been widely promoted in developing countries. They are claimed to bring about several public policy benefits, including increased accountability, higher government responsiveness, and better public services. This literature review shows that the evidence on these claims is positive, but limited. Moreover, it indicates that enabling and motivating citizens and public officials to make participatory governance arrangements work as effective accountability mechanisms is a challenging enterprise in most developing countries. Hence, more comparative cross-case research based on medium and large samples is needed for judging whether participatory governance arrangements can increase government responsiveness and service quality.
Article
Integrated water resource management (IWRM) is a widely recognized management framework that is currently being adopted throughout post-Soviet Central Asia to inform and guide national water sector reforms, and to keep up with the pace of the faster moving land reforms taking place in the region. With hydrographic principles and public participation being at the core of this framework, the process in the region has started with the reform of on-farm irrigation systems by creating water users associations (WUAs), transferring irrigation management to them and introducing irrigation service fees. This paper draws on the experiences, over four years, of three study WUAs set up in the Ferghana Valley in Uzbekistan, Tajikistan and the Kyrgyz Republic. Aiming to explore the differences in institutional environment and arrangements in these three countries for establishing WUAs, as well as assessing WUA performances (particularly from users' perspectives), the study reveals that it is not only the newly-established institutional arrangements in the irrigation sector but also their internal operations, coupled with other important factors such as size of area farmed, overall viability of agriculture and a wider economic context that crucially determine overall irrigation performance.
Article
Examines the role that institutions, defined as the humanly devised constraints that shape human interaction, play in economic performance and how those institutions change and how a model of dynamic institutions explains the differential performance of economies through time. Institutions are separate from organizations, which are assemblages of people directed to strategically operating within institutional constraints. Institutions affect the economy by influencing, together with technology, transaction and production costs. They do this by reducing uncertainty in human interaction, albeit not always efficiently. Entrepreneurs accomplish incremental changes in institutions by perceiving opportunities to do better through altering the institutional framework of political and economic organizations. Importantly, the ability to perceive these opportunities depends on both the completeness of information and the mental constructs used to process that information. Thus, institutions and entrepreneurs stand in a symbiotic relationship where each gives feedback to the other. Neoclassical economics suggests that inefficient institutions ought to be rapidly replaced. This symbiotic relationship helps explain why this theoretical consequence is often not observed: while this relationship allows growth, it also allows inefficient institutions to persist. The author identifies changes in relative prices and prevailing ideas as the source of institutional alterations. Transaction costs, however, may keep relative price changes from being fully exploited. Transaction costs are influenced by institutions and institutional development is accordingly path-dependent. (CAR)
Article
For planners, institutional transformation is important in two ways. From the positive aspect they need to know their institutional environment: institutionalization theory can help. Three 'schools' of institutionalization theory are presented: 'Historical', 'Rational Choice' and 'Sociological Institutionalism'. The normative aspect of institutional transformation is institutional design: planning often demands this. Institutional design is defined and described: what is it, where is it done, and who does it. The article identifies the institutional-agent interactions that are the media and tools of institutional design, and reviews some of the knowledge base for institutional design practice under the headings of governance, coordination, and agency.
Book
The governance of natural resources used by many individuals in common is an issue of increasing concern to policy analysts. Both state control and privatization of resources have been advocated, but neither the state nor the market have been uniformly successful in solving common pool resource problems. After critiquing the foundations of policy analysis as applied to natural resources, Elinor Ostrom here provides a unique body of empirical data to explore conditions under which common pool resource problems have been satisfactorily or unsatisfactorily solved. Dr Ostrom uses institutional analysis to explore different ways - both successful and unsuccessful - of governing the commons. In contrast to the proposition of the 'tragedy of the commons' argument, common pool problems sometimes are solved by voluntary organizations rather than by a coercive state. Among the cases considered are communal tenure in meadows and forests, irrigation communities and other water rights, and fisheries.
