Thesis (Ph.D.) -- University of Western Sydney, 2003. / Thesis submitted as fulfilment of the requirements of the degree of Doctor of Philosophy, University of Western Sydney, Hawkesbury, August, 2003. Bibliography : leaves [281]-310.

I demonstrate that household investments in children's education in Ethiopia are affected by parents' self-beliefs (such as their locus of control), parents' aspirations for children's educational attainment, children's conceptions of their roles and identities in the household and at school, and children's own preferences, all concepts not widely studied in development economics. Two empirical chapters report on a field experiment in which randomly selected adults watched documentaries about role models who were poor but succeeded in agriculture or small business. Six months later, parents' self-beliefs and aspirations for children's education were higher in the treatment than in the placebo and control groups. Enrolment of children in school, spending on education, saving and use of credit also increased. A third empirical chapter draws on longitudinal qualitative research to argue that children's preferences for their time allocation between work and school are strongly influenced by the desire to comply with valued identities as students and as independent earners and contributors to the household. The fourth chapter suggests that understanding children's preferences might improve predictions about their reaction to education policies. The literature predicts an increase in time in school will not improve test scores: children will reduce effort because they desire a limited amount of learning. I find a reform to lengthen the Ethiopian primary school day improves test scores. Although this could occur through many mechanisms, one possibility is that children do not prefer to limit their desired amount of learning. This suggests that better evidence on children's preferences might improve prediction of the effects of policies to alter school inputs. The conclusion reflects on whether the empirical relevance of concepts of self-beliefs, aspirations and identities implies that assumptions in standard models of decision-making in economics about the characteristics of beliefs and preferences ought to be rejected. I argue that these ideas can be captured by existing economic concepts of beliefs and preferences and by standard assumptions about these concepts. I suggest that, contrary to recent accounts building on human capital theory, self-beliefs should be viewed as beliefs, not non-cognitive skills. I consider aspirations as a type of preference, shaped by both objective constraints and self-beliefs. I consider identity as a preference for complying with a social role, but highlight that such preferences are often altruistic, rather than self-interested. In conclusion, I argue that economics should draw further on other social sciences, including psychology, to develop substantive theories of the formation and characteristics of beliefs and preferences. Doing so will suggest when it is appropriate to apply standard models and how their assumptions can be modified if their predictions do not hold.

The objective of the research was to assess the trends and forms of community participation to poverty alleviation in Bahir Dar town. The field study was limited to two projects, micro and small scale enterprise activities and credit service, however the finding and recommendation can be applied to all projects aimed to poverty alleviation and community self sustaining projects. In order to achieve the research objectives, a review of relevant literature was done. It began by reviewing definitions and concepts of poverty. The literature also over reviewed the importance of community participation to poverty alleviation efforts of a country and reviews the Ethiopian poverty reduction process. The literature further highlighted the role of community participation in achieving development goals. The data collection was done by means of focus group discussions complimented by face-to-face interviews. The data collected were analyzed thematically with the use of narrative summary and categorization in respect to the objective of the study. The findings of the study showed that there is low participation of community and therefore creating more opportunities for community participation activity and detailed study in the area is recommended.

