Policy and Distributional Equity in Natural Resource Commodity Markets: Commodity-Chain Analysis as a Policy Tool A Research Concept Paper Jesse C. Ribot Institutions and Governance Program World Resources Institute 10 G Street, NE, Suite 800 Washington, D.C. 20009 USA Ribot@wri.org 1 (202) 729-7753 12 October 2005 Note: Note is based on the call for proposals sent out in October 2005. It has not been revised, only the call for proposals portion has been removed. It follows from WRI’s ‘Decentralization and Environment’ research efforts over the past four years (see Ribot 2004). The synthesis report (Ribot 2004) and an earlier article on commodity chain analysis (Ribot 1998) should be referred to as guiding documents for this current “Commodity-Chain Analysis as a Policy Tool” study. The synthesis document and case studies from the ‘Decentralization and Environment’ project are available on line at http://governance.wri.org/decentralizationmarketaccess-project-44.html. These documents and a list of all publications from this program can be obtained by writing to BKinder@WRI.org. These documents give essential background and provide useful definitions for the current project. Table of Contents Abstract Acknowledgements I. The Problem: Rural Access to Natural Resource Wealth II. Objectives III. Commodity Chain Analysis and Methods A. Commodity Chains B. Mapping Access along the Commodity Chains 1. Identify the actors 2. Evaluate vertical income and profit 3. Evaluate the horizontal distribution of income and profit 4. Map how access is maintained and controlled C. Policy Analysis D. Case Studies and Comparative Analysis IV. Research Program A. Work Plan B. Article format Annex A: Definition and Theory of Access Annex B: Vertical Distribution of Prices Bibliography ii iii iii 1 3 4 5 6 7 8 9 10 12 13 15 15 15 16 18 19 Abstract This project evaluates distributional equity effects of natural resource policies and broader economic governance policies—including decentralization and liberalization. It uses commodity-chain analysis to measure and explain the current distribution of benefits in a sample of domestic natural resource markets in a selection of eight to ten countries. The study includes 1) an economic analysis of profit margins and market shares along the path of commercially exploited natural resource commodities, 2) a policy analysis that evaluates how policy shapes margins and shares, and 3) an ethnographic study to explain market access and its relation to policy—that is of entry and exit barriers and exclusionary or predatory behavior. This study has three principle objectives: increased benefit retention and poverty reduction from natural resource wealth, development of commodity-chain analysis for natural resource distributional-equity policy analysis, and research and policy analysis capacity building and training. Ultimately, the project aims to produce recommendations for the improvement of distributional equity around commercially exploited natural resources. Through ten to twelve case studies, primarily in the forestry sector, the project analyzes links between natural resource policy, equity and poverty. Acknowledgements I want to thank Dorian Fougeres, Paul Gellert, Nathaniel Gerhart, Amanda Hammar, Brad Kinder, Xuan Phuc, Malini Raganathan, Thomas Sikor, and Yongjun Zhao for their incisive comments on the first draft of this proposal. Support for this project has been generously furnished USAID’s Economic Growth, Agriculture and Technology division. iii I. The Problem: Rural Access to Natural Resource Wealth As a source of local subsistence and income and as a source of national wealth, natural resources play important political and economic roles. Their balanced use by local and national actors can shape national and local development patterns. But, over-concentration of resources in the hands of government and elites undermines development in the regions of extraction. The rural poor rarely benefit from commercial exploitation of natural resources, yet they are deeply affected by the exploitation processes. They are mobilized as cheap labor, their resource use and income are interrupted, and their health and well being is affected by effluents from or damages to the resource. Profits from natural resources—whether from oil, timber, firewood, charcoal, fruits, herbs, gums, or game—are usually concentrated in the hands of a few intermediaries, truckers, wholesalers or state agents. The spoils are divided among private commercial actors and government—as profit, taxes, fees and unofficial patronage or gifts—along the path from extraction to end use or export.1 Over the past two decades, multiple reforms—including decentralization, liberalization, and community-based natural resources management—have aimed to increase local participation and benefits in natural resource control, management and use. These reforms should all have measurable effects on distributional equity. Comparative research on the effects of natural resource decentralizations conducted by WRI, however, shows little increase in income and profit for rural communities (Ribot 2004; Ribot and Larson 2005).2 Increased revenues have been noted via fiscal aspects of these reforms. Cameroon’s community-based forestry laws and the new Chad-Cameroon pipeline community-compensation funds have provided rural communities with stumpage fees and royalties (Oyono 2005). Revenues from fines and damages have accrued to local governments in Senegal (Ba 2006; Ribot 2004). Wildlife user fees have accrued to community groups in Zimbabwe (Conyers 2002). While fiscal benefits—from fees, taxes and funds—have increased, the bulk of commercial profits continue to accrue to elite actors outside of the local arena.3 Establishing management, use, and property rights over resources have all been used in decentralization reforms as means of increasing local income streams. But, these rights—to manage the resource or even to have complete physical control over the resource itself—do not necessarily enable people to reap the profits that flow from the natural resource base. In Senegal, forest villagers control forests. Before decentralization they were able to maintain control via threats of violence or by mere exclusion of non-villagers from the infrastructure of village life—access to the well, shelter 1 This study will focus on domestic markets in its first iteration. At the completion of this project, a second generation of research is planned that will explore the international dimension exchange using a global commodity chain analysis approach. 2 Research on decentralization was conducted in Mali, Cameroon, Uganda, Zimbabwe, South Africa, Brazil, Nicaragua, Bolivia, Mongolia, China, India, Nepal, and Indonesia. Further research on decentralization and natural resource commodity chains is ongoing in Senegal, Cameroon, Nicaragua and Guatemala. 3 While political and administrative decentralization usually transfer some fiscal resources to local authorities, these resources often do not even pay for increased management expenses that accompany decentralization. In most instances fiscal revenues are insufficient to serve as a motor for local economic growth. But these revenues are only a small portion of the economic wealth that natural resource extraction and sale are generating (see Ribot 1998). Fiscal resources are not enough. A greater share of profits or economic benefits will also be important if natural resource decentralization reforms are to have a significant effect on rural development. ‘Fiscal decentralization’ is the transfer to local authorities of funds or rights to raise funds through fees and taxes. ‘Economic decentralization’, a term that I am coining here, is the transfer of the right and ability to enter into production and exchange of commercially valuable resources. Economic decentralization, which has the potential to significantly raise incomes and wealth of rural communities, is the topic of this research proposal. 