2 - Local Economy Support in Humantiarian Assistance - Muenchenbach&Ojok
2 - Local Economy Support in Humantiarian Assistance - Muenchenbach&Ojok
2 - Local Economy Support in Humantiarian Assistance - Muenchenbach&Ojok
The author used ‘action research in partnership with concerned actors’ as methodology and conducted
the study with a Ugandan counterpart. The approach builds on the concept of co-generating knowledge
between ‘insiders’ and ‘outsiders’ on specific areas of interest. Insiders want to find solutions for practical
problems; outsiders want to generalize conclusions and recommendations.
Local stakeholders selected three areas in which they saw potential gains from an increased involvement
of Local Economy: the lack of agro input dealers in agriculture, the lack of spare parts dealers in rural
water supply and the low quality of construction works in infrastructure projects. Researchers and local
actors conducted sector specific series of workshops, market chain assessments and analysed
information collected through questionnaires.
The three sectors agriculture, rural water supply and construction show significant differences in their
appreciation of Local Economy Support as an objective. Further investigation revealed a distinction
between ‘service delivery’ programs and ‘livelihoods’ or ‘production’ oriented programs.
Food Security and Agricultural Livelihoods Programs define the creation of livelihoods for farmers as their
main objective and respond to the lack of capacity of beneficiaries with increased training (farmer field
schools, seed fairs, partnerships to support small agro input dealers). They have a good conceptual
understanding of market and value chains and use indirect responses (vouchers, provision of credit,
strengthening of market linkages etc) that build capacity of local economy.
Rural water supply programs are supposed to phase out soon after the end of the transition phase. Their
main objective is coverage of services: the water points. Attempts to analyse rural water supply as a
market are rather rare. However, a growing number of implementation programs contain research
elements concerning this issue and development oriented organisations show strong efforts to find
workable solutions for operation and maintenance addressing sustainability of investment.
Construction / Infrastructure does not exist as a Humanitarian Assistance program but is regarded as a
hardware component of service delivery programs - schools for education and clinics for public health. As
i
a consequence, there is limited room to think beyond implementing the required structure and the
potential of construction projects for Local Economy Development is underestimated.
National Recovery and Development Programs show similar tendencies. The Peace, Recovery and
Development Programme (PRDP) as the main funding mechanism for the reconstruction of the North of
Uganda distributes resources to ‘service delivery’ sectors (education, health, roads and water) without the
inclusion of agriculture. On the other extreme, the UNDP ‘District Development Program III’ which aims for
Local Governments ‘to move from service delivery to performing a pivotal role in Local Economy
Development’ defines agriculture as the only viable sector for economic development in Kitgum District.1
The distinction into ‘service delivery’ and ‘production’ overlooks two realities: (1) Service delivery and in
particular reconstruction programs provide significant income and employment opportunities and should
be seen as eligible economic sectors. (2) Reconstruction needs to address production parallel to service
delivery / infrastructure: If we increase the number of roads and boreholes and teacher’s houses or
classrooms, what will the road lead to? We will have a problem with maintenance of these very roads and
boreholes as long as the people don’t have money in their pockets (Interview with District Agricultural
Officer).
The author proposes response options and invites for further reflection in five areas:
(1) Reducing the discrepancy between ‘service delivery’ and ‘production’ programs to allow for both to
contain objectives of Local Economy Support (for example by defining the use of local material, labour
and services as by-objective to the core objective ‘construction and rehabilitation of schools).
(2) In the absence of a shelter cluster, coordinating construction / infrastructure as a specific working
group e.g. in the Early Recovery Cluster.
(3) Applying indirect response options (voucher systems, provision of credit, strengthening market
linkages and partnerships) as they are used in agriculture oriented programs to service delivery oriented
programs.
(4) Adding Action Research elements to ongoing assistance programs. They provide ideal opportunities to
gain practical solutions to current problems and generalized ideas for future policy changes.
(5) Defining program objectives based on constraints that have been identified through market mapping
(e.g. as an addition to a LogFrame). The mapping of market systems in which Humanitarian Assistance
programs operate enhances understanding of complexities and of identifying constraints and formulating
specific interventions in relation to these constraints.
1
According to the Kitgum District Draft LED strategy plan (2010)
ii
Preface and Acknowledgements
Anthony Ojok was my friend, translator and co-researcher. Without him I would not have done this
dissertation. Many thanks.
Kitgum ABC Engineering Works offered us office space and became our mentors and host family.
An infinite number of people in Kitgum, Gulu and Kampala actively participated in this research.
Ana provided a home in Kampala and gave me Yoga lessons and good food.
Maria was the first one to whom I explained the dissertation topic on a cold January morning in
Switzerland because I wanted to know if it made sense to somebody with common sense.
SDC and GTZ responded to first emails confirming that my research questions were valuable and
motivated me to go ahead.
My small and extended families in Oxford and Switzerland were continuously open to discussions.
Leda Stott was always accessible, always critical, always positive and always supportive and all at the
same time. Thank you, Leda.
Ingenious People: What would you do if your shoelaces were too short?
iii
Table of Contents
Abstract
Preface and Acknowledgements
1 CHAPTER ONE - INTRODUCTION......................................................................................................... 1
iv
4.3.3 District Development Programme III – a move towards Local Economy Development LED ............ 16
4.3.4 Humanitarian Assistance and Development actors in Kitgum Town ................................................ 18
4.3.5 Local Economy actors in Kitgum Town........................................................................................... 18
7 APPENDICES ........................................................................................................................................... 50
8 BIBLIOGRAPHY...................................................................................................................................... 54
v
List of Boxes
BOX 1 DEVELOPMENT INDICATORS (WDR, 2009)......................................................................................... 13
BOX 2 PRDP BUDGET OVERVIEW (USAID, 2010) ........................................................................................ 13
BOX 3 PRDP FUNDING FOR ACHOLI DISTRICTS - FINANCIAL YEAR 2009 / 2010 ............................................ 16
BOX 4 WWW TABLE UGANDA CLUSTER ....................................................................................................... 18
BOX 5 CHRONOLOGICAL FIELD RESEARCH PROCESS ..................................................................................... 20
BOX 6 NUMBER OF CONDUCTED INTERVIEWS ................................................................................................ 21
BOX 7 RANKED CONSTRAINTS FOR MAIZE MARKET IN LED WORKSHOP ......................................................... 23
BOX 8 RANKING OF CONSTRAINTS IN SUPPORTING LOCAL ECONOMY - HUMANITARIAN ASSISTANCE............. 27
BOX 9 W HICH BENEFICIARIES? FROM ILO/CWGER GUIDELINES FOR LER .................................................. 27
BOX 10 ILO / CWGER, GUIDELINES FOR LOCAL ECONOMY RECOVERY ........................................................ 28
BOX 11 MEASURES THAT WOULD HELP AGRO INPUT DEALERS TO EXPAND BUSINESS ...................................... 30
BOX 12 SLIDES PROVIDED BY NASEKO SEED COMPANY – CHALLENGES AND MITIGATION MEASURES .............. 31
BOX 13 CONSTRAINTS AND RESPONSE OPTIONS AGRO INPUTS ....................................................................... 32
BOX 14 CONSTRAINTS IN SPARE PARTS SUPPLY CHAIN ................................................................................... 34
BOX 15 PROPOSED SMART RESPONSE OPTIONS FOR A CAPACITY SUPPORT PROJECT .................................. 39
BOX 16 SAMPLE FROM QUESTIONNAIRE FOR HUMANITARIAN ACTORS ............................................................ 52
List of Figures
FIGURE 1 CONCEPT OF EARLY RECOVERY (UNDP, 2006) ............................................................................. 2
FIGURE 2 CO-GENERATIVE LEARNING (EDEN AND LEVIN) ................................................................................ 4
FIGURE 3 COMPONENTS AND FLOW IN A LIVELIHOOD ....................................................................................... 7
FIGURE 4 SUSTAINABLE LIVELIHOODS CONCEPT ............................................................................................. 8
FIGURE 5 CRUNCH MODEL OF DISASTER RISK REDUCTION ............................................................................. 8
FIGURE 6 UGANDA IN AFRICA (MAP SOURCE)................................................................................................ 11
FIGURE 7 INTERNAL DISPLACEMENT MAP (UGANDA CLUSTER, 2009) ............................................................ 12
FIGURE 8 KITGUM DISTRICT .......................................................................................................................... 14
FIGURE 9 KAMPALA – JUBA (RED) AND KITGUM (BLUE).................................................................................. 14
FIGURE 10 ORGANIZATIONAL CHART KDLG .................................................................................................... 15
FIGURE 11 PRDP SECTORAL DISTRIBUTION KITGUM DISTRICT ........................................................................ 16
FIGURE 12 FUNDING ACC TO PRDP ................................................................................................................ 17
FIGURE 13 ANNUAL INCOME OF SERVICE SECTORS (LEBA)............................................................................. 17
FIGURE 14 VALUE CHAIN FOR MAIZE – LED WORKSHOP 19 JUNE 2010 ......................................................... 22
FIGURE 15 IMPORTANCE OVER COMPLEXITY .................................................................................................... 23