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As a relatively new methodological tool, QCA is still a work in progress. Standards of good practice are needed in order to enhance the quality of its applications. We present a list from A to Z of twenty-six proposals regarding what a “good” QCA-based research entails, both with regard to QCA as a research approach and as an analytical technique. Our suggestions are subdivided into three categories: criteria referring to the research stages before, during, and after the analytical moment of data analysis. This listing can be read as a guideline for authors, reviewers, and readers of QCA.
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Advances in the social sciences have emerged through a variety of research methods: field-based research, laboratory and field experiments, and agent-based models. However, which research method or approach is best suited to a particular inquiry is frequently debated and discussed. Working Together examines how different methods have promoted various theoretical developments related to collective action and the commons, and demonstrates the importance of cross-fertilization involving multimethod research across traditional boundaries. The authors look at why cross-fertilization is difficult to achieve, and they show ways to overcome these challenges through collaboration. The authors provide numerous examples of collaborative, multimethod research related to collective action and the commons. They examine the pros and cons of case studies, meta-analyses, large-N field research, experiments and modeling, and empirically grounded agent-based models, and they consider how these methods contribute to research on collective action for the management of natural resources. Using their findings, the authors outline a revised theory of collective action that includes three elements: individual decision making, microsituational conditions, and features of the broader social-ecological context. Acknowledging the academic incentives that influence and constrain how research is conducted, Working Together reworks the theory of collective action and offers practical solutions for researchers and students across a spectrum of disciplines.
Article
This article uses fuzzy set qualitative comparative analysis (fsQCA) to examine the determinants of job security regulations – here understood as restrictions on hiring and firing – in Western democracies. Unlike previous studies, the analysis reveals three different paths to high levels of job security regulations. The first path covers the Southern European state capitalist countries. In these countries, conflicts between forces pushing for liberal democracy and groups alienated from modernisation have led to high levels of statism and crowded out other societal actors. Job security regulations were enacted relatively early in order to provide social security by means available to the state. Due to fragmented welfare states, job security regulations have remained one of the most important pillars of the social protection regime. The second path covers the Continental European managed capitalist countries and is also characterised by high levels of statism. In these countries, repressive governments employed a stick-and-carrot strategy to weaken the labour movement and tie the loyalties of the individual to the state. After the Second World War, these countries developed corporatist intermediation systems and encompassing and generous welfare states. Finally, the third path covers the Nordic managed capitalist countries. This path is characterised by a high degree of non-market coordination, strong labour movements and few institutional veto points. In the Nordic managed capitalist countries, job security regulations traditionally have been subject to collective agreements. However, in the 1960s, labour movements succeeded in pushing through the public legislation of job security despite opposition from employers' associations. Methodologically, this article demonstrates that cross-national differences in the level of job security regulations can only be explained if the methods used allow for complex causality. In contrast, methods which focus on ‘net effects’ do not offer satisfactory explanations for the cross-national differences in the level of job security regulations.
Article
This paper proposes an analysis of the emergence and evolution of institutional frameworks. It explains the causes, process, and outcome of institutional evolution. We first describe the institutional framework as a multilevel system at the bottom of which several "local and flexible" institutions apply to subsets of the society while, at the top, a single "generic and rigid" institution applies to all. Dissatisfied with generic order, promoters of local orders try to design collective governance solutions that are better suited to their needs. If agents are heterogeneous (as we assume), then coordination needs differ and a competitive process begins among sponsors of alternative orders. To benefit from efficiency gains, promoters of local orders encourage adherence to their preferred system of rules. The resulting competition for adherents explains why "local and voluntary" institutions might progressively turn into "generic and mandatory" ones. We thus establish a logical continuum between contractual governance mechanisms and institutions. We then analyze the strategic interplay among sponsors of alternative institutional orders by considering not only the "horizontal" competition among institutions emerging in the same time but also the "vertical" competition between promoters of new rules and sponsors of the established, more generic rules.
Article
Policies of devolving management of resources generally assume that users will organize and take on the necessary management tasks. Experience with comanagement programs shows that this does not happen everywhere. This paper identifies factors affecting organization and collective action among water users in major canal irrigation systems in India. Results indicate that organizations are more likely to be formed in larger commands, closer to market towns, with religious centers and potential leadership from college graduates and influential persons. Water users' organizations increase the likelihood of collective maintenance work by farmers, but do not affect the likelihood of collective representation, or lobbying activities, which seem to happen more spontaneously.