1 and food. Since the forestry decentralization reforms in 1998, rural councils have rights to forests. But in both periods, before and after decentralization, access to markets has been controlled by the forest service, so villagers continue to reap very little profit from the forests (Ribot 2000; 2004). In Senegal, Mali and Uganda, forest ownership has been transferred to the most-local level of local government, but this ownership has not enabled local people to exclude commercial users or to engage in commercial production. In many other cases, the poor hold management rights, but other, better-placed actors—large farmers, corporations, or industries can override their rights (Ambler nd:12). Clearly, rights and even direct control over the resource itself are not sufficient for rural people to derive benefits from natural resources. Some policy makers and development professionals call for the enforcement of existing rights or creation of new more-secure ones (Ambler nd:12). This approach, however, is incomplete since most profits are not located at the farm gate or at the edge of the forests where local producers sell their goods to merchants and truckers. They are spread through the market hierarchy in the purchase and resale of these products all along the commodity chain from the forest to the centers of consumption and end use—domestic or international. The path to complementary resources, such as transport, capital, labor, processing and end markets where these products are resold, is littered with obstacles—some created by policy and others which are the sediment of social and political history. While there has been a long-standing call for reforms to open access to markets (liberalization to lift the policy-based obstacles), market access remains highly problematic for small producers and rural communities. They remain on the sidelines. They remain destitute. Economic benefits are a key part of rural well being, poverty reduction and the meeting of basic entitlements (Blaikie 1985; Deere and deJanvry 1984; Dasgupta 1993; Drèze and Sen 1989).4 Despite many efforts to improve the livelihoods of the rural poor, benefit retention remains low among most resource-dependent populations (Blaikie 1985; Dasgupta 1993)—even among rural people living in resource-rich areas—near forests, gold and diamond mining, or oil (Oyono 2005; Ibeanu 2003). Despite proximity to the resource and access to subsistence uses, local people lack access to equipment, capital, and end-use markets needed to reap the economic benefits from natural resource commodities. Or, how can local people be empowered to say ‘no’ to commercial production (see Ribot 1995a)? How can market access be opened? How can greater profit be reaped and retained locally? How can the wealth from nature be channeled back into resource-dependent rural communities? The answers to these questions depend partly on where that wealth is located and how that wealth is accrued—that is, the means that enable people along the chain of production, transport, transformation exchange, retail and end use to enjoy the fruits of entering into commerce. In large part, increasing the rural share of wealth from natural resources is a policy matter. The marginal position of rural people with respect to natural resource wealth is not a natural condition of poverty or even of the ways in which markets work. Much of the observed concentration of natural resource wealth occurs with the assistance of natural resource policies. Production and transport permits, licenses, quotas, up-front fees, requirement of management plans, differential (double) standards for commercial and subsistence users or for urban versus local users enable some actors to All of these authors focus on the rural household. Blaikie (1985) and Deere and deJanvry (1984) base their approach on farm systems theory—the origins of integrated rural development—with Blaikie focusing on improvement or deterioration of the resource base and Deere and deJanvry focusing on investment in the development of the farm more broadly. Dasgupta (1993) and Drèze and Sen (1989) focus on poverty and on food production. 4 2 benefit while excluding others (Ribot 2004).5 ‘Environmental’ policies along with other regulatory and structural policies create barriers or selective forms of access to resources and markets that enable exclusionary and predatory behaviors, leading to resource and market capture (Ribot 1998). This project will focus on the role of natural resource policies in shaping distribution of profit in natural resource markets. It will do so with an eye to how natural resource policy can leverage greater benefits for resource-dependent rural populations. But, to do so, will require attention to the effects of all other forms of policy, such as international conventions, trade laws, liberalization, and other forces, such as social identity, wealth, and so on. The objective is to understand the relative role of policy, and particularly of environmental policy, in shaping distribution. In examining rural benefit retention, this project complements the growing body of inquiry into ways that rights and representation strengthen the ability of the poor to improve their conditions (Manor 1999; Crook and Sverrisson 2001; Ambler nd; Ribot 2004). By focusing on the mechanisms of access that enable and disable benefit retention and profit from particular commercially exploited resources, the research will take an empirical approach to the ensemble of factors shaping well being. The objective is to identify the range of factors involved in benefit accrual and the relative importance of different factors in different contexts. The project will focus on the role and relative importance, among other factors, of natural resource policy. Distribution of benefits from natural resources can be attributed to rights or their absence, implementation or its absence, enforcement or corruption. To understand the causes of current distributional patterns and the role of policy in shaping them, this project will study the contextual and place-based historical and social factors that affect benefit retention at every stage of the lifecycle of natural resource commodities. In short, this study examines the role of policies applied to natural resource markets in shaping market access. Its primary object is to evaluate the effects of these policies on destitution and well being. This is the first phase in a two phase project. The first phase will focus primarily (but not exclusively) on domestic markets, while the second phase will use the findings of the first phase to design and execute a comparative study of the distributional effects of policy on global forestry commodity chains. II. Objectives This project has three principle objectives: increased benefit retention and poverty reduction from natural resource wealth, development of a framework for natural resource distributional-equity policy analysis, and research and policy analysis capacity building and training. The first objective is to identify policy means for reducing poverty by increasing access for the rural poor to the commercial benefits associated with natural resources production and exchange. The project seeks to understand the role of natural resource policy in shaping income distribution—in leveraging greater benefit retention in the local arena and in helping to concentrate income among elites. Conversely, the project aims to better understand the role of income distribution/concentration in enabling elite to shape and reshape policies to their own benefit. It also aims to understand the importance of other factors at play in shaping benefit distribution—law, Another example is in the Ranthambore reserve of western India, where timber companies and swathes of tourists are allowed access to forests, while villagers are constantly policed by forest guards (personal communication, Malini Raganathan, May 2005). 