Annotated Bibliography Series Series No. 2 Vulnerability, Poverty, Seasonality, Food Security and Microfinance Compiled By Tariq Md. Shahriar Institute of Microfinance (InM) E-4/B, Agargaon Administrative Area, Sher-E-Bangla Nagar, Dhaka-1207. Bangladesh. February, 2007. Contents Page General Topics 1 – 53 Asia Bangladesh South Asia Other Regions of Asia Africa The Americas & Other Countries Index By Authors 54 – 111 54 – 95 96 – 105 106 – 111 112 – 137 138 – 141 142 – 147 General Topics Acharya, S. S. (1992) “Drought and Response of Rural Families”, Economic and Political Weekly, Vol. 27, No. 36: 1894-1896.
Adato, M. & Feldman, S. (2001) “Empowering Women to Achieve Food Security”. 2020 Focus Series, IFPRI, Washington, D. C. Abstract: Impoverishment is characterized by social differences—gender, generational, and ethnic, among others—that structure people’s access to economic and social assets. Gender inequalities are embedded within households and among kin, in the labor market and informal economic relations, and across community and wider networks. Recent investments to strengthen women’s position within these social units and empower women as decision makers have reduced inequality and improved ellbeing. They are addressing women’s needs for education, health care and nutrition training, credit, and employment. Even with increasing returns to these investments, some women require “safety nets”—private and public forms of social insurance—in response to shocks including drought, sudden illness or death of a family wage earner, job loss, political conflict, or dramatic currency devaluation. Buffers are also needed to reduce vulnerability during persistent crises in agricultural production, declines in landholding, pervasive or seasonal unemployment, or old age.
Women find it harder than men to weather these changes since they have less access to employment in alternative labor markets or to credit and support networks outside the family and community. Ahsan, Q. (2005) “Micro-credit, risk coping and the incidence of rural-to-urban migration,” Proceedings of the German Development Economics Conference, Kiel 2005 2, Verein fur Socialpolitik, Research Committee; Development Economics. Abstract: The focus of this paper is on the rural poor of south Asia and their struggle to cope with the seasonal risk of unemployment and the ensuing income risks.
In the absence of formal credit or insurance markets the rural poor typically resort to, among other options, the following informal strategies to cope with seasonal income risks: (i) seasonal rural-to-urban migration, and (ii) mutual (ex-post) transfers between families of friends and relatives. Access to credit through a microfinance institution could also provide a competing source of insurance. The question raised in this paper is how the access to credit may affect the more traditional/time honoured means of risk coping, such as seasonal migration. Given that credit, i. e. a creditfinanced activity, is potentially a substitute for seasonal migration, it is reasonable to argue that easy access to credit (or high return on credit) will lower the incidence of migration. However, there also exists a potential complementarity between the two activities (if implemented jointly) in terms of gains due to diversification of income risks. That is, given that income from migration is not typically subject to the same shocks as income generated by a credit-financed activity, a joint adoption of both activities creates opportunities for diversification of risk in the family incomes portfolio.
If the diversification gains are large enough then the adoption of both activities jointly will be preferred to adopting either of the activities individually. In that event, introduction of microfinance in rural societies may result in raising the incidence of migration. The joint adoption case for rural households is modelled using a choice theoretic framework, and exact conditions are derived for when joint adoption is preferable to adoption of a single project.
The model of joint adoption is estimated by applying a Bivariate Probit regression model on a single cross-section of household survey data from rural Bangladesh. Our preliminary results show that indeed the probability of participation in migration by household members is positively related to the probability of the household being a credit recipient. Ahmad, R. S. (1983). “Financing the rural poor: obstacles and realities”. Dhaka; UPL. Aigner, S. M,, Flora, C. B. , Tirmizi, S. N. & Wilcox, C. (1999). “Dynamics to sustain community development in persistently poor rural areas”.
