Clark University Clark Digital Commons International Development, Community and Master’s Papers Environment (IDCE) 3-2016 How Endogeneity Matters in Framing Legalization: A Case Study of Urban Self Help Groups in Ethiopia Bisrat Kabeta [email protected] Follow this and additional works at: https://commons.clarku.edu/idce_masters_papers Part of the International and Area Studies Commons, Other Public Affairs, Public Policy and Public Administration Commons, Other Social and Behavioral Sciences Commons, Policy Design, Analysis, and Evaluation Commons, Public Policy Commons, Social Policy Commons, and the Urban Studies and Planning Commons Recommended Citation Kabeta, Bisrat, "How Endogeneity Matters in Framing Legalization: A Case Study of Urban Self Help Groups in Ethiopia" (2016). International Development, Community and Environment (IDCE). 50. https://commons.clarku.edu/idce_masters_papers/50 This Thesis is brought to you for free and open access by the Master’s Papers at Clark Digital Commons. It has been accepted for inclusion in International Development, Community and Environment (IDCE) by an authorized administrator of Clark Digital Commons. For more information, please contact [email protected], [email protected]. How Endogeneity Matters in Framing Legalization: A Case Study of Urban Self Help Groups in Ethiopia Thesis Presented in Partial Fulfillment of the Requirements for the Degree of Master of Arts in International Development and Social Change in the Department of International Development, Community, and Environment of Clark University By Bisrat L. Kabeta Primary Reader Professor Cynthia Caron Committee Members: Jude Fernando and Denise Humphreys Bebbington March 2016 HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION ACADEMIC HISTORY Bisrat Lemessa Kabeta, born November 23, 1981 BTh (Bachelor of Theology) in Community Development and Theology, Evangelical Theological College, Addis Ababa, Ethiopia (2007) BA in Organizational Management, International Leadership Institute, Addis Ababa, Ethiopia (2011) MA in Regional and Local Development Studies, Addis Ababa University, Addis Ababa, Ethiopia (2011) MA in International Development and Social Change, Clark University, Worcester, MA, USA (2016) Academic Connections: Course instructor in the Community Development Department at Evangelical Theological College, Addis Ababa (August 2009 – June 2013) Research Assistant for Strategic Initiatives in MDGs and Post-2015 Development Agenda, International Development, Community and Environment, Clark University (November 2014 – May 2016) ii HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION DEDICATION I dedicate this thesis work to my wife, Tsion Girma Mulat, who has been a constant voice of encouragement and support throughout my studies at Clark University, and my son, Christian Lemessa Bisrat, who let me use most of his time to work on the research rather than play with him. iii HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION ACKNOWLEDGEMENT First of all, I am grateful to God for giving me a purpose in life. Because of this purpose, I have been inspired and encouraged to go forward to the end in spite of the challenges I faced while conducting this research. Secondly, I would like to express my heartfelt gratitude to Professor Cynthia Caron, my advisor, for her consistent support through the thesis process. I know I would not have come this far had it not been for her advice and backing. Thirdly, I would like to thank Professor Jude Fernando and Professor Denise Humphreys Bebbington, my secondary readers, for their constructive feedback and direction. Finally, my thankfulness goes to all the professors at Clark University who shared their priceless knowledge and experience with me in classes and beyond. iv HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION TABLE OF CONTENTS LIST OF TABLES ..........................................................................................................viii TABLE OF FIGURES ...................................................................................................... x LIST OF ACCRONYMS ................................................................................................. xi ABSTRACT ..................................................................................................................... xii CHAPTER ONE: INTRODUCTION ............................................................................. 1 CHAPTER TWO: LITERATURE REVEW ................................................................ 10 EMERGENCE OF ENDOGENOUS DEVELOPMENT ...................................................... 10 CONCEPTS AND PRINICPLES OF ENDOGENOUS DEVELOPMENT ................... 11 DEBATES AND CONTROVERSIES ........................................................................................ 