sustainable livelihood framework sr

Compiled by S.Rengasamy Madurai Institute of Social Sciences

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The Sustainable Livelihoods The Sustainable Livelihoods FrameworkFramework

• It’sIt’s ONE WAY ONE WAY of “organising” theof “organising” the complex complex issues surroundingissues surrounding POVERTY POVERTY

• It’sIt’s NOT NOT thethe ONLY WAY ONLY WAY• ItIt needs to beneeds to be::

o ModifiedModifiedo AdaptedAdaptedo MadeMade appropriate appropriate toto local local

circumstancescircumstanceso MadeMade appropriate appropriate toto local priorities local priorities


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Livelihood - DefinitionsDefinitions

The definition used by Department of Foreign and International Development (DFID) incorporates these sentiments 'A livelihood comprises the capabilities, assets (including both material

and social resources) and activities required for a means of living. A livelihood is sustainable when it can cope with and recover from stresses and shocks and maintain or enhance its capabilities and assets both now and in the future, while not undermining the natural resource base' (Chambers, R. and G. Conway, 1992).

The United Nations Development Program (UNDP) differentiates between a job and a livelihood, which are often used interchangeably. Jobs

"A job connotes one particular activity or trade that is performed in exchange for payment. It is also a formal agreement, as manifested by a contract, between an employer and employee...... . A job can, however, comprise part of an overall livelihood, but does so only to complement other aspects of a livelihood portfolio.

Livelihoods"A livelihood, on the other hand, is engagement in a number of activities which, at times, neither require a formal agreement nor are limited to a particular trade. Livelihoods may or may not involve money. Jobs invariably do. Livelihoods are self-directing. ....

Livelihoods are based on income derived from "jobs", but also on incomes derived from assets and entitlements. "

"a means of living or of supporting life and meeting individual and community needs"


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Livelihood"A livelihood, on the other hand, is engagement in a number of activities which, at times, neither require a formal agreement nor are limited to a particular trade. Livelihoods may or may not involve money. Jobs invariably do. Livelihoods are self-directing. .... . Livelihoods are based on income derived from "jobs", but also on incomes derived from assets and entitlements. "

Job"A job connotes one particular activity or trade that is performed in exchange for payment. It is also a formal agreement, as manifested by a contract, between an employer and employee...... . A job can, however, comprise part of an overall livelihood, but does so only to complement other aspects of a livelihood portfolio.

Livelihood & Job


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PrinciplesPrinciples

People-centred: beginning by understanding peoples’ priorities and livelihood strategies.

Responsive and participatory: responding to the expressed priorities of poor people.

Multi-level: ensuring micro-level realities inform macro-level institutions and processes.

Conducted in partnership: working with public, private and civil society actors.

Sustainable: environmentally, economically, institutionally, and socially.

Dynamic: ensuring support is flexible and process-oriented, responding to changing livelihoods.

Holistic: reflecting the integrated nature ofpeople’s lives and diverse strategies.

Building on strengths: while addressing vulnerabilities.


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Livelihoods AssetsLivelihoods Assets

Financial CapitalSavings Credit/debt formal, informal, NGOsRemittances -Pensions -Wages

Natural CapitalLand and produceWater & aquatic resourcesTrees and forest productsWildlifeWild foods & fibresBiodiversityEnvironmental services

Social CapitalNetworks and connections

Patronage Neighbourhoods kinship

Relations of trust and mutual supportFormal and informal roupsCommon rules and sanctionsCollective representationMechanisms for participation in decision-makingLeadership

Physical CapitalInfrastructure - transport - roads, vehicles, etc.

secure shelter & buildings water supply & sanitationEnergy communications

Tools and techology - tools and equipment for production seed, fertiliser, pesticides traditional technology

Human CapitalHealth, Nutrition, Education, Knowledge and skills Capacity to work & Capacity to adapt

The Poor


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Financial Capital

HumanCapital

Social Capital

Physical Capital

Livelihood Assets

Natural Capital

Shrink

Expa

nd


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Asset composition of groups in non-irrigated and Asset composition of groups in non-irrigated and irrigated areasirrigated areas

Small &Marginal Farmers Non Irrigated Area Irrigated Area

Rural Wage Laborers Non Irrigated Area Irrigated Area

Petty TradersNon Irrigated Area Irrigated Area

Large Businessmen Non Irrigated Area Irrigated Area


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The Asset MixThe Asset Mix

DDifferent households ifferent households withwith different different access to access to livelihood livelihood “assets/capital”“assets/capital”