Community development journal, Vol. 34, No. 1, 13-27. Abstract: In confronting the problem of persistent rural poverty, scholars and practitioners of rural development have increasingly questioned the utility of previous antipoverty approaches that emphasize individually oriented cash transfer programs or policies guided by a modernization/development model. Instead, to design a recent ten-year policy initiative, the 1994 US empowerment zone/enterprise community initiative, policy framers chose a new approach, locality-based rural development. Using rural census tracts with persistently poor profiles, the selection process emphasized the primary outcome goals of (1) sustainable community development and (2) economic opportunity for all residents, and two process goals of (3) citizen participation in the construction of a locally defined strategic vision and (4) the formation of community based partnerships to implement benchmark activities to achieve the two primary outcome goals. Alamgir, M. & Arora, P. (1991). “Providing food security for all. ” IFAD studies in rural poverty No. 01. New York; IFAD. Alamgir, M. (1981). “An Approach Towards a Theory of Famine”, in John R.
K. Robson (ed. ), Famine: Its Causes, Effects, and Management. New York: Gordon and Breach Science Publishers. Alwang, J. , Siegel, P. & Jorgensen, S. (2001). “Vulnerability: A View from Different Disciplines”. Social Protection Discussion Paper, No. 0115. World Bank. Abstract: Practitioners from different disciplines use different meanings and concepts of vulnerability, which, in turn, have led to diverse methods of measuring it. This paper presents a selective review of the literature from several disciplines to examine how they define and measure vulnerability.
The disciplines include economics, sociology/anthropology, disaster management, environmental science, and health/nutrition. Differences between the disciplines can be explained by their tendency to focus on different components of risk, household responses to risk and welfare outcomes. In general, they focus either on the risks (at one extreme) or the underlying conditions (or outcomes) at the other. Trade-offs exist between simple measurement schemes and rich conceptual understanding. Anderson, M. B. & Woodrow, P. J. (1993). “Reducing Vulnerability to Drought and Famine: Developmental Approaches to Relief”, in John Osgood Field (ed. , The Challenge of Famine: Recent Experience, LessonsLearned. West Hartford, Connecticut: Kumarian Press. Atwood, D. A. (1991). “Aggregate food supply and famine early warning. ” Food Policy, Volume 16, Issue 3, Pages 245-251. Abstract: Recent major strides in understanding food stress have led to a growing and healthy use of indicators of entitlements and income for the purposes of ‘famine early warning’. Exclusive use of such indicators, however, denies early warning efforts an equally important food stress indicator, the aggregate national food balance sheet.
Used properly, food balance sheets provide information governments need to increase overall food availability in the face of impending shortages. ‘Success stories’ of crisis avoidance often cited as relying on a food entitlements approach have in fact also given substantial weight to overall national food supply indicators and availability. Failure to avert food crises has occurred even in the presence of substantial attention to food entitlements when inadequate attention to supply indicators resulted in insufficient food in the country. Babu, S. C. (2002). “Hunger and food security. In World at Risk: A Global Issues Sourcebook”.
Pp. 320-342. Washington, D. C. Congressional Quarterly Press. BCAS, GFEP & UNDP. (1994). “Food security, environment and poverty”. Dhaka; BCAS (Bangladesh Centre for Advanced Studies). Baishya, P. (1975). “Man-made Famine”, Economic and Political Weekly, Vol. 10, No. 21: 821-2. Bane, M. J. & Ellwood, D. (1986). “Slipping in and out of Poverty: The Dynamics of Spells”, Journal of Human Resources, Vol. 21, Vol. 1, 1-23. Abstract: This paper examines the dynamic of poverty. Previous analyses have examined either fluctuations in the male heads’ earnings or the frequency of poverty periods over a fixed time frame.
Our approach depends on a definition of spells of poverty. Using this methodology we find that the majority of poor persons at any time are in the midst of a rather long spell of poverty. The methodology allows us to estimate that less than 40% of poverty spells begin because of a drop in the heads’ earnings, while 60% of the spells end when the heads’ earnings increase. Thus, 2 researchers must focus on household formation decisions and on the behaviour of secondary family members. Number 1: 8-23. Barrientos, A. , Hulme, D. & Shepherd, A. (2005). “Can Social Protection Tackle Chronic Poverty? The European Journal of Development Research. Volume 17, Abstract: Recent developments in social protection have shifted its focus on to risk and vulnerability. These contribute to poverty directly, but also indirectly through the response of poor households to risk. The extent to which social protection interventions could address chronic poverty is unclear. A hard and fast distinction between transient and chronic poverty suggests a bifurcation in anti-poverty policy, with social protection addressing the former, and asset transfer policies the latter.