17 CHAPTER THREE: THE SELF HELP GROUP APPROACH IN ETHIOPIA ..... 19 FEATURES AND ORGANIZATIONAL STRUCTURES OF SHGS IN ETHIOPIA 19 EMERGENCE OF SHGS IN ETHIOPIA.................................................................................. 22 THE LEGAL CONTEXT OF SHGS IN ETHIOPIA ............................................................. 23 WHY ENDOGENEITY MATTERS FOR THE SHGS IN ETHIOPIA ........................... 27 CHAPTER FOUR: METHODOLOGY ........................................................................ 31 RESEARCH DESIGN ................................................................................................... 31 METHODS OF DATA COLLECTION AND PROTOCOLS ...................................... 35 SAMPLE AND SAMPLING PROCEDURES ............................................................. 36 v HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION DATA PROCESSING AND ANALYSIS .................................................................... 40 ETHICAL CONSIDERATIONS................................................................................... 42 CHAPTER FIVE: RESULTS AND DISCUSSIONS ................................................... 43 1) LOCAL INITIATIVE BASED ON LOCAL CRITERIA AND VALUES OF DEVELOPMENT .......................................................................................................... 43 2) HOLISTIC APPROACH TO ADDRESSING GROUP NEEDS ........................... 48 3) REVITALIZING TRADITIONAL KNOWLEDGE, EXPERIENCE, AND VALUES ........................................................................................................................ 51 4) BASED ON LOCAL RESOURCES ...................................................................... 58 5) DIRECTED TOWARDS BUILDING LOCAL CAPACITY ................................ 64 6) RETENTION OF BENEFITS IN THE LOCAL COMMUNITY .......................... 70 7) EXTERNAL SUPPORT COMPLEMENTS LOCAL KNOWLEDGE AND RESOURCES ................................................................................................................ 72 8) LOCAL DECISION-MAKING, GROUP LEADERSHIP, OWNERSHIP, AND CONTROL OF THE DEVELOPMENT PROCESS ..................................................... 78 9) RIGHTS-BASED AND EXERCISES EQUITY AND EQUAL PARTICIPATION 84 10) SUSTAINABILITY .............................................................................................. 88 CHAPTER SIX: CONCLUSION AND RECOMMENDATIONS ............................. 92 REFERENCE ................................................................................................................ 108 vi HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION ANNEX 1 – SAMPLE ORGAL RECRUITMENT SCRIPT FOR SURVEY – SHG LEADERS ...................................................................................................................... 114 ANNEX 2 - SAMPLE INFORMED CONSENT – QUESTIONNAIRE – SHG LEADER ......................................................................................................................... 115 ANNEX 3 – QEUSTIONNAIRE FOR SHG LEADERS ........................................... 119 ANNEX 4 – SAMPLE INTERVIEW QUESTIONS FOR SHG MEMBERS ......... 128 ANNEX 5 – SAMPLE FGD QUESTIONS FOR CLA LEADERS ........................... 129 ANNEX 6 – SAMPLE FGD QUESTIONS FOR FLA LEADERS ........................... 130 ANNEX 7 – SAMPLE INTERVIEW QUESTIONS FOR SHG FACILITATORS/COMMUNITY WORKERS ......................................................... 131 ANNEX 8 – SAMPLE INTERVIEW QUESTIONS FOR PROJECT COORDINATORS/MANAGERS ................................................................................ 132 ANNEX 9 – SAMPLE INTERVIEW QUESTIONS FOR GOVERNMENT OFFICERS ..................................................................................................................... 133 vii HOW ENDOGENEITY MATTERS IN FRAMING LEGALIZATION LIST OF TABLES Table 1. Comparisons among cooperative societies, MSEs, and SHGs regarding selected features……………………………………………….………………………. 22 Table 2. Structure of variables and focus of questions…………………………………. 30 Table 3. Sample and sampling techniques used in the study………………………….... 34 Table 4. SHG Members’ perception of the SHG process as a local initiative………….. 39 Table 5. SHG’s experience of identifying and prioritizing development needs and setting group goals based on their own criteria and values……………………........... 39 Table 6. SHG members’ perceptions of the levels of involvement of the key stakeholders in the processes of identifying and prioritizing needs and setting goals…...…. 40 Table 7. SHGs’ experience of identifying at least one goal in each of the five categories of holistic development goals……………………………………………….... 43 Table 8. Similarity of the SHG concepts, structures and processes