Cha alo a, Lioudmila; Djanibeko , Nodi ; Gagalyuk, Ta as; Valen ino , Vladisla
A icle — Published Ve sion
The pa adox o wa e managemen p ojec s in Cen al
Asia: An ins i u ionalis pe spec i e
Wa e
P o ided in Coope a ion wi h:
Leibniz Ins i u e o Ag icul u al De elopmen in T ansi ion Economies (IAMO), Halle (Saale)
Sugges ed Ci a ion: Cha alo a, Lioudmila; Djanibeko , Nodi ; Gagalyuk, Ta as; Valen ino , Vladisla
(2017) : The pa adox o wa e managemen p ojec s in Cen al Asia: An ins i u ionalis pe spec i e,
Wa e , ISSN 2073-4441, MDPI AG, Basel, Vol. 9, Iss. 4, pp. 1-14,
h ps://doi.o g/10.3390/w9040300 ,
h p://www.mdpi.com/2073-4441/9/4/300
This Ve sion is a ailable a :
h ps://hdl.handle.ne /10419/170540
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wa e
A icle
The Pa adox o Wa e Managemen P ojec s in Cen al
Asia: An Ins i u ionalis Pe spec i e
Lioudmila Cha alo a, Nodi Djanibeko *, Ta as Gagalyuk and Vladisla Valen ino
Leibniz Ins i u e o Ag icul u al De elopmen in T ansi ion Economies (IAMO), Theodo -Liese -S . 2,
Halle (Saale) 06120, Ge many; [email p o ec ed] (L.C.); [email p o ec ed] (T.G.); [email p o ec ed] (V.V.)
*Co espondence: [email p o ec ed]; Tel.: +49-345-2928128
Academic Edi o s: Ronny Be nd sson and Kamsha Tussupo a
Recei ed: 6 Ma ch 2017; Accep ed: 18 Ap il 2017; Published: 24 Ap il 2017
Abs ac :
A e he disin eg a ion o he So ie Union, he Cen al Asian coun ies ha e been
aced wi h nume ous de elopmen challenges in ag icul u e, especially hose ela ed o wa e use.
Well-in en ioned o eign dono s and de elopmen agencies ha e s epped in o suppo local a me s,
esea ch cen e s, and public au ho i ies in de ising inno a i e solu ions. Ye , de elopmen aid
p ojec s ha e bo ne ui only pa ially. Pa adoxically, inno a i e and appa en ly use ul echnologies
p oposed by o eign dono s ha e a ely and only pa ially succeeded in aking oo in he local
ins i u ional con ex s. To explain his pa adox, his pape d aws on he ins i u ional app oach which
shows he possibili y o echnological inno a ions being encapsula ed by dys unc ional ins i u ions.
Re iewing ecen s udies o wa e - ela ed p ojec s in Cen al Asia, he pape shows his encapsula ion
o be a he co e o he de elopmen p ojec ailu es pe asi e bo h in he So ie pe iod and oday.
I he concep o encapsula ion is alid, hen he cu en de elopmen e o s can be made mo e
e ec i e by de ec ing and coun e ac ing he s uc u es o es ed in e es on he pa o all he ac o s
in ol ed, such as o eign dono s, public au ho i ies, esea ch cen e s and local a me s.
Keywo ds:
Cen al Asia; wa e use; de elopmen p ojec s; inno a ion adop ion; ins i u ionalis
dicho omy; Veblen; ansi ion economy
1. In oduc ion
The wa e esou ces in Cen al Asia ha e expe ienced a long his o y o mismanagemen , which is
well exempli ied by he scale o he A al Sea disas e . Since he 1990s, wa e esou ce managemen
in Cen al Asia has become he objec o o eign aid ia de elopmen p ojec s. Despi e ex ensi e
esea ch, he e ec s o his aid on esol ing wa e con lic s, and economic de elopmen mo e gene ally,
emain highly con o e sial [
1
,
2
]. The con en ion o hese pape s is ha a leas some elemen s o
his dilemma can be aced back o he Du ch Disease, aid ola ili y, and poli ical de e io a ion, each
o which is known o lowe he e ec i eness o o eign aid [
3
]. Acco ding o Zhupankin e al. [
4
],
“ he une en spa ial dis ibu ion and complex pa e n o ansbounda y wa e sou ces wi h con as ing
na ional wa e needs ha e c ea ed an in ica e wa e dilemma” [
5
,
6
]. In gene al, dono coun ies apply
wo app oaches o make hei aid mo e e ec i e [
3
]. Fo one, he dono s may a emp o change he
beha io o ecipien go e nmen s by imposing policy condi ionali y in exchange o aid. Second, he
implemen a ion o p ojec -based aid may bypass he go e nmen ’s au ho i y. Bo h app oaches led o
simila ly disappoin ing esul s, wi hou adding much cla i y o he issue o whe he de elopmen aid
ad ances ins i u ional quali y and poli ical e o ms in he ecipien coun ies. I he e ec o aid on
economic g ow h is posi i e, i p obably o igina es om he de elopmen o democ a ic ins i u ions
which mobilize inancial and human esou ces o he necessa y poli ical and economic e o ms [
7
].