To the extent that factors behind chronic poverty extend beyond the direct and indirect impact of risk on households, social protection can at best constitute a partial response. The paper discusses these issues and concludes that ‘broad’ social protection can have an important role in interrupting risk and vulnerability among the chronic poor. Barrientos, A. & Smith, R. (2006). “Social Assistance in low Income Countries: Database”. IDPM and CPRC, the University of Manchester, The UK Department for International Development (DFID).
Abstract: The database aims to:
• provide a summary of the evidence available on the effectiveness of social assistance interventions in developing countries, with special reference to low income countries;
• focus on programmes seeking to combine the reduction and mitigation of poverty, with strengthening and facilitating household investments capable of preventing poverty and securing development in the longer term
• identify such programmes in Sub-Saharan Africa and South Asia, with relevant programmes from other developing regions included where appropriate;
• select programmes for inclusion in the database on the basis of the availability of information on evaluation, size, scope or significance;
• provide summary information on each programme in a way that can be easily referenced by DFID staff and others with only a basic level of technical expertise. Barrett, C. B. & McPeak, J. G. (2003). “Poverty traps and safety nets”. Kluwer Academic Publishers. Abstract: This paper uses data from northern Kenya to argue that the concept of poverty traps needs to be taken seriously, and that if poverty traps indeed exist, then safety nets become all the more important. However, as presently practiced, safety nets based on food aid appear to be failing in northern Kenya. Barrett C. B. , Holden, S. & Clay, D. C. (2004). “Can Food-for-Work Programmes Reduce Vulnerability”. Discussion Paper #D-07/2004.
Department of Economics and Resource Management, Agricultural University of Norway. Abstract: Food-for-work (FFW) programmes are widely touted for their capacity to target poor populations effectively with a reliable safety net, thereby reducing vulnerability due to downside risk exposure, while simultaneously investing in the production or maintenance of valuable public goods necessary to stimulate productivity and thus growth in aggregate incomes. The empirical evidence is mixed, however, as to the efficacy of FFW in any of these dimensions. Proponents cite cases in which FFW appears to have performed as intended, while opponents present evidence of its failures.
The development community needs to guard against uncritical acceptance of either naive or hostile claims about FFW and to develop a better understanding of how, when and why FFW programmes can indeed reduce vulnerability. This paper aims to advance such an understanding. Barrett, C. B. (2002). “Food security and food assistance programs”. Chapter 40 in Handbook of Agricultural Economics, Volume 2, Part 2, Pages 2103-2190. Abstract: Widespread hunger and malnutrition persist today despite considerable growth in per capita food availability. This has prompted an evolving conceptualization of food security and of mechanisms to attain and maintain food security. This chapter discusses both food security and food assistance programs designed to respond to the threat of food insecurity. Baulch, B. & Hoddinott, J. (2000). Economic Mobility and Poverty Dynamics in Developing Countries”, Journal of Development Studies, Vol. 36, No. 6, 1-24. 3 Abstract: This study provides an introduction to this special issue of The Journal of Development Studies on economic mobility and poverty dynamics in developing countries. In addition to providing a conceptual framework, it outlines how the contributions fit into the extant literature. A series of regularities emerge across these studies. The poor consist of those who are always poor – poor at all dates – and those who move in and out of poverty, with the latter group tending to be strikingly large. Such movements in and out of poverty are apparent when looking at poverty in either absolute or relative terms.
Changes in returns to endowments can be a potent source of increased incomes. Finally, seemingly transitory shocks can have longterm consequences. The study concludes by drawing out the policy implications of these regularities. Baulch, B. (2004). “Aid distribution and the MDGs”. Working paper 48. Manchester: IDPM/Chronic Poverty Research Centre (CPRC). Abstract: The United Nations and other aid agencies are calling for aid to be more than doubled so that the Millennium Development Goals. (MDGs) can be achieved by 2015. Unfortunately, as this paper shows, many important donors currently distribute their aid in ways that are not consistent with the MDGs.
It constructs aid concentration curves for four of the quantifiable indicators of the MDGs (monetary poverty, child malnutrition, non-enrolment in primary school, and under-five mortality) for the major bilateral and multilateral donors. A common ranking of donors’ aid programmes by these indicators is observed. However, there are major contrasts between the progressivity and regressivity of different donor’s aid programmes whatever indicator is used. The UK and World Bank have aid programmes which distribute around two-thirds of their concessionary aid to the low income countries. In contrast, the USA and the European Commission spend the majority of their aid budgets in middle income countries.