The past decades witnessed that neither the private sector nor the government could provide an adequate socio-economic safety net for the poorest of the poor in the Third World. The community-based self-help approaches were hence widely used as alternative means to help the poor and marginalised to cope with livelihood shocks. This study examined the extent to which indigenous iddirs (local neighbourhood associations) and the externally-funded self-help groups (SHGs) could transform social capital into entrepreneurship thereby enhancing sustainable livelihoods. The study was conducted in three Southern Nation and Nationalities and People’s Region (SNNPR) rural districts, namely, Shebedeno, Wonago and Humbo. Mixed (quantitative and qualitative) methods were used to collect field data. Accordingly, closed and openended questionnaires and interview schedules were developed in English and then translated into Amharic (the national language). Instruments were field tested for validity and thereafter adjusted. A total of 220 (166 male and 54 female) people participated in the study. Data were entered into an Statistical Package for the Social Sciences (SPSS) database, and analysed by using basic descriptive statistics. Qualitative data were transcribed and analysed using Microsoft Office tools. The findings indicate that the SHGs’ members were relatively better educated than the rest of the population and some of them used this opportunity to pursue employment in government and the private sector. With regard to poverty status, iddirs members were poorer than those of SHGs (15.5% of the iddirs members reported that they are destitute compared to others in the community, as opposed to 3.3% of SHGs members). The study reveals that the livelihoods of some members of iddirs and SHG (particularly the latter) improved as a result of their involvement in these institutions although, at this point, the impact is insignificant. With regard to socio-economic decision making, more SHG members were involved in participatory decision making. However, iddirs leaders were still the dominant decision makers. The SHG level of participatory decision making could be the result of capacity building efforts by the promoting organisation, particularly, the Ethiopian Kale Heywet Church (EKHC). The study also shows that some of the iddirs and SHGs members were involved in informal rural entrepreneurial activities. However, their involvement did not indicate the utilisation of micro loan taken from the iddirs and SHGs for business purposes (97% of the iddirs and SHGs respondents utilised microcredit loans for consumption and other related purposes). On the other hand, the empirical evidence reveals that the amount of loan that iddirs and SHGs respondents received was very small. The general practice is giving small loans particularly to SHG members with repayments expected to begin as quickly and frequently as possible. Transforming social capital into entrepreneurship requires a cooperative approach, i.e. the involvement of development actors so as to enhance communities’ endeavour to achieve their livelihood objectives. Despite the wide prevalence of social capital in Ethiopia, this study indicates that its effective utilisation in community empowerment and sustainable livelihoods remains a challenge. Social capital is found to have a limited role in social entrepreneurship development and promotion not because it does not have potential, but because of the limited role of promoting organisations. The study shows lack of strong linkage between iddirs and promoting organisation (NGOs and Government). The study thus underlines the need for improving network and links with iddirs and SHGs and promoting organisations so as to create an enabling environment for sustainable livelihoods in the three rural districts under scrutiny. / Development Studies / D. Litt. et Phil. (Development Studies)

Thesis (MPA)--Stellenbosch University, 2001. / ENGLISH ABSTRACT: Misunderstanding of poverty and lack of sound poverty alleviating strategy, among others, are problems of some of the few NGOs existing in Ethiopia. There is a problem of understanding their roles in relation to the State and other stakeholders. The principles they apply in their intervention are other problems. These are the issues that were researched in the PRO PRIDE case study. The legitimacy of PRO PRIDE as a poverty-alleviating programme in view of global and Ethiopian poverty and the consequent policy focuses is justified. The principles of PRO PRIDE - community participation, gender equity, intersectoral collaboration, appropriate technology, focus on prevention, participatory management, cost effectiveness and sustainability of programmes - are sound principles. Reviewing the practices of PRO PRIDE as guided by the aforementioned principles it is understood that the community development principles - human orientation, public participation, empowerment, ownership, release, social learning, adaptiveness and simplicity - are commendably achieved. PRO PRIDE well dealt with understanding poverty and its interwoven nature. Issues such as the deprivation trap that the poor are entangled in; the general explanation of poverty that are given by different authors; vicious cycles of poverty and social, economic and political causes of poverty which are operating at local, national and international levels; and the rural-urban dynamics that work in exacerbating the urban poverty are covered in its socio-economic study. The study of the programme areas shows that they depict a dismal picture as a result of the operation of these poverty dynamics. Regarding the integrated rural-urban poverty alleviation strategy, the State has made favourable policies and itself dwelled on rural poverty due to lack of financial capacity to cover both rural and urban areas. The State's rural focus is accepted to impact on the urban poverty through changing the migration pattern. PRO PRIDE is operating in the urban setting to connect the nexus - the