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Social exclusion and Africa south of the Sahara: A review of the literature Charles Gore

International Institute for Labour Studies Discussion Paper. TABLE OF CONTENTS Introduction Chapter 1. Concepts of Exclusion 1.1 Structures of Exclusion in Post-colonial Africa: Three Models 1.2 Alternative Conceptions of Processes of Exclusion 1.3 Trajectories of Exclusion 1.4 Paradoxes of the Normativity of Exclusion Chapter 2. Exclusion from Agricultural Land 2.1 Modes of Access to Agricultural Land 2.2 Processes of Exclusion: Land Scarcity, Landlessness, and Land Poverty 2.3 Legal Entitlements and the Exclusion of Women 2.4 Pastoralists and Indigenous Peoples Chapter 3. Exclusion from Agricultural Livelihood 3.1 Access to "Modern" Inputs 3.2 Land Degradation and Exclusion 3.3 The Importance of Access to Off-farm Income 3.4 Female-headed Households Chapter 4. Exclusion from Formal and Informal Employment 4.1 Patterns of Labour Absorption 4.2 Poverty, Education and Job Access - Formal Sector 4.3 Poverty, Education and Job Access - Informal Sector 4.4 Job Access and Social Identity - Gender 4.5 Job Access and Social Identity - Ethnic Identity 4.6 Job Access and Social Identity - International Migrant Workers Chapter 5. Exclusion from Organization and Representation 5.1 Corporatism, Clientalism and Exclusion 5.2 Ethnic Identity 5.3 Women 5.4 Refugees and Internally displaced Persons Chapter 6. Conclusions Bibliography


The UNDP and IILS have recently initiated a project on "Patterns and causes of social exclusion and the design of policies to promote integration". The project is intended "to lead to increased understanding of the factors causing individuals and groups to be excluded from the goods, services, rights, and activities which, in any given society, form the basis for citizenship". As a first step, regional reviews of the literature on social exclusion are being conducted. The terms of reference establish a structure for these review in four areas as follows: "(i) Concepts of exclusion and how they have been applied; (ii) The extent and pattern of exclusion; the main dimensions, the groups concerned and the social and economic mechanisms at work; (iii) The interaction between dimensions of exclusion; (iv) Policies to combat exclusion; their effectiveness - including the roles of legislation, of social and economic interventions aimed at particular target groups, of aggregate economic policy." In line with the guidelines, the aim of these bibliographic reviews "will be not only to identify the issues raised in the literature, but also to highlight gaps and promising research avenues, and to evaluate the usefulness of the notion of exclusion for analysis and policy in differing social and economic contexts. Since the issue of exclusion has been addressed mainly in the European literature, the viability of the concept in low income contexts requires particular investigation". Also, in limiting the subject, priority should be given to: "access to and exclusion from the labour market and employment, access to productive assets and systems of social insurance (formal and informal); provision of public goods (notably including education and health systems); systems of organization and representation". The present paper is a review for sub-Saharan Africa. The review examines the English-language literature and focuses on four important dimensions of exclusion: (i) exclusion from agricultural land; (ii) exclusion from agricultural livelihood; (iii) exclusion from formal and informal employment;

(iv) exclusion from organization and representation. Material on apartheid South Africa has not been tackled, though the difference between the structure of exclusion there and in the rest of sub-Saharan Africa is addressed in section 1. The review includes material on both Anglophone and Francophone Africa, but is biassed towards the former. Patterns and processes of exclusion from education and health services, and from social security, needs to be integrated into the account in order to provide a synthesis of the overall structure of exclusion, and its trajectory. This was not done owing to lack of time, though some findings on these aspects of exclusion are integrated into the account, where they impinge on the selected dimensions. The paper is organized in six sections. The first section discusses concepts of exclusion. The main body of the review examines the four dimensions of exclusion listed above. In each of the sections, material is selected to exemplify different analytical positions, and the review is not intended to be exhaustive. In each section, attention is paid to processes of exclusion, and to ethnicity and gender as social identities which form the basis for exclusionary practices. The final section identifies considers the trajectory of exclusion in terms of changing interrelationships between the dimensions. The discussions on the four dimensions of exclusion include some comments on policies to combat social exclusion, but no attempt is made to provide an overview of policies. There are important, relevant and complex debates proceeding in relation to a number of key policy issues, including land reform (through the introduction of individual titles to land); democracy; gender; and dismantling apartheid.

Chapter 1: CONCEPTS OF EXCLUSION In recent years notions of social exclusion have been increasingly used in discussions of poverty, inequality and justice. This is apparent in both political philosophy and sociology. In the former domain, Michael Walzer (1983) has argued that concepts of distributive justice assume (usually silently) the existence of a community within which rights are held and goods shared. Logically the rights to membership of a group is thus the most basic right, which depends on the admission policies (exclusionary and inclusionary practices) of the group. More critically, it has been suggested that liberalism, which is supposedly founded on ideas of equal treatment and universality, has, inherent within its foundations, exclusionary, discriminatory practices (see Mehta 1993). Pateman's discussion of the gender biases of classic and modern liberal texts powerfully illustrates this point (Pateman 1988).

Within sociology, processes of exclusion have been used to understand on-going changes in (post-)industrial societies (see Silver 1992). In North America, Myrdal's concept of the "underclass", defined as "an unprivileged class of unemployed, unemployables and underemployed who are more and more hopelessly set apart from the nation at large and do not share in its life, its ambitions and its achievements" (Myrdal 1962:10), has received renewed attention through the work of Wilson. In France, debates surrounding citizenship, nationality, racism and immigration have focussed on the bases of entitlement to rights in the modern State. "L'exclusion sociale" has become a major political problem, and paralleling Walzer's discussion, the national construction of rights has been questioned. M. Silverman (1991:333-4) has argued that: "The demands for a new citizenship based on residence rather than nationality and allowing for a pluralism of identifications rather than symbolic allegiance to a monolithic national identity, today constitute the basis for a re-definition of the social contract for the modern era". Various features of the situation in sub-Saharan Africa, and of the literature seeking to understand it, render the application of concepts of exclusion fashioned in North America and Western Europe problematic. Firstly, poverty is a mass phenomenon in SSA and not confined to a minority. If "the excluded" is simply used as a synonym for the poor, or those outside the formal economy, the majority in SSA are "excluded". Secondly, States in Africa do not conform to the rational-legal ideal type which (supposedly) has universalistic standards of provision for national citizens. Some authors go as far as to suggest that African States are "States without citizens" or "States without frontiers" (Ayoade 1988; Herbst 1990). This is an exaggeration, but it identifies a tendency. Thirdly, the dominant analytical concepts which have been used to understand what is happening in Africa have been diametrically opposed to any notion of exclusion. In the immediate post-colonial period, key words were national integration and commercial (capitalist) penetration. Some dualist models posited the existence of an excluded sector (traditional, subsistence). But historical research challenged this view effectively and the conventional wisdom which had emerged by the first half of the 1970s was that individuals and communities in Africa had been incorporated into the broader economy and society and that what was problematical was their terms of incorporation. Since the late 1970s, with spiralling crises, key words have been "disengagement" and "withdrawal". People are not suffering from poverty owing to exclusion. Rather they are excluding themselves from the wider economy and society, and from the burdensome and unequal obligations of citizenship, in order to survive (see Rothchild and Chazan 1988). Against this background, it is not surprising that applications of recent concepts of exclusion, such as "underclass" or "l'exclusion sociale", have been limited. In the English-language literature on Africa, there are scattered references to the

existence of an "underclass", but the concept is not analytically specified. There are also passing references to African States being an "underclass of States in the global economic and political system", and the continent being a globally excluded "underworld". Leaving aside material on apartheid South Africa, the literature search on which this review is based found only one analytical application of the ideas from the French literature on nationality and citizenship (Gaidzanwa 1993). However, this does not mean that the issue of exclusion is not considered in the literature on Africa. Predating the recent interest in social exclusion, there is a small literature which focuses on the concept of the "stranger" in precolonial, colonial and post-colonial African society, and which examines, in particular how this concept changed with the creation of the status of "national citizen" at Independence. This literature developed in the immediate postcolonial period, and a central concern was to understand the dynamics behind the expulsion of "aliens", African and Asian non-nationals, from a number of newly independent countries (see Skinner 1963; Peil 1971; Fortes 1975; and Shack and Skinner 1979). Interestingly, Balibar and Wallerstein (1991) include an early contribution of Wallerstein (1972), which discusses this theme, in their recent collection of essays on race, nation, and class which is part of the debate on "l'exclusion sociale". There is also a small literature from the immediate post-colonial period which focuses on the dynamics of incorporation of different ethnic groups, who had been arbitrarily joined together in the territories of colonial States, into nation-States (see, for example, Cohen and Middleton 1969). An important analytical apparatus put forward to understand this process focussed on the concepts of the "plural society" and "structural pluralism" (Kuper and Smith 1969). Social exclusion is a central feature of this analytical apparatus. Finally there is a voluminous and scattered literature which examines the relationship between social identity and entitlement to resources and other social goods. It is this body of literature, including material on strangers, which is the subject of this literature review. 1.1 Structures of Exclusion in Post-Colonial Africa: Three Models In thinking about concepts of exclusion in this literature, it may be useful to begin with a discussion of the structure of exclusion, in the sense of an overall order of social relations, which this literature suggests. In the colonial period, all the African population were politically and economically excluded in a variety of ways. In the British colonies, they were categorically treated as "subjects" rather than "citizens", whilst in French colonies, they could progress from the status of "indigne" towards citizenship

through the assimilation of French culture and civilization (?check). A major aim of African nationalism was to end this exclusion. The nationalist movements had a particular ideology and identity. According to Mazrui (1967), "the central concept in African nationalist thought is not so much self-determination as self-government, i.e. not simply the desire for the right to choose who to be ruled by, but rather the right to self-rule rather than rule by foreigners. This concept, Mazrui argues, rests on a principle of "racial sovereignty", which meant that government should be "representative" not merely in the liberal sense of institutional accountability, but also in the sense of being ethnically "typical". "in the history of colonial liberation movements it was more often the ethnic conception of 'majority rule', rather than the orthodox liberal one, which had pride of place in African nationalistic thought" (Mazrui 1967:23). Citizenship laws which were put in place at Independence reflect these ideas, and although there is a general absence of antiwhite racism, formerly dominant groups, Europeans, Asians and Lebanese, were excluded, or, as in the case of the Ugandan Asians, excluded themselves by choice. The citizenship laws are complex, but in former British colonies, they are said to have two key characteristics: One is that, in a number of countries, including Nigeria, Uganda, and Zambia, birth within the borders of the national territory is not enough to guarantee citizenship; a parent or grandparent must either be a citizen (Uganda), an established resident (Zambia), or member of an 'indigenous community'. In Zambia, moreover, only the father qualifies, not a mother or grandparent. Such a parent/grandparent condition disqualifies, for example, people of Ghanaian parentage born in Nigeria.People of Asian, Lebanese, or European descent are also prevented by these clauses from acquiring citizenship, especially if such non-Negroid people are not deemed to be members of and 'indigenous community'. In Sierra Leone, requirements that citizens be of negro African 'descent remove the right of citizenship from any of it Lebanese inhabitants, eve if they, their parents and grandparents were born in the country.... Stringent qualifications are also put on the right to naturalization in Commonwealth Africa. In an individual can be naturalized only if he is 'acceptable to the local community in which he is to live permanently and has been assimilated into the way of life of Nigerians in that part of the Federation' ... In Sierra Leone, the 'anti- discrimination' clause in the constitution does not protect naturalized citizens. In Ghana, Nigeria, and Uganda, naturalized citizens may be deprived of their citizenship rights (Howard 1986:100101). A key question is: What is the structure of exclusion in postcolonial Africa? Given their citizenship laws, one possible model for the structure of exclusion is the nationalist one, in which rights are attached to citizenship and

citizenship to nationality. A central axis of the structure of exclusion in this order of social relations is, as the French literature is pointing out, the status differentiation between national citizens and those who are alien both in the sense of being born outside the national frontiers and of being foreign to the body of the nation. One might discern variations in the theme, based on different classes of alien (e.g. helots, denizens), or on the concept of nationhood (e.g. social contract, community bound by blood ties). But it is debatable whether this model applies in Africa. Although, as the literature on "strangers" indicates, nationality can be a salient identity, rights based on nationality are weak and the formal equality of citizens is even more tenuous than in Western Europe and North America. If one examines access to land resources, customary law is still important and notions of local citizenship affect how social identities regulate access. The nationalization of land has served as basis for localized appropriation of land and its allocation to a select few. If one examines access to employment, it is apparent that indigenization decrees and alien expulsion orders affect opportunities in labour markets. But the main source of employment outside agriculture is in the informal sector. With regard to education, whose provision is usually closely related to citizenship, both the quality and also quantity of service have been declining in the 1980s, from levels already very low by international standards. The gross enrolment ratio at the primary school level, for example, decreased from 80 to 75 from 1980-87. There are no national systems of social security. A major mode of political representation is access to persons in state offices through clientalistic networks. A second possible model of the structure of exclusion is "structural pluralism", a concept elaborated to understand African society. Smith (1969:430) defines this order of social relations as follows: Structural pluralism consists in the differential incorporation of social aggregates into a common political society. This differential incorporation may be formal and explicit, under the law and constitution, or it may prevail substantively despite them, as for example, among the American Negroes. The system of differential incorporation may institute a total disenfranchisement of a particular section by withholding citizenship from its members, as fro example in South Africa or in seventeenth century France. Alternatively, however variable the system may be in its specific conditions and properties, the collective character and scope of its substantive differentiations, must be sufficiently rigorous and pervasive to establish an effective order of corporate inequalities and subordination by the differential distribution of civil and political rights and the economic, social, and other opportunities that these permit or enjoin. Kuper (1969) clarifies this idea by suggesting that individuals can be incorporated into political structures on either universalist terms (directly, on

identical terms, as citizens), or on particularistic terms (in which individuals are incorporated indirectly through their membership of particular corporate sections - basically racial or ethnic group). In particularistic structures, different groups may be incorporated on equal terms, or unequally. The latter situation is "differential incorporation", a situation of "structural pluralism". In this situation, "Society is constituted as an order of structurally unequal, exclusive, corporate sections" (Kuper 1969:473). The situation of structural pluralism corresponds to an order of social relations which in literature on other continents is described as "internal colonialism". In such a situation, exclusionary practices are directed at both members of the society (according to the corporate section to which they belong), and also those from outside national frontiers. Significantly the latter category of exclusion may be less significant than in the case of the nation-state, as illustrated by some of the policies of colonial States to migrant workers. Hilda Kuper (1969) captures the essence of structural pluralism when she writes: Pluralism in the broadest interpretation is a series of confrontations between people perceived (and perhaps perceiving themselves) as strangers. the confrontations may be hostile or friendly, and the label "strangers" has, in English, a wide range of conceptual refinements with guests at one end and enemies at the other ... The socially effective definition of "strangers" is made by an in-group that has assumed the right to exclude. in the political context the in-group is the ruling group which regulates classification and incorporation (p.249). Structural pluralism was put forward as a refinement of Furnivall's concept of the plural society which was originally devised to analyze multi-ethnic societies under colonial rule. It is certainly applicable to examining the colonial situation, though the somewhat abstract language of the literature is rather obscuring. It is also applicable to the situation in apartheid South Africa, and Ashforth (1990) brilliantly describes how the exclusion of Africans from full citizenship and participation within the central institutions of political power was rationalized in the official discourse of that State. It may also be applicable to a few States where state power is in the hands of specific ethnic or ethno-regional communities - Rwanda, Burundi and Sudan. But although it exists as an ever-present possibility, it does not correspond to the situation in most African States. Another model of the structure of exclusion is thus required. A critical issue is to understand the structure of exclusion in a situation where rights and obligations have not been nationalized. An interesting line of argument, which focuses on the relations between citizenship, ethnicity, and the nation-state, is opened up by Ekeh, who is one of the persons who is rehabilitating notions of "tribe" and "tribalism" in

scholarly analysis. Ekeh (1975) argues that "there are two public realms in postcolonial Africa, with different types of moral linkages to the private realm" (p.92). These two realms are described as the "primordial public" realm, "which is closely identified with primordial groupings, sentiments and activities" (ethnic group), and the "civic public" realm, "which is historically associated with the colonial administration and which has become identified with popular politics... [and] is based on civil structures: the military, the civil service,the police, etc." (p.92). African politics reflects the fact that: The primordial public is moral and operates on the same moral imperatives as the private realm ... the civic public in Africa is amoral and lacks the generalized moral imperatives operative in the private and in the primordial realm (p.92). Ekeh goes on to suggest that the existence of the two public realms implies that African conceptions of citizenship differ from Western conceptions. "Citizenship", he writes, "has acquired a variety of meanings, which depend on whether it is conceived in terms of the primordial public or the civic public" (p.106). In the primordial public realm, "the individual sees his duties as moral obligations to benefit and sustain a primordial public of which he is a member ... He gains back intangible, immaterial bene-fits in the form of identity or psychological security" (p.1067). By contrast, in the civic public realm, the individual seeks to gain in material terms, and "Duties ... are de-emphasized while rights are squeezed out of the civic public with the amorality of an artful dodger" (p.107). "Most educated Africans are citizens of the two publics in the same society", and they are a faced with particular dilemmas by the "dialectic tensions and confrontations between these two publics" which, for Ekeh, "constitute the uniqueness of modern African politics". "The unwritten law of the dialectics is that it is legitimate to rob the civic public in order to strengthen the primordial public" (p.108). Ekeh's analysis of the morality of ethnicity is echoed in another, independent analysis which, in contrast to Ekeh's view of the primordial nature of ethnic affiliation, emphasizes its situational nature (Lonsdale 1986; 1992). Lonsdale (1986) writes: In modern Africa ... small political communities with long histories have been engulfed, by conquest, in larger states without memories. But states have some moral force in the modern world and some international standing; they are licensed to use violence against their citizens and to incur debts. Ethnic groups are allowed none of these strengths. Ethnic politics is stigmatized as tribalism...We must recognize first that all political communities are invented, whether tribes or nations. But some are more outrageous inventions than others. In Africa today invented tribes intertwine with still more imaginary nations. Each a moral construct on its own, their conjunction provides the tragic opportunity for political responsibility (p.141).

Moreover, he goes on to suggest, in an original formulation which he develops at length in an analysis of wealth, poverty and civic virtue in Kikuyu political thought, that the impetus behind political tribalism in modern Africa has been class formation. As he puts it, Found in all economic relations, conflicts over class rarely assume the simple adversarial form we have been taught to expect. The real issue is citizenship: how, within the most pressing community of reputation, civic rights and distributive justice, one may gain or retain the status of moral agent, neither an anti-social swindler on the make nor slavish instrument of stranger men's wills (Lonsdale 1992:352). The realm of citizenship in which the morality of new forms of social inequality were tested was the "tribe", and in this framework, upwardly mobile persons took on "the duties of patronage", and sought "to justify themselves and become responsible again" "by creating communities in which they had a moral standing and beyond which they acted as brokers of political alliance within the new arena of the state" (Lonsdale 1986: 143) Ekeh's and Lonsdale's insightful analyses offer one approach to understanding citizenship in Africa and for considering the structure of exclusion. However, I would suggest that this approach overemphasizes the ethnic aspect of inclusionary and exclusionary practices. Instead it may be better to regard the structure of exclusion in Africa to be characterized by multiple sites of inclusion/exclusion. These are based on membership of a variety of shifting groups, categories, and networks. Moreover the institutions in which rules defining exclusionary and inclusionary practices, and sanctions through they are enforced are at different levels, with the key institutions being the household, the local State, the national State and various international regimes (for example, on food aid, refugees, and all aspects of public policy affected by structural adjustment policies). This third model of the structure of exclusion may have some features of equal national citizenship and some features of structural pluralism. But ultimately this structure of exclusion is different in that hegemony, in the sense of "a relatively stable balance of forces between different dominant groups"; "the arrangement of relationships between this dominant class and the mass of the population";"the ordering or relationships between this dominant class and western economic and political power"; and "the elaboration of an ethnic or common feeling which gives its coherence to the whole and which cements the new system of social inequality and domination, while camouflaging it at the same time", has not been achieved in the national framework fixed by the colonizer and carried on after Independence. Such hegemony, which I have defined using words of Bayart, is a necessary condition for the structure of

exclusion in either the national/non-national, or the dominant/dominated corporate group, orderings of social relations. The relevance of this third structure of exclusion, and also its precise analytical outlines, can be developed through closer attention to the scattered literature which the body of this review covers. A possible distinction which may emerge within this model is between patterns of social exclusion in situations where hegemonic vacancy is manifested in violent civil disorder ("warlordism"), and patterns of social exclusion in situations where civil order is maintained but relations between dominant groups are unstable. For the moment it may be said that the scattered nature of the literature probably accurately reflects the existing structure of exclusion. 1.2 Alternative Conceptions of Processes of Exclusion A closer look at this scattered literature suggests that a key problematic of this material is analysis of: i) the ways in which membership and status within various corporate groups and networks is related to social identity (e.g. gender, ethnicity, age, place of birth); ii) the ways in which access to resources and other social goods is affected by membership and status within groups and networks (e.g. access to village land, ethnic segmentation in control of trade in particular commodities); iii) the ways in which changes in the economy and polity (including, for example, increasing resource scarcity and increasing commoditization) affect the content of rules of membership and rules of resource allocation within groups and networks, and also influence the ways in which identities and rules are negotiated; and iv) the consequences of all these relationships for the subordinate groups who are denied access to particular resources and social goods, for the dominant groups who restrict access to a particular group of eligibles, and for the economy as a whole. In short, the relationship between social identity and entitlement to resources and other social goods is a central issue in this literature. There is also a concern for the way in which exclusion is related to poverty, both in terms of the way that lack of entitlement engenders poverty, and the way that poverty can lead to lack of entitlement. And, following from this, the interrelationship between poverty and social identity in determining access to, and exclusion from, resources, activities and goods and services is a vital question.