• Livelihoods affected by:Livelihoods affected by:o diversity diversity of assetsof assetso amount of assetsamount of assets o balance balance between assetsbetween assets


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The asset mix of aThe asset mix of a

Human capital• labour capacity• no education• limited skillsNatural capital• landless• access to common property resourcesFinancial capital• low wages• no access to creditPhysical capital• poor water supply• poor housing• poor communicationsSocial capital• low social status• descrimination against women• strong links with family & friends• traditions of reciprocal exchange= an extremely reduced “livelihood pentagon”

Landless female agricultural labourer

Financial Capital

Social Capital

Physical Capital

Human Capital

Natural Capital


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“Vulnerability” Context

SHOCKS - Illness, disaster, economic, conflict, crop / livestock pests&diseases,Floods,droughts,cyclones,Deaths in the Family,Violence or civil unrestSEASONALITY- Rainfall,climate, prices, production, health, employmentTRENDS AND CHANGES- Long term trends that undermine livelihood potential: population, declining natural resource base, climate change, inflation, currency devaluation, structural unemployment, poor governance, Environmental change,Technology, Markets and trade, Globalisation

FP

H

NS The Poor

Vulnerability

ContextShocks

SeasonalityTrends

Changes


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FP

H

NSThe Poor

Vulnerability

ContextShocks

SeasonalityTrends

Changes

“Vulnerability” Context

FP

H

NSThe Poor

Vulnerability

ContextShocks

SeasonalityTrends

Changes


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Understanding vulnerabilityUnderstanding vulnerability

Moser characterizes vulnerability as insecurity Moser characterizes vulnerability as insecurity in the well being of individuals, households or in the well being of individuals, households or communities in the face of a changing communities in the face of a changing environmentenvironment Because people move in and out of poverty the Because people move in and out of poverty the

concept of vulnerability better captures processes concept of vulnerability better captures processes of change that poverty line measuresof change that poverty line measures

Understanding vulnerabilityUnderstanding vulnerability Chambers observes that vulnerability has two Chambers observes that vulnerability has two

sidessides An external side of risks, shocks and stressAn external side of risks, shocks and stress An internal side of defenselessness due to lack of An internal side of defenselessness due to lack of

means to cope with damaging lossmeans to cope with damaging loss


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Policies, Institutions & Processes

• PoliciesPolicies • of government• of different LEVELS of government• of NGOs• of interational bodies

• Institutions

• Processes

• political, legislative & representative bodies

• executive agencies• judicial bodies• civil society & membership

organisations• NGOs• law, money• political parties• commercial enterprises & corporations• the “rules of the game”• decision-making processes• social norms & customs• gender, caste, class• language


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Policiesof government

of different levels of government

of NGOs

of interational bodies

Institutionspolitical, legislative &

epresentative bodies -executive

agencies -judicial bodies -civil

society & membership

organisations -NGOs -law,

moneypolitical parties –

commercial enterprises &

corporations

Processesthe “rules of the game”

decision-making processes

social norms & customs

gender, caste, class,language

FP

H

NS The Poor

Vulnerability

ContextShocks

SeasonalityTrends

Changes

influence

Policies, Institutions & Processes


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Livelihood Strategies What do people do?

Combining:Combining:• the assets they can accessthe assets they can access

Taking account of:Taking account of:• the vulnerability contextthe vulnerability context

Supported or obstructed by:Supported or obstructed by:• policies, institutions and processespolicies, institutions and processes..• ……… ………..………....………..leading toleading to

Natural-resource based. Non-NR / off-farm activities. Migration / Natural-resource based. Non-NR / off-farm activities. Migration /

remittances. remittances. Pensions and grants. Pensions and grants. Intensification vs. diversification. Intensification vs. diversification. Short-Short-

term vs. long-term.term vs. long-term.


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Livelihood OutcomesLivelihood OutcomesWWhat are people seeking to achieve?hat are people seeking to achieve?