FIGURE 16 GOOGLE GROUP SET UP FOR RESEARCH ....................................................................................... 25
FIGURE 17 RANKING OF INDIRECT RESPONSES IN AGRICULTURE AND RURAL WATER SUPPLY.......................... 26
FIGURE 18 STAKEHOLDER ANALYSIS FOR INTENDED LED FORUM................................................................... 29
FIGURE 19 MARKET SUPPLY CHAIN SPARE PARTS FOR HAND PUMPS – 22 JULY 2010 .................................. 33
vi
FIGURE 20 CONSTRAINTS FOR EXPANDING SP4HP BUSINESS, QUESTIONNAIRE ............................................. 34
FIGURE 21 SUPPORT FOR EXPANDING SP4HP BUSINESS, QUESTIONNAIRE .................................................... 35
FIGURE 22 VALUE CHAIN FOR QUALITY CONSTRUCTION WORKS – TEST GROUP 22 JUNE ............................... 37
FIGURE 23 CONSTRAINTS FOR PRODUCING QUALITY CONSTRUCTION WORKS – QUESTIONNAIRE RESULT ........ 38
FIGURE 24 POPULATION AFFECTED BY DISASTER ............................................................................................ 45
FIGURE 25 DISRUPTION OF MARKET CHAINS ................................................................................................... 45
FIGURE 26 DIRECT RESPONSE TYPE HA ......................................................................................................... 46
FIGURE 27 PROBLEMATIC EXIT STRATEGY ...................................................................................................... 46
FIGURE 28 INDIRECT RESPONSE TYPE HA ...................................................................................................... 47
FIGURE 29 RE-BUILDING MARKET CHAIN .......................................................................................................... 47
FIGURE 30 PROPOSED LED FORUM STRUCTURE............................................................................................ 48
List of Pictures
The cover page picture was taken in Kidepo National Park by a former colleague
PICTURE 1 KITGUM MAIN STREET (AUTHOR, 2010) ........................................................................................ 15
PICTURE 2 KITGUM AERIAL MAP...................................................................................................................... 18
PICTURE 3 MAIZE MARKET MAPPING DURING LED WORKSHOP 19 JUNE 2010................................................. 21
PICTURE 4 CONSTRAINTS – LED WORKSHOP .................................................................................................. 22
PICTURE 5 PARTICIPANTS RANKING CONSTRAINTS .......................................................................................... 22
PICTURE 6 MEETING SP4HP 22 JUNE 2010................................................................................................... 24
PICTURE 7 OFFICE LOCATION.......................................................................................................................... 25
PICTURE 8 KITGUM AGRO INPUT DEALER ........................................................................................................ 30
PICTURE 9 AGRO INPUT AND MARKET LINKAGES MEETING 28 JULY ................................................................ 31
PICTURE 10 RESULTS FROM MARKET LINKAGES WORKING GROUP IN AGRO MEETING 28 JULY ..................... 32
PICTURE 11 PRESENTATION OF GROUP RESULTS, SP4HP 22 JULY.............................................................. 34
PICTURE 12 TEST GROUP MAPPING QUALITY OF CONSTRUCTION W ORKS.................................................... 37
PICTURE 13 PRESENTATION OF RESULTS FORM WORKING GROUP, CONSTRUCTION WORKSHOP 22 JULY ..... 39
vii
Abbreviations and Acronyms
AFD Agence française de développement
ALNAP Active Learning Network for Accountability and Performance in
APSEDEC Acholi Private Sector Development Company Limited.
BMZ Bundesministerium fuer Zusammenarbeit / Federal Ministry for
CAO Chief Administrative Officer
CWGER Cluster Working Group on Early Recovery
DAO District Agricultural Officer
DCED Donor Committee for Enterprise Development
DCO District Commercial Officer
DDP District Development Programme
DE District Engineer
DLG District Local Government
DWO District Water Officer
EU European Union
FAO Food and Agriculture Organisation
FIAS Foreign Investment Advisory Service
GoU Government of Uganda.
GTZ Deutsche Gesellschaft für Technische Zusammenarbeit
HA Humanitarian Assistance
HDI Human Development Index
HIPC Highly Indebted Poor Countries
HIV/AIDS Human Immune-deficiency Virus/Acquired Immunodeficiency syndrome
HSM Holy Spirit Movement
ICG International Crisis Group
ICG International Crisis Group
IDP Internally Displaced Person
INGO International Non-Governmental Organization
IRC International Rescue Committee
IRIN OCHA news network
KDLG Kitgum District Local Government
LC Local Council
LE Local Economy
LEAD Livelihood Enterprises and Agricultural Development
LEBA Local Economy Business Assessment
LED Local Economy Development
LG Local Government
LLDC Land Locked Developing Countries
LRA Lord’s Resistance Army
MDG Millennium Development Goal
MoH Ministry of Health
MoLG Ministry of Local Government
MTN Mobile Telephone network
MTN Mobile Telephone Network
NAADS National Agricultural Advisory Services
viii
NGO Non-Governmental Organization
NRA National Resistance Army
NRC Norwegian Refugee Council
NRM National Resistance Movement
NUMAT Northern Ugandan Malaria Aids and Tuberculosis Project
NUSAF Northern Uganda Social Action Fund
NUTI Northern Ugandan Transition Initiative
NUWATER Northern Uganda Water
PEAP Poverty Eradication Action Plan
PRDP Peace Recovery and Development Programme
RDC Resident District Commissioner
SDC Swiss Department for Cooperation
ToR Terms of Reference
UBOS Uganda Bureau of Statistics
UGX Uganda Shillings
UN United Nations
UNCTAD United Nations Conference on Trade and Development
UNDP United Nations Development Program
UNHCR United Nations High Commissioner for Refugees
UNICEF United Nations Children Fund
UNOCHA United Nations Office for the Coordination of Humanitarian Affairs
USAID United States Agency for International Development
UTL Uganda Telecom Limited
WASH Water, Sanitation and Hygiene
WATSAN Water and Sanitation
WDR World Development Report
WFP World Food Programme
WHO World Health Organization
ix
1 Chapter One - Introduction
This is one out of numerous stories that the author encountered in her decade of work for Humanitarian
Assistance in various organisations in various countries, contexts and continents. It is not easy to
purchase locally, use local contractors or hire local workers.
The author agrees that sanitation systems, water networks, schools and health clinics have to be built as
quickly and cost efficiently as possible. But should it not also be important who builds them and how?
Could money and resources that are needed anyhow not at the same time support local economy?
The motivation for this dissertation is to search for potentials for change so that Humanitarian Assistance
is designed and implemented in a way that it achieves maximum positive outcomes in both provision of
“conventional” humanitarian objectives like safe water and functioning health systems and in parallel
provision of “new” objectives like support of local economy towards sustainable profit-oriented
development.
What needs to change to make all happy: to help Jimmy to earn money by selling pipes, to allow the
administrator to follow rules and procedures, to give the rehabilitation project manager the material she
asked for and to provide the hospital with a functional sanitation system?
1
1.2 Background to the research
Objectives of Humanitarian Assistance are “to save lives, alleviate suffering and maintain human dignity
during and in the aftermath of man-made crises and natural disasters, as well as to prevent and
strengthen preparedness for the occurrence of
such situations” (IPB, 2003). Development
Assistance which follows Humanitarian Assistance
is more economy-centred.
Coordination of Humanitarian actors was improved
by the creation of the UN cluster system in 2005.
The Early Recovery Cluster has the specific
responsibility for promotion of long-term
development (UNDP, 2006)
Despite considerable progress, Humanitarian
Assistance and Development Assistance still
appear “disjointed” with a sharp change in
objectives from the humanitarian to the
development phase. By focusing on
“humanitarian” objectives actors may run the risk
to create prolonged dependency or even hinder
independent sustainable development.
The importance of Local Economy Support in Humanitarian Assistance - specifically in the context of
conflict affected environments – is acknowledged by the Donor community and concerned actors.
However, up to date there is a lack of practical concepts that allow efficient implementation of stipulated
policies.
2
1.5 Research Questions
The research was conducted as ‘Action Research in Partnerships’. The author critically analyses pros and
cons of the approach. More than a mere methodology, ‘Action research in Partnerships’ moves to the
centre of the investigation and the analysis of its applicability becomes a research objective.
The study was carried out with a Ugandan counterpart in order to provide the author - and the study - with
a cultural understanding of the context and to make sure that capacity was built and knowledge remained
in country. The field research from June to August included individual briefings, interviews, practical
brainstorming and workshops and the distribution and analysis of questionnaires. Overall the research
was well perceived by local actors. The turn-up for workshops was surprising.
The dissertation is structured into 6 chapters. Chapter one introduces the research. Chapter two describes
the methodology in detail. Relevant strands of literature are presented and analysed in chapter 3. Chapter
four describes the Ugandan context both nationally and locally. The last chapters present detailed study
findings (chapter five) and formulate conclusions, proposals and questions for further reflection (chapter
six).
3
2 Chapter Two – Research Methodology
Due to the restriction in financial resources and time of an individual dissertation the author chose an
exploratory approach which looks in detail into research issues, ‘scooping’ for potential opportunities and
proposing areas of further research.
The research was carried out as ‘action research in partnership with concerned actors’. This methodology
builds on the Scandinavian model of Participatory Action Research which is based on the concept of co-
generating knowledge between insiders and outsiders on a specific topic of interest (Eden and Levin as
cited in Reason and Bradbury, 1991).
However, in addition to and by further developing this approach the author chose taking a standpoint
towards the various actors in the context of the research as partners as opposed to mere participants.
One difference lies in the fact that the term ‘participatory’ is commonly used for an approach in which the
researcher controls the research but invites the ‘to be researched’ population to participate.