rural-urban strategy. PRO PRIDE is operating with an integrated urban development strategy encompassing income generation, basic education, primary health care, HIV IAIDS prevention and control and environmental sanitation. Through integrating these areas of intervention PRO PRIDE is improving the quality of life, promoting sustainable urban economic growth, creating income and employment generating opportunities, giving people access to resources and opportunities, improving the distribution of income and welfare, and applying sound developmental principles. The functioning of PRO PRIDE is proven to be in a well compliance with the requirement for organisations alike. It is functioning in collaboration and participation with the popular sector - the people themselves and their community leaders. It operates with the agreement of the State bodies such as FRDCB and with other line bureaus such as Health, Education, Environmental Development, and Labour and Social Affairs. It collaborates with donors the major being ActionAid - Ethiopia (AAE). Internal components of PRO PRIDE such as the Board and the staff as well as its organisational development influence its operation. All the programmes and the projects are managed through PRO PRIDE's interaction with its internal and external stakeho lders. PRO PRIDE as an agent of development has played as a catalyst to initiate development, focused on empowerment and using the people's latent potential, materialised capacity building and facilitation. These are basically the requirements that the current NGOs should fulfill, which PRO PRIDE commendably did. The study has indicated that although PRO PRIDE is an organisation of overall success, there are some areas of future focus both by the State and PRO PRIDE. Recommendations are made as to what both parties should do in their future focuses. / AFRIKAANSE OPSOMMING: Wanopvattings oor armoede en die gebrek aan gesonde strategieë vir die verligting van armoede, onder andere, is swakhede van sommige van die paar bestaande NGO's in Ethiopië. Verder ondervind hulle ook probleme om hulle rol met betrekking tot die Staat en ander deelhouers te verstaan; ook die beginsels wat hulle by intervensie beoefen, is problematies. Hierdie is die kwessies wat deur die PRO PRIDE gevallestudie ondersoek word. Die legitimiteit van PRO PRIDE as 'n armoede-verligtende program, gesien in die lig van die globale en Ethiopiese armoede en die voortspruitende beleidsfokusse, word geregverdig. Die beginsels van PRO PRIDE - gemeenskapsdeelname, geslagsgelykheid, intersektorale samewerking, geskikte tegnologie, fokus op voorkoming, deelnemende bestuur, koste-effektiwiteit en die volhoubaarheid van programme - is gesonde beginsels. Oorweging van die praktyke van PRO PRIDE aan die hand van voorgenoemde beginsels toon dat die beginsels van gemeenskapsontwikkeling - menslike oriëntasie, openbare deelname, bemagtiging, eienaarskap, bevryding, sosiale leer, aanpasbaarheid en eenvoudigheid - noemenswaardig verwesenlik is. PRO PRIDE het goed daarin geslaag om armoede en die verweefde aard daarvan te verstaan. Kwessies soos die ontberingsvalstrik waarin die armes vasgevang is; die algemene verklarings vir armoede deur verskillende skrywers; die bose kringloop van armoede en die sosiale, ekonomiese en politieke oorsake van armoede, aangetref op plaaslike, nasionale en internasionale vlakke; asook die landelik-stedelike dinamika wat meewerk tot die verergering van stedelike armoede word gedek in die sosio-ekonomiese studie. Die bestudering van die programareas verbeeld 'n droewige prentjie te wyte aan die operering van hierdie armoede- dinamiek. Betreffende die geïntegreerde landelik-stedelike armoede-verligtingstrategie, het die Staat gunstige beleide gemaak en oorheersend gefokus op landelike armoede vanweë 'n gebrek aan finansiële kapasiteit vir die aanspreking van die probleem in beide landelike en stedelike gebiede. Die Staat se landelike fokus is aanneemlik gevind vir die impak wat dit op stedelike armoede kon hê deur verandering van die migrasiepatroon. PRO PRIDE opereer vanuit 'n stedelike omgewing om die verbinding, landelik-stedelike strategie, te bewerkstellig. Dit opereer binne 'n geïntegreerde stedelike ontwikkelingstrategie behelsende inkomstegenerering, basiese opvoeding, primêre gesondheidsorg, VIGS-voorkoming en -beheer, asook omgewingsanitasie. Deur integrering van hierdie tussenkomsgebiede verbeter PRO PRIDE lewenskwaliteit, bevorder dit volhoubare stedelike ekonomiese groei, genereer dit inkomste- en indiensnemingsgeleenthede, maak dit hulpbronne en geleenthede toeganklik vir mense, verbeter dit die distribusie van inkomste en welvaart en pas dit gesonde ontwikkelingsbeginsels toe. Die funksionering van PRO PRIDE is bewys te voldoen aan die vereistes gestel vir ooreenstemmende organisasies. Dit funksioneer met die samewerking en deelname van die volksektor - die mense en hulle gemeenskapsleiers. Dit opereer met die instemming van Staatsorgane soos FRDCB en ander lynstaatsinstansies soos dié van Gesondheid, Opvoeding, Omgewingsontwikkeling en Arbeid en Sosiale Aangeleenthede. PRO PRIDE werk ook saam met donateurs van wie die vernaamste ActionAid-Ethiopië (AAE) is. Interne komponente soos die Raad en personeel, asook die organisatoriese ontwikkeling van PRO PRIDE beïnvloed die operering daarvan. Alle programme en projekte word bestuur deur PRO PRIDE se interaksie met sy interne en eksterne deelhouers. PRO PRIDE as 'n ontwikkelingsagent het as 'n katalisator opgetree om ontwikkeling te inisieer, het gefokus op bemagtiging en gebruik van die mense se latente potensiaal en het kapasiteitsbou en fasilitering bewerkstellig. Hierdie basiese vereistes waaraan NGO's behoort te voldoen is noemenswaardig deur PRO PRIDE gerealiseer. Die studie het getoon dat hoewel PRO PRIDE in die geheel geslaag het as organisasie, daar tog sommige gebiede is wat toekomstige aandag van beide die Staat en PRO PRIDE verdien. Aanbevelings word gemaak oor wat beide partye in hul toekomstige fokus behoort te onderneem.