National citizenship is one of the identities affecting entitlement, and it is considered in studies of refugees and international migrant workers in particular. But the literature also includes concepts of citizenship which are not linked to the national State, and it considers a range of other group memberships and social identities in terms of the way they affect entitlements. These include: race, ethnicity, gender, livelihood, religion, age, language, place of origin, region, target-group status. The key motors within the literature, in terms of social identities, have been analyses of ethnicity, particularly in relation to the State, and analyses of gender relations and the position of women, particularly in relation to access to land, and control of labour resources. Less important, though significant foci of attention have been on: pastoralists, huntergatherers, migrant workers, "strangers", refugees, and (of emerging interest) officially designated target groups. The literature is scattered partly because different authors tend to focus upon specific social identities amongst the eleven noted above. It is also scattered because different authors focus on entitlement to specific resources or other social goods, and there is very little work which seeks to assess common processes (Elliott, 1975, is an exception). The resources and goods examined include: land, labour, wage employment, informal sector employment, credit, inputs, education, health, social security, development projects, administrative positions, political representation, and political power. With regard to processes of exclusion (the social and economic mechanisms at work), the literature is characterized by a major divide. Some authors have focussed on the practices by which privileged/powerful groups to seek maximize economic advantage by excluding others from resources and opportunities. Other authors have focussed on the situation of marginalised/weak groups, indicating the negative consequences for them of exclusion from resources. An interesting example of this bifurcation is the literature on the informal sector. Much of it is concerned with poverty, survival strategies, and ways of increasing productivity and remuneration in marginal jobs. But since the 1980s, another second strand of literature has emerged which focuses on informal activities, such as political corruption smuggling, bribery, theft, and speculation, which offer major possibilities for capital accumulation for politically well-connected people (see MacGaffey 1983; Roitman 1990). An important conception of processes of exclusion which is used in the literature on the practices of rich groups is the Weberian notion of "social closure", which may be defined as "the process by which social collectivities seek to maximize rewards by restricting access to a limited circle of eligibles" (Parkin 1979:44). This process aims to monopolize specific, usually economic

opportunities, and usually entails "the singling out of certain social or physical attributes [e.g. race, language, social origin, religion] as the justificatory basis of exclusion" (p.44). As a process, social closure 'lis a form of collective social action which, intentional or otherwise, gives rise to a social category of ineligibles or outsiders" (p.44). The best examples of this types of analysis of exclusion in the African literature is the work of Abner Cohen (1969; 1981) The literature on marginalised/weak groups tends to see processes of exclusion in terms of constraints on access to key assets, resources, and other social goods. In analyses with an historical perspective, a pattern of social differentiation at a particular point in time may be analyzed in terms of paths of upward mobility. Excluded groups are those "left behind" as others improve their position. A further distinction in the literature with regard to conceptions of processes of exclusion is that processes of exclusion are seen both in terms of international/national social relations and national/local social relations. Perhaps oversimplifying, it is thus possible to see a conceptual map of the scattered literature as follows. Exclusionary practices in international relations are described and analyzed both in material on the ways that powerful elites have monopolized resources through excluding foreign ownership in key sectors of the economy (indigenization decrees), and also in material on the restricted rights and periodic expulsions of international migrant workers. Similarly the literature on exclusionary practices amongst nationals within countries includes both material on the ways in which bureaucratic or business elites monopolize opportunities through the manipulation of identity, and literature on the multiple disadvantages of particular marginal groups - "women", "femaleheaded household", "pastoralists", "huntergatherers" (indigenous peoples), "internally-displaced", "the rural poor", and, most broadly, "minorities at risk". Exclusion and Elite Formation International * Indigenization * Gatekeeping * Migrant workers National * Long-distance traders * Administrative Exclusion and Marginalization * SSA as a global ghetto * Refugees * Aliens * Women * Female-headed households

elites * Urban landlords

* Pastoralists * Hunter-gatherers * Internally-displaced * Rural poor * Minorities

This classification of the literature differentiates separate views of the processes of exclusion within the general perspective on social exclusion which relates social identity to entitlements. It locates the notion of exclusion linked to citizenship rights, immigration and racism which is being elaborated in Western Europe within a wider field. It points towards the idea that subSaharan Africa is becoming marginalized in international relations and that States in the region have been defined as a "global underclass" within the international system (a form of exclusion which I think may become increasingly important, though I do not intend to explore it in the literature review). It also indicates disadvantaged groups which are discussed in the literature. The most important point of the classification is, however, that it suggests that an important aspect of the processes of exclusion has been poorly developed. This is analysis of the links between the exclusionary practices of the powerful and the situation of the excluded. That is to say, there is a divide in the literature between material focussing on elites and the rich, and materials focussing on marginals and the poor. Yet processes of social exclusion involve both groups, or, more strictly, multiple sets of the more and the less powerful. One study which bridges this divide is an analysis of patterns of poverty based on data from 11 "Third World" countries, including seven in Africa south of the Sahara (Elliott 1975). Elliott explains patterns of poverty as the result of processes of upward and downward mobility to particular positions in society, which are more or less remunerative and rewarding. The rewards of different positions in society are a function of society-wide systems for allocating resources to, and extracting resources from, those positions. Everyone is seeking to achieve upward mobility to more remunerative positions, but access is very competitive and the process of selection are "biased in favour of selected groups (or succeeding generations of selected groups" (p.11). Elliott's analysis of poverty focuses on patterns of access and exclusion in these terms. He argues that:

... both exclusion and downward mobility, which are no more than the processes of relative and absolute impoverishment, are most frequently the reverse image of the enrichment of another group. This may result from direct personal confrontation between individuals with differing bargaining skills and power ( as, for instance, in village monopoly/ monopsony situations), or it may result from structural biases that are introduced and maintained in order to serve a particular common interest of a specific group that has power to impose its own set of preferences upon that structure. Examples of the later would be the education system, the distribution of credit, wage policy, and many aspects of economic policy (p.10). Moreover he emphasizes that "even the most biassed processes of selection are not entirely closed" (p.11). Some upward mobility is necessary to preserve confidence and legitimacy in the system, and so the exclusion of disfavoured groups cannot be total. As well as Elliott's work, the literature contains some conceptual and methodological insights for linking the exclusionary practices of the powerful with the situation of the excluded and avoiding a one-sided view of processes of social exclusion. An important model is the shift made by feminist theorists from a focus on "women" to a focus on gender relations. Within the Weberian model of social closure, closure strategies of the more powerful are accompanied by countervailing action from excluded groups who seek to break down the monopoly of resources which has been established. This process is described as "usurpation". Also, a particularly important conceptual insight is provided by Bayart (1993) who examines modes of "government" in Africa not in a state-centric sense, but rather in the Foucauldian sense that "to govern" is "to structure the possible field of action of others". This idea of "government" gets to the heart of the process of social exclusion in Africa (and elsewhere). Exclusion is not something which "just happens". It is a practice of more powerful groups. Moreover, being denied access to particular resources does not completely block any possibility of agency on the part of excluded groups. Rather exclusion structures their field of action. From this perspective, social exclusion is precisely a practice of the more powerful which structures the possible field of action of the less powerful. An old example of this type of analysis, which is placed within the more specific analytical framework of primitive accumulation, is Arrighi's account of labour supplies in colonial Rhodesia. This links the exclusion of Africans from land resources by white European settlers to processes of exploitation, and sees labour supplies as the outcome of a long history of responses to exclusion, a history in which options and opportunities are increasingly narrowed (Arrighi 1970). A key methodological insight in the literature, suggesting a way to avoid onesided analysis, is that processes of social exclusion can be usefully analyzed not through a concentration on the victims of exclusion, but rather through a focus on social institutions. As Sally Falk Moore indicates (with her concept of the semi-autonomous social field) institutions through which rules of entitlement

are negotiated include both networks and corporate groups (Moore 1983). Negotiated social identities are involved in both membership of groups and networks, and entitlements within them. Institutions which are important foci of attention in the literature are the household, the State, the village as a corporate land-holding group, and clientalist networks which permeate both bureaucratic and market relations. 1.3 Trajectories of Exclusion In understanding the structure of exclusion, exclusionary practices, and responses to exclusion in Africa, an important tenet for analysis is that the situation is in flux. An important question is the trajectory (or trajectories) of various African societies in terms of social exclusion. One possible approach would be to say that in Africa the historical trajectory is towards the nationalization of rights (i.e. their association with nationality). This evolution would follow the pattern observed in some industrialized countries (see M. Silverman 1992). This may well be happening (see section 4.6). But there is danger in seeing what is happening in Africa in terms of its degree of correspondence and deviation from ideal-typical Western models. The trajectories of exclusion must be understood in relation to the historicity of African societies, in terms of the strategies and practices of Africans themselves and the logics of their actions. In this regard Bayart's insights are again helpful and provocative. He identifies a key to understanding political action (in the widest sense) in Africa as "the quest for hegemony". Moreover he suggests, with great originality, that the formation of a stable balance of forces between dominant groups, is occurring not at the national level, but rather at a continental scale. One aspect of the trajectory of exclusion is changes in the dominance of, and also interrelationship between, different dimensions of exclusion. An important thesis which bears on this issue is found in Iliffe's analysis of the history of the African poor (Iliffe 1987). Iliffe argues that "two levels of want have existed in Africa for several centuries" (p.2). These levels are "the poor" - "the very large numbers - perhaps most Africans at most times - obliged to struggle continuously to preserve themselves and their dependents from physical want"; and "the very poor or destitute" - 'smaller numbers who have permanently or temporarily failed in that struggle and have fallen into physical want" (p.2). His history focusses on the latter level of poverty, and argues that in explaining the situation of the very poor, it is necessary to examine both the "long-term poverty of individuals due to personal and social circumstances" ("structural poverty") and the

"temporary poverty in which ordinarily self-sufficient people may be thrown in crisis" ("conjunctural poverty") (p.4). Using this logical framework, Iliffe puts forward two basic theses on the changing nature of poverty in Africa. The first thesis is that conjunctural poverty (which is most dramatically evident in periodic droughts and famines) has changed its nature more than structural poverty in the twentieth century. His second thesis is that with regard to structural poverty, the continent is going through a transition, which has already taken place in Europe and many parts of Asia, from "land-rich poverty to landscarce poverty" (p.5). As he puts it: In land-rich societies the very poor are characteristically those who lack access to the labour needed to exploit land both their own labour (perhaps because they are incapacitated, elderly, or young) and the labour of others (because they are bereft of family or other support). In land-scarce societies the very poor continue to include such people, but also include those among the ablebodied who lack access to land (or other resources) and are unable to sell their labour-power at a price sufficient to meet their needs. (p.4) He argues that southern Africa has, in the second part of the twentieth century, been making the transition from a land-rich society to a land-scarce society. The rest of Africa, he implies, is likely to do so in the future. This thesis is of great relevance to the trajectory of patterns and processes of social exclusion in Africa. But the present review of the literature suggests that access to agricultural land is not a sufficient condition for access to agricultural livelihood, and important interrelationships between agricultural livelihood and livelihood in other sectors of the economy. Whatever the merits of Iliffe's thesis, synthesis of the scattered literature on access to resources and other social goods suggests that poverty is becoming more and more closely linked to exclusion. A further key aspect of the trajectory of change could well be change in the relative importance of, and interrelationship between, social identity and poverty as determinants of exclusion. 1.4 Paradoxes of the Normativity of Exclusion Wolfe (1993) refers to the paradoxes of social exclusion. At least two paradoxes are evident in the literature. The first is what may be termed the ambivalence of exclusion. This arises because of the way that inclusion is related to exploitation. An example of this is found in the work of Berry, who, in a series of publications, examines inclusionary and exclusionary practices mainly with

regard to access to the means of agricultural production, but also with regard to the means for artisanal activity (see Berry 1984; Berry 1985; Berry 1988; and Berry 1989). She emphasizes the fact that access to various means of production is based, strongly though not only, on social identity, and she argues that: If access to the means of production is predicated on social identity, then the definition of property rights hinges on the demarcation of social boundaries, and exploitation operates through the subordination of some people within access-defining groups, rather than on the complete exclusion of people from ownership of the means of production. Subordinates (dependent kin, clients, apprentices, etc.) are induced to work not by the threat of dismissal (which carries disadvantages for the employer-cumpatron as well as for the workerclient), but by the hope of advancing towards full membership or higher status within the group, backed by the ultimate threat of ostracism in extreme circumstances. In such circumstances, both access and exploitation operate through processes of ranking. (Berry 1988:63-4) Another example of the ambivalence of exclusion is the nature of clientalist politics (see section 5.1). Clientalism is a inclusive form of relationship which is founded on exclusion. The second type of paradox evident in the literature concerns the way practices of exclusion/inclusion have contributed to the economic crisis in Africa. The most influential of these has been Bates' analysis of the politics of agricultural policy which argues, with a variant of urban bias logic, that the immediate interests of the majority of farmers have not been represented (Bates 1981). This political exclusion was not, however, sustainable, because farmers could accentuate or precipitate a fiscal crisis by reducing their marketed outputs of food and cash crops. Other theses, which are potentially paradoxical when it comes to the formulation of policy to combat exclusion, identify a link between inclusionary practices and aggregate economic crisis. One such thesis argues that negative economic consequences arise from managing ethnic conflict by building inclusive coalitions through wide distribution of resources (see Rothchild and Foley 1988). The macro-economic costs, and loss of micro-economic efficiency, associated with the politics of inclusive coalitions is seen in this thesis as both an integral cause of the crisis and a legacy of the colonial construction of multi-ethnic States. Another such thesis, which has been more fully elaborated and is now the subject of a major cross-national research project, is central to Berry's work. She argues that the agrarian crisis in Africa may have its roots in the fact that

surpluses from agricultural production have been used to invest in channels of access rather than in increasing production. As she puts it: Where access to land and other productive resources depends partly on nonmarket criteria, accumulation of cash and other fungible assets may not be a sufficient condition for secur- ing access to the means of production. If access depends on social identity, producers will use resources to establish or reaffirm advantageous identities and connections for themselves. (Berry 1988:67) Drawing on data from Nigeria, she suggests that access to productive resources is regulated by a number of social identities based on multiple and overlapping criteria. In these circumstances, "people invest in meanings as well as the means of production - and struggles over meaning are as much part of the process of resource allocation as are struggles over surplus or the labour process" (p.66). Moreover, "the inclusive mode of labour management and recruitment associated with investment in institutions as channels of access may also promote unproductive patterns of resource use - overemployment, overgrazing, inefficient labour effort, accumulation of claims and clients rather than fixed capital" (Berry 1989:51). In summary, according to Berry, a key current problem is not "social exclusion", but rather the opposite - the fact that "many Africans have become locked into multiple channels of access and strategies of resource management which perpetuate low productivity" (Berry 1989:50). But, partly as a result of low productivity and agrarian crisis, it may be that "in the long run, increasing numbers of impoverished rural people simply divest themselves, intentionally or no, of membership of accesscontrolling institutions", and thereby form "a new category of the dispossessed" (p.51). Berry's thesis is important in that it affirms the value of a "multiple sites" perspective on social exclusion in Africa; it points to the interplay between social identity/entitlement and wider economic change; and it cautions against the reflex policy conclusion that inclusion is the solution to the problem of exclusion. In this thesis the inclusivity of African society is, on economic grounds, identified as problematical. The work of both Berry and Rothchild and Foley indicate that any simple association between inclusion ("good") and exclusion("bad") is misdirected.


The most fully developed body of literature which pertains to the question of social exclusion in SSA focuses on access and control of agricultural land. This

literature has expanded rapidly in the 1980s in association with increasing tenure reform initiatives. The literature shows that exclusion from land resources is increasing and some analysts argue that, with respect to land, Africa is at a "turning-point", in that access to productive land is becoming more restricted, as population densities rise, land concentration occurs, land degradation accelerates, and as the means of exploiting land become more sophisticated and more dependent on money (for examples of this "turningpoint thesis", see Raynaut 1988, Reyna and Downs 1988, and, in wider terms, Bayart 1993:263-4, and Iliffe 1987). However, increasing exclusion is not necessarily being manifested in "landlessness", a concept which is difficult to apply in many areas of Africa. 2.1 Modes of Access to Agricultural Land In considering patterns and processes of exclusion, it is important to understand modes of access and control of land resources. These are different from those in large parts of southern Asia where landlord and tenants have distinct roles and statuses, and also from those in regions of South America where latifundistas and minifundistas are found. The pattern of access and control in Africa is difficult to summarize for, as Shipton and Goheen (1992) put it in a recent bibliographic review, "If a single lesson emerges from recent scholarship on African land-holding, it is that it is complex, variable, and fluid" (p.318). However, some generalizations can be made. Firstly, "access to land in most of rural Africa continues to be determined by indigenous systems of land tenure" (Bruce 1988:23). The pattern is complicated by the legacy of colonial land policy and post-Independence land reforms. Colonial land policy, particularly in the British colonies in eastern and southern Africa, involved the dispossession of the African population of large tracts of land through designating areas as Crown land and allocating them to white immigrant settler farmers. In these areas, land was owned on a freehold or long-term leasehold basis, following the principles of European land codes, and after Independence, settlers' holdings were often transferred to nationals and the tenure regime in these areas maintained. PostIndependence land reforms have also involved the conversion of land held under customary principles to individual freehold through land registration (as in Kenya), and, in many countries, the introduction of national land laws. These laws place all lands in the hands of the State, and they have allowed the appropriation of land for rural development projects and river basin schemes, and also given the State the right to allocate land to private users. But even where land is nominally owned by the State "indigenous tenure systems have continued to govern land use, and state ownership has primarily been used to give government a freer hand in land acquisition and distribution in development project areas" (Bruce 1988: 38).