Poverty Poverty - - a “poor” livelihood outcomea “poor” livelihood outcome:: based on a fragile or unbalanced set of livelihood assetsbased on a fragile or unbalanced set of livelihood assets unable to sustain to shocks, changes or trendsunable to sustain to shocks, changes or trends not supported, or actively obstructed by policies, institutions not supported, or actively obstructed by policies, institutions

and processes that and processes that do not allow assets to be used as they do not allow assets to be used as they mightmight

livehood options combined in a “bad” or unsustainable livehood options combined in a “bad” or unsustainable strategystrategy

Livelihood Outcomes.Livelihood Outcomes.WWhat are people seeking to achieve?hat are people seeking to achieve? More sustainable use of the NR baseMore sustainable use of the NR base More incomeMore income Increased well-beingIncreased well-being Protect rightsProtect rights Recover dignityRecover dignity Reduced vulnerabilityReduced vulnerability Improved food securityImproved food security


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The Sustainable Livelihoods Framework

LIVELIHOOD

STRATEGIES

Combining:the assets they can accessTaking account of:the vulnerability contextSupported or obstructed by:policies, institutions and processes. leading to.....

Policiesof governmentof different levels of governmentof NGOsof interational bodies

Institutionspolitical, legislative & representative bodies -executive agencies -judicial bodies -civil society & membership organisations –NGOs -law, moneypolitical parties –commercial enterprises & corporations

Processesthe “rules of the game”decision-making processessocial norms & customsgender, caste, class,language

NS

FP

H

The Poor

Vulnerability

ContextShocks

SeasonalityTrends

Changes

influence

LIVELIHOODOUTCOMES

Poverty - a poor” livelihood outcome:based on a fragile or unbalanced set of livelihood assetsunable to sustain to shocks, changes or trends not supported, or actively obstructed by policies, nstitutions and processes that do not allow assets to be used as they mightlivehood options combined in a “bad” or unsustainable strategy


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LIVELIHOODOUTCOMES-More income-Increased well being-Reduced vulnerability-Improved food security-Use of NR base-Skill development

LIVELIHOODSTRATEGIES

- On-farm work- Off-farm work- Wage labour - Migration

InfluenceVULNERABILITYCONTEXT

Institutions- GO / NGOs bodies- Private Sector

-Policies-Planning approach

facilitating entitlement changers

Human

Physical Financial

Natural

Social

Processes

Livelihood Framework

Critical TrendsExternal ShocksSeasonality-land ownership-wage labor dependency-drought / water scarcity-land degradation-off-farm jobs-low technology-indebtedness-social insecurity-product prices fluctuation

Influence


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Expanding the asset baseExpanding the asset base

Human Capital

Natural Capital

Social Capital

Financial Capital

Physical

Capital


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Scoones


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ImplicationsImplications of of Livelihoods approachLivelihoods approach Livelihoods approach encourages thinking out of the Livelihoods approach encourages thinking out of the

‘box’ imposed by conventional development ‘box’ imposed by conventional development frameworks – which often identify a problem and frameworks – which often identify a problem and attempt to find a solutionattempt to find a solution

Forced to look at context & relationshipsForced to look at context & relationships

Vulnerability (inc. environment)Vulnerability (inc. environment)

Policies & InstitutionsPolicies & Institutions

Development initiatives becomeDevelopment initiatives become more more complex as a complex as a result and more process focusedresult and more process focused

Mosse notes that this identifies an important shift Mosse notes that this identifies an important shift away from the focus on project inputs and outputs and away from the focus on project inputs and outputs and the assumed mechanical link between themthe assumed mechanical link between them


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Implications for policy and practiceImplications for policy and practice

Scoones, Mearns and Bebbington identifyScoones, Mearns and Bebbington identify

The need for multiple entry points – to move beyond The need for multiple entry points – to move beyond a homogenous ‘community’ view and a narrow a homogenous ‘community’ view and a narrow sectoral perspectivesectoral perspective

The importance of understanding institutions - The importance of understanding institutions - mapping the institutional matrix, linking the micro to mapping the institutional matrix, linking the micro to the macro, the formal to informalthe macro, the formal to informal

The requirement for a new style of policy appraisal – The requirement for a new style of policy appraisal – moving beyond universalizing prescriptions to a moving beyond universalizing prescriptions to a more context-specific approach that allows more context-specific approach that allows alternative, local perspectives to be included in the alternative, local perspectives to be included in the policy process.policy process.