France, Germany, the Netherlands, Japan and the United Nations occupy an intermediate position, distributing between a half and two-thirds of their aid to low income countries but also making substantial disbursements to a few relatively small and well-off countries. Beck, T. (1993). “The Political Economy of Hunger. Volumes 1, 2 & 3- J. Dreze & A. Sen”, Disasters, Vol. 17, No. 1: 85-88. Behrman, J. R. (2006). “Methodological Note: Using Micro Data to Understand Better the Intergenerational Transmission of Poverty in Low Income Developing Countries”. Working Paper 68. Manchester: IDPM/Chronic Poverty Research Centre (CPRC). Abstract: Good empirical analysis of the intergenerational transmission (IGT) of poverty is challenging.
This note clarifies this challenge and possible contributions by considering: (1) what estimated relations would be informative for improving understanding within an intergenerational life-cycle behavioural framework with important unobserved variables (e. g. genetics); (2) possible resolutions to estimation problems; and (3) different types of data. The greatest progress can be made by focusing on:
• Links between parental background and adult child resource access for which effects are thought to be particularly large and relatively uncertain.
• High quality data regarding (a) representativeness, (b) power, (c) coverage of important concepts for such studies and (d) limited measurement error.
• Data that permit better estimates, including their robustness to different assumptions – e. g. ith complete information on key variables for two or three generations, on intergenerational transfers, linked to time series records on contextual changes, sibling information, experiments, and/or longitudinal data. Through careful examination of existing data, keeping in mind considerations in this note, much can be learned about the IGT of poverty. But it is also important to be alert to opportunities for improving data and for encouraging collection of new and better data. Benson, C. & Clay, Edward. (2004). “Understanding the Economic and Financial Impacts of Natural Disasters”. World Bank. Abstract: The study described here examines the short- and longterm economic and financial impacts of natural disasters.
It relies in part on in-depth case studies of overall sensitivity to natural hazards in the small island economy of Dominica; public finance consequences of disasters in Bangladesh; and the economic consequences of climatic variability and the use of climatic forecasting in Malawi and southern Africa. Policy implications are drawn, and, where appropriate, recommendations are made. Finally, directions for future research and cooperation are outlined. 4 Vol: 16 (5) 539-654. Bhagwati, J. N. (1988). “Poverty and Public Policy. ” World Development Report. Abstract: Polemic article/lecture discussing alternative economic policies: indirect (growth oriented) – direct (distribution) route. India’s growth-oriented policies were not an end in itself, but a means to improve conditions of poor, activist and interventionist assault on poverty. Disputes (but not disproves) “immiserising growth theory” (Ghose and Griffin, 1979).
Etienne (1982) shows that growth has pushed several of the poor on in life; Ahluwalia (1985); Bhalla and Vahishta (1985). Direct route: trade-off remains. Overstated case of Sri Lanka – shows advisability of assigning primacy to growth-oriented route to ameliorating poverty. Bigman, D. & Fofack, H. (2000). “Geographical Targeting for Poverty Alleviation: Methodology and Applications”, World Bank Economic Review, Vol14. No. 1: 129145. Washington D. C. Abstract: In the face of rising public deficits and shrinking public resources, geographical targeting may be a viable way to allocate resources for poverty alleviation in developing countries. Efficiency can be increased and leakage to the nonpoor reduced substantially by targeting increasingly smaller areas.
This article, and more generally the symposium on geographical targeting for poverty alleviation, proposes several techniques for augmenting data to produce more detailed poverty maps. It focuses on practical considerations in the design of geographically targeted poverty alleviation programs. In particular, it assesses the advantages and disadvantages of geographical targeting and describes how geographic information systems can be applied to improve poverty mapping. Bindraban. P. S. et al. “A review of the UN System Common Country Assessments and World Bank Poverty Reduction Strategy Papers”. Prepared in collaboration with the FIVIMS Secretariat, FAO by a team from Wageningen University Research Centre.