Secondly, indigenous systems of land tenure are not "traditional", in the sense that they conform in an unchanging way to the "age-old" customs of people; nor are they "communal", in the sense that they are exploited in common by village communities (rather than individuals and households), or in the sense that the land of village communities is regarded as a resource to which all members of the village have the right of commons though this right of commons is often the case with respect to grazing land or areas for hunting or the collection of firewood (Bruce 1988:24). Rather, customary tenure practices are changing and are a constant object of dispute and negotiation. As Berry (1992) shows with regard to former British colonies, colonial authorities, in codifying customary law, did not freeze and fix existing practices, but specified an interpretation ("invention") of African "tradition", which then became an object of negotiation and conflict. Central to these negotiations were conflicts about what was "customary" or "traditional". Thirdly, indigenous land tenure systems are "communal" in one particular sense - access to land is controlled by a group which allocates land in a particular area to individuals and households which act as distinct production units. Power to allocate rights of individuals and households to use particular plots of land is vested in the political authority (e.g. chiefs) of the local group, and that political authority is obliged to guarantee access to land for production purposes for present members of the community, and future generations. Access to land thus depends on membership of the local group, which is usually "defined by common descent, common residence, or some combination of the two principles" (Bruce 1988:25). The extent of political organization of local societies varies, but access to land may be regarded as a right of "local citizenship". This is particularly so in former British colonies where, "Under indirect rule, membership of a community came to be considered the primary basis for claiming rights to productive resources" (Berry 1992:347), and where attempts were made to define the geographical boundaries of "traditional" authorities and integrate them into the political structure of the colonial state. Fourthly, although membership of a local group is the primary basis for claiming access to land, a range of other social identities are also important. Shipton and Goheen (1992) suggest that the social affiliations and distinctions which affect access to land resources take three major forms: "(a)groups (bounded units whose members are aware of common membership and may act collectively), (b) networks (unbounded series of links between persons), and (c) categories (unbounded sets of people with a common characteristic)" (p. 309). Whilst they caution against the use of English terms to describe indigenous concepts, two important groups which may be identified are "household" and "village". Other possible relevant groups are "lineage, clan, chiefdom, and subethnic section" and a range of "single or multipurpose clubs and voluntary associations, occupational guilds, corporation, syndicates, cooperatives, collectives, political parties, and other nameless and untranslatable groupings" (p.310). Networks are based on kinship, friendship between equals, and patron-

client ties, both local and with towns and cities. Ties with politicians may be particularly useful in influencing land allocation and the protection and control of land claims. With regard to categories, "gender, age, and stage of the life cycle and family cycle are basic determinants of land rights and duties everywhere ... Ethnicity and religion, often personally adjustable, coincide with tenure rules that may be easy or hard to break. Other social categories determining an individual's land rights and responsibilities may variously include rank(including local elected office), class (culturally or economically defined), caste (a principle found in many of the larger western Sahelian societies), and occupation (not necessarily the same as caste)"(p.310). It is important to recognize that particular persons can, at the same time, belong to particular groups, be wired (to use Shipton and Goheen's phrase) into particular networks, and identify them-selves, or be identified by others, as being particular kinds of people. These identities are, within bounds, fluid, and in disputes and negotiations "personal identities are defined and redefined to highlight membership of the three kinds of social affiliations" (Shipton and Goheen, 1992: 311). Access to land resources,, and exclusion from them, thus depend on rules governing membership, as well as rules governing rights and duties of members. The power to define criteria for social affiliation is thus important. Or as Shipton and Goheen put it, "Power and influence over landholding mean power to define types of land, types of persons, and the bonds between them" (p.311). Fifthly, in indigenous systems of land tenure, the notion of property is not one in which individuals or groups have jurisdiction and exclusive control over some delineated portion of the physical solum. Rather property rights should be understood in terms of "the powers which society allocates to its members to execute a range or quantum of functions in respect of any given subject matter" (Okoth-Ogendo 1989:7). Land, as a subject-matter of the allocation of power, has a particular characteristic in Africa in that "There always was a clear separation in African thought and law between the solum and any manifestation, such as crops, trees, buildings, which symbolizes human interaction with it" (p.8). Powers over land in Africa are thus specific to a resource management or production function, and are not "defined by the emergence of a rule of exclusion in the juridical calendar of a people" (Okoth-Ogendo, 1989: 10). A good example is land on which tree crops are grown. People holding the rights in the land on which they are grown may be different from those holding rights in the trees and those holding rights to the fruit of those trees (see Berry 1988). The fact that a given plot of land may be the subject of a bundle of rights, and that different rights in a plot of land may be held simultaneously by different people implies that "concentration of control over land rights [in the sense of

control over rural land being held in fewer hands] has not always been associated with privatization [i.e. the right to exclude others totally from that land]" (Berry 1988: 61). This has important implications for understanding patterns and processes of exclusion from land resources in Africa in that it makes the concept of landlessness difficult to apply. Sixthly, in indigenous systems of land tenure, the social identities which are the major, but not the only, mode of access to agricultural land are articulated in a system of 'tiered access", in which different categories of person are "primary" and "secondary" claimants. Primary claimants have direct rights to land resources, whilst secondary claimants only have rights to land resources indirectly through the primary claimants. Both women and unmarried men who are household members only gain access to land resources through household heads. Moreover, particular rights to use land have duties and obligations attached to them. These duties (which Shipton and Goheen describe as "the costs of citizenship", p.311) may mean that personal access to land resources may be associated with a complete absence of control over their use. A good example is the case of women who are allocated land on which they are supposed to grow food to support the family. Seventhly, in indigenous systems in situations of relative land plenty, households who are group members can put under cultivation as much of the land which the group controls as they can use. In these conditions the critical constraint on access to land resources for group members has been the ability to mobilize labour. As other members of the group also have access to land and are thus not compelled to meet their subsistence requirements through selling their labour power, mobilizing labour depends critically on expanding household size and putting to work wives and dependent kin who only have indirect access to land. In conditions of relative land scarcity within the local territory of jurisdiction of a group, its members have to acquire land in other areas under the jurisdiction of other groups, where land is available. Eighthly, indigenous land tenure systems vary widely and are specific to ethnic groups. The fact that access depends on group membership means that there is discrimination, in terms of modes of access, between "insiders" ("local citizens") and "outsiders". But an important feature of indigenous land tenure systems is that they have mechanisms through which "outsiders" to a local community can gain access to land resources. Saul (1993) identifies the basis of the flexibility of indigenous systems of land tenure in this regard noting that in Burkina Faso "temporary access to land by nonmembers of the agnatic corporation is possible, as long as the permanent rights of the descent unit are securely recognized ... Under these circumstances, at the heart of the malleability of land custom lies the question of "security", but under an unexpected guise, meaning almost the opposite of this term" (p.77).

"Outsiders" of a local group are not excluded from access to the land resources controlled by the group. But they acquire land through different modes of access - including land borrowing, sharecropping, various kinds of tenancy arrangements (in which gifts and fees are given to the chiefs who are trustees of the land), and possessory mortgages. As land becomes more valuable, there may be increasing pressure to buy and sell it. But a central aspect of group control over land is that individuals have use rights over land and under most indigenous tenure systems, they cannot sell their land as such. Various covert practices may be created. But, as a study of customary law amongst the Chagga in Tanzania shows, sanctions against land sales can be severe (Moore 1986:244-297). 2.2 Processes of Exclusion: Land Scarcity, Landlessness, and Restricted Access There is an image of Africa which portrays the continent as "land-abundant". This image has its roots in comparisons of population density (for example, in Asia, excluding Arab oilexporting countries except Iran and Iraq, the average density of population was estimated to be 110 persons per square kilometer in mid-1984, whilst it was only 24 persons per square kilometer in sub-Saharan Africa - Platteau, 1988:31-32). This image is beginning to generate an interesting literature (see Binswanger and McIntyre, 1987; Goetz 1993). However, it is important to emphasize that the image is misleading in the sense that "only one-third of the continent can be classified as land abundant (Sudan, Zaire, Cameroon, Guinea, Sierra Leone, Zambia, Mozambique and Angola) ... Another one third of the African countries are in semi-arid areas where the land frontier is rapidly being exhausted (e.g. Senegal, Niger,...) and the remaining countries (again one-third of the total) are in a land scarce environment where the frontier is already exhausted" (Platteau 1988:39). Platteau goes on to add that the main regions with significant land reserves (tropical humid Africa) face "serious obstacles to the expansion of the land frontier", including "problems of land fertility and soil conservation", "difficulties regarding the reclamation and the draining of the lands, and. above all, from health risks affecting animals and human beings" (p. 39-40). Pressure on available land is increasing as rapid population growth is occurring (at present trends population is expected to increase from about 350 million in the mid 1980s to over 1000 million in 2020). Moreover land is being accumulated by a few rich individuals who, often, invest capital gained through trade, office, or formal sector employment in agriculture. Land accumulation occurs through market transactions where land can be bought and sold. As in other parts of the world, poor people sell their land under pressures to survive. Land accumulation can also occur through the appropriation of land held under indigenous tenure for rural development schemes and through bureaucratic allocation. This has been facilitated by the

nationalization of land (Roberts and Williams 1991) and in some cases (Nigeria and Liberia - see Bruce 1988), the combination of making access to land a matter of bureaucratic allocation and abuse of office has resulted in "land grabbing". Under indigenous systems of tenure, where the overt purchase and sale of land as such is prohibited, land accumulation is also occurring through "land grabbing" (Bruce 1988:42). Bruce writes that indigenous tenure is particularly vulnerable to land grabbing in that farmers seeking to expand cultivation can do so as much as they are able to in terms of mobilizing other necessary factors of production as long as land is available. This is because "there is in most indigenous land tenure systems no traditional notion of 'too large' a holding' (p.42). He also lists three ways in which land grabbing happens. Firstly, politicians and civil servants who are "sons of the village", in the sense that they are entitled, by descent, to land in the village even though they not be primarily resident there, exercise their entitlement. As Bruce puts it, "It is difficult and unwise to refuse such applicants; the village may soon need their assistance to negotiate a bureaucratic maze in a dispute over tax payments, or to get a spare part from town for the village pump" (p.43). Wealthy outsiders are excluded from such land grabbing, but customary rules are "vulnerable to corruption of traditional land administrators or other dispute-settling authorities" (p.43). Secondly, the leaders whose task is to administer the land of the group/community hold that land in trust, but "where the land is unoccupied and rights to land are becoming increasingly individualized, the traditional leader is sometimes able to convert the administrative estate to a personal right" (p.43). Thirdly, indebtedness can lead to land accumulation, as the borrower "pledges" his land to a lender to hold and use until repayment which may never happen as "the borrower falls more deeply in debt, and eventually abandons the land" (p.43). This can be an important mechanism through which local merchants accumulate land. In situations such as Kenya, where ownership of land is individually registered, it is possible to speak of the emergence of a "landless" population. Estimates of the numbers of rural landless in Kenya in the early 1980s range from 200,000 households to 410,000 households and squatters, and an Integrated Rural Survey of six provinces in the early 1980s showed that in those provinces 12% of households were landless (see Testerink 1991). In situations where indigenous land tenure systems are predominant (i.e. most of rural Africa), it is difficult to speak of "landlessness" in that members of the community have either direct or indirect access to community lands. In these circumstances, some analysts have applied the term "landlessness" to particular categories of people, notably women or young unmarried men. Thus Siddle and Swindell (quoted in Testerink, 1991:11) report that the number of landless men between 16 and 30 years is 40% in some areas of Zimbabwe. Whilst it is important to recognize the circumstances of secondary claimants, and a section below is devoted to the exclusion of women, it may be confusing to describe their circumstance as "landless". Within indigenous tenure systems

the processes of exclusion which are occurring against the background of increasing land scarcity and land grabbing are: (i) local loss of land owing to appropriation for rural development schemes or agribusiness (for the latter see MacKintosh 1989); (ii) the reduction in the size of area cultivated by households as the land frontier closes and land is increasingly subdivided (depending on inheritance rules more than allocation procedures of the community); (iii) restrictions in control over specific rights in land, as rights which a person has over land are reduced and the number of social identities which qualify for having specific powers over land are also reduced. An extreme example of the second process, in which households are not becoming "landless" but rather "land poor", is Malawi. In that country population densities in the south of the country are very high and some customary land has been taken into private hands for the production of export crops on estates. By the end of the 1980s, 56% of rural households on customary land (approximately 3.6 million people) were working less than one hectare of land and their holdings were insufficient to meet their basic food needs. It is projected that by 2000, almost half a million households will have holdings of less than one-half a hectare and a mean size of 0.19 hectares (House and Zimilirana 1992). Restrictions in access to land through redefinitions of rights is less dramatic, but an equally important process of exclusion. Land concentration in Africa can occur without landlessness for, as Berry (1988) stresses, "what is being concentrated is often not land ownership, in the sense of freehold title, but control over different rights or bundles of rights in land" (p.33). This can affect both community members and "outsiders". Reyna and Downs (1988:13), summarizing evidence from a number of case studies, identify a major mechanism of exclusion in this regard as follows: There is evidence adduced in this volume the indigenous land administration appears increasingly to restrict peoples' access to land as farming commercializes and populations grow ... This seem to be because there is a tendency fro land to be reserved for its "primary" claimants when population increases and land becomes scarce, or when farming becomes more profitable. the separation of claimants into what we have called 'primary' and other 'categories has been important in many indigenous land codes. Primary claimants were often the direct male descendants of previous landholders. Other claimants could be, first, the lineage mates or affines of the primary claimants, and then nonkin clients or borrowers. this meant that when land became scarce or commercially valuable, men might lose their previously held access, or be denied additional access, to the lands of their lineages and occasionally to those of their extended families; affines, especially wives, might lose access to their spouses' lands; and borrowers or clients might lose

access to their host groups' land. Women ... are especially vulnerable when access begins to be restricted. Peters (1992), with a case study of increasing competition over scarce water points and grazing land in Botswana, provides a good example of the microprocesses involved as identities which previously enabling access to resources become excluded. She considers the working of borehole syndicates, each of which is a social grouping, "an association with legitimate stewardship over corporate resources", whose core members were recruited by local chiefs and their coucillors to manage access of cattle to boreholes and to pay for the maintenance costs of the boreholes. The core members were "the senior royal families, ward headmen, and other wealthy and well-connected commoners", but the syndicates also included dependents, "who may be junior siblings, children, other relatives or clients, who are considered to be 'behind' the member or 'under his name', and whose cattle are thus included in his herd" and hirers, "who pay fees for gaining access to the water and who may be either unrelated to a member, or relatives, friends or clients" (Peters 1992:4189). Peters argues that the syndicates are based on a "mix of exclusionary and inclusive practices", with rank determining core membership and others being incorporated through patron-client ties. With a growing sense of pressure on resources, she notes that syndicates have become more exclusive. This is indicated by the fact that "more syndicates are trying to enforce the conventionally stated custom for only one son, ideally the eldest, to succeed to his deceased father's syndicate membership status", that "closer scrutiny is also being directed by syndicates to the definition of 'dependents' where these are not actual children of the syndicate member", and that "virtually no syndicates wished either to recruit more hirers or]r to expand their membership, despite a pressing need, in a number of syndicates, for higher cash intake" (p.420-1). She explains these trend as: ...the attempt by individuals and groups within syndicates to redefine conventionally accepted statuses and rules that govern claims to resources, and to reduce the degree of negotiability of these definitions. The outcome is a narrowing of the social orbit of syndicate organization and growing exclusivity. (p.421) At the heart of this process is the ambiguity between the syndicate as the guardian of community resources and as a group of private owners or "company". "Outsiders" maybe particularly vulnerable to growing exclusivity. Robertson (1987) presents the most comprehensive body of material on sharecropping in Africa, with case studies of Ghana, Sudan, Lesotho and the Gambia. He argues that share contracts were established as a means of appropriating land rather than labour, and argues that relative scarcity of labour has meant that, in share contracts, "The supplier of land does not enjoy the conspicuous privileges

of the seigneur, and it is very often the party with labour and movable capital who benefits more in contract structure and maturation" (p.24-5). With increasing land scarcity, the balance shifts towards the land supplier, and Robertson notes that processes through which sharecropping can mature into usufructory rights, which he observes in his case studies are becoming retarded. Another example of a shift towards more exclusionary practices is provided by Saul (1988). In areas of Burkina Faso where there is heavy in migration of Mossi to obtain land to farm, he notes a transition in which, past practices, in which somebody coming into an area and borrowing land would have take a few gifts and chicken to the grantor-custodian (the latter for ritual "to ask the earth, in the name of the ancestors, to offer its bounty to the user") and would have to offer gifts to the same elder after harvest, are being monetized. Saul comments: The substitution of an inflated money equivalent instead of the customarily specified bird is a common mechanism to disguise a transition to outright payment for ritual services ... An important consequence is that the substitution renders possible the expression in money of the cost of acquisition of cultivation rights. immigrants are also reported to offer unusually large occasional gifts to elders in order to predispose them to arrival of new relatives or affiliated households in the face of widespread resentment in the autochthonous community. It is possible to think of these developments as a logical transition to a regime of rent (p.270). As in the case discussed by Peters, these practices may be the subject of dispute, and in settling them local power is important. Saul notes that in some areas the Mossi are numerically preponderant, and then elections may help them to monopolize local-level offices. In these circumstances, 'lit may be extremely difficult for the older population to withdraw the land, even though the initial grants were made possible with the mutual understanding that this was possible' (p.271). 2.3 Legal Entitlements and the Exclusion of Women There is a growing literature on women's access to land (or rather the lack of it) and this provides useful basis for examining the role of legal entitlements in processes of exclusion from land resources. In a short and incisive review of the historical and present position of women with regard to access to land, Knowles (1991) states that: 1) The most salient fact about women's access to land in Africa is that it has typically been, and continues to be, derived from someone else rather than

existing independently and directly. That is, rights to land only accrue to women as a result of their status in the family (p.3-4). 2) In matrilineal as well as patrilineal societies, a woman's "bundle" [of rights with respect to land] typically does not include any of the hallmarks of ownership, i.e., the ability to: loan, rent, sell, dispose of by will, or make improvements ... Moreover, since the initial right of access is derivative and thus insecure, so too are all of the related rights: that is because the landholder grants the initial use right, he can also control the management and the resource control rights (p.4). These conditions apply in general to all women. But they make the position of widows, divorced and deserted women particularly difficult, especially in patrilocal societies. Women who are left to farm a holding whilst men work elsewhere also may possess de facto management rights. But in such circumstances they are often to resource-poor to support a family. A basic cause of the situation of women with regard to access to land resources is women's legal entitlements. Knowles summarizes the legal position facing women as follows: "In virtually all the countries of Sub-Saharan Africa there are two operative legal systems - the customary one and the body of common law derived from the relevant colonial power, as modified by statute or decree since independence ... Both these systems adversely affect women's access to and use of property. The customary systems typically prohibit women's direct access to land, either by ownership or inheritance. Statutory systems affect property rights in other ways, often limiting women to the status of legal minors, despite their chronological age, hence rendering them incapable of owning property, entering into contracts and the like" (p.6). Legal changes are being made, but Knowles writes "Many African governments are choosing to make changes at the margins, leaving untouched the customary prohibitions against formal land allocation to women" (p.11). These generalizations offer a good starting point for understanding the extent and pattern of exclusion of women from land resources. But they need refinement, particularly with regard to analyzing: (i) the practice of the law; and(ii) the strategies which people use in relation to their legal entitlements. Papers by Butegwa(1991), Himonga and Munachonga(1991), and Karanja(1991), in the same journal issue as Knowles', all discuss situations in which even though statutory law and official procedures for acquisition and allocation of land do not discriminate against women, women's access to land is limited. Butegwa states that " Generally statutory law does not explicitly distinguish between men and women when regulating acquisition of transaction in land. Acquisition is presumed to be governed by the general law of contract in which contractual capacity is determined by age of majority (18-21 in many jurisdictions)" (p.49). But the realities ' of modes of acquisition of land cause

gendered exclusion. "Women", she writes, "lost out in the first generation of [individual] land ownership" (p.49), which was introduced by colonial authorities and through which land was registered in the name of household heads (who were invariably men). Subsequently women have been able to acquire land from a deceased title holder or through direct purchase. But "the right to inherit property is still governed by customary law in many African countries" (p.49). Moreover direct purchase has been limited because many women do not have the money or access to credit to get a loan. Butegwa regards the right of access to agricultural credit as essential for understanding the position of women. She notes that commercial banking facilities extend little credit in rural areas and this limits access to credit for both male and female rural farmers mainly to government-sponsored credit programs. But women have found it difficult to acquire membership of cooperatives; women-only cooperatives have tended to be small-scale and less successful; and special financial institutions targeted at women have operated in such a way that women have required their husband's consent to acquire loans. Himonga and Munachonga (1991) present a case study of women's access to land in Individual Farm Unit Settlement Schemes in Zambia. In these Schemes, land located in Reserves and Trustland and governed by customary tenure, is converted into Stateland governed by statutory tenure and granted to individuals. In these Schemes, "it is clear that general law and official procedures for acquisition and allocation of land do not discriminate against women", but Himonga and Munachonga's statistics, from a survey of 9 Settlement Schemes in 1987-88, show that less than 5% of the persons who had been allocated land were women. This pattern is attributed to: (1) administrative practices relating to the acquisition and allocation of land including the role of the ruling party, UNIP, some of whose officials were screening out women's applications on the grounds that they "consider it to be against Zambia culture to allocate agricultural land to women of marriageable age who have no children to support" (p.66), and also the fact that some district councils did not advertise land, though required to, and thus "only persons who are in contact with the various councils or with council employees involved in land allocation, get the necessary information and thus the opportunity to apply for land" (p.67); and (2) socioeconomic constraints including "high rates of illiteracy amongst women, negative attitudes of officials, the subordination of women within marriage, kinship and succession systems, and the lack of economic power of women, which makes it difficult for them to develop farms" (p.70). The expectations of marriage are a key constraint in that "married women are themselves afraid that their marriages might breakdown if they acquire land of their own" (p.67), and men indicated that "they needed their wives and children for farm labor" and thus would be unwilling to marry women who had become economically independent through the acquisition of land.