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Murray’s assessment of livelihoods approachMurray’s assessment of livelihoods approach

StrengthsStrengths WeaknessesWeaknessesIt seeks to understand changing combinations of modes of livelihood in a dynamic and historical context

Elements of the vulnerability context such as macro economic trends, inflation, civil conflict and mass redundancy are underplayed

It explicitly advocates a creative tension between different levels of analysis and emphasises the importance of micro macro linkages

There is an implicit assumption that people’s assets can be expanded in a generalised and incremental fashion

It acknowledges the need to move beyond discrete and narrow sectoral perspectives – urban and rural, industrial and agricultural, formal and informal and rather emphasises seeing the linkages between different sectors

Inequalities of power and conflicts of interest are not sufficiently acknowledged

It requires investigation of the relationships between different activities that constitute household livelihoods and in the process focuses attention on social relations within and between households

The notion of participation may disguise the fact that the enhancement of the livelihoods of one group may undermine those of another The continuing vagueness of the concept of livelihood sustainability and the criteria and means to measure this over time


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Social capital - issuesSocial capital - issues Much debate centers on the concept of social capital – one of the key terms in

the development lexicon and the missing link in development ‘the glue that holds society together’

Concept attributed to Putnam who identified three elements of social relations Interpersonal trust, networks and shared norms

Where these elements function well they enable people to act together more effectively, make decisions, formulate policy and gain access to power and resources

Proposed that the major obstacle of economic and social development in the ‘third world’ is ineffective institutions

For a discussion of social capital and associational life in S.Africa (See Tapscott: 2001)

Key critiques of Putnam’s approach are that it Devalues political civil society – concentrates on ‘apolitical’ institutions Romanticizes associational life Deterministic – “path dependent development” – you either have social

capital or you don’t. A repackaging of what social scientists have studied for years with new

terms For Harriss and Fine, social capital equals “Bankspeak”, a term designed to

neutralize and obscure problems and relations of powerCounterpointsCounterpoints Hilary argues that the concept of social capital exposes the limitations of Hilary argues that the concept of social capital exposes the limitations of

conventional economic approaches for understanding economic and social conventional economic approaches for understanding economic and social processesprocesses


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Applying an Assets / Vulnerability Framework Applying an Assets / Vulnerability Framework in urban settingin urban setting

Natu

ral

Natu

ral

Governance Actions Governance Actions Which May Enhance Which May Enhance Assets of the PoorAssets of the Poor Ensuring access to land Ensuring access to land which is affordable by the which is affordable by the poor and with sufficiently poor and with sufficiently secure tenure, both for secure tenure, both for residential use and for residential use and for economic activities. economic activities. Effective environmental Effective environmental controls on water and air controls on water and air pollution and waste pollution and waste disposal. disposal.

Governance Actions Which May Governance Actions Which May Increase Vulnerability of the PoorIncrease Vulnerability of the Poor

Zoning regulations and development Zoning regulations and development standards which prevent access by the standards which prevent access by the poor. poor.

Minimum plot size regulations and Minimum plot size regulations and construction standards which are construction standards which are unattainable by the poor. Forced unattainable by the poor. Forced relocation and clearance of informal relocation and clearance of informal housing areas. housing areas.

Upgrading projects which raise service Upgrading projects which raise service levels and security to the point where it levels and security to the point where it becomes attractive to higher income becomes attractive to higher income groups.groups.

Failing to control pollution and waste Failing to control pollution and waste disposal “upstream” of where the poor disposal “upstream” of where the poor live.live.

““Rent-seeking” by enforcement agencies Rent-seeking” by enforcement agencies on activities in poor areas such as waste on activities in poor areas such as waste sorting, pollution from economic and sorting, pollution from economic and domestic activities. domestic activities.

Restrictions on urban agricultureRestrictions on urban agriculture..


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Hu

man

Hu

man

Universal, quality (primary) Universal, quality (primary)

education. Ensuring equal education. Ensuring equal provision provision

for girls. Involving parents in the for girls. Involving parents in the

management of schools. Skills management of schools. Skills

training related to real skills needs training related to real skills needs of of

the poor. Accessible health carethe poor. Accessible health care

Food/nutrition support Food/nutrition support

programmes. Public works programmes. Public works

programmes that absorb surplus programmes that absorb surplus

labour (& increase skills) labour (& increase skills)

Imposing fees (official and Imposing fees (official and

unofficial) for primary unofficial) for primary

education.education.