5 3 technology, capital, markets, labor, knowledge, authority, identities, politics, and social relations (see Ribot and Peluso 2003). Once these roles are understood, recommendations for natural resource policy improvement can be designed. Secondly the project aims to develop commodity chain analysis as a policy tool to facilitate the evaluation of the distributional effects of natural resource policies and other policies applied to natural resource markets. The project will hone this method of analysis for different kinds of markets (different resources, different kinds and qualities of products from a single resource, multistranded versus single-stranded markets, point-source versus multi-source markets). Can commodity chain analysis be generalized into a set of methods or guidelines for identifying entry barriers and anti-poor access patterns? Can it be used to develop recommendations for opening access and producing pro-poor market relations? Further, the project hopes to contribute to social theory of markets. Market mechanisms, construed in the narrow economics sense of price, quantity, supply and demand, are often viewed as the sole means for efficient resource (writ benefit) allocation (See Dasgupta 1993). The many other factors that shape allocation are considered in this body of theory to be exogenous to the market model.6 For this reason, they have often been excluded from policy analysis. This research will contribute to a more systematic model in which these factors remain central to market analysis and the design of regulation. The third objective is to support a new generation of young scholars to focus on natural resourcerelated distributional-equity and poverty-reduction problems using commodity-chain analysis. The project builds scholarly policy analytic capacity and helps form a community of practice around this new approach to policy analysis. III. Commodity Chain Analysis and Methods To accomplish the above objectives, this project analyzes how environmental policy enables and disables rural populations to profit from the commercially exploited natural resources around them. To do so the project examines access to profit along natural resource commodity chains—including policy-supported obstacles to entry and the complete array of socially based forms of inclusion and exclusion. The analysis will explore the effects of policy within this mix of factors. Using commodity chain analysis, this project examines how regulatory policies affect distributional equity in natural resource sectors by examining and explaining distribution of profit within natural resource markets before and after the implementation of policies such as community based natural resource management, decentralization, devaluation, and liberalization. The project will apply commodity chain analysis to a set of ten to twelve cases. The cases will be developed as detailed economic ethnographies organized around a commodity chain study as outlined below. For each case, the project will: measure the distribution of profits through an analysis of margins and market shares; at each point of income concentration, identify and explain the mechanisms that actors use to gain and maintain their benefit; characterize the role of environmental policy, other regulatory policies and other social and political-economic factors in shaping distributional outcomes; and recommend reforms and measures to redress policy-generated inequities. The author conducted commodity chain research in the 1980s and 1990s, developing “...if the market model treats the most important problems as exogenous factors to be invoked to explain why things do not work out correctly, perhaps the model and exogenous factors should change places.” (Fredrick Cooper, 1993:89.) 6 4 methods and analysis techniques for natural resource commodity chain studies (Ribot 1990; 1993; 1998; cf Gereffi, Korzeniewicz and Korzeniewicz 1994). These commodity-chain studies along with a theoretical framework for the empirical analysis of access will serve as a starting point for the current research (Ribot and Peluso 2003). A. Commodity Chains A commodity chain7 is a series of interlinked exchanges through which a commodity and its constituents pass: extraction or harvesting, production, transformation, transport, distribution, wholesale, retail and end use.8 As such, commodity chains serve as conduits through which commercialized natural resources—such as forest products—are ushered from the land to their final users, whether rural, urban or ‘international’. Commodity-chain analysis is a method for analyzing how and for whom such market conduits operate. It is a tool for understanding who benefits from natural resources, how they benefit, and how those patterns of benefit distribution might be changed. By tracing the interactions along natural resource commodity chains, this research project examines the dynamics of control and maintenance of access to the economic benefits from natural resources. Bernstein and Amin (1995:2-3) outline the distinctive features of commodity-chain analyses. First is an empirical, as well as theoretical focus on markets, in lieu of formal abstract neoclassical economic modeling (also see Bohannan and Dalton, 1965; Harriss, 1984; Plattner, 1985; J. Alexander, 1987; P. Alexander 1993; Mackintosh, 1990; Ribot, 1990; Ensminger, 1992; Hewitt de Alcantara, 1993; Dilley, 1993; Bernstein 1996:121-3).9 Second is attention to power: its sources, uses and effects in a socially differentiated environment. Third is an approach to politics and political institutions as endogenous to the existence and functioning of markets, with attention to differentiated market agents engaging in competitive as well as collective or collusive action. Fourth, and last, is the view that regulation (by which they mean both state and non-state forms of control) too is an endogenous feature of markets, hence shifting debates from their current focus on ‘more vs. less’ regulation to the study of ‘better vs. worse’ forms of regulation. This method of analysis also broadens predominant focus on individual mechanisms of control and accumulation—such as prices or property—to include in the analysis of markets the whole repertoire of interacting mechanisms shaping their operation (Ribot 1998). Further, it locates production and exchange as embedded within social relations and hierarchies (Gereffi, Korzeniewicz and Korzeniewicz, 1994:2; cf Granovetter, 1985, and Platteau, Commodity chains have long been called filières (strands or lines) in the French literature. The term filiére was used as early as 1829 to mean “the succession of states to go through, levels to achieve, formalities to complete, before arriving at a result” (Robert, 1967:783). 