Karanja (1991) finds that in Kenya despite statutory laws which in theory provide for a woman's right to own property and to protect her property ownership rights, "only 5% of Kenyan women own land in their own names in the are under individual tenure" (p.126). This situation is attributed to "the interpretation and implementation of current land laws" (p.130), for example "the prevailing practice of registering land bought with joint incomes in the names of the husbands only" (p.131). A particularly important aspect of the situation is inheritance practices. Despite daughters having the same rights as sons to inherit their parents' property in law, "fathers continue the customary practice of transferring land to their sons on the assumption that a daughter will marry and gain access to land through their status as a wife" (p.131). Karanja, like Himonga and Munachonga, finds that the desire for marital stability dissuades women from acquiring land even if they have money to do so. Moreover she highlights the influence of women's lack of awareness of their land rights, quoting a study conducted in Nairobi and Busia, which showed that of 400 women interviewed, almost 60% thought they had no right to own property in their own name. A major consequence for women of lack of title in Kenya is insecurity of tenure. And Karanja argues that with rapid growth of a land market, women's poverty is increasingly becoming important in affecting their exclusion from access to land. Thus she writes: "With the marginalization of women in every sphere of the Kenyan economy, the rising and intensified land market created by high population growth and women's lack of collateral for credit purposes, women are caught up in a vicious cycle of landlessness and they have become increasingly dependent on unwilling husbands or fathers for access to land" (p.133). The case studies of Karanja and Himonga and Munachonga show that women's access to land can be more restricted than men's even when they have formal equality in law. Another important casestudy - that of the impact of the Jahaly-Pacharr irrigated rice project in Gambia - shows that even when usufructory rights are specifically targeted at women, the main benefits of women's labor on land registered in their names can accrue to men. This case (reported in Carney, 1988a; Carney, 1988b; Carney and Watts, 1990; Carney and Watts 1991; and Watts 1993) has been interpreted as a struggle over both land and labor claims within the household as the nature of the conjugal contract is re-negotiated following the conversion of swamp rice land to an irrigation scheme. Although plots of land were registered in women's names, the plots were also designated maruo rather than kamanyango fields. This designation was important because there was a tradition in which women could establish kamanyango on swamp rice plots, either by clearing unclaimed land, through their own labor, or through inheriting the land from their mothers, and the owner of users rights on such land was entitled to transfer the plot as they

wished and could dispose of kamanyango crops as desired. Marco land, in contrast, was all the land claimed and used through custom by a residence group. It was jointly cleared, the compound head has control over maruo production and surplus, and he could make claims to dependents' labor, including a new dry season claim to females' food crop labor obligations (see Carney, 1988). A critical struggle which occurred was over the naming of the land to which women had title. The project management supported the maruo designation, partly because it enabled the mobilization of family labor. Watts (1993) identifies the key factors which increased the bargaining power of women in the ensuing situation as "women's access to land, the availability of non-household labor and off-farm income, the "traditional" obligations associated with the conjugal relationship and the penalties of non-compliance" (p.186-7). But the overall result of this project which was formally targeted at women, was that "Rather than spreading the benefits of irrigation farming to rural women, development of the Jahaly Pacharr project has greatly increased the power and accumulation possibilities of senior males" (Carney, 1988:73). A number of other studies on land and women's agricultural production, collected in Davison (1988), show that shifts in the organization of production associated with the "rural development", including in particular the introduction of cash crop share resulted in changes in changes in access to resources for both men and women, but to the advantage of the former. However, Rose (1988) cautions against a view of exclusion of women from access to land which ignores their own agency. Using the case of Swaziland, she argues that "women have more actual power in land acquisition than is commonly assumed" (p.179), and she identifies the key strategies which women use to gain access to land as: (1) strategies of control -through recruiting allies, or assuming individual control based on personal attributes; (2) strategies of avoidance - circumventing individuals who may covet a woman's piece of land or avoiding legal institutions which are perceived to be unsympathetic; and (3) strategies of deception - deceiving decision-makers about personal circumstances and deceiving the legal system about land rights (pp.193-4). She notes that "While virtually all women resort to strategies in the customary legal system, only some women are able to use strategies in the modern system ... The extent to which a woman is able to use the modern legal system depends upon her economic status' (p.194). Moreover whilst arguing for the need to avoid stereotypes about women's exclusion, she emphasizes that "women suffer great frustration in the process of land acquisition. The studies on women's access to land contained in the 1991 issue of Third World Legal Studies and in Davison (1988) suggest a number of policy conclusions. Firstly, legal changes which can improve women's access to land include not only changes in tenure rights, but also wider changes in women's legal status, including in particular laws regarding marriage and divorce (see, for example, Pankhurst and Jacobs, 1988). Secondly, formal legal change in itself is insufficient. Measures need to be taken to improve the practice of the

law - such as rights awareness campaigns, the promotion of a progressive judiciary, and the building of women's alliances through community-level support groups (Butegwa 1991). Moreover, as Himonga and Munachonga put it for Zambia, "the solution to the problem of rural women's access to land ... does not lie in the letter of the law and official policy. Rather much more must be done outside these regimes in order to increase women's actual access to land" (p.70). The policies they specifically emphasize are: (1) education of officials and women; (2) positive discrimination to create special loan facilities for women; (3) appropriate technology to reduce women's inability to handle heavy farm implements; (4) increasing numbers of female extension workers;and (5) awareness campaigns to break traditional barriers, e.g. against unrelated men and women working together. Cloud and Knowles (1988) emphasize the "urgent need to expand income-generating opportunities of women" and argue that "one of the most compelling reasons to increase women's access to credit and cash is their need to acquire land via direct purchase" (p.261). Also, as Funk(1988) points out "cultural ideology about men's and women's roles" is of critical importance. 2.4 Pastoralists and Indigenous Peoples Specific literatures are developing on both these groups. Their exclusion from access to land is a fundamental aspect of their situation. Swift (1982) writes that "All African governments have nationalized rangelands and few recognize hunter-gatherer or pastoral use as establishing any claim under customary law, as is usual for cultivated land" (p.172). With control over land and water passing to a range of new groups ("state, company, or private ranches, rich rural or urban investors or new pastoral development agencies"), "huntergatherers and pastoralists are progressively being excluded from the land and water they traditionally used" (p.172-3). No attempt was made to review this specific literature. For a recent work on pastoralism, which includes specific studies of the destitution of some pastoralists, and the political roots of the marginalization of pastoralist, see Markakis (1993).

Chapter 3: EXCLUSION FROM AGRICULTURAL LIVELIHOOD Access to agricultural land is a necessary condition for making an agricultural livelihood, but it is not a sufficient condition. Livelihoods based on land depend on the mobilization of other factors of production - the mobilization of labour and application of a range of productive inputs, such as fertilizers, pesticides, animal traction, and improved implements. Secure livelihoods also depend on the maintenance of yields and the avoidance of agricultural practices which lead to land degradation.

In indigenous land tenure systems in which a household is allowed to put under cultivation as much land as it can use, the ability to mobilize labour resources, through control of the household, is a central determinant of wealth and poverty when land is abundant (see Binswanger and MacIntyre, 1987; Meillassoux 1981; and Smith 1991 for a summary of the literature). As available land becomes scarce, the application of inputs which enhance land productivity become more important than expansion of the area of production in determining total production, and access to those inputs become more important in determining agricultural livelihoods. "Modern" inputs can offer a way of cultivating land intensively without degradation (though this is not always so). With the commercialization of production, livelihoods also depend upon the ability to cultivate high-value crops and access to output markets. These considerations mean that exclusion from agricultural livelihoods depends on the interaction between: firstly, restrictions on access to land resources and patterns of land poverty (discussed in section II); secondly, exclusion from access to productive inputs, high-value crops, and output markets; and thirdly, processes of land degradation. These interactions are complex. They are taking place within an international frame, in the sense that the prices of many of the agricultural commodities produced in Africa are determined in international markets, and agricultural policies are the subject of negotiations surrounding the implementation of structural adjustment programmes. Recognizing these complexities, it may be stated that whilst the pattern of exclusion from land resources depends critically (though not only) on social identity, the pattern of exclusion from productive inputs, undergraded fertile land, and remunerative output markets depends critically on poverty. The rest of this section briefly summarizes some case studies which indicate how poverty is implicated in the process of exclusion from agricultural livelihoods. A key point which emerges from this material is that exclusion from agricultural livelihoods is not now solely dependent on what is happening in the agricultural sector, but is closely linked to lack of access to remunerative offfarm employment opportunities. 3.1 Access to "Modern" Inputs A principal feature of African agriculture is that agricultural commercialization has proceeded rapidly throughout the continent during this century, but in a spatially uneven way. Commercialization has also been unbalanced, in the sense that many producers are engaged in commercial sales, with or without production for self-provisioning, but they do so with a low level of

capitalization in terms of purchase of inputs. Reyna and Downs (1988), who emphasize the importance of this "unbalanced agricultural commercialization", indicate that the utilization of agricultural inputs is much lower than in other Third World areas, and they dramatize the situation by stating that "although most farmers now produce for the market, they do so with essentially Neolithic tools" (p.12). A recurrent theme of development policy in Africa in the postcolonial period has been to "modernize" agriculture. This has many strands (see Bernstein 1992), but an important component has been the promotion of greater marketed output, increased production and improved productivity through the application of modern inputs (fertilizers, new varieties, pesticides, herbicides). Bernstein suggests that there are three major approaches to "modernizing" agriculture when production is organized on the basis of peasant farms: (i) "the smashing of the peasantry through direct dispossession typically achieved by violence"; (ii) "'bypassing' peasant farming" through large scale production (capitalist or state farm) on unoccupied cultivable or grazing land;and (iii) "to 'lock in' peasants (or at least those commanding adequate resources) ... through higher - and controlled- levels of input and credit use, and controlling (increased) output through the organization of marketing and processing, thus achieving greater commoditisation, specialization, and standardization" (p.89). In Africa, the first approach was applied in white settler and plantation regions in the colonial period, and there are localized examples of dispossession and usurpation of land since Independence. There also examples of the second approach (such as the expansion of rice farming in Northern Ghana). However, it is the third approach which has provided the main way of "modernizing" agriculture in Africa. It has been highly selective in that it has focussed: i) on high potential areas with higher and more reliable rainfall versus lower potential and marginal areas ii) on farmers with more resources versus those with fewer resources iii) on men versus women farmers, which tend to be associated with (ii) (Bernstein 1992:9). Bates (1981), in his influential study of the politics of agrarian policy in Tropical Africa, also concludes, from a completely different theoretical perspective to Bernstein, that policy has been inherently exclusionary. He suggests that a major thrust of agricultural policy in the 1970s involved output pricing policies which depressed returns for all producers alongside input pricing and supply policies which selectively subsidized the production costs of a few farmers. Reviewing evidence on access to "modern" inputs, he concludes that "It is commonly and almost universally found that the poorer, small-scale, villagelevel farmers do not secure farm inputs that have been publicly

provisioned and publicly subsidized as part of programs of agricultural development" (p.55). Agricultural inputs can become a stake in clientalist politics (see section 5.1, below), and access to those in state office can become important in gaining access to inputs. Crehan (1991), in a down-to-earth description of the situation in North-West Zambia notes that "access to almost any market beyond the immediate village community depends on various extra-economic relations ... on the managing of political relationships as on the manipulation of market forces" (p.194), and that "the poorest group of villagers are those who tend to have least direct contact with the state institutions and officials, and to be least involved in making specific claims on such bodies" (p.206). Eyoh (1992a and 1992b) provides a close study of the politics of access in the Lafia Agricultural Development Project in Nigeria. He argues that local power structures are of central importance in determining the allocation of resources, and that favoured groups include both the leading strata of the peasantry (socalled "progressive farmers") and also members of particular cultural communities. A major theme of structural adjustment programmes in Africa has been to dismantle the agricultural policy structure, which was seen in terms very much similar to the analysis of Bates (1981), by raising producer prices, and by reducing state controlled output marketing, subsidized inputs and statecontrolled distribution of inputs. For households with very little land, improved producer prices have not brought major benefits. Removing subsidies on inputs and promoting their distribution through the free market has meant that access to inputs is now regulated by price and purchasing power rather than political connections and bureaucratic allocation. The poor are still excluded. 3.2 Land Degradation and Exclusion Land degradation is proceeding rapidly in many parts of Africa and as it occurs the link between access to agricultural land and access to agricultural livelihood is being severed. Land degradation is becoming (or is likely to become) a major mechanism through which people are being pushed off the land. In a land tenure system in which a major mode of access to land is through membership of a local community, localized land degradation can have effects which are similar to land dispossession. Persons who live in areas where yields have fallen find it difficult to find land in other areas under indigenous tenure systems if restrictions on access to land for "outsiders" are tightened. Suliman (1992) argues that an important excluded group in Africa are "internally displaced people". These are persons who are forced to leave their home lands, but who do not cross international frontiers and cannot be classified as "refugees" and thus qualify for international assistance. Using figures published in 1992, he estimates that there are 16 million internally

displaced people in Africa, including 4.5 million in Sudan, 4.2 million in South Africa, 2 million in Mozambique, 2 million in Somalia, 825,000 in Angola, 500,000 in Uganda and at least 500,000 in Liberia. The ratio of internally displaced people to refugees is 4:1; most are women and children, and they move to urban centres. Suliman argues that persons are displaced mainly as a result of environmental degradation and armed conflicts, which are sometimes related to environmental resource competition. He notes that in the drought of the early 1980s, more than 10 million people had to abandon their homelands in search of food and water by early 1984, that one million people in Burkina Faso (a sixth of the country's population) migrated to urban centres, and that the number of food aid-dependent people in the Sahel region was 5-10% of the total population. One important mechanism through which poverty is linked to land degradation is what has been called the "simple reproduction squeeze" (Bernstein 1977). A simple reproduction squeeze occurs when a peasant household which is land poor and producing for the market is faced with deteriorating terms of trade (between necessary purchased commodities and agricultural inputs on the one hand and agricultural outputs on the other hand) or declining yields, and can only reproduce itself (even with hunger) if it intensifies labour inputs and land exploitation. In these circumstances a vicious circle can set in as actions to reproduce the household in the short-term lead to land degradation and a tightening squeeze in the medium-term. To the extent that households are irreversibly integrated into markets (and particularly the extent to which their subsistence is money-mediated), they cannot escape this squeeze without other sources of income. Withdrawal from markets to escape a "simple reproduction squeeze" can also involve decisions with long-term consequences such as withdrawing children from schooling. Land degradation can also be associated with spatial marginalization, if people are pushed on to poorer and more ecologically fragile land through dispossession for agribusiness (for analysis of an example of pasture degradation in the Sahelian zone, see Blaikie 1985, ch.7). A study which is important in understanding the relationships between such exclusion from land resources, land degradation and the search for alternative sources of livelihood through labour markets is provided by Arrighi (1970). Arrighi's classic study analyzes African responses to the expropriation of threequarters of their land by European settlers in colonial Rhodesia. His analysis is of importance as it looks at a process of exclusion in terms of the practices of the excluders and the excluded, and shows how an initial act of exclusion from a critical resource, land, led, over a long period of time, to the irreversible closure of livelihood options of the excluded population, until finally a larger and larger proportion, although they retained access to some land, could only seek work on labour markets to survive. The analysis is complex, but central structural elements are: (i) the increasingly necessary, rather than

discretionary, character of involvement in the money economy, which was initially provoked by the introduction of taxes and rents, and which subsequently depended on rising expectations regarding "necessary subsistence"; and (ii) the comparative "effort-price" of money income obtained through the sale of agricultural produce and the sale of labour-time. Arrighi observes a key shift in the behaviour of labour markets in the 1920's in that "While before 1922 African participation in the labour market did not increase in periods of falling wages, after that year it always increased irrespective of whether real wages were falling, rising or remaining constant" (Arrighi and Saul 1973:191). This shift is associated with the rising effortprice of African participation in agricultural produce markets, which was the result of falling yields in the "Native Reserves", the term used to designate legaly the poorer quality land distant from the railways which had been left for the African population. Falling yields were the result of higher population densities, associated with natural increase and the shift of the African population into the "Native Reserves", and also a pattern of agricultural innovation and investment on the Reserves (in cattle and ploughs) which had a land-consuming bias. A slump in prices of cattle and maize in 1921-23 accelerated movement into the Reserves, and thereafter land shortages appeared and land degradation (soil erosion, drying-up of springs, exhaustion of pasture) set in. It may have been possible to arrest this pattern through shifting the pattern of investment of surplus towards high-value tobacco crops. But this was not undertaken, partly because of the smallness of the surplus and partly because in the late 1930s there was a major re-orientation in the pattern of use of surplus towards expenditure on education. The details of this analysis have been challenged (see, for example, Low 1986), and literature since the mid-1970s has emphasized the gender dimensions of patterns of involvement in labour markets (see below). However, Arrighi's approach offers one promising mode of analysis of exclusion. 3.3 The Importance of Access to Remunerative Off-farm Income An recurrent theme emerging in studies of patterns of poverty in rural areas is that the poorest groups are those without access to remunerative off-farm income. A framework within which differentiation is analyzed by various authors is to identify processes of upward mobility which operate over short or long periods of time and to explain the poverty of particular groups at a given observed point in time in terms of their exclusion from these processes owing to various constraints. In this frame of reference, access to remunerative offfarm income has been identified as a key factor in upward mobility in rural areas. This off-farm income may be earned through activities in rural areas, notably when a farmer also engages in trading activities. However, often off-farm

income is derived from urban activities, including both earnings from formal and informal sector employment and from state offices. This pattern of investment activity, which bridges rural and urban locations, formal and informal activity, and the public and private sector, was originally identified in Kenya by M.P.Cowen (see Kitching 1980), and called "straddling". According to Iliffe (1983), straddling is much more common in East Africa than West Africa, but Bayart (1993) notes examples from Cote d'Ivoire, Liberia, Sierra Leone, Nigeria, Zaire and Mali, and further examples are reported in Downs and Reyna (1988). In the rest of this sub-section, three case studies are presented. In all three, access to remunerative off-farm income is an important condition for upward mobility, and in the last "straddling" is evident. Hill (1972) is a classic analysis of economic inequality and poverty in a Hausa village in Northern Nigeria. A major aim of her study is to explain why, even with abundant land and reasonable soil fertility, a certain proportion of farmers within the village were experiencing some degree of destitution. In broad terms, Hill summarizes the explanation of the situation by the fact that some farmers were "too poor to farm", and in a "concluding speculation", which she suggests may be applicable to other areas of Hausaland, or even "other West African savannah peoples", she states that "some degree of destitution is likely to occur in most communities where permanent cultivation [of manured farmland] is the preferred agronomic system, and where poorer farmers have few opportunities of significantly supplementing their income by growing special crops (other than grains or groundnuts), or by pursuing remunerative non-farm occupations" (p.191). In the village which Hill did her study, cultivation was based on manured farmland, which was bought and sold, in the area around the village, and a broader zone of bushland, in which members of the village could establish usufructory rights. The main crops grown were grains (millet and guinea corn) and groundnuts. The main source of labour for farming was household labour organized through the Hausa institution of paternal gandu, "a voluntary, mutually advantageous, agreement between father and married son in which the son works in a subordinate capacity on his father's farms in return for a variety of benefits including a share of the food supplies" (p.38). But labour hiring was also occurring in the village. Women were in seclusion, but engaged in trade, particularly in cooked meals from their houses. Within the village, there were significant inequalities. In concrete terms, the number of working-men in each of the richest farming units was twice as great as the number in the poorest units; the richest 15% of the household heads owned 43% of the manured farmland, whilst 12% of the heads had less than one acre; the ten richest farmers accounted for one-half of the hired labour; nearly all the poorest farmers sold manure.