Abstract: At the request of the FIVIMS secretariat at the Food and Agriculture Organization of the United Nations (FAO), a review of 50 Common Country Assessment (CCA) reports and 25 Poverty Reduction Strategy Papers (PRSPs), covering regions and countries with widely differing development status, was carried out as part of a FIVIMS/CCA integration project. The two major objectives of this review study were to assess the extent to which food insecurity and vulnerability problems are analysed and incorporated into policies, strategies and interventions, and to identify clear areas for improvement. The study was performed by an interdisciplinary team of scientists from the Wageningen University and Research Centre (WUR), The Netherlands.
Based upon the checklist of 20 items in the Terms of Reference agreed between the FIVIMS and WUR, a predefined analytical framework was developed comprising 255 questions grouped into seven domains: (1) general country details; (2) report preparation details; (3) definitions used for food security and vulnerability, and for poverty; (4) policy statements on food insecurity and vulnerability, and on poverty; (5) data collection, use and presentation; (6) analysis; and (7) policies, strategies and interventions. The analysis was carried out in two stages. First, comparison of the data for the seven domains from the 75 country reports resulted in a detailed discussion of the breadth and depth of food insecurity and vulnerability analysis within these same country reports.
Second, the consistency with which the domains of food (in)security, vulnerability and poverty were dealt with, was analysed by answering the question “Does the selection of food insecurity and vulnerability as a development priority, in a country, result in clear definitions of food insecurity and vulnerability, in detailed analysis, in formulated policies and strategies, and, finally, in interventions aimed at reducing food insecurity and vulnerability? ”The review has three main conclusions. First, there is a general deficiency in analysis of the extent and the underlying causality of food insecurity and vulnerability, and of poverty of specific population groups. Hence little analytical basis is provided for targeted policy and programme development. The incomplete nature of food insecurity and vulnerability analysis in these reports shows the need for a wider utilization of existing capabilities in a country through the involvement of more parties, and for the expansion of such existing capabilities through capacity building.
It is recommended that data collection be improved with special attention given to geographical, temporal and social disaggregation. Analytical methods need to be improved, in parallel with the identification of a comprehensive and congruent set of indicators. This forms the basis for functional cooperation among a diverse group of national and international institutions operating at national as well as subnational level. Second, the report concludes that in both types of country reports there is a lack of consistency between, on the one hand, priority setting and analysis, and, on the other hand, policies, strategies and interventions aimed at alleviating ood insecurity vulnerability, and poverty. Third, this review concludes that the CCA reports and PRSPs start with different perspectives, but both result in similar policies, strategies and interventions, irrespective whether or not food insecurity and vulnerability or poverty are identified as development priorities. It is therefore recommended that efforts be made to integrate situation analysis (and report) of poverty reduction, livelihood protection and 5 strengthening, and sustainable development, with an identifiable component that highlights food insecurity and vulnerability issues. Food security must be recognized as an essential component of development.
Based on the three main conclusion and derived recommendations, this review strongly recommends that an integrated framework to address food insecurity and vulnerability, and poverty be developed and incorporated into the preparation procedures of both CCA reports and PRSPs, or of any type of food insecurity and vulnerability, and poverty situation analysis, to support a comprehensive and well structured analysis that derives from a broad process of participation. Binswanger, H. & Landell-Mills, P. (1995). “The World Bank’s Strategy for Reducing Poverty and Hunger: A Report to the Development Community”. Washington, D. C. : The World Bank. Bird, K. , Moore, K. , Hulme, D. & Shepherd, A. (2002). “Chronic Poverty and Remote Rural Areas”. Working Paper 13. Manchester: IDPM/Chronic Poverty Research Centre (CPRC). Abstract: This paper is a first attempt at putting the case that people living in remote rural areas (RRAs) account for a substantial proportion of the chronically poor.
The evidence for this will be gathered from country studies, longitudinal quantitative and qualitative micro-level studies, and the growing volume of work on spatial poverty traps. It is a substantial research exercise to identify where the chronically poor are, who they are, and why they are chronically poor. This paper will be able only to make an initial informed guess at the scale of chronic poverty in RRAs. However, there are strong theoretical and empirical reasons for the prevalence of chronic poverty in RRAs. Spatial poverty traps result from low endowments of ‘geographic capital’ (the physical, social and human capital of an area), with one household’s poverty reinforcing another’s.