In her decision to use action research in partnerships, the author attempts to fortify the role of the
‘insiders’ (the people involved in the research) from participants to partners that co-decide about research
aim and research question in order to
make the expected result of the
investigation relevant to their reality.
Consequently, the author travelled to
Uganda in April and visited together
with her Ugandan counterpart 13
organisations essentially asking them:
‘This is my idea and this is the way I
want to do it. Does it interest you?
What interests you and how would
you make use of it? Do you have any
specific issues related to Local
Economy that can be investigated
with the model of co-generative
learning?’ This initial visit confirmed
interest of actors and defined three
topics that informed the selection of
three economic sectors (agriculture,
rural water supply and construction).
Figure 2 Co-generative learning (Eden and Levin)
4
Study closure
Researchers developed and formulated conclusions and recommendations.
Geographically the research was located only in one location (Kitgum). Kitgum is one of five Acholi
districts of Northern Uganda. Results are valid for the specific location and indicative for generalization.
Though, issues that came up through this scooping exercise help to identify ‘where to look for’ or are
topics for further research.2
The opportunity of the research lies in its practical approach involving existing real actors and its potential
to produce applicable concepts and tools that have been developed and agreed by a forum of concerned
actors.
The author is aware of the pros and cons of Action Research and has therefore defined the critical
analysis of the methodology as a research objective.
2.5 Dissemination
The question of dissemination was given high priority in the research preparation. Dissertation outlines
had been sent at initial stages, during early preparation in January 2010 and again in May 2010 to various
donors and Humanitarian Organisations in order to ask for their interest and inputs.
Dissemination is therefore planned for two different audiences: to participants involved (because it is their
research) and for donors and humanitarian organisations on a European and/or international level.
2
Concerning the regional context of Northern Uganda / Southern Sudan, the research could be expanded across the Acholi and
Karamoja regions or across the country border into Sudan.
5
3 Chapter Three – Relevant Strands of Literature
Humanitarian Assistance is usually not or not yet associated with Local Economy. For long the inclusion of
the private sector has been exclusively reserved for development issues. However, there is a growing
amount of literature that indicates a significant move away from this ‘old’ paradigm.
After a brief definition of Humanitarian Assistance and Development Assistance as concepts, the following
chapters will outline five major areas of current policy and research relevant to the dissertation.
3.2 Six major areas of policy and research literature relevant to the dissertation
The research builds in many ways on a variety of existing policy and research literature. The author
grouped them into five categories according to their relation to the research.
1 Assistance and its impact on conflict affected environments
2 Thinking in systems – Sustainable Livelihoods
3 LED, LER, LES and the Early Recovery Cluster
4 Direct versus indirect response – voucher systems
5 The poor are poor but they are many
The following paragraphs critically analyse available
literature and describe their connection and relevance to the
dissertation.
6
3.2.1 Assistance and its impact on conflict affected environments
When international assistance is given in the context of violent conflict, it becomes a part of that context
and thus also of the conflict. (Anderson M.B, 1999)
One of the first groundbreaking scholars in this field was Mary B. Anderson. Her well known volume Do
No Harm – How Aid can support peace or war summarizes findings and conclusions from the Local
Capacities for Peace Project. Based on intensive field research from Tajikistan, Lebanon, Burundi, India
and Somalia she convincingly demonstrates that assistance given during conflict cannot remain separate
from the conflict it operates in.
Recent years have seen emerging consensus within the donor community on the importance of Private
Sector Development in fragile and conflict-affected states. The Donor Committee for Enterprise
Development (DCED) stipulates the emergence of a new paradigm of early engagement with the private
sector as opposed to the ‘old’ paradigm where the private sector was only considered in the development
phase after humanitarian aid and reconstruction (DCED, 2008).
The SEEP network published a compilation of solicited case studies from market development
practitioners working in crisis environments. Market Development in Crisis-Affected Environments:
describes 13 case studies submitted from areas affected around the globe (SEEP, 2007). Based on the
research, SEEP stipulates that it is possible—and recommended—to engage in market development
almost immediately after a crisis.
Although agencies seek to be neutral, their aid can unwillingly either reinforce conflict or help reduce
tensions. This is specifically true for economic impacts resulting from assistance. For an IDP population
like the one in Northern Uganda, which has been deprived for decades of their livelihoods and sources of
income, it is of utmost importance if they perceive financial resources to remain within their local area or if
they perceive donor money to be spent elsewhere in the country or across country borders.
Anderson and SEEP challenge one of the ‘myths’ in humanitarian assistance: that organisations cannot
engage in local economy support due to reasons of impartiality. In fact by – wrongly – assuming that the
organisation remains impartial by not engaging with local economy, the opposite may be true.
The evolution of the Sustainable Livelihoods concept constituted another major paradigm shift in
Humanitarian Assistance.
Chambers and Conway (1991) define the concept
of Sustainable Livelihood.
A livelihood comprises people, their capabilities
and their means of living…A livelihood is
environmentally sustainable, when it maintains or
enhances local or global assets on which livelihood
depends. It is socially sustainable when it can cope
with and recover from stresses and shocks, and
provide for future generations.
An objective as it would typically be formulated in a
WASH program (Water Sanitation and Hygiene)
reads ‘Improve access to safe, reliable and
affordable water supply’. This often results in
defining outputs instead of outcomes: 50 water
collection points established, 30 boreholes drilled
etc.
Figure 3 Components and flow in a livelihood
7
A ‘Food Security and Sustainable Livelihoods’ program would for example define an objective like ‘Protect
and/or restore endangered livelihoods, and promote restoration of the local economy through local
purchases’3 Because the term ‘livelihood’ signifies a ‘system’ composed of various elements, the concept
is more conducive to formulating outcomes (self-sustainability increased) and not outputs (100 MT of
maize seeds distributed).
Another aspect of the Sustainable Livelihoods concept was the notion vulnerability or social sustainability
(coping with stresses and shocks).
Understanding vulnerabilities provided the key for the formulation of current Disaster Risk Reduction
(DRR) policies. Recent policy defines risk as proportional to the product of hazard and vulnerability and
inversely proportional to the capacity to cope: R = (H * V) / C
Whereas former disaster risk reduction was technology-centred and focused on mitigation of hazards, the
new model calls for reducing vulnerability by strengthening livelihoods (Tearfund, 2005).
The problem with the SL concept
lies in the fact that it is often
reserved for agriculture and food
security related programs and that it
focuses on rural areas. In fact there
is no reason why programs of other
sectors or of urban based problems
should not be understood as related
to livelihoods.
The concept was explained in detail
because it will play a role in
explaining sector differences
between agriculture, water supply
and construction.
3
Original quotes form the mid term evaluation of the Consolidated Appeal 2010 for occupied Palestinian Territories.
8
3.2.3 Local Economy Development, Local Economy Recovery and the Early Recovery Cluster
Like Private Sector Development (PSD), the term Local Economy Development (LED) is used by
development actors and appears rarely in the humanitarian sector. However, the creation of the Early
Recovery Cluster in the UN cluster system with the specific task to ‘promote early steps that enable long-
term development’ signifies a significant shift in thinking within the humanitarian assistance community.
The Cluster Working Group of Early Recovery (CWGER) and the International Labour Organisation (ILO)
have developed Guidelines for Local Economy Recovery (2010), where LER can be understood as an
early contribution of the Humanitarian Assistance community towards Local Economy Development.
The use of the term Local Economy Support in the dissertation acknowledges the fact that Humanitarian
Assistance can sometimes only support Local Economy without having the opportunity to enter into
development of LE.
The World Bank (WB) defines LED as:
The purpose of local economic development (LED) is to build up the economic capacity of a local area
to improve its economic future and the quality of life for all. It is a process by which public, business and
non-governmental sector partners work collectively to create better conditions for economic growth and
employment generation (Swinburn, 2006)
LED initiatives seemed to be positively perceived by the African community. LEDNA as the Local
Economy Development Network for Africa acts as an active and important hub for various types of LED
initiatives.
From an economic perspective, Local Economic Development (LED) attempts to build on the relative
economic advantage or the competitive economic advantage of a specific area. In the context of
decentralisation is signifies economic development in districts led by local governments as opposed to
central governments.
The author suggests that LED can be regarded as a potential methodology to provide (cautiously planned)
support for specific localities or local economies as positive drivers for alleviation of tensions or conflicts
between different regions, as this would be the case in Uganda between the North and South.
When a crisis reduces the purchasing power of households but not the supply of commodities,
practitioners are experimenting with “demand” subsidies, as opposed to “supply” subsidies. This usually
implies providing cash or vouchers to crisis-affected populations in order to re-establish demand due to
lost income, hence re-linking supply chains, rather than proving in-kind relief supplies.
The SEEP network suggests that in above described manner, Market-Integrated Relief (MIR) is beginning
to narrow the gap between relief and development activities in the area of commodity provision (SEEP,
2007).
Tools like Emergency Market Mapping and Analysis (EMMA), launched in March 2010 and widely used
e.g. in Myanmar, Haiti and currently Pakistan (Flooding) is a system of mapping and analysing market
chains in order to propose indirect humanitarian response options based on identified constraints (Albu,
2010). Indirect response options attempt to repair damaged linkages and clear bottlenecks and by so
doing strengthen and re-build systems of Sustainable Livelihoods.
In the food and agricultural sector, the donor community formulates the use of modern approaches of
vouchers and cash injections. The recent European Commission (EC) Communication on Humanitarian
Food Assistance advocates innovative responses such as using cash transfers and vouchers instead of
in-kind assistance.