Hill argues that there is a general tendency for wealth to increase with age, and she identifies "short-term spirals of upward mobility" in which particular households get richer by consolidating and extending the household, purchasing land, hiring labour to cultivate a larger acreage, and purchasing manure to increase yields. Accumulating profits from remunerative non-farming activities was an essential part of this spiral of upward mobility. The richest farmers had remunerative secondary occupations as traders, craftsmen and Koranic students and teachers. Particularly important for them was local graintrading. Most rich men aspired to store grain, buying it from the poorer farmers when prices were lowest and re-selling it later when prices were much higher. Poorer households, in contrast, tend to get stuck in a situation of "individual impasse". A key aspect of this was that most of the poorer farmers did not produce enough grain to last throughout the year and they subsisted on bought grain for most of the year. Moreover the poorest farmers did not have the capital or special skills needed to engage in remunerative off-farm activities and most were forced to engage in collecting and manufacturing freely available goods (especially firewood), or to undertake miscellaneous poorly remunerated tasks. In the individual impasse of poor farmers, poverty itself results in an interlocking array of exclusions from opportunity. As Hill puts it: Poor men applied less manure to their farms and obtained lower yields per unit of effort; poor men were those who sold their grain immediately after harvest when prices were lowest; poor men had unremunerative types of non-farming occupations; poor men often had 'no time to farm' - their granaries being empty soon after harvest, they were obliged to pick up a living from day-to-day by working in odd jobs for others or by collecting 'free goods' such as grass or firewood; poor men (being farm sellers) often owned insufficient manured farmland to set their sons to work: poor men could seldom borrow money, being considered bad risks (p.164-5). In short, in this village, it was possible to be "too poor to farm". But Hill emphasizes " there is "an absence of class", as the spirals of upward mobility are only short-term, and when the gandu-head dies, property is divided and the farming business falls into disarray. Kitching (1980) is a long-term study of class formation in Kenya from 1900-80. As part of this study, he examines patterns of adoption of new high-value crops (coffee, tea, pyrethrum and hybrid maize) during the period 1952-70. The introduction of these crops, along with land consolidation and enclosure, is sometimes described as an "agrarian revolution", but Kitching shows that the new crops had, by 1970, been adopted by approximately one-third of smallholders. The adoption of the new crops increased the incomes from agricultural activity, and using survey evidence, he suggests that by 1970 households could be divided into four categories according to their farm

incomes: (i) large holdings with one or more of the new small enterprises (high incomes); (ii) small smallholdings with one or more of the new farm enterprises, and (iii) large smallholdings without any of the new farm enterprises (both intermediate income); and (iv) small smallholdings without any of the new farm enterprises (low incomes) (p.330). He seeks to explain the pattern of differentiation and argues that off-farm income is important to both the richest and the poorest households (for different reasons) and that there is a "close relationship between above-average farm incomes from larger holdings and access to off-farm incomes" (p.361). Focussing on the poorer households, "those left out in the cold by the 'agrarian revolution"', he writes: Thus those left out were those with the ecological opportunity but without the land, capital or labour power to take that opportunity .... those without the ecological opportunities and without enough land to make up for yield deficiencies by the size of cultivated area .... and those with the land and the opportunity, but essentially without the capital. Common to all of them was the marked narrowing of alternatives due to the lack of access (either in 1952-70 or before) to sufficiently large sources of offfarm income. With such sources land could be bought or, if the latter was poor or semi-arid, better land could be bought elsewhere. It was thus the 'elbow room' given by access to above average off-farm income (particularly wages and salaries) for which it was so prized. Failing access to it, the only alternative was the diversion of labour power off the holding into lowpaid offfarm employment to take the subsistence strain of the holding and perhaps raise household subsistence levels a little. But of course there was always the hope that the latter form of adaptation to rural poverty (what might be called a migration out of poverty into poverty) could be turned unto the former by upward mobility. The aim of every migrant was to turn 'average' or 'below average' off-farm earnings into 'above average' earnings, and thus start on the path of accumulation which he had seen others tread. (p.373- 4) An important element in Kitching's account is that off-farm income was crucial for both richer and poorer households (either for accumulation or to supplement subsistence). What mattered in determining the pattern of differentiation was both the level of remuneration (which depended on what the off-farm employment was), and also "the time at which it was acquired, the period for which it was available and the price of land over that period as a proportion of income". He describes a situation of closing opportunity in the sense that with increasing land shortage and escalating land prices, "the 'land purchase' power of the nominally higher salaries in the early 1970s was probably less than that of smaller money incomes obtained in the 1940s and 1950s" (p.371). By the 1970s, too, "the type of labour market to which a household sent its labour power was a good indication of its relative

prosperity", in that 'la poor household would be involved -almost entirely in the urban and/or rural informal labour markets, while a more prosperous household would be far more likely to have its labour power concentrated in the higherincome occupations of the urban formal sector and to be hiring in the labour power of the poorer households" (p.403). Significantly, Kitching argues that the interrelationship between agricultural livelihoods and off-farm labour markets changed over time - "Whereas up to 1952 trends in the wage labour market were primarily explicable by agricultural change on the smallholding, after 1952 to a very large degree trends in agricultural production became the dependent variable controlled by the off-farm labour market" (p.374). Kitching's study is a classic example of "straddling", and it points to the importance of exclusion from labour markets as a critical factor in determining exclusion from remunerative agricultural livelihood. A further study by Cousins, Weiner, and Amin (1992), which summarizes the literature on current patterns of social differentiation in the communal lands (former "Native Reserves") of Zimbabwe, also shows the importance of off-farm employment, and complements Arrighi's historical analysis (above). The study shows that differentiation through straddling is also important under indigenous land tenure systems, and it throws further light on the "land-grabbing" described in the last section. Cousins et al. identify four distinct categories of household in the communal areas: (i) "households which regularly produce a surplus, invest in the agricultural means of production, and hire significant amounts of wage labour" ("rural petite bourgeoisie"); (ii) "households able to reproduce themselves from rural production alone" - including agriculture, craftwork, beer-brewing, construction, etc. ("petty commodity producers"); (iii) "households able to reproduce themselves through a combination of rural production and wage labour" ("worker-peasants"); and (iv) "households unable to reproduce themselves, from whatever source, without external assistance from either other households (usually within the some kinship network) or from the state (usually in the form of drought relief)" ("a lumpen semi-peasantry") (pp-11-13). The critical processes enhancing social differentiation are a series of interlocking patterns of unequal access - unequal access to land, livestock, technology and agricultural capital; inequalities in wage labour incomes; and unequal political clout at the local level, which is important as access to resources is "skewed by political capture" (p.16). These processes intersect with differentiations by agro-ecological zone, gender, and generation. Important observations of Cousins et al., which probably have wider applicability, include the assertion that "The distribution of land is usually less skewed than other assets such as livestock and technology" (p.13); and "Inequalities in wage labour incomes contribute to inequalities ownership of means of agricultural and livestock production, in both the short term (the purchase of inputs for annual cropping activities and he hiring of local wage

labour), and the longer term (investments in tools, equipment, livestock)" (p.14). Cousins et al. argue that there are a number of constraints on differentiation, including the indigenous tenure system, kinship relations in rural areas, and the general difficulty of accumulation in what are marginal areas. The historical circumstances of the 1980s are also foreclosing options. Because of a lack of formal sector employment opportunities (net new jobs are said to absorb only 10% of the million school leavers since Independence), "the strategy of capitalizing an agricultural base through savings from wage employment is becoming less viable over time" (p.16). Moreover, whilst there is no landless class, the numbers of households who may be described as part of the "lumpen semipeasantry" are increasing. As Cousins et al. put it: The combination of unemployment, environmental degradation and drought is responsible for a 'reproduction squeeze' for many of rural households; in some regions relative over- population is stretching the resource base to the limit increasing the number of households falling into the ranks of the lumpen semipeasantry. A significant proportion of these are female-headed and relatively young households, and in general this trend is more marked in the semi-arid regions of the country (p.19). 3.4 Female-Headed Households To conclude this section,it is worth underlining the position of female-headed households with agricultural livelihoods, who are often poor because of limited ability to mobilize labour for farming, restrictions on access to credit and inputs, and exclusion from off-farm income. These are an important "excluded group" in southern Africa, where a common pattern is for the men to migrate to work in the urban areas and the women to work land to which they have access through continued use under indigenous tenure systems (see Bush, Cliffe and Jansen 1986). The internal dynamics of these "doubly-divided' households is complex, and conflicts, and abandonment, may particularly reflect the impossible position both women and men find themselves given their allotted gender roles in conditions of economic stress (see Whitehead 1990 for a brief,but subtle account). But whatever the dynamics, There is a strong correlation between the destitute, 'poor peasant' families and the women- headed households who number roughly 30% of rural households in most of southern Africa. many of these are without regular remittances of earnings from elsewhere and their own production is massively constrained as they have less chance of access to land, and to oxen for ploughing, and are also short of labour at crucial seasons, with the result that, in Botswana, 80% of all those working for rations' in drought relief projects were women. (Bush, Cliffe, and Jansen 1986: 298-99).

A good case-study, which documents the process of exclusion of women from credit and inputs in an agricultural development scheme in Malawi, is Chipande (1986). That study clearly shows how the inability of female-headed households to mobilize labour led to a poor credit rating for those households and, as a result, severe restrictions on access to inputs.


Labour market research in SSA is characterized by (i) a relative neglect of rural and agricultural labour markets, and (ii) a dualist framework which divides urban economies into a formal and informal sector. It is generally assumed that it is possible to find some work to do in the informal sector, even if it is poorly remunerated, insecure and intermittent. Thus, exclusion is not manifested in open unemployment (which exists and is an increasing problem, but which affects, particularly, relatively welleducated young people, especially secondary school leavers - see Sandbrook 1982, pp. 168-172). Rather it is evident in the way in which certain population groups face restricted options within labour markets. Within the literature, some studies help in identifying factors facilitating and restricting access to more or less remunerative types of jobs. The factors identified include, as Rodgers (1989) has observed for Asian and Latin American cities, both universalist criteria (such as educational qualifications, access to capital for self-employed) and particularistic social affiliations and identities (membership of groups, nationalities and categories). The main social identities for which information is available refer to: gender, ethnic group and nationality. 4.1 Patterns of Labour Absorption The way these factors work is best seen against the background of patterns of labour absorption and the worsening employment situation in Africa. Ghai (1988) surveys trends in 21 Sub-Saharan African countries (those with over 5 million people in 1979) over the period 196085. He finds that "there has been a steady deterioration in the employment situation in most sub-Saharan African countries in the 1970s, with marked deterioration in the 1980s" (p.20). Significant structural change occurred over this period according to aggregate indicators - "the share of agriculture in total output fell from 49 to 32 percent between 1960 and 1980, agricultural labour force fell from 81 to 71 per cent and the proportion of the urban population nearly doubled from 11 to 21 percent" (p.5). But the share of manufacturing in total output "rose only marginally from 7 per cent in 1960 to a mere 8 per cent in 1982" (p.5). The structural change was not associated with economic growth in most countries.

With continuing growth of the labour supply combined with economic stagnation and decline, the employment situation inevitably declined. Ghai argues that the burden of labour market adjustment which has been occurring since the mid-1970s has fallen on the urban sector. Urban labour markets have adjusted "through sharp reductions in real wages which have helped sustain employment in the formal sector and a rapid expansion of the informal sector with falling wages and earnings, resulting in work-sharing and increasing underemployment" (p.20). The rise in open unemployment has been limited, even though rural-urban migration has not reduced significantly. The fall in real wages, which has been particularly sharp in the 1980s, is confirmed and extensively documented in Jamal and Weeks(1993). Vandemoortele (1991) also provides further details of trends in the 1980s, which have occurred in association with World Bank/IMF adjustment programmes. He indicates that during the period 1980-86, for 27 countries for which data are available, real wages declined in 26 of them, on average by approximately 30%. There was also a compression of the wage structure, particularly in the public sector. "Formal sector employment in 36 countries, representing 95 per cent of the sub-Saharan labour force, accounted for only 9.9 per cent of the labour force in 1980" (p.92), and up until the early 1980s, the public sector was the principal employer, "responsible for 50 per cent or more of modern sector wage employment" (p.92). In the 1980s retrenchment of public sector workers has occurred, but formal sector private employment has not expanded concomitantly. With the stagnation of modern sector wage employment, labour markets have, he argues, become increasingly informalized. "About 60 per cent of the urban labour force are in the informal sector, either as proprietors, paid employees, unpaid family workers or apprentices" (p.91). Vandemoortele says that the two main labour sponges, the informal and agricultural sectors of the economy, are becoming saturated, and unemployment is mounting. "The number of urban unemployed is currently growing by 10 per cent or more every year in many countries" (p.94), but the main category is secondary schoolleavers. Echoing Ghai, he argues that the informal sector 'lis increasingly operating as a refuge which eases the extent of unemployment by converting it into underemployment" (p.99). Projections into the future are also bleak. The ILO has estimated that in 1990 there were 9 million unemployed in sub-Saharan Africa and that the number will increase to 28 million during the 1990s, with urban employment rising to 31% (ILO/JASPA 1991). The World Bank, in its long-term perspective study on Sub-Saharan Africa, estimates that even if population growth slows down to 2.75% a year, 380 million jobs (more than twice the current number) must be created between 1985 and 2020 if the unemployment rate is to be less than 10 percent. It states that "only a fraction of the new workers who come on the job market each year will be able to find employment in the modern sector, even under the most optimistic scenarios" (World Bank 1989:41), and, in an

indicative scenario, postulates that only 22 million new jobs will be created in the modern wage sector by 2020. The informal sector ("small and micro enterprises") is projected, as a statistical residual, to absorb almost half of the new entrants to the labour market. 4.2 Poverty, Education, and Job Access - Formal Sector Educational qualifications above primary school level are a key determinant of relative wages and salaries within formal sector employment The fullest recent exploration of the relationship between education, work and pay is an analysis of wage and salary -earners in Nairobi and Dar es Salaam based on surveys conducted in 1980 (Hazelwood 1989). The Eastern African case is interesting in that it allows comparison of two countries in which postprimary education has been expanded to different degrees. "Fifty per cent of the Nairobi labour force and 66% of those not more than thirty years of age have post-primary education in Nairobi as compared with 38% and 41% in Dar es Salaam" (Hazelwood 1989, p. 280). Analysis of the two situations indicates the extent to which equalizing access to secondary education is likely to have an equalizing effect in labour markets, in terms of access to high-level jobs. The main results of the survey are as follows: 1. Wages rise with education, and the rise is particularly large for employees with secondary over those with primary education, and again for those with post-Form IV [senior secondary] education ... The premium paid to employees with post-IV education over the uneducated in Nairobi is twice that in Dar es Salaam--500% compared with 250%" (p. 280). 2. With increases in the supply of the educated, a "filteringdown process" takes place in which "educated persons are absorbed into jobs lower in the hierarchy of occupations than was customary for persons with those particular educational qualifications to enter in the past" (p. 282). For example, "a much higher proportion of junior secondary educated enter manual occupations among recent than among earlier recruits" (p. 282). 3. Family background is an important variable affecting educational qualifications in the sense that "the easiest way, in both Kenya and Tanzania, to ensure a secondary education is to have secondary-educated parents" (p. 282). With expansion of secondary education places, there is a higher probability that children of less-educated parents will gain access to secondary education. But as long as there is selection by academic performance at various steps on the educational ladder, the advantages of family background are felt at some point, with more the children of more educated parents achieving better results at higher points on the ladder.

4. "The process of filtering down ensures that the 'underprivileged' will not rise in the occupational hierarchy simply because more of them move up the educational ladder. They are, in effect, running up the down-escalator; more education does little more than keep them in their father's jobs" (p. 286). The greater premium paid to employees with post-IV education over the uneducated in Nairobi as against in Dar es Salaam is somewhat paradoxical given the greater expansion of secondary education in Kenya. The difference is attributed to the relative effectiveness of pay policy designed to narrow the distribution of earnings. The effectiveness is higher in Dar es Salaam as a higher proportion of employment is in the public sector. The process of filtering down has also occurred in Nairobi to a much greater extent than Dar es Salaam. The effect is that educational expansion has failed to lead to intergenerational job mobility. As Hazlewood puts it, "the much greater expansion of secondary education, drawing in many more, and a much higher proportion, of the children of the uneducated in Kenya than in Tanzania, has made access to secondary education more equal in Kenya, but it has not had a similarly equalizing effect on the labour-market, on the access to higher-level jobs" (p. 286). These findings are likely to replicated elsewhere. 4.3 Poverty, Education, and Job Access - Informal Sector In early conceptions, the informal sector was seen to consist of self-employed artisans and traders, whose enterprises drew principally on household labour. School education was not an important entry qualification; and a basic characteristic of enterprises within the sector was "ease of entry". A common view was that employment in the informal sector was less desirable than employment in the formal sector, and only chosen because of the labour market imbalance arising because of the slow growth of formal employment opportunities and the rapid increase of those seeking work. Thus, Kitching (1980), analyzing the situation in Kenya, writes that: With the significant but untypical exception of a narrow stratum of employers and the self-employed in certain occupations, the so-called 'informal sector' in Kenya, just as in other parts of Africa, is a collective description of a motley assortment of activities which the reserve army of the unemployed undertakes in order to keep itself alive whilst wanting and hoping for the economic system of which it is part to provide the more remunerative occupations which will make upward mobility a possibility" (p. 405). And for Elliott (1975), the urban excluded in Africa were "those who cannot find jobs in the formal ... enumerated sector ... the relatively under-educated and unskilled who are squeezed out of the formal sector. (p. 278). This view must now be refined in the light of empirical studies, of what was traditionally regarded as the informal sector, the decline in real wages in the

urban formal sector (documented most fully by Jamal and Weeks 1993); and the emergence of highly profitable "informal" distribution activities (magendo in Uganda, kalebule in Ghana) in the so-called parallel economy, which have become major new sources of capital accumulation in conditions of crisis and recession (see MacGaffey 1982, and Roitman 1990 for overview of literature). Certain categories of work within the informal sector remain as employment opportunities of the last resort, which, to repeat Kitching's phrase, "the reserve army of unemployed undertake to keep itself alive", whilst other categories are highly remunerative. Recent studies which indicate patterns of differentiation within the informal sector labour markets include House (1984), House (1987) and Widner (1991). House (1984) reports that the results of a survey conducted in 1977 in Nairobi in which 577 heads of informal sector activities, defined as those operating out a temporary physical structure or no structure at all, were interviewed. House noted that incomes within the informal sector varied widely, with the lowest rewards accruing in those activities with low capital and skill intensity, for example, tailoring, shoemaking, and all service sub-sectors except vehicle repairing. The most important determinants of income were availability and employment of capital, and access to subcontracts through which informal sector artisans in, say, furniture-making and metal goods supplied the formal sector. The differentiation within the informal sector is such that House argues that the informal sector can be dichotomized into an intermediate sector ("a reservoir of dynamic entrepreneurs", "where a firm commitment has been made by the operators to their enterprises") and the "community of the poor". The latter is described as 'la relatively stagnant group engaged in menial employment with subsistence returns to their efforts" (p. 281) and "a large body of residual and underemployed labour" (p. 298). Significant numbers live in the "community of the poor", which includes both proprietors of activities for which entry is easy and competitive fierce and a large number of informal sector employees. House estimate that "42% of proprietors and perhaps 50% of employees receive less than the legal minimum wage" (p. 298). House (1987) reports the results of a survey of 536 informal sector enterprises conducted in Juba, Southern Sudan, in 1983. From this survey, he concludes that: "In general, the unskilled and relatively low skilled labour market in Juba appears to have three major segments. The first entails the majority of proprietors, other than petty traders, who earn more than they would expect as unskilled or semi-skilled labourers in government; the second includes those earning between S30 and S50 per month who also enjoy the advantage of job security; and the third segment embrace the two-thirds of wage employees in the informal sector and almost one-half of petty traders who fall near to or below the government minimum wage, and who are exposed to great income and job insecurity. A minority of other proprietors, outside of petty trade, also

fall in this category" (p.184). As in the Nairobi, the more remunerative enterprises are those in which competition is less fierce because of higher initial capital requirements. These requirements vary considerably, being highest in transport (S12,000), medium in construction(S3000) and auto repairs (S1000), and lowest in petty trade. There was a tendency for proprietors in more remunerative operations to have higher levels of formal education, and, extending the data to estimate the income of the households of informal sector proprietors, House finds that there is a strong relationship between incidence of poverty and lack of education. Widner (1991) summarizes the results of a survey of 412 entrepreneurs in three secondary cities in Kenya, Kisii, Nyeri and Embu, in the mid-1980's. As in House's surveys, different types of activity are more and less remunerative. Using estimates of the level of initial capital requirements as a differentiating criterion, Widner identifies four main categories of entrepreneurs: (i) fruit and vegetable hawkers, newspaper salesmen and shoe polishers; (ii) "tinkers" (vendors of plastic containers, enamel ware, used clothing and the odd item of hardware; (iii) tailors and shoemakers; and (iv) metalworkers, mechanics and furniture makers. Category (iv) activities have the highest initial capital requirements and proprietors of these activities have the highest level earnings. These activities are almost exclusively owned by people who had current access to land and the capital used in them was often derived from agricultural production. They also were more likely to receive subcontracting orders from formal sector. A majority of the proprietors interviewed had completed primary level education, but a quarter of those in crafts such as furniture construction only left school after reaching Form 4, the cut-off point for university level education. The other categories of activity are regarded as equivalent to what House identifies as "the community of the poor", in which fierce competition restricts sales and earnings. From these studies it may be suggested that the critical requirements for access to more remunerative jobs within the informal sector is access to capital. Apprenticeship, which some Nigerian evidence suggests is undertaken as a second-best alternative given inability to pay for secondary education (Meagher and Yusuf 1991), provides the main way in which commercial and artisanal skills are acquired. Apprentices work as unpaid labour during the period they are being trained, and surveys show that their earnings are almost inevitably below the legal minimum wage. But the critical problem arises if they do not have the financial means to establish an independent selfemployed proprietors. One solution is to work as journeymen for their master, taking a proportion of earnings. Another is to raise money through friends and relatives, or a brief period of wage employment. Other requirements for access to more remunerative jobs within the informal sector are access to inputs and access to customers.