7. For discussions of filière or commodity-chain analysis see: Ribot, 1990; Bergeret and Ribot, 1990; Thrupp, 1991; Bernstein and Amin, 1995. The definition used here, implicit or explicit in the above works, differs from Hopkins and Wallerstein’s (1994:17) (used by Gereffi and Korzeniewicz, 1994:2), who characterize a commodity chain as “a network of labor and production processes whose end result is a finished commodity.” The concept used in this article is closer to the French concept and the Spanish and Portuguese concepts of commercial circuits (circuito comercial), since it follows the commodity through production, exchange and final use. 8. In contrast to these authors, the ‘conduct, structure, performance’ school of empirical market analysis rarely ventures beyond prices and quantities. See Farruk (1970), Lele (1971) and Timmer (1974). See Harriss (1984) for a critique of this literature. 9. 5 1996 writing on the ‘market-order’ problem). It does so in a multi-local manner, spanning the geographic extent of production, distribution, exchange and use. B. Mapping Access along the Commodity Chains This research project focuses on income from commerce and how those who are able to obtain such income gain, maintain and control their access to such income. We choose to focus on income—that is money—because it is an important and measurable value that is derived from forest commerce and that can potentially be reinvested in the local arena. Money is not the only value this project could focus on, nor should this focus be exclusive of exploring other values—such as use value or symbolic or patronage-related political, religious, cultural and aesthetic values. Access is the ability to benefit from things (see Ribot and Peluso 2003). Market access is the ability to benefit from markets. The access-mapping methods described in this section are designed for assessing how and why different actors are or are not able to benefit from markets. See Annex A for an in-depth discussion of Access. Access mapping along a commodity chain10 consists of: 1) identifying the actors involved in the extraction, production, processing, exchange, transport, distribution, final sale and end use of the commodity in question, that is, identifying the actors along the commodity chain; 2) evaluating income and profit at each level of (or among groups of actors within) the commodity chain through the analysis of prices and quantities of the goods handled by the different actors; 3) evaluating the distribution of income and profit within each group along the chain; and 4) using the distribution of these benefits among and within groups to trace out, or map, the mechanisms by which access to benefits is maintained and controlled. This method provides two maps: one of profit distribution and one of mechanisms, structures and processes at work in the control and maintenance of that distribution.11 In access analysis the object of inquiry—the value of concern—must be specified by the researcher. So must the measures or indicators of this value. The access approach takes value to be implicit in any act of appropriation or use (access control and maintenance described in Annex A)—since without value, or some benefit, the object would not be of concern. Value can be embodied in things, currencies, other persons, concepts, symbols, utterances and so forth--any object of appropriation or use.12 In this research project, we will use cash income and profits as an indicator of I use the term commodity chain with an awareness that commodities often move through webs or networks between extraction and end use. The term chain is a simplification. The paths of objects are multi-stranded. There are many parallel and crossing paths. However, when one object is followed from end to end, the path it moves along can be described as a chain. Hence, for analytic purposes I retain the term ‘chain’ rather than speaking of ‘webs’ or ‘networks’. 11. To understand peasant political economy, Deere and deJanvry (1984) provided a model of the ways the larger economy extracts surplus from peasant households. The household is at the center of their model, which examines how household income is extracted through taxation, usury, terms of trade, sharecropping, corvée, and ordinary labor exploitation. Commodity chain analysis can be natural resource centric (although it can be applied to any commodity). This concept paper uses it to empirically identify the whole range of mechanisms (such as those cited by Deere and de Janvry 1984) that different actors use to extract, maintain and concentrate benefits from the production and exchange of a specific commercial forest resource. 10 I use the term benefit and value interchangeably. For a more nuanced inquiry into the origin-of-value problem see Appadurai, 1986. 12. 6 benefit, since this is an inquiry into economic accumulation and marginalization in natural resource extraction, conversion and exchange. Each analysis must examine the distribution of naturalresource-derived profit, and how the actors along the commodity chain leverage these gains. In an analysis of access to income and profit, the primary factors are prices, quantities, and expenses. Profits accrue in the form of rents, for example, to those actors with control over access to markets, funds, tools, and forests.13 For example, actors with licenses may be able to buy and sell, while those without are excluded from commerce. Access to licenses in turn may depend on education to gain the knowledge of how to take a test for obtaining a license, or it may depend on social identity where licenses are allocated as patronage along social or political lines. Control over licenses, tools and capital in turn shape prices and market shares, hence income and profit. Rents and profits are the benefits leveraged by various forms of control. Understanding rents and profits requires an analysis of the social underpinnings of that control and the aggregate and specific, direct and indirect demand for that which is controlled.14 The exchanges and transfers through which commodities flow are multi-stranded events, as are the bundles of powers that shape their terms. Access mapping is a method for exploring the bundles of powers behind control and maintenance of those terms. It is about the careful tracing out of the social and political-economic relations in which a chain of inter-related instances of benefit or profit are located. Each of the steps in access mapping is discussed briefly below. 1. Identify the actors The commodity chain analysis begins with an evaluation of the actors along the particular commodity chain in question. Your particular market may be more or less complex than Senegal’s charcoal market, depicted in figure 1. It may have parallel channels where high quality products take a different path to end users than do low quality products. The idea is to pick and focus on a single commodity market and a single chain within it. Researchers who have data on multiple commodity chains or multiple strands of a single chain should certainly use that data for comparative purposes. The objective is to use that comparative analysis to a particular policy or theoretical advantage. I use ‘rents’ to mean charges on control over access to things, as well as on access to labor opportunities, authorities, markets (Tawney 1978[1920]; Bates 1981), etc. In this sense, control over things, markets or authorities differs little--all can be controlled and rents can be charged on that control. Things may be controlled through legal ownership or threats of violence, markets may be controlled through oligopoly, legal permits, etc. Rents can be leveraged on all of these forms of control. 