Indeed, we believe that in many cases, when food is available in the region, cash transfers work better
than direct food distribution because they link the fight against today’s hunger with support for long-
term food security. (Unpublished EC assessment document received through private email)
9
3.2.5 The poor are poor but they are many – Humanitarian Assistance and the informal sector
When asked why they do not engage more with local economic actors, Humanitarian Assistance
organisations often claim that these are not capable to function efficiently in the delivery process of relief
operations. Constraint often refer to informality of actors e.g. non existing bank accounts.
However, if local ‘poor’ and informal economic actors were regarded as part of the target population then
including them into relief delivery processes and thereby enhancing their livelihoods would already be part
of achieving program objectives.
Prahalad and Hart (2001) argue that the perception that the bottom of the pyramid (BoP) does not contain
viable market participants fails to see the growing importance of the informal economy among the poor
(estimated to account for 40 to 60 percent of economic activity in developing countries).
The International Labour Organisation (ILO), the World Trade Organisation (WTO) and the Organisation
for Economic Co-operation and Development (OECD) have highlighted that ‘promoting pro-poor growth’ is
one of their core objectives. The Department for International Development (DFID) and the Swiss Agency
for Development and Cooperation (SDC) developed the guideline for ‘Making Markets Work for the Poor
(M4P)’. The Growing Sustainable Business (GSB) initiative coordinated by UNDP grew out of the 2002
Global Compact Policy Dialogue on Business and Sustainable Development. (UNDP, 2010)
Interestingly, above quoted documents do not propose described policies to the humanitarian assistance
community. However and although non-profit, Humanitarian Assistance has a huge impact on the
economy, is often one of the first possibilities to earn a living and can be a main driver for economic
recovery.
10
4 Chapter Four - The Ugandan Context
Uganda belongs to the group of Land Locked Developing Countries LLDC. The UN has recognized this
group as among the most disadvantaged countries facing severe challenges to growth and development.
(UNCTAD, 2010). It is also in the middle of a conflict-ridden region bordering the Democratic Republic of
Congo, Sudan, Rwanda, Kenya and Tanzania.
Uganda gained independence from Great Britain in 1962. Several decades of political unrest and
4
widespread violence followed (IRIN, 2007) . The Northern part of Uganda has experienced intermittent
insecurity since the coup led by Idi Amin Dada in 1970, which toppled the first post independence
government.
In 1986, President Yoweri Museveni wrested power through a military coup after a five-year guerrilla war.
He abolished political parties, blaming them for the country's decades of turmoil. After 10 years of military
rule in a non-party system, he was elected in 1996 following the formation of a new constitution. In 2005,
the government held a referendum in which the public voted overwhelmingly to return the country to a
multiparty system. Museveni remains Uganda's leader for the last 24 years, having won a controversial
third term in office in February 2006 and running for a fourth term in the coming election due in February
2011.
4
Mamdani (1976) offers an analysis of Politics and Class Formation in Uganda, underlining the importance of the colony for the
British Metropole as a supplier of agricultural produce, cotton in particular.
I am directed by the Governor to state that…Natives to be informed that three courses are open, cotton, labour for Government,
labour for planters. Only one thing that cannot be permitted (is) to...be of no use to themselves or the country. (Telegram of
Chief Secretary to the P.C. Western Province, 1924; in report of the Ormsby-Gore commission, 1925)
Mamdani claims that specifically the northern part of Uganda was perceived as a labour reservoir for the cash crop economy of the
South which in turn represented a raw material reserve for the British government. The impoverishment of the North became a
precondition for the relative development of the South.
Field research in the framework of the dissertation indicates that agriculture is partly over-emphasized as the sole sector for
economic development. This may correlate to the fact that Uganda was per definition declared ‘agricultural produce supplier’ in its
early history.
11
4.1.1 Conflict, displacement and camp life
In 2006, the Government of Uganda and the Lord’s Resistance Army (LRA) signed a formal cessation of
hostilities agreement during Juba peace talks under the auspices of the South Sudan government (ICG,
2006). With the return of some calm, people started returning home to their original villages and resuming
subsistence farming for meeting their consumption needs and small scale economic activities5.
Since 2009 and as the population attempts to resettle, humanitarian organizations began scaling down
operations in Northern Uganda.
5
As of June 2020, an estimated 90% of the population has returned home.
12
4.2 Humanitarian and Development Assistance in Uganda
With a Human Development Index of 0.514 Uganda ranks 157 out of 182 countries. The Human
Development Index (HDI) is a comparative measure of life expectancy, literacy, education and standards
of living for countries worldwide. In comparison the HDI of the UK is 0.947 (World Bank, 2009).
The Government of Uganda (GoU) launched
the Poverty Eradication Action Plan PEAP as
the country’s development framework in
1997 and revised it in 2000 and 2004. It is
grouped under five ‘pillars’: (1) Economic
management, (2) Production,
competitiveness and incomes (3) Security,
conflict-resolution and disaster-management
(4) Good governance and (5) Human
development. (GoU, 2004)
Uganda has always received high amounts
of Development Assistance. It also was the
first country to qualify for the Highly Indebted
Poor Countries (HIPC) debt relief initiative in
1998.
Since 2007, Humanitarian Assistance in Northern Uganda is provided under the Peace, Recovery and
Development Plan (PRDP). The PRDP is a program agreed to by the Government of Uganda and the
Donor community specifically meant to stabilise and promote recovery of conflict affected districts during a
three years period.
All stakeholders are expected to align their programmes to this framework. Development partners
supporting recovery and development should contribute to the implementation of the PRDP. The overall
cost is estimated to be near $600 million USD. 30 % should be provided by GoU through sectoral and line
Ministry allocations.
Many Humanitarian Assistance
actors have been and still are
present in Northern Uganda. At
the time of writing, Development
Assistance like USAID and the EU
implement a significant amount of
programs.
The World Bank has pledged 100
Million US $ for the second
Northern Ugandan Social Action
Fund (NUSAF2) program.
Box 2 PRDP budget overview (USAID, 2010)
13
4.3 Research Location Kitgum District
14
Picture 1 Kitgum Main Street (Author, 2010)
District Local Governments in Uganda are arranged in an administrative and a political part. The Chief
Administrative Officer (CAO) heads the administrative part, the Chairman Local Councillor Level 5 (LC5)6
the political part. On arrival for field research in June 2010, the researchers presented the study in tailor
made presentations to Vice Chairman LC5, assistant CAO, District Commercial Officer, District
Agricultural Officer, District Engineer and District Water Officer.
DAO, DCO and DWO later became very active and main participants in the brainstorming and workshops
part of the research for their respective sectors (agriculture, rural water supply). This was less the case for
the District Engineer (construction).
Chief
Administrative
Officer CAO
Assistant CAO
6
Administrative levels are district (LC5), county, sub-county (LC3), parish and village (LC1).
15
4.3.2 PRDP funding and distribution across sectors
The PRDP is the main vehicle for the reconstruction of the North. According to official figures (Daily
monitor, June 2010), Kitgum received 5.1% and Acholi region 21.1 % of the total PRDP amount.
PRDP Financial Year 2009 / 2010
District Allocations in 1000 UGS
Education Health Roads Water Total % of PRDP
Amuru 1'592'735 1'068'219 345'059 39'400 3'045'413 4.00%
Gulu 1'801'780 1'568'908 446'957 930'565 4'748'210 6.20%
Kitgum 1'609'744 591'819 1'325'009 376'519 3'903'091 5.10%
Pader 2'172'338 1'381'939 368'878 463'167 4'386'322 5.70%
PRDP total Acholi Region 7'176'597 4'610'885 2'485'903 1'809'651 16'083'036 21.10%
PRDP total 28'711'691 23'188'917 16'533'859 7'934'685 76'369'153 100%
Box 3 PRDP funding for Acholi Districts - financial year 2009 / 2010
PRDP positions refer to four sectors: Education (35%), Health (16%), Roads (40%) and Water (9%)
(Percentages for Kitgum). The striking element of Box 4 is the fact that agriculture (production) is not
represented in the PRDP although information gained through field research gives the impression as if the
main thrust of assistance were directed towards agriculture. Researchers asked this question to
Government Officials and will refer to the issue under findings in chapter five.
In Uganda, District Local Governments
have to out-contract services above 1 Mill
UGX (500 USD). Therefore PRDP projects
are tendered i.e. will be implemented by
the private sector. In a selection process, a
service commission avails contracts to
service providers / contractors who
predominantly are Local Economic Actors.
Based on the official list of contracts,
infrastructure components in the
respective departments, e.g. construction
of schools in Education, construction of
clinics in Health make up 84% of the total
budget.
Figure 11 PRDP sectoral distribution Kitgum District
4.3.3 District Development Programme III – a move towards Local Economy Development LED
Parallel and in addition to the PRDP, Kitgum is one of five districts currently piloting best practises for
Local Economy Development under the District Development Programme DDP III, which is funded by
UNDP and UNCDF to be implemented by the Ministry of Local Government (MoLG) in 15 Districts.
The intended output of the program is “clarifying and strengthening the role of Local Governments for LED
promotion through coordination of the actions of other LED promotion actors and intervening in a focused
manner towards enhancing the local business environment through the provision of economic
infrastructure and streamlining the regulatory environment”. (UNDP, 2008)
As a first step, MoLG conducted a Local Economy Business Assessment. The LEBA report is based on
data from the Uganda Bureau of Statistics (UBOS) census 2002 updated with statistical data from
16
Humanitarian Assistance and original market surveys. LEBA looks at Agriculture, Industry, Commerce and
Services7. The assessment recommends the agricultural sector for Local Economy Development.