In both, networks of friends and relatives may be important. Gerry (1975), in an early study, identified the "miserable fringe of petty production" as that of recuperation and "bricolage", which involved a range of activities including the salvaging of "rubbish" from dustbins by itinerant collectors who make very low incomes by "reselling old shoes to shoe makers, plastics bags and wrappers to women peanut sellers, plastic mineral water-bottles to restaurants (cut in half, they make an effective funnel, the lower half serving as a receptacle for salt, pepper, sauce, etc.), newspapers for small shops for wrapping paper and so on" (p. 22). Competition for customers is potentially intense in activities where barriers to entry are low. Perhaps the major conclusion is that (i) the informal sector as a whole is a zone in which there are high levels of uncertain and insecurity and an absence of legally recognized contacts and government recognition of property rights; (ii) within the sector significant proportion of jobs are very unremunerative; and (iii) the critical determinant which denies access to the few remunerative jobs is poverty. 4.4 Job Access and Social Identity - Gender Women's opportunities to find jobs are restricted through (i) household-level decisions and (ii) discriminatory practices in labour markets. Sender and Smith (1990) provide detailed micro-level statistics for the West Usambaru district in Tanzania which indicate the importance of the household as an exclusionary mechanism. Sender and Smith are concerned to explain two paradoxes about the nature of labour supply in the district. The first paradox is that although extreme poverty was widespread in the district, small holder and estate employers growing tea emphasized that labour shortage was a major constraint on tea production. The second paradox is that whilst some very poor households are not supplying wage labour, some households which are simply poor are. Sender and Smith's data indicate that "amongst very poor households with negligible access to non-wage sources of income, participation in manual agricultural wage labour is determined by the capacity of men to resist the proletarianization of their wives and children" (p. 63). Sender and Smith view the household as an arena of struggle in which men control both land, and the allocation of female labour, and women's share of current consumption is the outcome of a distributional struggle. The labour of a woman cannot be appropriated if she is not married, has never been married, or is divorced or deserted, or is a widow whose deceased husband did not leave adequate resources. Sender and Smith divided households into "male/female" (when husbands are resident, or even if not full-time resident, made regular visits and financial contributions) and "female-only". They found that "female-only households constituted 66% of all poor households supplying manual agricultural labour" and "almost 89% of female-only households in the survey contained at

least one person employed as a manual wage-labourer, compared with 41% of male/female households". Sender and Smith emphasize the role of power relations within the household, including the threat of physical violence, in restricting women's participation in labour markets. Similar exclusionary outcomes have been explained by authors who view the farm-household as a more consensual unit within which decisions are made to allocate the labour-time of different household members between farm and off-farm employment according to their wage-earning potential. From this "comparative advantage approach" to labour migration, which has been elaborated in detail with both a literature review and a compilation of data in southern Africa by Lowe (1986), it is argued that "in the prevailing wage employment market in southern Africa, young educated and adult male members have the best off-form job prospects. It will then be the older, less well-educated and female members of the household who are left to do most of the farm work" (Lowe 1986, p. 127). Labour market discrimination against women is evident in wage discrimination, which is evident when, within particular occupations, there are wage differences which cannot be explained entirely by personal characteristics and credentials; and in job discrimination, in which there is unequal access to higher paying occupations for non-economic reasons. Two statistical studies of formal sector employment look at the prevalence of these two forms of discrimination in a statistically sophisticated way. They suggest that whilst women suffer from both wage and job discrimination, the latter form of discrimination acts as a more important restriction on their earning capacity. Knight and Sabot (1982), using a 1971 establishmentbased survey of some 1000 randomly selected workers in the Tanzanian manufacturing sector, found that, at that time, "the mean wage of males is substantially in excess of the mean wage of females", but the difference could be statistically explained by differences between the two sexes in terms of level of education, employment experience, formal training and "other personal char~ acteristics" (p. 85). Males and females had similar levels of formal education, but very few women were in supervisory or skilled occupations. More men had formal learning; their experiences in previous wage employment was longer; and they were older. Knight and Sabot foresaw the possibility of increasing differentials between men and women in that the occupations within which women were clustered had more restricted options for accumulating human capital (and thus increasing earnings) in employment. Cohen and House (1993) report the results of a survey of 7577 formal sector employees (of which 1624 are female) in Khartoum. They note that "labour force participation outside agriculture for Sudanese women is difficult and generally an option only for those with a significant amount of education" (p. 479). The average female wage is 0.77 of the average male wage in the whole

sample. This difference is explained not by pay discrimination, but rather by occupation segregation. The women who work are generally better qualified and younger than the general female population. But they are clustered in particular low-paying and low-productivity jobs. Almost half the women in the formal sector are confined to lower level white collar jobs, such as typists or clerks, and women are "grossly under represented" in professional and managerial positions. "Virtually no women worked as skilled or even semiskilled blue-collar workers" (p. 48), although some were messengers and cleaners. Cohen and House also found that "women require more qualifications to do similar work as men, or put differently, controlling for job characterization, women do the same work as less qualified men" (p. 474). 4.5 Job Access and Social Identity - Ethnic Identity The extent to which ethnic discrimination occurs within labour markets is a very complex issue. Caste systems of stratification (defined as "occupational specialization of endogamous groups, in which membership is based on ascription and between which social distance is regulated by the concept of pollution" - Tuden and Plotnicov 1970, p. 16) are rare, though they exist in the west Sahelian zone for certain crafts, such as blacksmithing (see Vaughan 1970). Ethnic identities are mobilized in specific situations for specific purposes. Kinship networks are inevitably used in the search for jobs, and moral pressure, to support kin and individuals of the same ethnic origin, is put on those who have the power to hire people, in order to obtain jobs. But the precise outcome of such strategies is not predictable, not least because ethnic identities themselves are highly fluid. In an important article, which is not primarily concerned with labour markets, Ekeh (1990) indicates the contrary ways in which access to different types of formal employment is affected by ethnic identity. The basis of his analysis is a discussion of the way the terms "tribe" and "tribalism" are used-not by social anthropologists, but by people in Africa. He argues that: "while tribalism seems now abandoned in academic scholarship in African studies, with some proposing and indeed using "ethnicity " as its replacement, paradoxically, the use of the term tribalism is enjoying unprecedented boom not only in everyday interaction among ordinary Africans but more especially among high-ranking Africans in government and university institutions" (p. 661). "Tribalism", as a term in everyday usage in Africa, is, according to Ekeh, a counter-ideology to "the body of ideas and practices that have enthroned kinship as a governing principle of private and public behaviours of individuals whose identity thus rests on their kinship associations" (p. 689). The counter-ideology of tribalism defines "appropriate rules of coexistence in polyglot and multiethnic communities" (p. 689), doing so in a negative way by postulating 'la set of behaviours that ought to be avoided in order to permit harmonious multi-ethnic existence" (p. 690). The counter-ideology "recognizes that although it is natural for individuals to be predisposed to enact behaviours that "reflect their ethnic

background and may well indicate their loyalties towards their ethnic groups, the actor ought to avoid such behaviours and even suppress them in the new circumstance of multi-ethnic coexistence" (p. 690). The counter-ideology of tribalism puts sanctions on "tribalistic" practices, behaviours which should not be enacted. But it does so in a situationally sophisticated ways. Behaviours which may be condemned in multi-ethnic circumstances are acceptable within ethnic "enclaves". Moreover, according to Ekeh, "post-colonial African communities have tagged certain elites in society as those who ought to uphold the new ethics of coexistence in multiethnic societies while sparing other actors at lower levels of society from the responsibility of upholding such ethics" (p. 690-691). It is this situational variability, in which "society seems to allow a distinction between low-ranking individuals who may live within the norm of their ethnic community and those high-ranking members of society, especially, if they operate at the national level, who are required to uphold and promote supraethnic Africa rules of coexistence in the multi-ethnic communities and states of Africa" (p. 691), which leads to the contrary ways in which access to different types of formal sector employment are affected by ethnic identity. Illustrating with the example of Nigeria, he writes: If the head ... of a department in a Nigerian University were to hire only persons from his own ethnic group, he would be labelled a tribalist by his colleagues and others in the university. Such a label would seriously lower such a professor's esteem and may well jeopardize his prospects for other major appointments ... On the other hand, if a lowerstatus person, say a foreman, were given the opportunity to hire persons in the university his first inclination would be to bring near to him as many people of his own ethnic group. He would not, however, be called a tribalist in the way that the head of the department would be labelled. Nigerians are more likely to laugh off such behaviour as expected anyway.(p. 691). Ekeh's approach, which focuses on ideologies, norms and, in particular, sanctions against ethnic discrimination, offers a useful framework for examining how ethnic identity affects access to formal employment. Within the informal sector of trade and petty commodity production, the effect of ethnic identity on access to specific types of work is related to the issue of trust. The importance of building trust in an environment of great uncertainty, in which there is an absence of legally recognized contracts and institutions for enforcing contract terms, has been identified by various authors as a central problem affecting social relations of work in the informal sector. But the extent to which resolution of this, and other technical, problems of doing business, depends on occupational segmentation on ethnic lines, or networks based on an exclusive ethnic identity, is seen differently by different authors.

Three possible positions with regard to this issue are exemplified by Cohen (1969), Hart (1988) and Berry (1986). Cohen's classic study documents how Hausa migrants in the Yoruba town Ibadan in Nigeria, have sought to monopolize the economic opportunities of the longdistance trade in cattle and kola nuts. Control of these trades is seen by Cohen as an important political stake which has been an object of competition between ethnic groups throughout this century. The Hausa migrants have maintained control of it through sustaining their ethnic distinctiveness. A central aspect of this process is what Cohen describes as the retribalization of the Hausa migrants - "a process by which a group from one ethnic category, within the framework of a formal political system, manipulate some customs, values, myths, symbols and ceremonials from their cultural tradition in order to articulate an informal political organization which is used as a weapon in that organization" (p. 2). In this account, a fixed and given ethnic identity is not seen as a type of discriminating filter through which people of different ethnic groups are allocated to different jobs. Rather, the competition for certain highly remunerative opportunities, and the desire to restrict access to those opportunities to a limited circle of eligibles, leads to strategies in which ethnic identity is itself defined and redefined. Cohen outlines the technical problems of long-distance trade in cattle and kola-nuts as: (i) "securing the continuous and rapid exchange of information between traders in the various centres about conditions of supply and demand"' (ii) speedy despatch, transport and sale as both kola nuts and cattle are perishable goods in the sense that their value deteriorates over time; and (iii) the organization of credit and trust "without which trade will not flow" (p. 19). These problems must be overcome in an environment in which "Because of the lack of a high degree of affective centralization, contractual relations cannot be easily maintained or enforced by official central institutions while modern methods of insuring goods in the various stages of transit between suppliers and retailers are not developed, since security of property is not very high" (p 20). In these conditions, to which one may add low literacy, no exchange of documents, and no regular exchange of correspondence, Cohen insists that the formation of ethnic monopolies controlling trade in particular commodities is probable. As he puts it, "under these conditions the technical problems can be efficiently and hence, economically overcome when men from one tribe control all or most of the stages of trade in specific commodities" (p. 20) Thus, "Hausa northern dealers will entrust their goods and money into the hands of Hausa 'brothers abroad', who live within a highly stable and organized Hausa community" (p. 22). Which ethnic group controls trade in a particular commodity is an indeterminate question depending on a range of political, economic, cultural and historical factors, including, for example, the ethnic group which are the main producers or consumers of the commodity. But whichever group does control a trade, it needs to sustain control by defeating

usurpation by other groups. "In the process", Cohen writes, "the monopolizing tribal community is forced to organize for political action in order to deal effectively with increasing external pressure to coordinate the cooperation of its members in the common cause and mobilize the support of communities for the same tribe in neighbouring towns (p. 20). Cohen shows how customary norms and values are mobilized in this political struggle. He indicates how, with the end of colonial authority, which, on principles of Indirect Rule, recognized the Hausa community in Ibadan as a political entity, the basis of Hausa distinctiveness was threatened. He argues that community adopted the Tijaniyya mystical order (a particular Islamic brotherhood) and thereby maintained its exclusiveness, preventing the creation of primary moral relations between Hausa and Yoruba. Through this redefinition of social identity, the Hausa sustained control over the trade. Whilst Cohen emphasizes the importance of ethnic exclusiveness to the successful organization of informal trade, Hart (1988), reviewing his field data from which he originally devised the concept of the informal sector, rejects the idiom of kinship and ethnic identity as a central model of building economic relations. Hart identifies uncertainty as a central feature of the live Frafra migrants in the Accra "slum" of Nima, and he suggests that "the central task of everyone [in Nima] was to find a reasonably durable basis for livelihood and even for accumulation, a stable core in the chaos of everyday life" (p. 177). In his earlier work, he identified multiple informal employment both with and without simultaneous wage employment as an individual strategy to survive and get ahead. In this later review he considers possible "models through which the Frafra migrants establish "durable relations of partnership and hierarchy" in building economic relations. There are three: firstly, legal contracts freely chosen and entered into and sanctioned by state law; secondly, customary moral institutions, founded on identities of kinship, descent and family; and thirdly, "a zone of free-floating social relationships formed by choice in the expectation of mutuality" (-. 178). He argues the Frafra have no confidence in the first because state law does not apply l-except in the form of occasional punishment, people are not socialized into making legal contracts of this sort, and the erratic nature of markets makes substantive conditions of rational calculation largely absent,' (p. 189). But he also maintains that Iethnic solidarity found expression in beer talk and kinship was a domestic relationship of uncertain moral provenance" (p. 178). But customary moral institutions based on the identities of kinship, descent and family are also not the main model for economic relations. As he puts it: The institutions do not travel en bloc to Accra, and some of the important public sanctions of domestic hierarchy are missing: lineages, ancestor worship, the security of the homeland. The migrant community... is not closed or powerful enough to shore up the authority and reliability of kinsmen. In any

case kinship is a poor foundation for the reckoning Of two- sided economic relations, especially unequal relations, since its central postulate is identity, sameness, a collective self defined by opposition to a generalized other. The idea of shared but separate interests cannot be expressed through a kinship idiom. Not surprisingly Frafra migrants lose faith in their traditions as a viable framework for urban economic life (p. 189). This leaves the key organizing model for economic relationship "association based or friendship", which Hart describes as "the negotiated order of free individuals joined by affection and shared experience rather than by legal sanction or ties of blood" (p. 178). In these relationships trust, which Hart defines as "the negotiation of risk occasioned by the freedom of others whom we know personally to act against our interests in the relative absence of constraints imposed by kinship identity or legal contract" (p. 191), is centrally important. And Hart, generalizing his argument, suggests that relationships based on trust (in his sense) are central to social life "in weak states or relatively lawless zones of publiclife and in the transition to capitalism, especially in the mercantile spheres of circulation where credit is so important-but not as a basis for industrial production and the division of labour" (p.191). Hart's argument, whilst pointing to similar technical problems to Cohen, suggests that ethnic relations are not central to economic relations in informal trade. But is important to note that the migrants he studied included many who are very poor as well as some more successful businessmen, and that he also found that the successful entrepreneurs tended to have made a break with traditional religion and become Muslim and Christians. This act, he noted, both "created some social and cultural distance from the axioms of a society where personal freedom is hedged in by kinship obligations on all sides", and also conferred "membership of new associations which lend organization and sanctions to negotiated social relationships" (p. 190). The work of Cohen and Hart exemplifies two positions with regard to the ethnic segmentation of informal employment opportunities. Another modulated position with regard to ethnic relations and job access is put forward by Berry (1986). Looking at motor mechanics in Ife, she suggests that kinship ties are important for getting started in self-employment (with kinsmen and home-neighbours providing contacts that enable young men to become apprentices, and also food, shelter, patronage and financial assistance during a young man's initial period of training and capital formation), but that "the personal relationships and loyalties through which mechanics seek to increase their returns and reduce the risks of doing business are not the same as they used in getting established". Mechanics do not, as a rule, do business with their relatives. Neither the Ife mechanics association, nor individual partnerships, are organized on kinship or community lines (p. 190). Thus, Berry concludes, "the growth of the informal sector in Western Nigeria would seem to have

created new forms of social relationship and institutions which do not necessarily coincide with or draw upon preexisting ones" (p. 190). 4.6 Job Access and Social Identity - International Migrant Workers With increasing international migration, nationality and the legal status associated with it has become an important axis of a labour market structure. Analyzing new forms of stratification associated with international migration flows, Cohen (1987; 1991) distinguishes between three subgroups of worker: "citizens", who include nationals by birth and naturalization, established immigrants and convention refugees; "denizens", or privileged aliens, who may hold one or more citizenship, are recognized asylum seekers, special categories of entrant or expatriates; and "helots", who consist of "illegal entrants undocumented workers, asylum seekers, overstayers and project-tied embedded workers. The different groups have differential access to the protection afforded by agencies of law and order, also to the social wage which is conferred on citizens--unemployment benefits, social security, housing allowance, tax credits, pensions and subsidized health care. Within Africa, there are significant numbers of international migrant workers and refugees. One estimate suggests that these groups number approximately 35 million people, about 8 per cent of Sub-Saharan Africa's population (Ferris 1993:130). Omitting the case of apartheid South Africa and its "homelands", it is possible to suggest that international migrant workers within Africa face different problems identified by Cohen. These groups are not disadvantaged by the denial of rights to the social wage, and they are not necessarily clustered, as in North America and Western Europe, in the most unpleasant jobs, which nationals refuse to do. Rather, they are disadvantaged in terms of: (i) legal restrictions on access to particular types of job; (ii) discrimination, which may be intensified through lack of documentation; and (iii) vulnerability to changes in immigration policy, which are most vividly expressed in sudden expulsions of aliens. There is little material on the first two forms of disadvantage. Studies of informal sector employees in Juba found that discrimination against foreigners occurred in respect of pay (House 1987, p. 891); and of formal sector employees in Khartoum found Ethiopian refugees to be clustered in the two lowest skill based occupations. Legal restrictions in access to particular types of job are also associated with indigenization decrees (see Collins 1975; Rood 1976; and Adediji 1981). A compilation on some of the restrictions to which non-nationals were subject in the early 1970's in Wet Africa, has been made by Ahooja-Patel (1974). The phenomenon of expulsion of aliens has attracted more attention in the literature, and it has been theorized within the context of changing definitions of the "stranger" at the end of colonial rule (see Shack and Skinner 1979; Peil