Howe e , i emains en i ely possible o in e na ional aid o unde mine ins i u ional quali y and
poli ical e o ms, as well as o inc ease en seeking [8].
Wa e 2017,9, 300; doi:10.3390/w9040300 www.mdpi.com/jou nal/wa e
Wa e 2017,9, 300 2 o 14
Fo example, as a pa o in e na ional aid, he G een Re olu ion in he second hal o he las
cen u y inspi ed nume ous explana ions o he de e minan s o inno a ion adop ion in ag icul u e [
9
].
The ag icul u al sec o was seen o be equipped wi h se e al inno a ion channels such as ag icul u al
p ac ices (lea ning-by-doing), ou sou cing om o he indus ies, and scien i ic esea ch. I was ound
ha ag icul u al inno a ions ended o be p oduced h ough public o p i a e esea ch ou side
o ag icul u e and hen impo ed o adap a ion [
10
]. A u he inding was ha he inno a ions
b ough om ou side o en equi ed subs an ial public and p i a e in es men s o ine- uning o local
ci cums ances, and o he speci ic needs o end use s [
11
]. Nume ous p esen -day wa e managemen
p ojec s in Cen al Asia exhibi simila pa e ns [12–14].
In implemen ing ag icul u al inno a ion p og ams, he go e nmen s o adop ing coun ies
pu sued se e al s a egies. The p omo ion o in o ma ion exchange h ough ex ension p og ams was
joined wi h an ac i e ag icul u al policy s ance. The in ended policy measu es included subsidies o
inno a ion adop ion and he de elopmen o complemen a y in as uc u e, i s o all ela ed o wa e ;
a ce ain ole was likewise played by unin ended policies such as commodi y p ice manipula ion [
15
].
These policies d ew he a en ion o social scien is s and ag icul u al economis s o ag icul u al
inno a ion di usion, and especially o he ac o s and cons ain s in luencing he indi idual adop ion
beha io [
9
]. Recognizing ha he mic oeconomic aspec s o inno a ion and de elopmen aid a e
in luenced by he mac o-en i onmen , schola s ha e analyzed he agg ega e di usion pa e ns as
well as he impac o in as uc u e, en i onmen , clima e and ela ed ac o s on he adop ion p ocess.
The main h us o he ag icul u al economics li e a u e ha has hus eme ged is ha inno a ions do
no occu andomly. Ra he , he na u e and a e o he adop ion p ocess a e con ingen on incen i es,
public policies, and he p o-ac i eness o he p i a e sec o [15].
De elopmen aid and inno a ion ac i i y a e highly ele an o he ansi ion economies o
he pos -socialis block, and especially he Cen al Asian coun ies, whe e he ans o ma ion o he
command economy in o a ma ke -o ien ed one esul ed in d as ic economic and poli ical shocks,
declining economic pe o mance and ising inequali y, as well as ensions o e wa e use. Fo hese
coun ies, he p ima y aim o he de elopmen aid was o acili a e he eplacemen o cen al planning
by mo e egali a ian models based on ee ma ke s and ins i u ional de elopmen [
16
,
17
]. A no able
ea u e o hese coun ies is no only he s ong dependence o ag icul u e on inno a ions and
echnical p og ess, bu also he ans e o inno a ion esponsibili ies om s ong cen al ac o s,
such as minis ies, o he newly eme ged ag icul u al p oduce s. This ans e was suppo ed by
access o in e na ional aid, wi h he ou come ha bo h he new go e nmen s and he newly-eme ged
p oduce s lacked inancial means and capaci ies o in es ing in R&D p ojec s, he eby ein o cing he
in luence o dono s’ aid.