Imposing fees (official and Imposing fees (official and

unofficial) for primary health unofficial) for primary health

care. care.


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Fin

an

cia

lFin

an

cia

l

Providing access to suitable Providing access to suitable

housing finance (e.g. housing finance (e.g. community community

mortgage)mortgage)

Providing access to micro Providing access to micro credit credit

for informal businesses.for informal businesses.

Provision of market facilities in Provision of market facilities in

suitable locations, with suitable locations, with provision provision

for small, informal sector for small, informal sector

businesses. businesses.

Refusing to recognise Refusing to recognise informal informal

housing areas or resolving housing areas or resolving tenure tenure

insecurities.insecurities.

Regulatory controls on Regulatory controls on informal informal

sector trading.sector trading.

Costly and cumbersome Costly and cumbersome licensing licensing

requirements for traders.requirements for traders.

Harassment of informal Harassment of informal sector sector

traders.traders.

Local taxes which impinge Local taxes which impinge on the on the

poor.poor.

Charges for services which Charges for services which are are

not related to ability to pay.not related to ability to pay.

Unofficial charges and Unofficial charges and demands demands

for bribes for bribes


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Ph

ysic

al

Ph

ysic

al

Providing access to safe, Providing access to safe, reliable reliable

water supplies, including water supplies, including community community

provision (e.g. communal taps).provision (e.g. communal taps).

Providing access to safe Providing access to safe sanitation sanitation

(including community (including community provision).provision).

Providing proper systems of Providing proper systems of waste waste

disposal (including community disposal (including community

provision).provision).

Providing all-weather Providing all-weather pedestrian pedestrian

access.access.

Providing vehicle access to Providing vehicle access to within within

reach of area where the poor reach of area where the poor live.live.

Providing drainage systems to Providing drainage systems to

prevent flooding.prevent flooding.

Provision of public space for Provision of public space for

economic and social activities economic and social activities in in

informal housing areas.informal housing areas.

Ensuring safe and reliable Ensuring safe and reliable public public

transport.transport.Ensuring availability of electricity supplies

Unsafe water which requires boiling, and unreliable supplies which require storage, queuing, collection at night. Enforcement action against illegal connections.Inadequate sanitation which creates environmental hazards and increases vulnerability of women.Inadequate waste disposal which creates environmental hazards. Privatisation which results in poor areas being excluded.Regulation of waste collection/sorting/recycling which reduces income earning opportunities for the poor and results in “rent-seeking” by enforcers.Provision of too high levels of vehicle access which make areas attract to higher income groups. Displacement of poor households as a result of upgrading.“Rent-seeking” by traffic police which increase costs of public transport without improving safety.Enforcement action against illegal connections


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Socia

l Politica

l

Helping to build community organisations among the poor.Ensuring safety / security / freedom from fear of crime in poor areas.

Accessible, ward-based Accessible, ward-based councillors councillors

who have influence.who have influence.

Mechanisms to make decision-Mechanisms to make decision-

making and resource allocation making and resource allocation

more accountable and more accountable and transparent.transparent.

Mechanisms for participation.Mechanisms for participation.

Responsive systems.Responsive systems.

Supporting collective action by Supporting collective action by the the

poor and enabling them to poor and enabling them to make make

demands demands

Creating dependence on external agents.Forced relocation (or relocation caused by pressure from higher income groups) which destroys informal networks.

Dependant relations with local politicians.Service / resource providers not subject to democratic accountability.Exclusion of certain groups.Co-option of leadership of community organizations


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How the SL framework can support project/program planningHow the SL framework can support project/program planning

Livelihood strategies

Helps to identify groups of poor people according to their main livelihood sources. Recognizes that households may pursue a range of different livelihood strategies.

Livelihood assets

Helps identify the principal assets needed to support different livelihoods. Looks beyond the normally considered assets such as land, water and forest, and includes economic assets such as

employment opportunities, and social assets such as informal safety

nets. Vulnerability context

Helps identify the main sources of vulnerability associated with certain livelihood strategies, which are not normally considered systematically in planning processes

Policies, institutions and processes

Helps to identify institutional and policy influences on poor people’s livelihoods. Draws attention to the issue of poor people’s access to the structures and processes that can help to transform their livelihoods.

Livelihood outcomes

Helps to ensure that linkages are made between the above elements and the achievement of positive livelihood outcomes.