1971; Aluko 1985; Brydon 1985). The studies provide some indication of the scale of international migration. For example, it is estimated that 3 million persons were expelled from Nigeria in January 1983 at short notice. The migrants included a million Ghanaians, approximately 10% of that countries' population. In December 1991, the Congolese government expelled Zaireans living illegally in the country, who were estimated to be as many as one million people (compared to the indigenous population of two million). In general, it is unskilled labourers; the self-employed, particularly traders; and farm labourers, who are required to go. In the Nigerian expulsion of 1983, professionals such as lawyers, engineers and architects were allowed to stay and merely required to regularize their legal position. The studies indicate the expulsion orders may be related to economic recession. The Alien Compliance Order enacted in Ghana in 196? occurred in the midst of a liberalization programme and the Nigerian expulsion followed the introduction of an austerity package by 9 months. Whilst the tendency towards economic regionalism may offer some countervailing trends, it is likely that nationality will become a more important focus of labour market discrimination in Africa in the future. In this regard O'Brien (1983; 1986; 1987) offers an important account of the historical development of the agricultural labour market in Sudan. In the early 1980's, the agriculture work force consisted of between 1.5 million and 2 million seasonal labourers, mostly peasant and pastoralists for the rest of the year, who worked in weeding and harvesting operations in State and private plantations, including in the Gezira scheme. O'Brien is particularly concerned to describe and explain changes in agricultural labour market which occurred in the mid-1970s. In the period from 1950-75, he argues that the labour market was very segmented, with a major difference between the labour force for cotton-picking, which was dominated by family groups, including women, children and old people migrating and working together, and the labour force for sorghum and sesame harvesting, which was dominated by individual male migrants. There was a system of recruitment (which had evolved from the earlier colonial period) in which representations of growers' associations, or (in the Gezira scheme) tenant committees, would travel to labour supply areas to make contact and recruit labour, making transportation arrangements for them and working through an influential member of the local community. Different sorts of people were attracted to the different segments of the labour market (depending on whether they were sedenterized or partially sedenterized nomads or peasants engaged in rainfed agriculture, and depending on the gender division of labour and location of the community of the latter). Thus a pattern of ethnic segmentation characterized the labour market until 1975 . As O'Brien puts it, "the boundaries between various segments of the agricultural labour market were defined in the first instance in ethnically identifiable terms, modified to a greater or lesser extent by geographical location. That is,

knowing an individual's ethnic identity was the single most reliable indicator of the manner and type of their involvement in agricultural wage labour" (p. 27). After 1975, this system breaks down. There is a rapid rise in wage rates after two decades of relative stability; wage rates in cotton picking and in small local markets increased faster than wage rates in sorghum and sesame harvesting and in the big schemes thus breaking down major differentials which previously existed; there is increasing individualization of the market for labour power as migrant families have not been able to mobilize large family-groups to work in cotton-picking as males aged 18-45 have sought work in sorghum and sesame harvesting; and the effectiveness of the recruitment system has declined as migrants elected to finance their own travel to the scheme areas to negotiate the highest wages they can find. O'Brien describes the shift which has occurred as "a fundamental restructuring of the previous highly segmented labour market toward the formation of a truly national labour market" (p. 27). In this process, there is a shift away from the ethnic structure of the labour force. Now "structural unemployment" and underemployment together with increased competition among workers have begun to replace the recruitment system and other extraeconomic devices in regulating the supply of cheap labour to the agricultural schemes" (p. 32). In this process, non-nationals have become a critical element in labour-force stratification. Thus, O'Brien writes: Policies related to the Nationality Act of 1948 and its narrowly restrictive definition of Sudanese nationality have assumed a broader role in the stratification of the labour force. Access to government employment, trading licenses, charcoal-making permits, etc. is restricted to holders of valid Sudanese nationality certificates .... The effects of such policies [which apply to descendants of West African immigrants, members of a number of other non-tribal groups and resettled Eritrean and Ethiopian refugees] is to foster hostility between sections of the labour force and a primary stratification of the labour force into groups defined as "Sudanese" and "foreigners". In the process, the earlier ethnic structures of the labour force which integrated various cultural groups into different sectors based on their varied internal characteristics is replaced by a specifically social structure defined ideologically in the first instance by nationality. (p. 32). This shift from ethnic discrimination to discrimination against non-nationals could represent a significant transformation which is occurring in Africa.


The organization and expression of group interests within society and the representation and realization of interests through state institutional arenas are subjects of a vast and complex literature. Notions of exclusion persistently recur in this literature, though "exclusion" is not a key word and conceptualizations of exclusion vary with the analytical paradigm, the focal problematic and the changing nature of African political economy. In the 1960s, a major focus of attention was the analysis of electoral politics within the constitutional arrangements, usually modelled on European institutions, which were established at Independence. An important theme in this literature was the effect of ethnic identity on political action, and a key problematic was the extent and nature of political integration, which was said, in the language of the time, to involve a transition in which "backward" tribal identities became less politically salient and "modern" national identities became more salient (see, for example, Cohen and Middleton, 1970). Exclusion of particular ethnic groups was identified as a danger to the successful realization of the ongoing processes of incorporation, and the concept of the plural society proposed by Furnivall to understand colonial situations, was refashioned in an effort to grasp the dynamics of exclusion and inclusion in a multi-ethnic context (see Kuper and Smith, 1969). By the 1980s, with recurring military coups, increasingly personalistic and authoritarian rule, the withdrawal of wide sections of the population from engagement with state institutions, and the outbreak of a number of insurrections and civil wars, the focus had shifted to the causes of political crisis in Africa and its relationship to economic stagnation. The thrust of the literature was to understand the nature of the post-colonial State. A range of analytical perspectives are being applied to this task including: applications of the Weberian notion of the patrimonial State (see, for example, Callaghy 1986 and 1988; and Ghai 1993); adaptations and modifications of this notion, such as "neopatrimonialism" (Mdard 1982) and "prebendalism" (Joseph 1987); Marxist analyses of contradictions of accumulation (see, for example, Dutkiewicz and Shenton 1986); applications of Gramscian notions of hegemony (Bayart 1993); Foucauldian analysis tracing political departicipation to the discursive practices of the State, notably the deployment of development policy discourse (Ferguson 1990); and international perspectives which associate decolonization with the creation of totally new bases of statehood (Jackson and Rosberg 1986). Given the variety of perspectives, it is difficult to summarize the patterns and processes of political exclusion which this literature suggests. However, a number of generalizations can be made. Firstly, African States have a different rationality to that described in Weber's ideal type of the "legal-rational State", in which authority is impersonal, deriving from the rules of a constitution; bureaucracy is based on a system of rules which define the offices, powers and functions of bureaucrats; and equality before the law is upheld by an

independent judiciary. Secondly, although there is much disagreement about what the precise rationality of African States is, and how it varies across the continent, two major frames of understanding processes of exclusion and inclusion are provided by analyses of clientalism and corporatism. Thirdly, a central feature of the pattern of representation is that, in the words of Dunn (1986:164), "The one social category in Africa which is by common consent rather successful in representing itself is the membership of the higher echelons of the state apparatus; career politicians, senior civil servants (particularly when involved in the regulation of international trade or the award of major public contracts), senior army officers, and the managers of state sector enterprises". Fourthly, in a clientalist system, exclusion from representation is seen in terms of lack of access to the economic advantages that pertain to government offices and a major axis of organization involves the formation of clientalistic networks and factions. Fifthly, the interests of peasants and proletarians have been poorly represented. The former group have been poorly organized and subject to a pattern of agrarian policies which fostered demobilization (see Bates 1981). They have tended to pursue localized covert forms of protest to state policies which exploited them and to seek individual ways of escape from predatory rule (see Isaacman 1990). The industrial proletariat, much smaller in numbers and concentrated in urban centres, have been, in the past, much more effective in securing representation of their interests. But, as Dunn (1986:167) puts it, "such representative efficacy as the proletariat has achieved has come predominanly from its location on the public sector pay roll and from its capacity to motivate African governments to distort rural-urban terms of trade by the threat of civil and political disruption in the immediate vicinity of the seats of government". Structural adjustment programmes have directly dismantled the bases of any relative privilege the industrial proletariat ever had (see Jamal and Weeks 1993). Sixthly, fair representation of ethnic groups is an important dimension of African politics. The degree of ethnic inclusiveness of African States varies between countries but there has been a tendency to seek to assimilate representatives from major groups. Seventhly, women have generally been excluded from political participation, though ethnic and class differences also affect their degree of representation. Since the late 1980s there have been significant movements to democratize African societies. The outcome of these processes, which have been driven by a combination of international pressure and internal social movements is as yet unclear, as regimes in power are refusing to submit to the logic of "minimum winning coalitions". Democratization has become a central problematic of study, and continuing theorization of the crisis of the African State has been supplemented by a concern to understand civil society (see Bayart 1986; Bratton, 1989; Lemarchand,1992; Fatton 1992). This literature has sought to shift the focus of that body of research which saw the State simply in terms of state institutions away from state institutions to popular organizations. As it

develops it should permit deeper understanding on constraints on association and group solidarity. The rest of this sub-section focuses clientalism and corporatism as frames for the analysis of patterns and processes of political exclusion and sets out some exemplary positions regarding the organization and representation of women and ethnic groups. 5.1 Corporatism, clientalism, and exclusion The study of corporatism emerged in the 1980s as one approach to understand African politics (see Shaw 1982; Nyang'oro 1986; Shaw and Nyang'oro 1988; Shaw and Nyang'oro 1991). It is a minor current within the overall literature, but it may become more relevant in the future and it offers an interesting perspective on political inclusion and exclusion. Corporatism may be defined as "systems of interest representation based on non-competing groups that are officially sanctioned, subsidized and supervised by the state" (Collier, quoted in Shaw 1982:255). Shaw (1982:255) argues that "the corporatist imperative" is expressed in Africa in the formation of one-party systems, which would include a youth group, a women's movement, a trade union, and so on. Drawing on the insights of Latin American literature, he suggests that corporatism can be more or less inclusive, and that in early phases of import substitution strategies, inclusionary corporatism prevails as multi class coalitions between elites and urban working classes are established, whilst exclusionary corporatism develops as import substitution industries begin to stagnate. With this transition an era of bureaucratic authoritarianism replaces earlier populist politics and a previously politically activated popular sector is excluded. Shaw (1982) applies his framework to suggest that in a few African countries, notably Cote d'Ivoire, Kenyaand Nigeria, the exclusionary variant of corporatism was being adopted, whilst Tanzania, with a lower level of industrialization, exemplified inclusionary corporatism based on populist politics. Nyang'oro (1986) disputes this analysis arguing that in Africa the absence of a complex division of labour, "the non-serious articulation of class interest at the national level by peasants due to poor organization, and the non-existence of a fully proletarianized class in both urban and rural areas" renders concepts such as class representation "largely irrelevant in practical terms" (p.50). For him, regimes based on primary product exports and peasant production were "bound to be authoritarian and particularistic in nature" (p.47). Although Shaw and Nyang'oro have continued to explore "corporatism in Africa", the main point of this literature is perhaps to demonstrate the inapplicability of this frame of reference, in the form it has 'been developed in Latin America,

to Africa. A more promising mode of analysis is the study of clientalism. This is unfortunately (and unlike the corporatist framework) sometimes divorced from analysis of the economic basis of society by some analysts. But the e phenomenon of clientalism has been identified by a wide variety of analysts as central to the dynamics of politics in Africa. A patron-client relationship may be defined as an exchange relationship between unequals "involving a largely instrumental friendship in which an individual of higher economic status (patron) uses his own influence and resources to provide protection or benefits or both, for a person of lower status (client) who, for his part, reciprocates by offering general support and assistance, including personal services to the patron" (Scott 1972:92). In clientalist systems these dyadic links extend into chains and networks, and factions may form as patrons compete for clients in the struggle to control key resources and offices. Clientalist systems are paradoxical with regard to their inclusionary/exclusionary nature. They integrate all the participants in the network of exchange relations. But this form of inclusion of lower status groups is founded upon, and reproduces, their exclusion. As Clapham (1982) makes clear, clientalism is a specific form of behaviour which becomes rational given certain conditions, and these include: (i) the control of key resources, such as land and employment, by one particular group in society; (ii) the inhibition of organization and cooperative mobilization by the client group to gain access to the resources controlled by the patron group; and (iii) the absence of universalist criteria for allocating and exchanging resources and, in their place, private and personalistic criteria. The vulnerability and insecurity of client groups consequent upon these exclusions create the desire on the part of clients to seek patrons. But in addition "patrons must be able to deliver or create the expectation that they can deliver, the means to alleviate the goals of their perspective clients" and "patrons should sufficiently desire or require services provided by clients to make it worthwhile to allocate some of their resources to clients in exchange for services" (Clapham 1982:8). Political and administrative roles within the state institutional apparatus have become key stakes in clientalist systems. This is because, as most analysts contend, it is these positions, and access to them, which have offered the major avenue of upward mobility and the acquisition of wealth in Africa. State offices not only provide a salary, but also prebends (such as under the table commissions for import licenses or construction contracts), income through extortion (in which "holders of power use their monopoly legitimate force to demand goods,cash and labour"), and the opportunity to make private investments in agriculture, transport, property or (rarely) industry (see Bayart 1993:70-83).

Joseph (1986), emphasizing the links between clientalism and prebendalism, argues that "To obtain and keep clients, one must gain a prebendal office; and to be sure that in the distribution of prebendal offices an individual and his kin have a reasonable chance of procuring one, clients must be gathered together to make their collective claims as well as to prove that the aspirant patron ( or potential holder of prebendal office) is a person of consequence whose cooptation would be rewarding to the political entrepreneur" (p.56-7). Joseph's analysis is geared towards Nigeria, but the phenomenon of "prebendal politics", in which state power is treated as "congeries of offices which can be competed for, appropriated and then administered for the benefit of individual occupants and their support groups"(p.63), can be seen in a number of African countries. In such a system, the effectiveness of representation of individuals and groups depends on their degree of access to, and exclusion from, the economic advantages of state offices. Whilst many analysts agree on the prevalence of clientalist systems (with or without prebendalism), the extent of the networks, and the exclusionary integration which they bring, is a matter of dispute. This partly reflects analytical perspective and partly the diversity amongst African countries and changes over time. An extreme position is put by Jackson and Rosberg (1986) who argue that "most Tropical African countries are multi-ethnic empires" in which a personal system of rule has developed, based on patronage relationships which stretch down from the top political leaders only as far as necessary for them to remain in power (p.17). Most of the population may be excluded from these networks, and even where they are more inclusive, "the territorial extent of such patronage empires is not usually the whole of the country, and many politically marginal groups may be left out (p.18). Jackson and Rosberg's argument is based on their particular understanding of statehood in Africa as juridical (based on recognition in international law) rather than empirical (based on capacity to govern a defined territory and population). A more modulated and sophisticated view of the African State is provided by Lemarchand, whose work offers one of the main contributions to the analysis of clientalist systems in Africa (see Lemarchand 1972, 1982, 1988). In the last of these three papers Lemarchand analyses the changing structure of patronage and argues that patronage systems have become less extensive and that "in many rural areas patrons have ceased to patronize" (Lemarchand 1988:155). These trends, which describe the situation before the recent and incomplete moves towards redemocratization, are associated with the decline of electoral politics (in which "the vote emerged as a critical political resource in the hands of the masses, a resource which could be traded for material rewards of all kinds, ranging from schools and piped water to scholarships and jobs" p.152);

the reduction in the pool of patronage resources arising because of the fall in international commodity prices; and the opening of new opportunities for corruption and embezzlement through relationships with a variety of external agencies, such as "multinational corporations, international lending agencies, emergency relief organizations, metropolitan-based 'socits de dveloppement' ... through which external resources are funneled into African circuits" (p.155). As clientalist networks have become cliques focalized on key sectors in the civil service, army and police, as access to patronage resources increasingly depends on relationships with external agencies, and as patronage incentives have been eliminated in the countryside, rural areas "in such countries as Zaire, Uganda and Chad" have been subject to "a kind of free-forall system in which local officials, military men and security spooks are given a blank check to use their prerogatives (and weapons) as they deem fit". In these circumstances "How to avoid, circumvent or mitigate the predaciousness of the state is the central dilemma confronting the rural masses" (p.155). Bayart (1993), who presents the most theoretically sophisticated and empirically rich analysis of the State in Africa, puts forward a view of the extensiveness of networks which is at the opposite extreme to Jackson and Rosberg's. For him the image of African societies as disarticulated is both illusory and vacuous. They are on the contrary integrated through fluid and multi form networks which link the "highest of the high" with the "lowest of the low". Using the metaphor of a rhizome rather than a root system, he argues that the post-colonial State "is an infinitely variable multiplicity of networks whose underground branches join together the scattered points of society" (p.220). Bayart argues that in the general conditions of extreme poverty, scarcity, insecurity and political uncertainty which prevail in Africa, everyone is engaged in life-and-death struggles both to survive and to accumulate wealth and power. The main strategy which both rich and poor adopt in these struggles is to "wire" themselves into networks, based on family, alliance and friendship, and to organize in factions. Factional struggle, rather than class struggle or ethnic conflict, is the central form of political action in Africa, and its object is not simply security, wealth, and power, but more precisely "the distribution of the possibilities of realizing a primitive accumulation, in the strict sense of the concept, by the confiscation of the means of production and trade" (p.234). Applying a phrase used in Cameroun, he describes this form of political action as "the politics of the belly". This resembles a rush for spoils, but as Bayart emphasizes, it is also structured by various ethical norms, regarding, for example, the association between wealth and reputation, or the notions of lower status groups that higher status individuals are trustees whose position depends on their performance and the sharing of their prosperity if they make good (on this theme Owusu, 1990, presents a fascinating interpretation of coups in Africa). Also this form of politics 'lis firmly located in the continuity of conflicts in the past" in that "Today, as yesterday, what is being fought for is

the exclusive right to the riches claimed by the holders of 'absolute seniority'" (p.241). Networks are constructed and thus very fluid and variable. But their pattern, including their extensiveness, rests on three particular structural features of African political economies: the structure of inequality; the specific form of the quest for hegemony; and the legitimate problematic of politics (i.e. the field of the politically thinkable). The key aspect of the structure of inequality is that there is a very close relationship between holding positions of power in the state apparatus and the acquisition of wealth, but that, as yet, there is no existing dominant class which is the 'tenant' of the post-colonial State. Moreover subordinate groups still have open to them "multiple individual practices of social escape" (p.258) which mean that "South of the Sahara the key problem for the dominators is to find the dominated and then force them to settle down in a domestic social space where they can be further dominated and exploited" (p.253). The trajectory of politics in Africa involves an underdetermined quest for hegemony in a situation in which predacity is easier than exploitation (p.259). This quest does not take the form of a social revolution because there has not been in the last few decades "any collective agent capable or desirous of taking the lead in a social movement aspiring to a revolutionary alternative to the current grinding of the postcolonial State (p.209). Rather, the quest for hegemony involves the "reciprocal assimilation of elites", in which alliances are formed between leaders from different regions and communities; between holders of traditional legitimacy, colonial chiefs, and educated elites; and between the rich and the cooped leaders of popular movements. It is the dynamic of the reciprocal assimilation of elites which is the basis for the extensiveness of the "incorporation of subordinate social groups in the mesh of networks" (p.218). Family bonds and ethnicity "appear to be cosubstantial with networks", but to Bayart, they are "above all instrumental arguments at the service of actors" (p.217), and part of a wider repertoire of politically legitimate discursive genres. The views of Jackson and Rosberg, Lemarchand and Bayart indicate some of the variety of positions in the literature regarding the extensiveness of clientalist networks. The actual situation on the ground varies between countries and over time. However, Bayart's mode of analysis, which emphasizes the deep inequalities which are both the foundation of the formation of networks and a product of them, the paradoxical combination of inclusionary and exclusionary practices associated with networks, and the ambiguous discourses which they generate, offers the most insight and also the possibility of understanding processes associated with the renewal of the discourse of democracy. Interestingly, Bayart argues that economic stagnation and recession have, by increasing insecurity, strengthened the possibility of regulating society through clientalistic exchanges and that the dismantling of public sectors associated with structural adjustment programmes have not condemned regimes in power by drying up patronage resources, but rather

restored the position of presidents as "the principal distributor of sinecures" (p.225). 5.2. Ethnic identity A major theme within the literature on organization and representation in Africa is the influence of ethnic identity on political action (for some recent country studies, see Kandeh 1992; Krymkowski and Hall 1990; and Murphree 1988). This focus reflects the fact that the colonial boundaries of African States, which have been preserved since Independence, enclose societies of great ethnic complexity. The potential for ethnic mistrust and conflict is heightened by the fact that colonial development, in terms of both agrarian commercialization and the expansion of educational opportunity, were geographically concentrated in particular areas and that patterns of uneven development have persisted after Independence. It is well recognized now that ethnic identities have a specific history; that present-day identities formed during the colonial period and nationalist drive to Independence, partly with reference to the political institutional structures which were being established (see Vail 1989; Jackson and Maddox 1993); and that as ethnic identities are based on both objective and subjective factors, they are fluid within limits and their political salience is situational (Young 1976). This makes it difficult to "measure" political ethnicity. But a recent quantitative study which attempts to make cross-regional global comparisons indicates that Africa South of the Sahara is the region which has the largest number of-politicized communal groups (defined as communal groups which "experience economic or political discrimination", according to defined criteria, or groups which "have taken political action in support o their collective interests"), and that these groups comprise more than 40% of the population of the region (Gurr 1993). Ethnic particularism has sometimes led to civil war (see World Directory of Minorities for a survey). But the dominant media image of Africa as a continent riven by violent ethnic strife is grossly exaggerated and founded on a few wellpublicized cases. The global view of ethnopolitical conflicts introduced in the last paragraph, for example, notes that other characteristics of politicized ethnic groups in Africa, besides their large numbers, are that: they experience less economic discrimination than groups in most other regions; they experience less severe political discrimination than groups in other Third World countries; and that grievances about political rights are less substantial than any other Third World region (Scarritt 1993). Various analysts have noted the specificity of the configuration of ethnicity in Africa, in terms of patterns of ethnic organization and representation. Firstly, Doornbos (1991) notes that in contrast to the Andean region and Central America, ethnic differentiation is not usually coterminous with class