Kitgum’s Draft Strategy Plan for Local Economy Development contains the mission statement: ‘To
stimulate local economic development in Agriculture, Agro processing and service sector by facilitating
Private Public Partnerships’. (LED team KDLG, 2010)
Although agriculture undoubtedly presents the main livelihood potential it is surprising that LEBA and the
Draft Strategy Plan consider only the agricultural sector for Local Economy Development. Here we have
the opposite of the picture presented by the PRDP sector distribution:
infrastruc Services
56% Trade
ture
84% 13%
The Peace, Recovery and Development Plan for Northern Uganda (PRDP) provides funding only to
‘services’ (schools, roads, clinics, water points) not to production (agriculture). And, 84% of this funding is
spent on construction / infrastructure projects. On the other hand the UNDP / UNCTAD District
Development Program evaluate the construction sector as virtually non-existent and assess only
agriculture (production) as a viable sector for Local Economy Development.
In an interview with the Ministry of Local Government on 12 July 2010, the DDPIII Program Coordinator
told the researchers that he ‘could never bring himself to look at construction or manufacturing as sector
… for me they are not ends in itself but just for supporting agriculture and can therefore not be regarded
as sectors’.
These results presented a riddle to the researchers and posed below formulated questions which the
researchers posed to District Officials of the Local Government. Answers will be analysed as findings in
chapter 5.
Why is agriculture not included in the PRDP? Do we have the right information?
Why – if 67% of the population receive their income through agriculture - is the sector not
represented?
Why – if 84% of the PRDP money flows into infrastructure / construction is this sector not regarded
as a viable sector for economic development?
7
For construction which falls under services the report states that ‘there was no updated data on construction in the district’. The
District Engineer in a short interview on 30 June 2010 confirmed that he did not possess data. This may be due to the fact that
construction was not included in the cluster system and the humanitarian community could therefore not contribute statistical data.
17
4.3.4 Humanitarian Assistance and Development actors in Kitgum Town
The Uganda Cluster website lists 39 Humanitarian organisations working in Kitgum District grouped into
six clusters in August 2009. The cluster system has since been abolished and has been replaced by
sectoral meetings headed and organised by the Kitgum District Local Government.
At the time of the research, some
HA had scaled down operations or
closed.
USAID was present with sub-offices
of Northern Ugandan Transition
Initiative (NUTI), Northern Ugandan
Malaria Aids and Tuberculosis
Project (NUMAT), Northern Uganda
Water (NUWATER) and Livelihoods
and Enterprises for Agricultural
Development (LEAD).
Box 4 WWW table Uganda Cluster
18
‘TLA free zone’8: Monica and Collin want to start a bakery
***
***
8
PLEASE REMEMBER THAT THIS MEETING IS AN ACRONYM FREE ZONE - SO PLEASE LEAVE YOUR TLA'S *(THREE
LETTER ABBREVIATIONS) AT THE DOOR !! From an invitation for the Haiti Logistics Civil Military Coordination Meeting Friday 7
May 2010 sent by haiti.logs-bounces@logcluster.org on behalf of uncmcoordhaiti
19
5 Chapter Five – Research Findings and Analysis
The following chapters serve two purposes. Firstly, they describe per sector the process of workshops and
assessments in relation to what ‘insiders’ or local actors had wanted to know: How can we improve with
SMART9 response options identified issues of lack of agro input dealers, lack of Sp4HP and lack of quality
of construction works?
Secondly, researchers - as ‘outsiders’ - interpret processes and results in search of answers to questions
in the framework of the research: Local Economy Support in Humanitarian Assistance: Where are we
now? How can we improve? How did the use of Action Research as methodology impact on results?
For the sake of the dissertation the author chose to present findings in the following sequence: (1) Action
Research as methodology, (2) general findings related to Local Economy Support and (3) sector related
findings to Local Economy Support. ‘Insiders’ may be more interested in sector related chapters. The
learning process of researchers developed iteratively. For the reader the first chapters may appear as
summaries of findings that are detailed in following chapters. For better orientation, Chapter 5.1 gives an
overview over the field research process.
‘Insiders’ or local actors had chosen three issues of interest: agro input and market linkages (agriculture),
supply chain of spare parts for hand pumps - SP4HP (rural water supply) and quality of construction works
- QoCW (construction). This provided the framework to the field research from June to August 2010.
9
Specific, Measurable, Attainable, Realistic, Time bound
20
Researchers and local actors conducted series of workshops separately for each of the three sectors.
During workshops participants mapped the system in which they were operating in the form of a market
supply chain or a value chain10. Based on the mapping they identified constraints pertaining to the system
and formulated potential response options. For further clarification, researchers conducted two detailed
assessments of agro input dealers and SP4HP dealers and suppliers.
During the last three weeks of field work and after the
Type of Actor Count of Organisation
“brainstorming and workshops” part of the research, actor
groups HA and LE were given questionnaires in which they Donor 6
could formulate their positions, interests, constraints and HA 16
recommendations regarding LES in HA. Local Government KDLG 11
actors were interviewed.
LE 11
Researchers conducted 49 formal and numerous informal
LED 3
meetings / interviews: 22 with HA actors (6 meetings with
donors), 11 with the Kitgum District Local Government (KDLG) MoLG 1
and one with the Ministry of Local Government. Meetings with Training school 1
Local Economy actors were often informal.
Grand Total 49
Box 6 Number of conducted interviews
In a public meeting on 18 June the District LED team presented the draft LED strategy plan for Kitgum
District to external actors (humanitarian assistance, financial institutions, agro processing associations
etc). Researchers were asked to outline their research in form of a power point presentation. The
presentation contained slides explaining the use of market mapping. Subsequently, the LED team
requested the researchers to carry out a workshop on the use of the tool taking the maize market as an
example.
The following paragraphs explain the methodology of market mapping as it was used in the research with
the help of a.m. workshop as an example. The logic remained the same throughout the research process
although the tool was continuously adapted according to sector specific contents.
Participants formed two groups and
were given the following task and
lead question:
(1) Task: Map the market for maize
that describes demand and supply
and identify bottlenecks. Brainstorm
for improving the existing situation:
List and rank bottlenecks and
formulate potential response options
based on identified constraints. (2)
Lead Question: How to promote the
development of the maize market
from subsistence into commercial for
economic growth?
10
A supply chain links commodities from their point of origin to their point of consumption. In a value chain a product passes through
various activities that all add value to the product. Following these definitions the author uses the term market supply chain if a
consumer needs a good and the term value chain if a producer wants to sell a good. In this regard, quality of construction works is a
value chain problematic. Agro inputs and spare parts are treated as supply chains, consumers are in need to be supplied.
21
Groups received colour coded cards representing value chain actors (yellow), support services (green)
and regulatory environment (red). As a first step they should define actors in the chain by writing their
names on cards and then linking them. In a second step they should add support services and key
infrastructure and in a third step map the regulatory environment.
Subsequently each individual of the group was asked to identify his or her perceived biggest bottleneck /
problem / constraint in the system by putting a red X on it. The group then wrote all identified constraints
on a flip chart paper.
After groups had presented their results to each other, they ranked identified constraints.
22
Ranking identified a list of main constraints
Ranking Constraint
1 Absence of a seed agency or Agro Input Retailer (seeds, tools, chemicals, fertilizers)
2 Poor trunk road network
3 Certification
4 Processors
5 Warehousing
Box 7 Ranked constraints for maize market in LED workshop
After the ranking, actors were asked to identify three constraints on which they wanted to focus for finding
SMART response options. The guidance was to pick first issues that were important but achievable in
terms of complexity (see Figure 15).
The process up to this point should make participants aware of the system in which they operate in order
to understand constraints in their complexity. Ultimately it prepared the ground for formulating response
options to identified issues.
Participants understood the tool quickly. Using it created animated and participatory discussion.
Participants commented that now they could ‘see the problem clearly’.
Interestingly, in this first workshop
participants stopped when it came to
formulating response options and instead
started a discussion if it really was maize
that should be supported as a crop. The key
question had not been sufficiently defined
and agreed as a common interest in order to
allow participants to agree on potential
response interventions. A good example for
the researches to think well about the
questions that they would formulate in their
research related workshops to follow!
5.1.2 Questionnaires
Towards the end of the study researchers distributed questionnaires to HA organisations and LE actors. A
questionnaire had also been designed for the Local Government. In contrast to the other two groups Local
Government partners felt more comfortable in interviews.
Appendix 2 contains a detailed summary of questionnaire methodology.
23
5.2 How did the use of Action Research as methodology impact on results?
11
At the end of the agricultural meeting on 28 July, the researchers asked for general comments about the meeting from somebody
who had not spoken yet. After several seconds one young guy form an agro input retailer shop got up and said: It is the first time that
we are coming together at one table with the Local government and humanitarian actors. It is now 2.30 pm and usually you would be
very tired. But I feel completely fresh as if I had just come in’
24
G The location and type of office was
crucial to the way the research evolved.
Availed by a business company it was one
room without gate, guard, car or phone,
centrally located in town. This had an impact
specifically on local economy actors who
periodically stepped in to see what was
going on which provided interesting informal
discussions.
H Lessons learnt and formulated into
recommendations were based on actual
experiences and had proven at least once
to be workable.