Article
The literature on common property-based resource management comprises many important studies that seek to specify the conditions under which groups of users will self-organize and sustainably govern resources upon which they depend. Using three of the more comprehensive such studies, and with an extensive review of writings on the commons, this paper demonstrates that the enterprise of generating lists of conditions under which commons are governed sustainably is a flawed and impossibly costly research task. For a way out, the paper examines the relative merits of statistical, comparative, and case study approaches to studying the commons. It ends with a plea for careful research design and sample selection, construction of causal mechanisms, and a shift toward comparative and statistical rather than single-case analyses. Such steps are necessary for a coherent, empirically-relevant theory of the commons.
Article
The arid lowlands of Central Asia are highly dependent on the water supplied by the Tien Shan mountains. Snow and ice storage make large contributions to current runoff, particularly in summer. Two runoff models with different temporal resolutions, HBV-ETH and OEZ, were applied in three glaciated catchments of the Tien Shan mountains. Scenario runs were produced for a climate change caused by the doubling of atmospheric CO2 as predicted by the GISS global circulation model and assuming a 50% reduction of glaciation extent, as well as a complete loss of glaciation. Agreement of the results was best for runs based on 50% glaciation loss, where both models predict an increase in spring and summer runoff compared to current levels. Scenarios for complete loss of glaciation predict an increase in spring runoff levels, followed by lower runoff levels for July and August. Model predictions differ concerning the degree of reduction of late summer runoff. These scenarios are sensitive to model simulation of basin precipitation, as well as to reduction of glaciation extent.
Article
Much past analysis of community participation, in programmes designed to produce either housing or infrastructure, is incomplete as a guide to governments and non-governmental organisations (NGOs) in terms of the approach required to achieve success in this area. There are two main problems to consider when analysing this issue: one is whether community participation is practised at all, the other is how. This paper focuses on the former, aiming at providing some basis of understanding on the latter. Here, community participation is not seen as being just a means to enable the people to get, through mutual-help initiatives and possibly with outside help, the basic needs which, otherwise, would not be available to them, but also as a means to influence decisions in the political arena about issues that affect them.Existing models of community participation, such as Arnstein's ladder of citizen participation, although adequate for analysis in developed countries, provide misleading results within a development context. A tentative classification for the evaluation of participation within underdeveloped countries is suggested, based on the degree of the external institutional involvement in terms of facilitating/carrying out community mutual-help projects. These levels of involvement are arranged in the form of a ladder composed of the following rungs: empowerment, partnership, conciliation, dissimulation, diplomacy, informing, conspiracy and self-management. Examples are used to illustrate these concepts. Cases of empowerment and self-management, at the opposite extremes of the ladder, demonstrate that basic needs can be achieved with or without governmental support.
Article
Autism has attracted a great deal of attention in recent years, thanks to dramatically increasing rates of diagnosis, extensive organizational mobilization, journalistic coverage, biomedical research, and clinical innovation.Understanding Autism, a social history of the expanding diagnostic category of this contested illness, takes a close look at the role of emotion--specifically, of parental love--in the intense and passionate work of biomedical communities investigating autism. Chloe Silverman tracks developments in autism theory and practice over the past half-century and shows how an understanding of autism has been constituted and stabilized through vital efforts of schools, gene banks, professional associations, government committees, parent networks, and treatment conferences. She examines the love and labor of parents, who play a role in developing--in conjunction with medical experts--new forms of treatment and therapy for their children. While biomedical knowledge is dispersed through an emotionally neutral, technical language that separates experts from laypeople, parental advocacy and activism call these distinctions into question. Silverman reveals how parental care has been a constant driver in the volatile field of autism research and treatment, and has served as an inspiration for scientific change. Recognizing the importance of parental knowledge and observations in treating autism, this book reveals that effective responses to the disorder demonstrate the mutual interdependence of love and science.