differentiation, and in contrast to India and other South Asian countries, ethnicity is not usually an assertion of distinctive cultural traits (language, religion, etc.). Rather "the social fabric of most African countries is made up from a fairly complex and to some extent fluid ensemble of different peoples, nations and nationalities, ethnic strata and in some case caste-like divisions" (p.58-9). Secondly, Young (1976) states that the characteristic type of cultural diversity in African States is a pattern in which there is "a single type of cultural cleavage, normally ethnic but with at least three, and often many, identity groups in the political arena" (p.97), with no single dominant group. Exceptions include bipolar cultural divisions and countries with distinct dominant groups (such as Burundi and Rwanda) and countries with more than one axis of cultural differentiation, including religion and language (such as Cameroun, Nigeria, Sudan). Thirdly, Lemarchand (1993), discussing the singularity of the case of Burundi, in which Hutu and Tutsi are organized in an ethnic hierarchy of rank and privilege, argues that almost everywhere in Africa there are horizontal patterns of ethnic stratification - "the juxtaposition of discrete ethnic entities (misleadingly designated 'tribes' in journalistic parlance) within the same territory" (p.159). Finally Gurr's study of politicized communal groups focuses more directly on the pattern of ethnic mobilization itself and distinguishes between "national peoples" and "minority peoples". The former are "regionally concentrated groups that have lost their autonomy to expansionist states but still preserve some of their cultural and linguistic distinctiveness and want to protect or re-establish some degree of politically separate existence" (Gurr 1993:15) and they include "ethnonationalists" and "indigenous peoples". "Minority peoples" include "ethnoclasses" ("ethnically or culturally distinct peoples, usually descended from slaves or immigrants, with special economic roles, usually of low status"); "militant sects" ("communal groups whose political status and activities are centered on the defense of their religious beliefs"); and "communal contenders" ("culturally distinct peoples, tribes, or clans in heterogeneous societies who hold or seek a share in state power") (p.18). Gurr's study finds that the most common type of politicized communal group in Africa is the "communal contender" and that the most common form of conflict is "competition over political power and economic distribution in the context of unstable multiethnic coalitions - often existing within a single governing party or among officers in a military regime" (Scarritt 1993:252). Violent ethnic conflict has usually involved ethnonationalists groups, ethnoclasses and militant sects, with examples being long-term conflicts in Burundi, Chad, Ethiopia, Sudan, apartheid South Africa, and the civil wars in Angola, Liberia, Nigeria, Uganda, and Zaire. Given the ethnic heterogeneity of most African States, the colonial legacy of uneven development in agrarian commercialization, transport investment and educational opportunity, and the grinding poverty, what is perhaps is that ethnic conflict has not been more widespread. One reason for this is that State policy has acted to manage potential conflicts arising from actual or perceived exclusion from ethnic representation through various means (see Rothchild and

Olorunsola 1982). A particularly common method for achieving this has been to build multi-ethnic coalitions through including spokespersons for all major ethnic interests in key decision~making institutions, to govern, as Rothchild and Foley(1988:236) put it, through a "rule of inclusiveness". This approach corresponds to the notion of representation as "ethnic typicality" rather than democratic accountability which, as indicated in section 2.1, was identified by Mazrui (1967) as a critical element of African nationalism. Rothchild and Foley review practices of coalition formation in Mauritius, Nigeria, Kenya, Cameroon, Ghana, Togo, Cote d'Ivoire, Uganda, guinea, Tanzania and Angola, and suggest that informal practices, such as the use of a rough proportional guideline when selecting cabinets, or ethnic balancing in top civil service appointments, predominate. Also, "formal legal provisions intended to produce representatives coalitions have displayed limited success at best" (p.241). Distinguishing "hegemonial exchange regimes", in which clientalistic exchange relations prevail, from "bureaucratic centralist regimes", which seek to structure and sanction group participation, they argue that the coalition formation and cooperative behaviour has been more successful in the former, and that it is in the latter, in which reciprocity with ethnic intermediaries is played down, that have been more prone to subnational rebellion. This approach to government depends on the negotiability of ethnic claims. But in general they are (see Rothchild 1982), and thus "the politics of inclusive ethnic coalitions" offer an important means of "increasing the political effectiveness of soft states in the short term" (p.248). In a longer term perspective, these practices are likely to be less successful. They can be costly in terms of economic growth (see Woods 1989). They incorporate elites and ignore proletarians and peasants, who may by withdrawing from commercial production or formal marketing circuits, undermine the economic basis of the State. They encourage a focus on rights rather than obligations (Ekeh,1989). They also may encourage the mobilization of ethnic coalitions in what has been described by Daniel Bach, writing on Nigeria, as a "boomerang effect". Patterns of ethnic mobilization and representation are best seen within the framework of clientalist politics. The inclusive practices which Rothchild and Foley describe ensure that all major ethnic interests are "wired" into networks and have access to state offices and the wielders of state power. As Bayart notes, ethnicity can always be used as an instrumental argument in bargaining within these networks. But in some cases, factions may be ethnically exclusive. This is more likely to occur when the good being exchanged in the networks are collective, rather than individual, goods (Clapham 1982:10-11). For collective goods like a school, road, clinic, a whole community can benefit. It is for this reason that a comment of Peel (198 ) is germane. He write: "Ethnicity is precisely the outcome of the alignment between two forms of competition: between individuals of diverse ethnic origins for jobs, contracts and opportunities in urban and national context and between regions and

communities of origin for favourable access to development goods distributed by the state" (p.260-1). Ethnic exclusivity may also be increased by economic decline. Zolberg, Suhke, and Agnayo (1989) set out a scenario by which this has been occurring in some countries. They suggest that "in the face of shrinking resources and an absence of institutional restraints, desperate rulers degenerate into outright tyrants" and "major segments of the population... [withdraw] ... into local-ized and ethnically specific entities that afford the hope of security and economic selfsufficiency." The result of this in the extreme case is that 'la tenuously amalgamated national society can disintegrate into its component elements" and "the state is reduced to little more than an arena in which groups compete for survival". "Under these conditions collective life is reduced to two fundamental activities, food production and war. Because small weapons are widely available, and warriors are obviously in a position to secure their subsistence without engaging in their production themselves, war-making steadily gains the upper hand. the outcome is a proliferation of warrior bands, verging on a war of all against all". This scenario describes part of the recent history of Chad and Uganda, and posits the worst case future in terms of "ethnic organization and representation". One of its outcomes, as Zolberg, Suhrke, and Agnayo note, is to generate new patterns of exclusion, in the form of internally displaced people and internationally recognised refugees. 5.3 Women Just as in the analysis of the relationship between ethnic identity and political exclusion, the analysis of gender dimensions of political exclusion is best rooted in an understanding of political processes in African states. Formally women citizens hold equal political rights to men, gaining the right to vote, to stand for election, and to hold office in many countries at Independence (Howard 1986:187-195). But the way African States operate, whether as envisioned in corporatist or clientalist mode of analysis, implies that women's political participation is likely to be more limited than men's. Shaw and Nyang'oro (1991), on the basis of their survey of corporatist practices throughout Africa, state bluntly that: "All corporatist regimes have been maledominated and oriented: women of all classes and races have been excluded and subordinated" (p.59). With regard to clientalism "few studies enable us to measure or understand how and to what extent clientalist politics discriminates against or assists women or favours some women more than others" (Roberts and Williams 1991:83). However, one may state with some confidence that in general women occupy sub-ordinate positions within patron-client networks.

This assertion rests on the inferior status of women which is embodied in many countries in law. As Connors (1988) puts it: In the African context, women' inferiority is seen as 'traditional, a philosophy which is reflected in her legal status, which has relegated her, and continues to relegate her, to the position of legal minority - childhood - for her entire life, always under the tutelage and protection of a man' (p.12). The legal position of women varies from country to country. But what is important is the continuing operation of customary law in tandem with statutory law. Connors again puts it well: Most of the legal problems confronting the African woman can be attributed to customary law, or rather the interaction between customary and received law. customary law sub- ordinates a woman within the extended, traditional family, placing her under the permanent guardianship of a male relative and severely restricting her ownership or inheritance of property. It prevents her acting as aguardian of her children or, without the assistance of a male guardian, entering into contracts, and she cannot sue or be sued (p.12). The norms of customary law, as Moore (1986) shows with regard to the Chagga in Tanzania, are not static and are enforced both inside and outside courts, and they can play a central role in people's everyday lives, particularly, in settling disputes. Customary legal rules, Moore demonstrates, "precast certain persons in difficult roles giving others an opportunity to take advantage of them" (p.306). It is on the foundation of customary rules that women's subordination rests. Their subordination is particularly related to their vulnerability when unmarried, their exclusion from access to land, except through their husbands, (discussed earlier section 2.3), and the insecurity which arises as many women are denied financial provision from the property of their husband on death or divorce. Exclusion and insecurity are precisely the conditions which Clapham identifies as necessary for persons to enter unequal exchange relations with others in the role of subordinate clients. The literature on women's political participation has tended not to be framed with in the context of overall discussions of the political process in Africa. It is, however, generally agreed that women's organizations have often been coopted and have had limited influence on governments, and that women and women's issues have been under-represented in government. As Parpart (1988:225) pithily puts it, "decolonization was essentially a transfer of power from one group of men to another". Important axes of disagreement and debate in the literature on women's political participation (or rather the lack of it) are: i) Have women withdrawn or have they been excluded from participation in politics?;

ii) What is the relationship between class, ethnicity and gender in the pattern of political participation of women?; iii) How may political participation best be analyzed?; and iv) What is the trajectory of change regarding women's political participation, both over the long term (from pre-colonial times to the present) and in the recent past, in response to economic stagnation and the politics of scarcity. In general these issues are addressed, either explicitly or implicitly, by most authors, but a few positions within the literature may be briefly extracted and summarized. A central theme in analyses of women's political participation is that, women have reacted to their underrepresentation and neglect in state policies by withdrawing from state-centered political activities (see Staudt 1987; Chazan 1988:135-6; Parpart 1988; Parpart and Staudt 1989: 6). Allen (1991) has challenged this view, arguing that "women do not withdraw from politics, they are excluded from it by the dominant classes in African states, where and for as long as they can achieve such exclusion" (p.214). Allen analyses the process of exclusion, focussing on the specific cases of Zambia and Kenya, in order to avoid overgeneralization, and placing the discussion of women's activities within the context of political activity in general. In both Zambia and Kenya, a similar process is observed. Women were very active in radical nationalist organizations and involved in militant protest. But over time women's organizations became instruments for dominant male politicians to control and channel women's political activities, and women's leadership changed from "self-made non-elite women" to women related by marriage or birth to the political elite. Allen (1991: 210-1) explains the process as follows: Thus the anticolonial struggle became also a social struggle for control of the nationalist movement, between a conservative elite and radical subordinate strata ... The sudden granting of the vote to a largely rural electorate completed the eradication of radical nationalism: Party leaders and activists, even radicals, became preoccupied with mobilizing for elections rather than mobilizing for confrontation ... Clientalism...became the major method used to link the party leadership to the local "patrons", and the patrons to their followings... [F]actionalism, ethnic politics, and corruption ... affected in turn the organizations now incorporated within patronage networks, notably trade unions and cooperatives, but also the women's wings of parties and the women's voluntary organizations ... Women's organizations, like unions, ceased to represent their members interests and instead became vehicles for personal gain on the part of their leaders and selected followers.

Finally, with structural reforms, designed "to retain clientalism and its benefits while controlling its destabilizing effects", increasing centralization of power and authoritarianism, "the ,existing women's organizations either cease to function other than ritually, or become part of the exercise of authority, a means to control, divide, and prevent women's participation" (p.211-2). Thus, Allen concludes that since the 1940s: Women, especially, but also all subordinate strata, have been gradually excluded from significant political participation in most African states. This exclusion arises not from the operation of gender alone or even primarily but from the interaction of gender with the systematic features of the development of African political systems" (p.212). To which should probably be added, the specific barriers facing women's political participation which come from other spheres, including relatively low levels of education, limited economic opportunities, the time-demands of the sexual division of labour (see Parpart 1988). A second axis of disagreement concerns alternative ways of conceptualizing political participation. A minimal conception, which has some logic within the frame of clientalism and prebendal politics, is representation in state offices. Hirschmann (1991) argues that it is necessary to recognize the heterogeneity of state institutions and to survey womens participation both at central and local levels, including for example participation in development projects at village level and contacts with government field agents giving extension advice. Using the case of Malawi as an example, he suggests that this approach can indicate less female exclusion from politics than the conventional wisdom suggests. However, the type of participation revealed is "fringe participation, marginal influences, coincidental alliances and minor decision-making... at the interstices of state power" (p.1692). An increasing concern is to modulate generalizations about women's marginality by relating gender inequality with class and ethnicity. Hirschmann, for example, comments that a conclusion by Strobel on Women's Associations in Mombasa, Kenya, that portrays them "essentially as organizations of women rather than for women" may perhaps be wrong as they are, rather "organizations of and for women of a particular class" (p.1688-9). the relationship between ethnic identity and gender inequality is an important one, which is explored with great insight for the specific case of the Creoles in Sierra Leone by Cohen (1981). With regard to the trajectory of women's participation, the dominant view of long-term analyses which examine precolonial, colonial and post-colonial patterns is that exclusion is increasing (see, for example, Parpart 1988). A notable exception is Presley, based on a study of the involvement of women in the Mau Mau rebellion in Kenya. Speculations on the shifts occurring in the current economic crisis are varied. Parpart (1988) is upbeat, arguing that:

Increasingly women from different classes, regions and ethnic groups have been speaking out and organizing against sexual injustices in African societies. This groundswell has been spawned by a number of factors: growing awareness of sexual inequality in Africa, revolutionary rhetoric, education, the rise of western feminism and the U.N. decade of women. Revolutionary rhetoric has given women's rights new legitimacy, as has the U.N. Decade for Women.... This renewed activism is all the more important because the current decline in African states has reduced the power of those who benefit from the state namely men. The balance of power in shattered economies may be shifting to those people who can provide the necessary reproductive and productive labor for survival (p.225). Robertson (1984) is more sanguine, noting that horizontal (low status) female networks have been crucial to women's survival, but that "socioeconomic forces" are weakening the strength of these networks. The implications of the democratic opening are as yet uncertain. 5.4 Refugees and Internally Displaced Persons There is a specific literature on this subject which is not reviewed here. But the scale of the problem is worth underlining. In 1992, officially recognized refugees numbered 5.3 million per-sons (Ferris 1993). It is estimated that a third of the world's refugees and displaced people are in Africa. As noted above, a major process creating refugees and internally displaced persons has been factional struggle, the disintegration of states, and civil disorder. Destabilization in southern Africa, which was part of the strategy of protecting and strengthening apartheid south Africa, also resulted in about onequarter of Africa's refugees in the late 1980's (see Zolberg, Suhrhe, Agnayo 1989).


1. Africa is at a turning-point in terms of patterns and processes of exclusion. 2. The major features of this turning-point are: i) increasing scarcity of resources and goods on which livelihoods are based; ii) increasing interrelationships between dimensions of exclusion from livelihood; iii) a changing pattern of dominance of social goods;

iv) unstable struggles to establish a monopoly over state power, the dominant social good, control of which facilitates command of the means of livelihood; v) changes in the way that social identities restrict and facilitate access to resources and other social goods; vi) changes in the interrelationship between poverty and social identity in the process of exclusion; vii) changes in the relative importance of institutions regulating patterns of inclusion and exclusion. Increasing Scarcity The increasing scarcity of the means of livelihood is founded on the transition from land-abundance to land scarcity, which is occurring at different rates throughout the continent. This is important for, up to now, land has been "the margin between subsistence and destitution in Africa" (World Bank 1975). But the changes which are occurring cannot be seen as a simple function of population growth. Access to agricultural livelihood through direct agricultural production depends on the ability to mobilize a range of inputs as well as land. Moreover, the increasing scarcity of the means of livelihood reflects changes in labour markets as well. The economic crisis in Africa is defined by a temporal conjunction between a long-term structural trend in which access to remunerative livelihood through direct agricultural production is becoming more and more restricted, and a downturn since the mid1970s in which access to remunerative livelihood through formal and informal employment is also restricted. The downturn is related to trends in the global economy, and may be cyclical in nature. But the politics of scarcity are fostering actions which may exacerbate scarcity. These actions include the adoption of structural adjustment programmes based on misconceptions of the situation. Increasing Interrelationships between Dimensions of Exclusion In the past livelihood depended on access to agricultural land and access to labour to exploit it. As the land frontier closes, agricultural production depends more on access to a range of inputs to increase productivity; and with commercialization, remunerative livelihoods depend on access to output markets. More important the agricultural sector is now articulated with other sectors of the economy. Access to remunerative off-farm income is a critical factor in determining agricultural incomes. Exclusion from livelihood based on direct agricultural production is a critical factor in determining the supply of labour to, and the terms on which people enter, labour markets.

Changing Patterns of Dominance of Social Goods Walzer (1983:10) writes that a "social good" (which can be land, employment, education, etc.) is dominant "if the individuals who have it, because they have it, can command a wide range of other goods". In Africa, state power is the dominant social good. With access to it, an individual can command remunerative employment, education, modern agricultural inputs, and land. It is possible that remunerative employment is becoming more dominant than land. With access to remunerative employment, an individual can gain access to agricultural land, inputs and education. Access to agricultural land does not provide a direct means to access to remunerative employment, though it can finance an education which is a means to such employment. Struggles to Establish a Monopoly over State Power In conditions of great scarcity, in which people have a sense of opportunities closing down, the struggles to establish a monopoly over the dominant social good, state power, have not yet been resolved in a stable balance of political forces in most countries. The quest for hegemony goes on, and the major mode of organization and representation is clientalism. This is a form of politics in which selective and limited inclusion is based on exclusion. In some countries, the quest for hegemony has led to civil disorder, and increasing numbers of people are becoming refugees and are internally displaced. Changes in the Way Social Identities Affect Exclusion In the past, membership of, and status within, a local group defined by common residence, common descent or some combination of these principles, strongly affected access to livelihood. With the growing importance of other dimensions of exclusion than land, and interrelationships between them, "being wired" into networks of various kinds has become more important. To the extent that opportunities for education and off-farm employment are available, young men no longer have to achieve access to livelihood in a subordinate position within the household unit. On every dimension of exclusion, women remain a disadvantaged group. There are some signs that nationality is becoming a more important identity in the workings of labour markets. Changes in the Interrelationships Between Poverty, Social Identity and Exclusion

With changes in the importance of, and interrelationships between, dimensions of exclusion, poverty is assuming more importance in regulating access, and social identity less importance. In the past in Africa, some people were poor because they were excluded from livelihood. Now they are poor because they are excluded from livelihood, and they are excluded from livelihood because they are poor. Changes in the Relative Importance of Institutions Regulating Patterns of Exclusion Key institutions regulating patterns of inclusion and exclusion are the household, the local state, the national state, and international regimes. At the present moment, international regimes are strongly implicated in determining patterns of exclusion. As Africa passes through this turning-point, the numbers of people who have no land, no means to work it productively, no remunerative jobs, and no effective political representation to change the system, will increase. Both the absolute numbers, and the proportion of the total population, who are very poor will increase as a result of these exclusions. These changes will exacerbate an already difficult situation. At the end of the 1980s it was estimated that onequarter of sub-Saharan Africa's population (more than 100 million people) obtained less than 80 per cent of recommended requirements of daily calorie supply. These figures refer to the average of good and bad crop years (World Bank 1989:72). In drought and other bad years, these numbers would have been much higher.

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