Institutional and Policy Mapping
for
Small-Scale Producer inclusion in Modern Markets
Purpose
Objectivesof the Methodology
1 A framework for understanding the institutional and policy
dimensions of small-scale inclusion
2 A framework for participatory analysis with key actors
using participatory tools
• Agri-food businesses
• Producer organisations
• Public sector
• Civil Society
3 Contribution to component three of Regoverning markets
Methodology Development
• Initial concept
• Testing out in 5 countries
– Turkey
– Morocco
– South Africa
– Indonesia
– Bangladesh
• Full use of methodology in learning /
training workshop in Philippines with
participants from Asia
Core Concepts
•
•
•
•
Rapidly Restructuring markets
Institutions
Value chain analysis
Multi-stakeholder processes and policy
dialogue
Institutions
• Institutions – the ‘rules of the game’ that structure social
(market) life.
– Organisations are institutions but not all institutions are
organisations
– Formal institutions
• Government laws and policies
• Government agencies
• Contracts between businesses
• Public and private standards
• Enforcement mechanisms (courts, police)
– Informal institutions
• Consumer likes and dislikes
• Informal market relations
• Corruption
• Trust
(informal institutions can strengthen or undermine formal institutions)
Interactions and Linkages
Public sector
Policy and
stakeholder
processes
Civil society
Private sector
Actors
Actors receive
economic gains
from market
participation
Actors recreate and
change institutions in
response to
problems and
Institutions
Markets depend
interests
create
on the
incentives that
participation of
influence the
actors
behavior
actors
Markets
depend on
institutions to
function
Public
effectively and
policy
Institutions
Markets
efficiently
(Value chain)
Government
agencies
contracts
laws
Standards
Business
strategies
Norms and
values
Institutions
structure the
way markets
work
Production
consumption
Adapted From Birner, 2006
Why Focus on Institutions
• The full set of institutions is what creates the
incentives or disincentives for small-holder
inclusion
• Market transaction costs are the result of how
institutions work (or don’t)
• Institutional analysis goes beyond just public
policy
• Institutions are often taken for granted
• Institutions can be very difficult to change
Methodology Overview
Mapping and Understanding the Value Chain
1
(functions, actors, influence, product flows)
Current
structure
3
How things might
change
Drivers
Trends
Issues and
Opportunities
2
Current
Situation
4
Future
Scenarios for
Markets and
Inclusion
How things
might change
Arrangements
supportive of
inclusion
Influencing
actors in the
chain
Options for
Greater
Inclusion
6
Strategies for
Supporting
Change
Institutional
Implications /
requirements
Influencing
Institutional
change
5
Mapping and Understanding the Institutional and Policy Environment
(Government policies and laws, business strategies,
cultural influences, informal market relations)
Monitoring and Evaluation
Getting Started
Overall Methodology
Scope and
Purpose of
Institutional Mapping
Process
Mapping and Understanding the Value Chain
1
Current
structure
(functions, actors, influence, product flows)
Arrangements in
How things might
support of smallchange
scale producer
inclusion
3 Drivers
Trends
Issues and
Opportunities
4
Future
Scenarios for
Markets and
Inclusion
2
Stakeholders
Current
Situation
How things
might change
Influencing
actors in the
chain
Options for
Greater
Inclusion
6
Strategies for
Supporting
Change
Institutional
Implications /
requirements
Influencing
Institutional
change
5
Mapping and Understanding the Institutional and Policy Environment
(Government policies and laws, business strategies,
cultural influences, informal market relations)
Stakeholder Engagement Process
Research Process
Flexibility in Using the Methodology
• May be spread out over some months with
different actors contributing through different
workshops
– Multi-stakeholder
– Single stakeholder
• Could be done in one go in a 2-3 day workshop