The past decades witnessed that neither the private sector nor the government could provide an adequate socio-economic safety net for the poorest of the poor in the Third World. The community-based self-help approaches were hence widely used as alternative means to help the poor and marginalised to cope with livelihood shocks. This study examined the extent to which indigenous iddirs (local neighbourhood associations) and the externally-funded self-help groups (SHGs) could transform social capital into entrepreneurship thereby enhancing sustainable livelihoods. The study was conducted in three Southern Nation and Nationalities and People’s Region (SNNPR) rural districts, namely, Shebedeno, Wonago and Humbo. Mixed (quantitative and qualitative) methods were used to collect field data. Accordingly, closed and openended questionnaires and interview schedules were developed in English and then translated into Amharic (the national language). Instruments were field tested for validity and thereafter adjusted. A total of 220 (166 male and 54 female) people participated in the study. Data were entered into an Statistical Package for the Social Sciences (SPSS) database, and analysed by using basic descriptive statistics. Qualitative data were transcribed and analysed using Microsoft Office tools. The findings indicate that the SHGs’ members were relatively better educated than the rest of the population and some of them used this opportunity to pursue employment in government and the private sector. With regard to poverty status, iddirs members were poorer than those of SHGs (15.5% of the iddirs members reported that they are destitute compared to others in the community, as opposed to 3.3% of SHGs members). The study reveals that the livelihoods of some members of iddirs and SHG (particularly the latter) improved as a result of their involvement in these institutions although, at this point, the impact is insignificant. With regard to socio-economic decision making, more SHG members were involved in participatory decision making. However, iddirs leaders were still the dominant decision makers. The SHG level of participatory decision making could be the result of capacity building efforts by the promoting organisation, particularly, the Ethiopian Kale Heywet Church (EKHC). The study also shows that some of the iddirs and SHGs members were involved in informal rural entrepreneurial activities. However, their involvement did not indicate the utilisation of micro loan taken from the iddirs and SHGs for business purposes (97% of the iddirs and SHGs respondents utilised microcredit loans for consumption and other related purposes). On the other hand, the empirical evidence reveals that the amount of loan that iddirs and SHGs respondents received was very small. The general practice is giving small loans particularly to SHG members with repayments expected to begin as quickly and frequently as possible. Transforming social capital into entrepreneurship requires a cooperative approach, i.e. the involvement of development actors so as to enhance communities’ endeavour to achieve their livelihood objectives. Despite the wide prevalence of social capital in Ethiopia, this study indicates that its effective utilisation in community empowerment and sustainable livelihoods remains a challenge. Social capital is found to have a limited role in social entrepreneurship development and promotion not because it does not have potential, but because of the limited role of promoting organisations. The study shows lack of strong linkage between iddirs and promoting organisation (NGOs and Government). The study thus underlines the need for improving network and links with iddirs and SHGs and promoting organisations so as to create an enabling environment for sustainable livelihoods in the three rural districts under scrutiny. / Development Studies / D. Litt. et Phil. (Development Studies)

Region 5 is one of the most impoverished and insecure regions of Ethiopia. For decades, the region has suffered from a multitude of armed conflicts involving state and non-state actors. Region 5 is also one of the most underserved states of Ethiopia with some of the lowest levels of human development indicators nationwide. Although the adversities of poverty and conflict are widely acknowledged in their own respect, there has been little or no inquest into why poverty and conflict have prevailed under the same space for decades. Poverty and conflict have often been seen as separate phenomena that are dealt with using different sets of theories and practices in the real world. Nonetheless, a closer look at poverty and conflict in Region 5 reveals that both are strongly connected to each other. The poverty-conflict trap has been an on-going cycle in the region for the last five decades. The main intent of this research paper is analyzing the two-way relationship between poverty and conflict in Region 5. By studying this relationship, this analysis seeks to contribute to a new framework that brings peacebuilding and development closer.