Article
"The present work is concerned with the topical issue of natural resource management. It does not deal, however, with broad-spectrum environmental concerns such as protection of wilderness areas (for example, the south pole), air or water pollution, etc., but focuses on local ecosystems. What distinguishes local-level resources from larger ecosystems is that (1) they are susceptible of appropriation by relatively small units (including individuals) and (2) they can lead to rivalry in consumption in so far as yields of these resources are clearly perceived as subtractable. This book thus addresses the question as to how these local or village-level natural resources (as contrasted with global commons) can be most efficiently and equitably managed. In other words, can we find guidelines or sound theoretical principles for an optimal long-term exploitation of local resources (forests, irrigation water, pastures, lakes and rivers, sea areas, etc.)? Disturbing evidence highlighting rapid processes of resource depletion, particularly so in developing countries, has stimulated a lot of theoretical and empirical works during the last decades. Moreover, relevant theoretical tools (such as game theory) have been developed independently of environmental concerns which have potential applications to this field. The present attempt aims essentially at making a pause in order to take stock of the achievements attained so far. We believe this step is necessary in view not only of the considerable body of literature which has accumulated on the subject under concern, but also of the multidisciplinary nature of the works involved. Due to these two characteristics, there are many gaps to be bridged between various strands of thinking or contributions to the field."
Article
For over twenty years Charles C. Ragin has been at the forefront of the development of innovative methods for social scientists. In Redesigning Social Inquiry, he continues his campaign to revitalize the field, challenging major aspects of the conventional template for social science research while offering a clear alternative. Redesigning Social Inquiry provides a substantive critique of the standard approach to social research—namely, assessing the relative importance of causal variables drawn from competing theories. Instead, Ragin proposes the use of set-theoretic methods to find a middle path between quantitative and qualitative research. Through a series of contrasts between fuzzy-set analysis and conventional quantitative research, Ragin demonstrates the capacity for set-theoretic methods to strengthen connections between qualitative researchers’ deep knowledge of their cases and quantitative researchers’ elaboration of cross-case patterns. Packed with useful examples, Redesigning Social Inquiry will be indispensable to experienced professionals and to budding scholars about to embark on their first project.
Article
In this innovative approach to the practice of social science, Charles Ragin explores the use of fuzzy sets to bridge the divide between quantitative and qualitative methods. Paradoxically, the fuzzy set is a powerful tool because it replaces an unwieldy, "fuzzy" instrument—the variable, which establishes only the positions of cases relative to each other, with a precise one—degree of membership in a well-defined set. Ragin argues that fuzzy sets allow a far richer dialogue between ideas and evidence in social research than previously possible. They let quantitative researchers abandon "homogenizing assumptions" about cases and causes, they extend diversity-oriented research strategies, and they provide a powerful connection between theory and data analysis. Most important, fuzzy sets can be carefully tailored to fit evolving theoretical concepts, sharpening quantitative tools with in-depth knowledge gained through qualitative, case-oriented inquiry. This book will revolutionize research methods not only in sociology, political science, and anthropology but in any field of inquiry dealing with complex patterns of causation.
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En esta obra, Douglass C. North, premio Nobel de Economía de 1993, expone un marco analítico para explicar las formas en que las instituciones y los cambios internos en ellas afectan a la economía.
Article
Because of its inherently asymmetric nature, set-theoretic analysis offers many interesting contrasts with analysis based on correlations. Until recently, however, social scientists have been slow to embrace set-theoretic approaches. The perception was that this type of analysis is restricted to primitive, binary variables and that it has little or no tolerance for error. With the advent of “fuzzy” sets and the recognition that even rough set-theoretic relations are relevant to theory, these old barriers have crumbled. This paper advances the set-theoretic approach by presenting simple descriptive measures that can be used to evaluate set-theoretic relationships, especially relations between fuzzy sets. The first measure, “consistency,” assesses the degree to which a subset relation has been approximated, whereas the second measure, “coverage,” assesses the empirical relevance of a consistent subset. This paper demonstrates further that set-theoretic coverage can be partitioned in a manner somewhat analogous to the partitioning of explained variation in multiple regression analysis.