13. As Appadurai (1986:17) argues, “...the flow of commodities in any given situation is a shifting compromise between socially regulated paths and competitively inspired diversions.” Rents emerge somewhere between the ability to control and demand. Both must be taken into account. 14. 7 Figure 1: Identify Market Actors Identify Market Actors Urban population Retailers Urban wholesalers Transporters Coxeur de Brousse Co-operatives Merchants/ Patrons Migrant Wood-cutters Forest Villages SOURCE: Ribot 1998. This diagram is taken directly from a study of Senegal’s charcoal commodity chain. A coxeur de brousse is a local foreman who works as intermediary between woodcutters, merchants and transporters. 2. Evaluate vertical income and profit To measure profit distribution requires the systematic collecting of purchase and sale price and expense data over time at each level of the market. The profit margin is derived by calculating the per unit prices minus the per unit expenses at each level of the market. This gives us the per unit profit at each level (see Table I in Annex B). To get a sense of the average income at each level, the quantity produced is multiplied by the price at each level and divided by the number of actors (see Table II in Annex B). Inter-temporal data are especially necessary for commodities whose prices change over time and because prices change from buyer to buyer, seller to seller, place to place. It is important to collect a sufficiently large data set to see the patterns and the averages as well as the variability over time and in the same time period. Solid averages are important. Further, margins graphed over time can be used as a measure of competitiveness. At least the conduct structure performance school of economic analysis believes that constant margins reflect competitive conditions (See Farruk 1970, Lele 1971 and Timmer 1974—see Harriss 1984 for a critique of this literature). Obtaining such data is not easy. Prices may vary in a short time, prices may not be visible when there is vertical integration (e.g. wood cutters are also the buyers or transporters are traders). Where prices vary over time, surveys of prices may have to be done all in the same day, week or month at all levels to capture actual margins. This may then have to be repeated each week or month to 8 observe general shifts over time. Data sets may have to be richer when variation in prices is greater in order to be able to observe and explain the variations themselves. Where there is vertical integration, other actors in the market who continue to operate in a segmented manner will have to be surveyed to estimate the profits reaped by those who span several levels of the market or those who span these levels will have to be interviewed in depth in order to sort out their income and expenses in order to determine their profits. In all of these cases, multiple actors of each category of actor or at each level of exchange will have to be surveyed. Researchers will run into all kinds of unimaginable variations in market configurations. Methods will have to be adjusted for these contingencies. 3. Evaluate the horizontal distribution of income and profit To estimate the distribution of profits at each level is much more difficult than estimating the average profit. It requires assessing the distribution of market shares—that is, at each level, how much of the product does each actor control? The total profit per actor is then derived by multiplying the quantity controlled by the profit margin at their level of the market. In Senegal’s charcoal market, for example, distribution is relatively even among producers. Most produce one or two kiln loads a year. It is very difficult to produce more than this and a single kiln is the minimum amount one can produce. It is rare to find woodcutters who work together on a single kiln. So, the profits in this arena are not highly variable. But, among the 5000 merchants who fund production, there is great variation. All are members of cooperatives. All cooperatives receive production quotas. But, most of the members of these cooperatives are just members to help the president of the cooperative and the treasurer to justify a greater production quota from the forest service. The bulk of the quotas are divided between the president and treasurer. The remaining ten to thirty merchants may get no quota at all. Some members may get a small quota of half or one truckload and resell it at a low price to another merchant without ever engaging in production. They may do so because they do not have the capital to give a woodcutter a production advance or to pay for permitting fees. Other members may receive a small quota and use it to hire woodcutters. Yet the president may have an enormous quota—ten, twenty or thirty truck loads. These same larger merchants may also purchase quotas from other cooperatives on the secondary market. In the end, there are merchants who make less than a subsistence wage and others who make as much as half a million US dollars a year. At the level of merchants, the distribution is highly skewed. (See Ribot 1998.) One approach to identifying variation is to identify the highest-income actors via interviews and observations or via records at the environmental service or elsewhere. It is possible, through interviews, get some sense of how many ‘big’ actors there are. Then focus in on the size of their market shares by estimating their daily trade, their annually quotas, the number of people working for them, the kind of the car they drive, etc. The wealthiest actors can be compared to the average to get a sense of how skewed the income is. The average within each level is easy to derive from the total quantity of the product produced in the market, the profit per unit, and the total number of people operating at the level of the market in question. In any event, it is at least possible to get a qualitative sense of how skewed the distribution is. 9 4. Map how access is maintained and controlled Access, or the ability to benefit, is obtained, maintained and controlled at different levels of a market and by different actors at a given level of the market via a variety of mechanisms. By mechanisms, we mean threats of violence, social ties, social identity, knowledge, skills, credit, permits, licenses, quotas, collusion, and so forth. The analysis of margins and market shares identifies where the nodes of profit are along the commodity chain and where actors work for even less than subsistence. The object of access mapping is to explain how, that is through what mechanisms, those nodes of concentration and exclusion are produced and reproduced. In this project we are particularly interested in the role of policy in shaping these distributions within the market. Nodes of concentration, or what Gellert (2003) has called links—for consistency with the chain analogy—must be explained in their social and historical context. They are a function of the mechanisms and politics of market channel control (see Harriss 1984; Ribot 1998; Gellert 2003:57). How did the actors come together, how did one actor gain entry to the market while others could not. Actors may gain access because they have capital, because they are born into a certain family, because they know the right people, because they are of the right ethnic group, religion or language group. Each node or link in each market has a social history. The identities that facilitate entry have a social history. The ways policies like quotas and licenses are allocated and who can use them once allocated all have a history. The object is to explain the ensemble of mechanisms that contribute to the moment of profit. Figure 2 shows a map of how policies and other factors impinge on different actors in Senegal’s charcoal market. Figure 3 is a list of some of the mechanisms at work on Senegal’s charcoal market in shaping access to cash income from charcoal production and exchange. These ‘maps’ are derived from a year of extensive interviews and participant observation. 