This thesis examines the structural and conjunuctural constraints that inhibit the emergence of a civil society and democracy in Ethiopia, 1991-2005. Freedom and democracy are taken as precondition for development and social transformation. It introduces a model of how state and society relationship affects development and social transformation in transitional societies placing freedom as a pivotal link. The thesis establishes a marked continuum in the modalities of state and society relationship throughout the three post-War governments in Ethiopia. It examines the current state/society relationship and highlights lack of freedom as the major constraint. This is examined against the backdrop of what the historical realm for social change in post-War Ethiopia is, namely freedom and democracy. It examines the policies of the current government (EPRDF) on non-state organizations, the 'theoretical' rationales it advanced and how the perceptions that the ruling party held back in 1975 haven't changed. It holds that the government exacerbated the problem of the fragile relationship it had with society. The thesis also examines the government's policy on ethnicity as the 'rationale' that governs the functions of its institutions of governance and deconstructs the concepts of EPRRDF's "revolutionary democracy", the dichotomy between quality and quantity as well as between cadres and experts. It also deconstructs the EPRDF's thesis on the "national question" both in terms of its claims to have proceeded from the positions of the old student movement on the one hand and from the Marxian theoretical perception on the "national question" on the other. The analysis is extended to examine, within the poverty-unfreedom nexus, the development challenges that Ethiopia currently faces. Four major development challenges are advanced for examination: gender, environment, rural development and population. The thesis concludes that the EPRDF has failed to resolve these structural problems. EPRDF's exclusion of the nascent civil society, suppression of freedom and official political opposition are taken as the main factors behind the failure. The case of the 2005 elections is presented as a sequel to the thesis. / Sociology / D.Litt. et Phil. (Sociology)

This thesis examines the structural and conjunuctural constraints that inhibit the emergence of a civil society and democracy in Ethiopia, 1991-2005. Freedom and democracy are taken as precondition for development and social transformation. It introduces a model of how state and society relationship affects development and social transformation in transitional societies placing freedom as a pivotal link. The thesis establishes a marked continuum in the modalities of state and society relationship throughout the three post-War governments in Ethiopia. It examines the current state/society relationship and highlights lack of freedom as the major constraint. This is examined against the backdrop of what the historical realm for social change in post-War Ethiopia is, namely freedom and democracy. It examines the policies of the current government (EPRDF) on non-state organizations, the 'theoretical' rationales it advanced and how the perceptions that the ruling party held back in 1975 haven't changed. It holds that the government exacerbated the problem of the fragile relationship it had with society. The thesis also examines the government's policy on ethnicity as the 'rationale' that governs the functions of its institutions of governance and deconstructs the concepts of EPRRDF's "revolutionary democracy", the dichotomy between quality and quantity as well as between cadres and experts. It also deconstructs the EPRDF's thesis on the "national question" both in terms of its claims to have proceeded from the positions of the old student movement on the one hand and from the Marxian theoretical perception on the "national question" on the other. The analysis is extended to examine, within the poverty-unfreedom nexus, the development challenges that Ethiopia currently faces. Four major development challenges are advanced for examination: gender, environment, rural development and population. The thesis concludes that the EPRDF has failed to resolve these structural problems. EPRDF's exclusion of the nascent civil society, suppression of freedom and official political opposition are taken as the main factors behind the failure. The case of the 2005 elections is presented as a sequel to the thesis. / Sociology / D.Litt. et Phil. (Sociology)