Outmigration leaves behind insecure asset-depleted ‘residual’ populations with the cards stacked against them: high dependency ratios, stigma, and low reserves of social capital. High levels of risk characterise many RRAs, and contribute to the difficulties of emerging from poverty as well as the likelihood of destitution. This is true for ill-health and injury, natural disaster, harvest failure, terms-of-trade deterioration and reduced access to work. It may also be true of violence and conflict. By definition, RRAs are the other side of the coin: while major conurbations are located in favourable areas, RRAs are distant from these. Risk degrades assets, impoverishes the most vulnerable, and, where the density of poor and risk-prone households is high, prevents neighbouring households climbing out of poverty.
Social exclusion offers another perspective. While access to natural resources may be less of an issue in some RRAs, access to information, opportunities and connections goes a long way to explain persistent poverty. Exclusion is strongly linked to both state and market failures. Sources of exclusion include: physical isolation, ethnicity and religious discrimination, bureaucratic barriers, (tarmac) road bias, corruption, intimidation and physical violence, and the nature of the local political elite. Adverse incorporation is also more likely in areas remote from dynamic social change and the development of an active civil society to challenge historic power holders.
We hypothesise that RRAs are often insecure and conflict-prone. Local or national elites can use the disaffection stemming from exclusion and deprivation to mobilise disgruntled youth. RRAs are sometimes deliberately left with poor governance to enable elites to cash in on illegal trading opportunities. In future research, an attempt will be made to map conflicts at a regional and national level, in order to further investigate the relation between remoteness, conflict, vulnerability and poverty. Democracy seems at first sight to have little to offer the poor of RRAs. An exception to this is the greater emphasis on the prevention of destitution in democracies compared to non-democratic regimes.
Well-institutionalised democratic politics can bring benefits to the poor as a whole. But the chronically poor may be a less attractive constituent for institutional party politics, as it is difficult and likely expensive to deal with their problems within electoral periods, and the votes of the marginalized and excluded may be perceived as counting for less. It is likely to be more difficult for politicians to deliver on commitments to RRAs, which require high levels of resourcing, and may also require significant improvements to governance as a pre-condition. However, in the long term, democracy is likely to facilitate the development of greater political capabilities of poor people.
The question of how to increase social solidarity at national and local level is key for RRAs. There is little evidence that devolution of power is good for the poor. However, in RRA it would seem that a strong degree of decentralisation (as opposed to devolution) is essential to adapt decisions to the different environment of an RRA. RRAs are likely to require substantial additional government capacity in order to achieve the same standards of provision, given the additional difficulties of government in RRAs. The parameters of good governance for RRAs need to be analysed afresh – they are unlikely to be the same as the prescriptions at national level. The paper argues that there has been a widespread ‘policy failure’ in RRAs.
The focus on livelihoods development, based on successes in non-remote areas did not take account of the special risk, exclusion and marginalisation characteristics of RRAs. Attacking these causes of persistent poverty would involve a greater emphasis on human capital and security. Livelihood diversification would then become more of a 6 possibility. Policy sequencing is therefore critical. The neo-liberal policy discourse turned to human capital development in the 1990s and the World Development Report for 2000/1 has announced a renewed and welcome focus on security, which is, however, yet to be operationalised. Bloom, G. (2005). “Social Protection and Health”. Social Protection for Chronic Poverty Conference.
Abstract: The purpose of the paper is to review the intersection between the health and social protection agendas in reference to the needs of the chronically poor. It will review the evidence on the adverse impacts of sickness and the high cost of medical care on the poor. It will explore the implications of the impoverishing impact of major illness on health development policies. China is already establishing a health safety net to pay for hospital care. This is a major shift from previous strategies that favoured the provision of basic outpatient services. It will also look at other policy initiatives, such as the supply of drugs to treat HIV/AIDs, through the social protection lens.
The paper will conclude by highlighting the conflicting policy advice that can arise depending on whether the starting point is reducing the burden of disease or providing social protection for the poor. In reality, governments will have to balance the two policy objectives. Bohle, H. G. (1993). “The Geography of Vulnerable Food Systems”. In Bohle et al, (eds. ) Coping with vulnerability and criticality: case studies on food- insecure people and places. Breitenbach, Saa