10 Figure 2: Map of Social Relations of Access in Senegal’s Charcoal Market Urban population Other Institutions Ministries Wood & Charcoal - Unions Retailers Loans - Religious Brotherhoods Wholesalers National Forest Department Market regulations Regional Forest Service Elected Regional Council Unofficial relations Transporters Coxeur de Brousse Co-operatives Merchants/ Patrons Migrant Woodcutters Forest Villages Local Forest Service Local Rural Council/PCR Figure 3: Mechanisms of Benefit Concentration in Senegal’s Charcoal Market Mechanisms of Benefit Concentration • Villagers Forest access control Treats of violence Village access (wells & housing) • Woodcutters Access to merchants Social ties Social identity Technical skills • Merchants Control of labor opportunities Permits Credit Control of market access Control of access to markets Quotas, licenses Cooperative membership Social ties with government Leverage over prices Collusive price fixing Inter-locking credit-labor arrangements Misinformation • Wholesalers Control of distribution Credit Arrangements/Capital Knowledge of demand Social ties with vendors & merchants • Retailers Maintenance of access to wholesalers Relations with wholesalers & clients Leverage over prices Manipulation of Symbols Manipulation of Weight SOURCE: Ribot 1998. 11 Management plans RC right to say no RC labor allocation Access to RC C. Policy Analysis Having evaluated the factors that shape profit and exclusion, the key policy questions are: 1) how do environmental and other policies shape income distribution, and 2) what other social and ecological effects and functions do these policies have? Three dimensions of analysis are important. Intertemporal comparisons (before and after particular policy changes) can be used to quantify effects of given policies. Historical reconstruction of processes of change can also be used to evaluate the effects of given reforms. Process tracing can also be used to identify the factors that influence a given observed outcome. This is what Ribot and Peluso (2003) are referring to when they map the causal chains of a given observed instance of benefit or concentration. For policy analysis purposes, it is important to be able to explore the commodity chain in its historical context. The best cases are those in which data are available from before and then after a particular reform. This is rarely possible, but where it is, it gives an opportunity to examine how variables change with a particular reform. Where data are not available, the changes with time must be derived through historical interviews concerning changes in prices, quantities, costs, and market shares, and about the effects of policies over time. Who was affected by a particular reform and who was not, how the reform brought about change for different actors, etc. The role of policies in income distribution and how they influence income distribution is to be evaluated in the context of other factors shaping income distribution. When, for example, an instance of benefit concentration is observed, it is then analyzed for all of the factors that contribute to the ability of that actor at that level of the market to derive benefits. A thorough analysis of causality will reveal a number of causal mechanisms. Are policies the key factors or are other factors more important. Via what causal mechanisms do policies and other factors shape outcomes? Which policies might be reformed? What are the functions of these policies that must be taken into account when considering reform? Which causal mechanisms are amenable to policy intervention? By evaluating the other effects and functions of these policies, such as their environmental outcomes, we can then begin to compare their official functions to their actual functions. In this manner, the policies can be evaluated for their actual functions and for their effectiveness in their official functions—their actual functions and official functions may differ greatly. For example, environmental policies may serve to create allocation opportunities used as patronage resources. They may be ‘environmental’ policies applied by a forest service, but under scrutiny, they may or may not have an ecological function. Some key questions are: do the policies have any ecological function? Are they a means of rent capture? Whose interests do they serve? Are they used as patronage tools to allocate lucrative opportunities? How does the discourse or justifications of these policies match the observed functions in practice? How do we explain the difference between discourse and practice? Understanding causal links between policies and outcomes helps us evaluate how these policies may be modified to improve distributional and environmental effects. Knowing what policies do and for whom enables us to evaluate their social and ecological functions and to develop strategies for change and improvement. 12 D. Case Studies and Comparative Analysis This is a comparative research project. Two aspects of comparison will be the focus of the first phase: 1) the effectiveness of the method for orienting data collection and treating data; 2) common findings in the analyses across case studies. By applying commodity chain analysis to cases in different markets and different countries, we can identify the limits to the approach we are using, the methods that work and do not work, and we can collectively re-think how to approach difficult methodological and analytical problems. Through the comparison of findings, we hope to identify patterns in 1) the kinds of functions that policies applied to natural resource markets are playing, 2) their distributional effects, 3) their relevance to natural resource management. There is good evidence that forestry and other natural resource policies are structured as taxation mechanisms or patronage mechanisms (Ribot 1993; Gibson 1999). When these observations are made in individual case studies, they are ignored as particular cases or anecdote. This study will be able to determine the degree to which these functions are a general phenomenon or are isolated instances. The study will also enable us to explore how regulations differ across sectors such as forestry and wildlife; between lucrative and non-lucrative natural resources; between domestic and international markets (while most studies will be of domestic markets, one or two may involve global commodity chains). Explaining differences in the cases can