I is common knowledge ha many, i no all, de elopmen aid and inno a ion p ojec s in
hese coun ies can be conside ed o be pa ly success ul in some espec s, bo h in So ie imes and
a e wa ds. While he ela i e backwa dness o echnological s anda ds o a command economy
can be pa ially blamed o he ailu e o inno a ion di usion, he ansi ion o a ma ke economy
did no c ank up he adop ion o new echnologies ei he . The e is hus no eason o assume ha
ma ke ins i u ions a e by de ini ion mo e e ec i e in incen i izing inno a ion adop ion han socialis
ones. This lack o success cons i u es he main pa adox mo i a ing he p esen inqui y. In examining
he in luence o adop e s’ cha ac e is ics on he ou come o he de elopmen aid and inno a ion
p ojec s, he bulk o he a ailable li e a u e does no seem o be in o med by a holis ic pe spec i e
sensi i e o he b oade na u al, social, and economic con ex . In ecogni ion o a complex policy
p oblem in pe sis en p ojec ailu es, he p esen pape is aimed a illing his gap by explo ing
he way in which he ea u es o he ins i u ional en i onmen sys ema ically ansla e in o con lic s
o in e es s o a ious ac o s in ol ed in he implemen a ion o he wa e managemen p ojec s.
I con ends ha a diagnos ic analysis o he unwan ed ou comes o inno a ion adop ion necessa ily
means add essing he ins i u ional unde pinnings o an economy on which ma ke ansac ions and
indi idual in e ac ions es . The pape ’s heo e ical s a egy is o e isi he popula new ins i u ional
Wa e 2017,9, 300 3 o 14
economics accoun s o p ojec ailu es in he ligh o an ea lie schola ly adi ion o he classical,
o o iginal, ins i u ionalis economics going back o Tho s ein Veblen. Using he example o he
pos -socialis Cen al Asian se ings, he Veblenian idea o he “ins i u ionalis dicho omy”, i.e., he
disc epancy be ween ins i u ions and echnology, is shown o p o ide c ucial insigh s in o he pa adox
o de elopmen p ojec ailu es.
Adop ing he lens o he ins i u ionalis dicho omy d aws a en ion o he pa e ns o so-called
“ins i u ional encapsula ion” occu ing a he le el o a ious s akeholde s a he di e en phases o
p ojec implemen a ion, such as local adminis a ion, cen al go e nmen , esea che s and a me s.
We show his encapsula ion o be p ima ily esponsible o p e en ing echnological inno a ions om
un olding o hei ull po en ial o he enhancemen o social wellbeing. In doing so, we look beyond
he mo e amilia easons o p ojec ailu es, such as hose ela ed o land enu e, cen alized decision
making, lack o policy in eg a ion, sho ho izons o policymake s, lack o economic incen i es o
inno a ion, and ailu es o he p i a e ex ension sec o .
2. Ame ican Ins i u ionalism: A B ie In oduc ion
The dicho omy be ween ins i u ions and echnology is a key heme in he w i ings o Tho s ein
Veblen, he ounding a he o he Ame ican adi ion o ins i u ional economics. Wi nessing he ise o
business oliga chy in Ame ican socie y a he u n o he wen ie h cen u y, Veblen disce ned he need
o d aw a clea dis inc ion be ween echnology and he ins i u ions con olling i . While echnology
holds he po en ial o sol e many u gen socie al p oblems, such as hunge , hygiene, o heal hca e,
he eigning economic and poli ical ins i u ions hold i back as hey a e p ima ily gea ed o p o ec ing
he sel -in e es o business oliga chy, o in Veblen’s e minology “ es ed in e es s”. I echnology
ails o add ess socie al p oblems, i mus ha e been ins i u ionally “encapsula ed” by dys unc ional
ins i u ions. A good example o wha Veblen called “imbecile” ins i u ions is he ag icul u al policy
o he des uc ion o oods u s which could alle ia e he pe se e ing hunge p oblems. Veblen
concluded ha b inging echnology in line wi h communi y wellbeing, i.e., wi h “ins umen al alue”,
calls o changes in he dominan ins i u ions. While hese changes a e no o iously di icul o ealize,
hey p esen he c ucial channel ansla ing echnological inno a ions in o sus ainable imp o emen s
in communi y wellbeing. This a gumen seems o shed conside able ligh on pe asi e ailu es o
con empo a y de elopmen aid p ojec s, bo h in gene al and in Cen al Asia in pa icula .