• Could be done as a desk analysis/synthesis
using existing information
• Can be done:
– To varying depths of analysis
– Using more or less background research
Step 1 – Map the Value Chain and its Actors
Processing
Production
Collection
Agro industry
Vendor
Farmer
Wholesale
Importer
Distributor
Collector
Association
Retail
Consumption
Wholesaler
Modern Retail
Consumer
Food Services
Supplier
Power and
influence of
different actors
Visualisation helps……
Tools
forStep
Step 1
Tools for
• Core
– Value chain mapping
– Stakeholder analysis
• Supportive
– Rich pictures
– Brainstorming
– Stakeholder power analysis
– Stakeholder influence mapping
Step 2 - Identify Key Institutional Factors
Influencing Value Chain (and how they might change)
Processing
Production
Collection
Wholesale
Agro
industry
Agro
industry
Vendor
Vendor
Importer
Importer
Distributor
Distributor
Collector
Collector
Farmer
Farmer
Association
Association
Retail
Consumption
Wholesaler
Wholesaler
Modern
Modern
Retail Retail
Consumer
Consumer
Food
Services
Food
Services
Supplier
Supplier
Key Institutional/Policy Factors Influencing Chain Dynamics and Actor Behavior
Tenure
Services
Private
Standards
Marketing
regulations
Cooperative law
Public
Standards
Tariffs
Foreign
Investment
Policy
Cultural
Preferences
Tools
forStep
Step 2
Tools for
• Core
– Institutional analysis
• Supportive
– Brainstorming
– Mind mapping
Step 3 – Synthesis of Drivers, Trends and
Issues
Desk studies, surveys, interviews,
PRA’s, workshop brainstorming
Drivers
List Drivers
Trends
Certain
Uncertain
Stakeholder
Issues/opportunities
Stakeholder
A
B
C
Issues/
Opportunities
Tools
forStep
Step 3
Tools for
• Core
– Brain storming
– Card clustering
– Ranking
• Supportive
– Data / information gather tools and methods
– Cause and effect mapping
Step 4 – Explore Future Scenarios and Vision
Drivers and Trends
Certain
Uncertain
High
uncertainty Y
Future A
Future B
High
uncertainty X
Low
uncertainty X
Future C
Future D
Shared
Vision
Low
uncertainty Y
Tools
forStep
Step 4
Tools for
• Core
– Scenario analysis
– Visioning
• Supportive
– Incentive analysis
– Decision trees
Step 5a – Identify Key Opportunities, Barriers and
Underlying Causes
Underlying
Factors / Causes
Key
Opportunities
Key
Barriers
Underlying
Factors / Causes
Inclusion
of small
scale
farmers
…
…
…
…
Tools
forStep
Step 5a
Tools for
• Core
– Force field analysis
– Cause and effect mapping
• Supportive
– Brainstorming
– Mind mapping
– Problem trees
– Risk management
Step 5b – Identify Options to Overcome Barriers and
Build on Opportunities
Underlying
Factors / Causes
Key
Opportunities
Key
Barriers
Underlying
Factors / Causes
Inclusion
of small
scale
farmers
…
…
…
Options for overcoming
barriers and responding to
opportunities
…
Tools
forStep
Step 5b
Tools for
• Core
– Brainstorming
– Identifying for problem tree
– General investigation and analysis
– Ranking
• Supportive
– Outcome mapping
Step 5c – Cluster Options and Specify Institutional
Implications and Actions
Underlying
Factors / Causes
Key
Barriers
Key
Opportunities
Underlying
Factors / Causes
Inclusion
of small
scale
farmers
…
…
…
…
Options for overcoming
barriers and responding to
opportunities
Options for
Inclusion
Institutional
Implications
Required
Action
Responsible
Actors
Tools
forStep
Step 5c
Tools for
• Core
– Card clustering
– Action planning
• Supportive
– Brain storming
Step 6 – Identify Strategies for Supporting / Driving
Change
Stakeholder
Power Analysis
4 R’s
Rights
Responsibilities
Roles
Revenues
Influence
Mapping
Key Options
for Inclusion
Institutional
Implications
Required
Action
Responsible
Actors
Strategies for
Supporting
Change
Tools
forStep
Step 6
Tools for
• Core
– Stakeholder power analysis
– Four Rs
– Stakeholder influence mapping
• Supportive
– Social network analysis
Proposed Tool Kit Outline
• Introduction
• Overview of Key Concepts and Analytical
Framework
• Detailed Description of Methodological
Steps
• Key points for an effective participatory
process with stakeholders
• Detailed Description of the Tools