also give us insights into how the larger enabling or political economic context shapes distribution and market functioning. The project can therefore leverage a larger-scale reflection on policy, its effects and how to use it for positive change. Equally important, by studying a variety of natural resource markets, a comparative analysis can help us to see effects of larger-scale policy changes. Has liberalization really taken place in a concrete form in these markets? Does it have similar effects across these markets? Has community based natural resource management or decentralization reshaped market access or benefit retention? Under what conditions has it increased local benefit retention and how? The comparative aspect can render the results of individual studies more robust, and it can also give us insights that cannot be drawn from individual cases. It is important that there be some consistency and diversity among the selected cases. Our primary sector of focus will be forestry. This includes everything from minor forest products (mushrooms and firewood) to timber. It also includes domestic and international markets. We hope to have at least three international market studies and at least three domestic (in particular rural-urban) markets in the study. An attempt will be made in this first phase to choose pairs of cases. Every case should be matched with at least one other case with respect to the resource type and whether it is domestic or international. In addition, we hope to choose all cases in areas where some natural resource sector decentralization has taken place. Achieving a balanced case selection is difficult in this first stage of the project. Consistent comparative cases would require at least a year of field research for each case following an in-depth methods meeting. The project does not have the means to do this in the first phase. Our objective is to develop the methods themselves and to draw whatever comparative observations we can from the available experience and data. From our observations and discussions, we hope to be able to then design a more-in-depth second-phase comparative study that we can carry out as a team. 13 While cases will be partly chosen based on resource type or based on specific characteristics of the markets in question, the primary criteria will be how advanced researchers proposing cases are in their own work on this topic. Most of cases for this first phase of the commodity-chain study are not to be based on new field research. The project will choose cases based on researchers having already conducted significant research on a case relevant to this topic. The amount of data to collect for a thorough commodity chain analysis is enormous. We do not expect everyone will have or be able to obtain the full set of economic or ethnographic data for a complete study. Rather, we expect that the case material will be rich enough to problematize the approach and to derive preliminary observations from the empirical material and on the basic theoretical tenets behind this approach. Proposals will be solicited from a select group of researchers around the world. There will not be a general call for proposals. The proposals will then be reviewed by three external reviewers and from the highest-ranked proposals we will choose and fund ten to twelve cases to develop. 14 IV. Research Program A. Work Plan Activity Case Proposals Due to WRI Acceptance or Rejection of Case Proposals Contracts established for case studies with policy researchers First draft articles due to WRI Comments from colleagues—each author will be asked to comment on the papers of three other authors. Each author will receive comments from three colleagues. Second draft articles Research Results Meeting—comparative analysis, methods and lessons This meeting will be held along with the IASCP (International Association for the Study of Common Property) to be held in Bali. Each researcher will be expected to present at both IASCP and the research results meeting. Revised articles due for submission to peer review Peer review comments to authors First draft policy brief by program coordinator Second meeting if the group deems it useful Final polished publishable articles due Date 30 October 2005 [earlier submissions appreciated] 10 November 2005 By 30 November 2005 30 April 2006 20 May 2006 5 June 2006 IASCP 19-23 June 2006 meeting in Bali followed by two-day research results meeting. This meeting will probably take place 28-29 June [sorry you may have to hang out in Bali a few extra days due to another meeting on institutional choice scheduled for 25-26 June]. 30 July 2006 30 August 2006 October 2006 November 2006 December 2006 B. Article format Each scholar will be asked to write up their case study reflecting the questions and issue outlined in the above concept discussion. A suggestive format is presented below. Outlines can constrain thinking, so each scholar is encouraged to consider the format below, but to use the format that best relays their own cases concerning this topic. Articles should not exceed 7000 words. A style sheet is available upon request. A. Introduction B. Case description and history C. Presentation of actors (including market diagram) D. Evaluation of the horizontal distribution of income and profit (price structure analysis or margins and expenses) E. Analysis of horizontal distribution—income at each level of market F. Explanation of observed distribution—role of policy and other factors (including map of how access is maintained and controlled) G. Discussion and policy analysis H. Conclusions and recommendations 15 Annex A: Definition and Theory of Access Access, according to Merriam-Webster (1993:6), is the “freedom or ability to obtain or make use of.” The term access is closely related to the term property, which MacPherson (1978:3) characterizes as “...a right in the sense of an enforceable claim to some use or benefit of something.” One crucial difference resides in the terms ability and right. The term right implies an acknowledged claim that society supports (whether through law, custom or convention). The term ability, however, is broader than right, resting solely on the fact of demonstration without the need for any socially articulated approval. Right is a prescriptive concept. Ability is a descriptive term. Property is de jure. Access includes the de jure and the de facto or extra-legal15 (compare with the use of term ‘legal’ in Ribot and Peluso 2003). Extra-legal mechanisms, structures and relations governing resource use include: social identity (or status, based on gender, age or nobility, see Berry, 1993:16-7); social relations (as in friendship, family, lineage, historical ties among individuals and groups--often based on social identity—see Granovetter, 1985; Coleman, 1988; Platteau, 1996); coercion and trickery (i.e. misinformation, threats of violence or even theft); material wealth (financial and material capital, etc.); or physical circumstance (location or stature). Individuals, for example, who have capital or a particular status can enter and use a given resource: even against the rules produced by society (state or otherwise). Theft and other rule breaking may go un-punished since culprits are not caught or because those in society who observe the rule-breaking differ with the authorities who make and enforce the rules. The rules themselves may be contested among co-existing legal systems (cf Peluso 1992:13-19; also see the