Some intended parts of the methodology did not work; others produced research results that have to be
treated with care.
I Researchers had initially planned to form research groups and agree on written research aims. Local
actors made it clear that there was no time and no interest. The issue was so apparent that the
researchers never asked the question.
25
5.3 General Findings
A Current Situation
Organisations spend 75% of their expenses for agricultural programs locally and 25% nationally; for Rural
Water Supply the figures are 76% locally, 23% nationally and 1% internationally. No figures were availed
for construction. Humanitarian assistance actors of all three sectors regarded the inclusion of Local
Economy in workshops as valuable and potentially providing solutions to identified problems.
Local Economy Support in Humanitarian Assistance Programs is very vital yet it has not been taken
care of before … My position is that awareness of the need to support local economy should be raised
initially … by the time Humanitarian Organizations implement the programs, so that when they leave,
the local communities would …own the
projects for their sustainability. (Quote
from HA questionnaire).
B Sector Comparison
Sectors showed significant differences
regarding organizational awareness and
therefore opportunities within their
administrative systems and procurement
procedures to support Local Economy.
Agricultural related Humanitarian
Assistance programs use for example a
variety of ‘indirect responses’. and rank
them as ‘very important activity’. These
include: (1) voucher systems, (2) provision
of training, (3) local purchase for required
resources, (4) strengthening of market
linkages in software and hardware, (5)
provision of credit and creation of
partnerships and (6) increasing synergy
effects through coordination (business
leaders’ forum, chamber of commerce) 12.
Rural water supply and construction use
only two: training and purchase of local
resources (material, labour and services).
12
A direct response would be to give seeds; an indirect one is to give a voucher which the beneficiary has to exchange her or
himself against the required seed from a local dealer.
26
Rural water supply and construction affirm nine potential issues proposed by the researchers as
constraints. They specifically rank non-availability of goods, lack of quality of goods, non-reliability of
local economic actors and the lack of awareness for the importance of local economy support as the four
most serious constraints. In contrast, interviewees for the agricultural sector only rank three points as
constraints.
Constraint Ranking
Rural Water
Agriculture Supply construction
certain goods and services are not available 4 9 9
Local Economy actors are not reliable 0 7 9
lack of awareness for importance of local economy support 0 8 9
the quality of goods and services is not sufficient 4 9 6
We don't know the local market enough 0 4 6
this not part of our mandate 0 5 5
unfavourable internal administrative rules and procedures 4 5 5
the local prices are too high 0 4 4
Our field offices lack the manpower to handle activities that
support Local Economy 0 2 0
27
One of the main financial institutions stressed the potential of the construction sector:
This is about the velocity of money circulating within one area, i.e. the circulation of money flow. For
example the government pays contractors, who buy from Apo Wegi (local hardware store) who buys
fuel from the fuel station which also processes their money through the bank. Once the fuel station
has money they spend it in lodging or build a house. That is how the cycle should be. (Interview 21
July).
The Acholi Private Sector Development Centre, which started as a UNDP program in 1999 and registered
as a private company Ltd. in 2004 informed that so far training for business development had
concentrated on Micro Enterprises but that it would make complete sense to integrate the secondary
sector and SME development (interview 2 July).
13
Interviewee is Personnel Officer, NUSAF2 Focal person and PRDP focal person
28
E Stimulation for greater involvement of Local Economy
Humanitarian organisations were asked what would enable them to increase LES (questionnaire). A
considerable amount of answers address necessary internal changes: (1) prior budgetary planning, (2)
understanding the steps / what we can do to support local economy, (3) administrative & logistic
regulation enable us to do so.
They recommend to Local Economy Actors the following actions that would make them more attractive:
(1) Increase your capacity! (2) Take part in and support Humanitarian Assistance! (3) Prove your good
intention! (4) Advertise yourselves! (5) Partner! Have corporate connections with more well known
companies in Kampala to be used as subcontractors, (6) Get advocacy support from Local Government!
F The Forum
In particular agricultural oriented programs lament the lack of coordination14. The LED program carried
many elements of an adequate forum. One of the main strategies of the LED program was for Local
Governments ‘to move from service delivery to performing a pivotal promotional role in Local Economic
Development’. Researchers therefore performed a stakeholder mapping of the LED set-up.
14
Q: What would help to increase support? A: Proper coordination structure on board that would make it easy to follow up on a
number of issues. Once there is a forum these matters can be handled rather than dealing with individuals who are scattered. (Quote
from agriculture section of questionnaire)
29
5.4 Sector Specific Findings
5.4.1 Agriculture
15
‘Agro inputs’ encompass apart from seeds tools, fertilizers and chemicals. As a first step, researchers assessed the market for
agro input providers.
16
People buy agro inputs only during six months of the year, during planting season
30
Willingness of seed companies or wholesalers exists due to their interest in the Northern Ugandan market.
My perception of Acholi region is of an emerging market for Agro-inputs as farming is the largest
source of livelihood. Farmers will go in for agricultural technologies (Improved seeds) to increase their
yields. (Quote form Kampala Seed Company Sales Manager)
In order to present findings from the assessment, researchers organized a workshop on 28 of July. The
objective was to bring together the actor groups Local Economy (Private Sector), Humanitarian
Assistance and Local Government and discuss agro inputs and market linkages. The second point had
been added on request of partners. The research aim was to observe which impact the merging of the
three actor groups would have on producing SMART response options for addressing these two identified
constraints.
Box 12 Slides provided by Naseko Seed Company – challenges and mitigation measures
31
This time participants were divided into two groups. Group 1 consisted of actors involved in agro inputs
(Seed Supplier, Seed Retailer, FAO), Group 2 consisted of actors involved in market linkages (KIDFA,
APSEDEC, WFP). The rest of the participants were randomly distributed.
Both Groups were asked to: (1) Identify bottlenecks /problems / constraints in their respective system and
rank them by importance, (2) Brainstorm response possibilities, (3) Agree on workable solutions/response
options and (4) Explain their findings to the other group in a plenum.
Picture 10 Results from market linkages working group in Agro Meeting 28 July
Participants unanimously agreed that the meeting had been helpful and that the methodology of bringing
actor groups together was a workable solution to achieve outputs. The main problem of the agricultural
sectors lies in its complexity and the question who should initiate, lead and facilitate meetings of this kind.
For the immediate future in Kitgum, participants concurred that the LED Program (Local Economy
Development as focus of DDP III) was the natural actor to take on this role and that LED should include
the approach into the program implementation process.
32
5.4.2 Rural Water Supply
The workshop was attended by 13 participants: (KDLG) District Water Officer, 2 Pump Mechanics, Intern,
Health Inspector and Assistant Health Inspector, (LE) three shop owners and (HA) ICRC, Mercy Corps,
Oxfam. All participants first presented the current situation as seen from their perspective:
Humanitarian Assistance organisations wanted to discuss to whom they could hand over existing stock of
spare parts and how it would be replenished. At present the plan was to hand over to the DWO, due to
lack of other possibilities.
The Kitgum Local Government reported that the system had worked before the conflict, that KDLG has
drafted an Operation and Maintenance Plan for water sources as a guideline for Water User Committees
(WUC) but that they faced constraints regarding lack of transport, storage, high prices of material and low
financial capacity of communities. They were taking over responsibility but could not stay and did not plan
to stay in the business forever. They had plans to give way for private sector operators.
Local Economy stated that they were interested and that in the absence of NGOs and DWO the business
would be lucrative but still needed start up capital to buy expensive pump parts and an increase of
purchasing power of communities.
Participants produced a market map with three timelines: current, to start with and ideal:
Figure 19 Market Supply Chain Spare Parts for Hand Pumps – 22 July 2010
33
Two groups identified the following list of ranked constraints (in brackets points for ranking):
Identified Constraints
Group 1 Group 2
Water fee collection / Ownership / Affordability (5 points) Water user fee collection (7)
Funding / Pull out of organizations (4 points) Awareness creation (6)
Government Policy on Spareparts (3) Transport to consumers (WUC) (6)
Pump Mechanics not on payroll (3) Storage for the stock at S/C (1)
DWO transport and staff (3) Start-up capital (1)
Box 14 Constraints in spare parts supply chain
Groups formulated response options but did not agree or decide which potential option to follow.
Researchers offered to develop an assessment to complement the market map with specific data i.e.
number of shops providing spare parts, specifications and prices.
In contrast to the agricultural sector, this meeting displayed that the approach was new to participants who
were cautiously interested but
not ready to take action. As a
consequence to the workshop,
two HA organisations concurred
to meet the DWO in order to
formulate a tri-partite response.
Some actors commented that
this was a good thing (to include
Local Economy) and the ‘only
way out’. Whereas in agriculture
actors used workshops to get to
decisions, in Rural Water Supply
meetings seemed to have a role
of awareness-raising.
Local Economy actors were
satisfied to ‘have leaned
something’. Two of them used
the meeting to create bilateral
links to the DWO.
34
Response options that would
Q10 What would help in expanding SP4HP market?
support their business consist of
(1) NGOs and the District to buy
3.5
locally, (2) purchase on credit 3 3
from suppliers or access to 3
During the SP4HP assessment, interviewees made researchers aware of two Water and Sanitation
programs that contained research elements addressing the issue of spare part supply chains.
A program implemented by Medair had defined ‘Spare parts store supported and maintained by local
businessman’ as an indicator and achieved some success in Pader district in the Acholi region. For a
similar attempt in Karamoja, an internal Medair document states that ‘the cost of spare parts for the major
U2 pump parts are out of reach for most communities’. In addition Medair lists high repair costs, corroded
pipes due to high salt content of groundwater, low water level, poor quality material in the market and high
costs of original parts (monopoly of importer?).
GOAL Uganda added a research component to an implementation project in Abim District (Karamoja).
The research objective is to review existing repair networks in Uganda and East Africa and to propose a
network of Pump Repair and Spare Parts Providers. In an interview, the Project Manager summarized
some preliminary findings: (1) Stockists (spare part dealers) need a catchment area of 1500 to 2000 hand
pumps for a commercially viable business. (2) The repair of hand pumps can be coupled with hardware
supply or plumbing services like in Kenya where hand pump repair is part of vocational training schools’
curricula for plumbers. (3) As there is more demand for new installations, pump mechanics should form a
cooperative and participate in the tendering process of districts for hand pump installation.
Agencies engaged in research on sustainability of Rural Water Supply underline that operation and
maintenance is in no way a straightforward subject. Current literature (1) questions if communities will
ever be able to afford spare parts, (2) stresses that the involvement of the private sector is a supportive
element but at the same time only one aspect of a multi-faceted problem. (Koestler, 2009; RWSN, 2010).
35
5.4.3 Construction
The construction sector in many ways produced the most unexpected results. During the initial April visit,
quality of construction work had been mentioned as an issue of interest. However, when the field research
in Kitgum started in June, the reaction was very hesitant. Whereas at least half of humanitarian assistance
organisations working in the agriculture and water supply sector spontaneously wanted to meet and talk
about their respective topics (agro inputs, SP4HP), the construction sector did not possess any champion
or provide any crystallization point to kick-start a discussion forum.
The author suggests that this is related to the fact that construction never existed as a cluster. In
agriculture, FAO who had the cluster lead for FS and AL and the DAO were natural leading and
coordinating figures. In the rural water supply sector it was the District Water Officer who had taken over
responsibility from the former WASH cluster. Actors in these areas knew each other and possessed a
certain common road map and common language that had developed over years of former cluster
meetings and joint operations.
This had never existed for the construction sector. The District Engineer held only sporadic contact with
Humanitarian Assistance organisations and if so only on a
bilateral basis. NGOs that had mentioned quality of FROM: KCA DRAFT CONSTITUTION
construction works as a constraint had developed
individual ways of dealing with the issue. Organisations did 1. AIMS AND OBJECTIVES
not possess a shared database of knowledge and the idea (i) To create mutual
to meet for discussing a common constraint was altogether understanding among contractors and
new, specifically for the District Engineer. other business communities.
The problem in the construction sector was also different (ii) To foster oneness among
in the sense that agriculture and water supply complained contractors nationally and
about a lack of quantity (agro input dealers and spare part internationally.
dealers) whereas for construction they complained about a (iii) To strengthen and promote
lack of quality. Humanitarian Assistance organisations good relationship among Contractors,
predominantly did use local contractors to implement Employers, Employees and the Local
projects. It was insufficient quality that threatened Communities.
sustainability of infrastructure projects. (iv) To empower Contractors to
obtain sustainable life.
Four weeks into the study, researchers considered to drop (v) To protect Contractors welfare
the issue as a wrong lead and due to lack of interest. in time of their execution.
However, construction contractors now started pushing for (vi) To create harmony among
a common discussion forum. This was partly triggered by Contractors and their Employers.
two study elements: a meeting with a test group which had (vii) To promote good workmanship
mapped out constraints for construction contractors during and achieve quality products.
project implementation and a questionnaire that had been (viii) To sensitize Contractors on
disseminated. procurement and Contract
The test group relayed results of their mapping exercise to Management.
the provisional Kitgum Contractors Association KCA, (ix) To create opportunities to
which was in the process of legal formation. KTC stated Contractors to attain short term
that they expected the meeting to give them a better courses.
understanding of their situation. (x) To foster unity among
members even in times of calamity e.g
Sustained by the interest of KCA a meeting took place on Death, Earthquake, Landslide and any
22 July with all actor groups. The meeting later led to the other disaster that may befall someone
idea of a capacity support project where a donor would (xi) To set standard payment rates
support KTA in the three areas of (1) quality of local for labourers namely: (a) Skilled (b)
material, (2) financial and management training courses Semi-Skilled (c) Unskilled The
and (3) a cooperative for machines and equipment. rate for unskilled shall be half that of
the skilled whereas the Semi skilled
shall be determined by the Employer.
36
5.4.3.1 Test Group
Figure 22 Value Chain for quality construction works – Test Group 22 June
17
Corruption can have the following impacts on quality of construction works: A contract sum of a tender is based on a Bill of
Quantity (amount of material ‘times’ assumed price). A District Officials demands a certain amount of the total contract sum. If this is
agreed, the amount is now missing as the calculated income and the contractor tries to lower costs by buying cheaper material with
lower quality. In addition the official will not adequately control the work on site or has to be paid to move to the site.
These incidences occur often and their results have been witnessed by the author. Of course there are also cases of internal
corruption and incapacities within construction companies. Each actor group has its specific problem. It was therefore an objective to
bring all actor groups together at one table.
37
5.4.3.2 Analysis of questionnaires
Government represents contractors’ biggest client with 51%, followed by HA with 38% and Private Sector
with 11%. Distribution in 2010 is LG 59%, HA 32% and PS 9%. This trend resonates with the reduction in
scale of humanitarian activities that started in 2009 continuing into 2010.
Contractors state that in 2009, 37% of construction works fell into the education sector, 19% into health,
2% into agriculture and 23% were others.
The five biggest constraints for improving quality are corruption, quality control, poor roads, lack of
standards for manufacturers and lack of access to credit.
When asked what initiatives would help improve quality of construction works, respondents suggested
necessary changes from the side of
the client and the contractor.
Weighing of proposed constraints
• Do professional work - don't
under cost. 33
35
• Contractors should employ 30
professional people on site 30
26
• Honesty on side of 25 23 23
contractors in paying their
20
workers so that they don't sell
materials. 15
• Access to modern equipment 10
• Constant site supervision, 5
clients should facilitate their
engineers / inspectors. 0
• Adherence to specifications Corruption Quality control Poor roads Lack of even Lack of credit
standard of
manufacturers
All respondents support the idea of a local business organisation to cater for the interests of the sector
and agree that if their quality improved they would be able to win more jobs.
38
5.4.3.3 Workshop 22 July and Windows of Opportunity
18
Specific, Measurable, Attainable, Realistic, time bound
39
‘TLA free Zone’: Construction during insurgency
***
***
40
6 Chapter Six - Conclusions and Recommendations
6.1 Conclusions
Conclusions refer to the general research aim of investigating to what extent Humanitarian Assistance
(HA) Programs during the transition phase from emergency to development currently support Local
Economy and how best can this support can be strengthened by forming partnerships with Local Markets
and in coordination with Local Governments (LG).
The author does not present conclusions for sector specific topics (agro inputs, spare parts for hand
pumps and quality of construction works). It would be an overestimation of the significance of produced
results. They were chosen by local actors to find local solutions. On a global level they are extensively
investigated in specific research programs.
Government of Uganda with Donor Support through the Peace Recovery and
Development Programme PRDP for Northern Uganda focus on service delivery in form of
schools, clinics, roads and water points. In contrast, the new District Development
Program DDPIII focuses on Local Economy Development for agriculture as a production
sector.
Humanitarian Assistance Programs mirror the same distinction between service delivery
(Health, Education and WASH) and Production (Food Security & Agricultural Livelihoods).
Production oriented programs regard Local Economy Support as part of their mandate
whereas service delivery programs do not.
The distinction ignores the fact that agriculture is not the only sector that contributes to
Local Economy Development. Reconstruction programs provide significant income and
employment opportunities for the affected population. Service delivery programs like
Rural Water Supply need the private sector for operation and maintenance and for
sustainability of invested capital.
The selection of ‘issues of interest’ in the form of Agro Inputs, Spare Parts for Hand
Pumps and Quality of Construction Work from the side of local actors was symptomatic in
the sense that all three issues constitute bottlenecks in critical markets.
In agriculture, Humanitarian Assistance programs primarily attempt to increase self
sufficiency and income of the target population, in Northern Uganda mainly through food
crop production. Market systems of maize or beans need the private sector delivering
agro inputs for increased quality and production.
In rural water supply, Humanitarian Assistance programs attempt to provide safe water
and sanitation to the target population in order to improve Public Health indicators. But to
guarantee sustainability of investment, communities need to be able to buy spare parts
for repair of hand pumps from a local market.
The same principle applies to construction where sustainability of investment needs
sufficient quality of end product.
41
Populations contain very poor, poor and relatively well off individuals. The ones better off
commonly support their family and extended family members.
The term ‘target population’ or ‘beneficiaries’ as used in Humanitarian Assistance by and
large encompasses the poor and affected. Stronger members like the construction
companies, agro input dealers and hard ware shops who participated in the research are
not seen as part of the target population. In consequence, to support them would fall out
of the humanitarian mandate.
Without doubt, humanitarian assistance should help the vulnerable and affected, respect
humanitarian principles and refrain from gaining economic profit (and from allowing war
winners to gain profit). However, widening the system by including the better off
population would allow these to cater for their weaker members. Wealthier individuals are
part of the target population; they have suffered the same problems and prove that people
can be powerful and resilient.