literature on legal pluralism: Griffiths 1986; Moore 1986; von Benda Beckmann 1995,1995a; Meinzen-Dick and Pradhan 2000; Graziani and Burnham 2002). The range of factors (de jure and de facto) governing resource use must include rules made by state and non-state groups, as well as the whole range of non-rule-based structural and relational factors. Access is not just gained via singular legal or extra-legal mechanisms. Powerful actors also harness multiple mechanisms to produce structural complementarities that are also part of the ability to benefit. Forest villages that control direct access to forests (whether through threats of violence or formal property title), for example, may reap only a small portion of forest benefits if they do not also have access to markets and capital. While powerful merchants may have to maintain access to forests through the chiefs who control them, the merchants’ profits are derived from direct forest access, plus access to capital, plus access to the state for licenses, permits and quotas. Indeed, most of the benefits flowing from the forests derive from the resulting market control, not control of forests Like MacPherson in his definition of property, Schlager and Ostrom (1992) focus on rights and rules (based on law, custom or convention) when analyzing the use and management of natural resources. Schlager and Ostrom (1992:254) define de jure property rights as the formal legal rights enforced by formal legal authorities, and de facto rights as those based on rules made among resource users. “Such rights are de facto as long as they are not recognized by government authorities” (254). Schlager and Ostrom’s de jure and de facto rights combine to present the universe of social factors guiding resource use. Rights (whether government or other enforced) are always based on rules (Schlager and Ostrom, 1992:250) condoned and enforced at and by some level of government or society. But, socially condoned and rule-driven actions are only part of what shapes resource allocation and use, or for that matter collective behavior. By focusing only on rights (since rights are based on rules and rules are agreed upon by society) these authors preclude or side step the analysis of the structural and relational forces shaping resource use. MacPherson’s and Schlager and Ostrom’s definitions define the world of action as emanating from human will--from within only those parts of the world prescribed by collective choice. But, the world is also constituted of structures that shape use patterns prior and parallel to the rules supporting and justifying those patterns. 15. 16 or trees. Direct control, and therefore even enforced ownership or property does not automatically confer benefits. Access, or the ability to benefit, is based on a broader set of factors. Ribot and Peluso (2003) provide a working set of heuristic categories and examples to guide efforts to map the mechanisms that shape access processes and relations. The first of these categories is rights-based access (that which is sanctioned by law, custom or convention), including illegal access (or theft—when benefits are obtained through illegal mechanisms).16 A number of additional factors fall under the heading structural and relational access mechanisms. These mediate or operate parallel to rights-based and illegal access mechanisms, thus shaping how benefits are gained, controlled, and maintained. They include technology, capital, markets, labor, knowledge, authority, identities, politics, and social relations. Mechanisms, structures and processes supporting access serve both its maintenance and control. Maintenance is about expending resources or powers keeping access open for one’s self or others (cf Berry 1989; 1993). Control is the ability to mediate others’ access (see Rangan 1997). Control is about power over others. These terms can loosely describe people and groups with different relations to the means of production, exchange and consumption. In this sense access can occur with or without control, or through some mix of control and maintenance, depending on the individual’s place and powers within society. And, in this sense, access is akin to Ghani’s (1995:2) broad notion of property as ‘bundles of powers’--a step away from the widely used legalistic notion of ‘bundles of rights’ (Maine 1963[1861]).17 The access approach outlined here disaggregates these bundles of powers and the mechanisms supporting them into their constituent strands (see Agrawal, 1996:3-5) as they shape not only ownership of things, but the overall flow and distribution of benefits associated with the whole trajectory of those things. Maintenance and control, are of course complementary aspects of related acts—they are about relations among actors vis-à-vis instances of appropriation or use. An access analysis is empirical. It is concerned with who has the “ability to obtain or make use of” benefits and how. It does not presume any set of rights, structures, processes, etc. that confer this ability. Rather, it derives them from observed practice. It is important to recognize that both these sorts of sanctioned and unsanctioned mechanisms are rights-based—in so far as rights define the bounds of illegal activities. 17. The problem arises in determining how those relations and bundles are to be observed--how power is to be measured (see Ribot 1990:361). Cf von Benda-Beckmann’s (1995:3) who defines ‘property regimes’ as structures of economic power relations. 16 17 Annex B: Vertical Distribution of Prices Table I: Price Structure of Charcoal Delivered to Dakar CFA/42 kg Sack Prices/Expenses/ Margins Derived from Surveys 1987 PRICES: Woodcutter Price to Merchant Prices/ Expenses/ Margins Derived from Spot Checks June 1994 537 615 Merchant Price to Urban Wholesaler 1796 3250 Urban Wholesaler Price to Vendor 1940 3400 Retail Outlet (or Final) Price 2329 3990 75 250 663 900 35 50 67 103 0 57 227 (1987 Extra-polations) 91 140 0 77 308 Migrant Woodcutters 470 524 Merchants 383 1295 Urban Wholesalers 144 150 Retail Outlet 332 513 EXPENSES: Forest Tax (Paid by Merchant) Cost of Transport (Paid by Merchant) Truck Unloading Labor (Paid by Merchant):a Diverse Costs: -Paid by Migrant Woodcutters -Paid by Merchants -Paid by Urban Wholesalers -Paid by Retail Outlet Total: MARGINS: Table II: Vertical and Horizontal Distribution of Income from Charcoal Production in Senegal 1987 Groups Directly Involved in Charcoal Market Group Size (A) Avg. Net Income (1000 CFA/person)a (B) Avg. Net Profit (1000 CFA/ person) Horizontal Distribution Within Group Retail Vendors 1,850b 270 56 Even Retail Outlet Owners 1,850b 375 161 Skewed 300 1,700 1,486 Skewed 2,870 48 266 Skewed 11,650 145 57 Even Urban Wholesalers Merchants Migrant Woodcutters Totals 16,670 Comparisons: Annual GDP/capita 145 Legal Minimum Wage 595 Min. Cost of Living -Urban 214 -Rural 88 aNet incomes are based on the volume of charcoal handled, the numbers of actors and margins from Table I. bThis is the number of retail outlets in Dakar plus other cities, it is not the number of vendors nor outlet owners. Some outlets have several vendors and some owners have several out lets. In dividing the income between vendors and owners, the income of vendors is derived directly from surveys while that of outlet owners (per outlet) is a residual. The number of outlet owners is not known. SOURCE OF TABLES: (Ribot 1998). 18 Bibliography Agarwal, Bina. 1994. 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