Capacity building of secondary sectors like construction, trade, and manufacturing
supports individuals with higher levels of education, who use modern technologies and
thereby contribute to the growth of support services like financial institutions, transport
and communication. In this sense they act as ‘drivers for change’.
Stakeholders in general and agricultural programs in particular agree that for Local
Economy Support / Recovery / Development there is need for a forum. But how should it
look like? The cluster system has become an established framework for provision of
Humanitarian Assistance. But what comes after the cluster system?
The Early Recovery Cluster with the UNDP or ‘UN Program for Development’ as lead
agency would seem the ideal candidate. By definition the role of the cluster is to bridge
the gap from humanitarian assistance to recovery. Unfortunately, the ER Cluster has not
settled well into its role within the cluster system. This may be due to the fact that Early
Recovery should rather be mainstreamed as a concept. As a cluster it sometimes seems
to search ‘for what to do’.
The well written ILO/CWGER guidelines - often quoted in the dissertation - seem an ideal
document for implementation. The question is ‘who will apply the guidelines?’.
42
6.1.2 Sector Specific Conclusions – Agriculture ahead of other sectors
Infrastructure / construction
Infrastructure does not exist as a Humanitarian Assistance program but is regarded as hardware
component of service delivery programs such as schools for education and clinics for health. As a
consequence, there is limited room to think beyond implementing the required structure (as would be
required for operation and maintenance) and support for quality improvement of construction projects is
not defined as an objective.
There are exceptions to the rule. They often stem from initiatives of individuals or organizations with long-
term experience. Good practice examples show that programs possess liberties that allow them to include
capacity building components into infrastructure implementation.
Although a significant amount of financial resources was invested in infrastructure, construction projects
were not handled in a separate cluster20. Consequently, there has been no exposure of the District
Engineering Department to cluster meetings and no follow-up in form of ‘public works’ sector meetings.
Programs like Northern Uganda Transition Initiative (USAID) invest 70% of their funding as support to the
Local Government in the form of infrastructure; however, the program does not contain capacity building
of actors in the value chain (support to contractors, hardware shops or creating market linkages)21.
Infrastructure programs, at least in the current state in Northern Uganda, have no extension e.g. into
development of Small and Medium Enterprise Development.
19
although they provide training and start up kits in the form of repair tools or bicycles
20
It usually falls into the shelter cluster
21
According to USAID, NUDEIL (Northern Uganda Development of Enhanced Local Governance Infrastructure and Livelihoods) as
the follow up program to NUTI will address this issue
43
6.2 Proposals and Questions for Further Reflection
The following paragraphs list proposals from researchers and local stakeholders that evolved during the
research process. Most of all they invite for further reflection.
How can the discrepancy between ‘service delivery’ and ‘production’ programs be
reduced in order for both to include Local Economy Support objectives?
Proposals:
(1) Stipulate Support of Local Economy as by-objective to core objectives like provision
of water supply points, construction and rehabilitation of clinics and schools22.
This will automatically influence procurement rules and administrative and
logistical procedures
(2) Indicate specific indicator for monitoring and evaluation, e.g. percentage of program
money spent on local level. The indicator should practically be a column of an
administrative accounting sheet.
(3) Include economists in humanitarian programs to provide economic perspectives
How can indirect response options - as they are frequently used in agriculture /
production oriented programs - be applied to service delivery oriented programs
like water supply and construction?
The following graphs explain the difference between both options: A country is affected
by a disaster. Households as end consumers loose purchasing power and capacity
which causes partial or complete interruption of supply and value chains.
Direct response options are fast and easy to control. They allow the exclusive use of
internal resources. They carry the risk of a renewed disruption on exit of agencies.
Indirect response options are slower and more complex. They include a variety of
external actors and require coordination. They build on existing capacities and attempt
to re-build market systems seeking to improve chances for sustainability.
22
In addition this can be extended to internal program expenses incurred by administration and logistics.
44
Figure 24 Population affected by disaster
A supply chain is disrupted by a natural or man-made disaster due e.g. to loss of HH purchasing power.
45
Figure 26 Direct Response type HA
Direct response options replace the initial market system but do not rebuild it
46
Figure 28 Indirect Response type HA
Indirect response options rebuild the chain through delivery of vouchers to HH and credit to retailer shops.
47
Which forum is best suited to support Local Economy and later promote Local
Economy Development? Who should play the role of the initiator, the lead and the
facilitator?
Proposal:
Stakeholders acknowledge the importance of this issue. They meet, discuss and agree
together on a way forward, much the same way the cluster system was agreed nearly a
decade ago.
Stakeholders agree on a required
structure and define permanent
Terms of Reference (ToRs) for
certain positions.
Varying agencies fill positions
according to specific context.
An initiator can or cannot join the
Forum. A lead agency or a
stakeholder can or cannot be a
partner or local actor.
Can the market mapping tool in conjunction with a LogFrame be used as a tool for
defining program objectives?
The mapping of market systems in which HA programs operate enhances
understanding of complexities and of identifying constraints and formulating
specific interventions in relation to these constraints.
48
6.2.2 Local Economy Actors
How can Local Economy actors widen their horizon regarding ongoing assistance
programs in order to gain knowledge for informed decisions?
Actively seek involvement in Local Government sector meetings
Participate in programs like DDP III / LED
What can Local Economy actors do to advocate for their support and inclusion?
Create associations or groups of interests and/ or join chambers of commerce in
order to formulate interests and demands
Advertise and market yourself (Business directory, flyers etc)
How can the two concepts of service delivery and production be merged for
improved efficiency?
Service delivery and production are twin sisters or two sides of the same coin.
Regard all sectors as integral to Local Economy Development and include all
sector heads into a respective discussion
Act as a cohesive group not as a collection of individuals (for example by
institutional development training).
How can Local Government engage the Humanitarian assistance community for
maximized support to local economy?
Condition Humanitarian Organisations for local service provision
Provision of statistical data is paramount. If no data is presented, a sector can
disappear from the map like construction in the example of the LEBA exercise.
The District Engineering department to actively seek contact with the Humanitarian Assistance
community
Prologue
There is definite interest of local stakeholders in including the private sector and supporting Local
Economy. More than anything else this was proven by participation in workshops. Stakeholders showed
their interest by coming. People are very innovative if they are being asked and given a forum to act.
The dissertation claims that including Local Economy can help affected populations to recover. The author
is however well aware that Local Economy Support is only one element in the complex system of
Humanitarian Assistance and that presented conclusions by no means apply to all contexts.
49
7 Appendices
16. Jun FAO KIM meeting, interview Brenda Piloya-FAO Head of Office
17. Jun WFP KIM Interview Martin Malinga-Head of Office.
17. Jun Mercy Corps KIM Interview Patrick Okello
18. Jun ICRC KIM meeting Drilling team, Olivier Bernard
51
7.2 Summary of questionnaire methodology
The questionnaire for Humanitarian Assistance comprised of eleven questions (6 general and 5 sector-
specific). It was distributed to 12 organisations of which 7 responded. All organisations had been
personally briefed about the objective of the research. The majority had been participating in workshops
and in the action research part of the study.
The following 12 organisations were contacted: Africa Network 2000 (supported by ACDI/VOCA), AVSI,
FAO, ICRC, Invisible Children Uganda, IRC, Mercycorps, NRC, Oxfam, UNICEF, USAID NUTI, and
WFP23. These represent approximately 75% of all organizations that at present (July 2010) have
programs concerning the a.m. three sectors agriculture, rural water supply and construction in Kitgum and
Lamwo Districts24. The amount of seven organizations that responded therefore makes up approximately
half of the Humanitarian Assistance community in Kitgum.
Organisations were asked to which extent they supported Local Economy, what was their general attitude
towards Local Economy Support (LES) and what local Economy actors could do to be more attractive to
Humanitarian Assistance (HA) programs (3 questions).
Four organisations implemented programs in the agricultural sector, three in the rural water supply sector
and seven have programs that concern the construction sector. Five out of seven organisations said that it
is their mandate to support Local Economy; two said it is not their mandate. Specific questions for
agriculture, rural water supply and construction were filled by three organisations respectively.
The questionnaires distributed to Construction Contractors comprised of twenty questions (structured,
semi-structured and open questions). 9 from 13 contractors responded. In comparison: contracts funded
under PRDP were awarded to 38 companies. During assessments for agro input and spare part dealers,
researchers interviewed 12 shop owners and filled questionnaires during interviews. Semi-structured
interviews were conducted with Stanbic Bank, one of the main Kitgum Financial Institutions and
APSEDEC, the Acholi Private Sector Development Centre.
Researchers conducted 11 interviews with Kitgum District Local Government Officials, most importantly
the District Agricultural Officer, the District Commercial Officer, the District Water Officer and the District
Engineer.
23
Invisible Children Uganda is based in Gulu and does not have programs in Kitgum and Lamwo Districts. They were included due
to their specific focus on capacity building of contractors in construction of schools.
24
Kitgum District split into Kitgum and Lamwo Districts in 2010. We hereafter refer to both as Kitgum District. This is due to the fact
that a considerable part of donor and governmental resources are still earmarked for the ‘old’ Kitgum district including Lamwo.
52
7.3 List of original workshop reports, assessments and questionnaire analysis
The following 12 reports from workshops, assessments and questionnaire analysis were distributed to
research partners and can be availed by researchers on request.
They are also available form the google group: http://groups.google.com/group/kitgum-market-integrated-
assistance-2010. Please request membership. It is planned to transform the google group into a website.
53
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