Subsequen ins i u ionalis s, such as Ay es [
18
,
19
], Fos e [
20
], and Bush [
21
,
22
], d ew on
he Veblenian dicho omy in o de o ad ance a dual cha ac e iza ion o ins i u ions in e ms o
hei “ins umen al” and “ce emonial” alues [
23
]. While pu ely ins umen al ins i u ions p esen
e iciency-d i en p oblem-sol ing de ices, ce emonial ins i u ions es on p esc ip i e no ms ha
aim o p ese e powe and s a us di e en ials. Acco dingly, ce emonial ins i u ions end o impede
echnological inno a ions as well as o eplace c i ical sc u iny and scien i ic inqui y by he “logic o
adequacy” [
22
] (p. 1080) o “su icien eason” [
24
] (p. 623), meaning he con o mi y o echnological
de elopmen wi h he ex an ules and ideologies [19] (p. 30), [22] (p. 1094).
Ins i u ionalis s cha ac e ize he ela ionship be ween ins umen al and ce emonial alues
as asymme ical. This means ha he s ong logic o ins umen al e iciency canno a ionalize
ce emonial beha io [
22
] (p. 1083), while he less demanding logic o ce emonial adequacy can
subsume ins umen al beha io . In he la e case, ins umen al beha io becomes enclosed, o
“encapsula ed”, by ce emonially domina ed ins i u ions [
22
] (p. 1082). Whe eas encapsula ion pe se
does no necessa ily p eclude he ealiza ion o ins umen al alue [
25
] (p. 187), i does imply ha he
ex an ins i u ions a e pe missi e o he echnological p og ess only as long as he la e ein o ces he
ex an ela ions o powe and “ins i u ional dominance”. Consequen ly, mode n ins i u ionalis s ake
ins i u ional change o be uly p og essi e only i i in ol es he weakening o encapsula ion and o
he concomi an ins i u ional dominance, by p omo ing he di usion o newly lea ned ins umen al
beha io h oughou he communi y [26–28].
Wa e 2017,9, 300 4 o 14
While he ideas o encapsula ion and ins i u ional dominance p esen e eshing pe spec i es
on why echnology adop ion in Cen al Asia has ailed o mee op imis ic expec a ions, he concep
o ins umen al alue has been subjec o much deba e and con es a ion (e.g., [
29
,
30
]). I is indeed
di icul o compa e he So ie and ansi ional pe iods o echnology adop ion in Cen al Asia in
e ms o he ealiza ion o ins umen al alue. A mo e pe inen ques ion seems o be ela ed o
disen angling he speci ic causal mechanisms o encapsula ion and ins i u ional dominance ha led
o slacks in echnology adop ion. This mo e p ac ical ques ion d aws a en ion o he legacy o
John R. Commons
, ano he seminal ins i u ionalis w i e , who ound he Veblenian dicho omy oo
pessimis ic and o e ly dismissi e o he possibili y o genuine ins i u ional e o m. One o he cen al
ene s o Commons’ ins i u ional economics is ha en a i e esolu ions o con lic s o in e es a e
media ed by delibe a e changes in wo king ules, which c ea e “a wo kable mu uali y and o de ly
expec a ion o p ope y and libe y” [
31
] (p. 92), [
32
]. Fu he mo e, Commons emb aced a “ oli ional”
concep ion o economic li e [
33
,
34
]. This means ha economic alues and ac i i ies a e de e mined
no by physical ac s, na u al laws, o spon aneous ma ke o ces bu by human oli ion p ima ily
pe aining o he desi e o au ho i a i e agen s o esol e hei con lic s and dispu es h ough he
adop ion o wo king ules [
34
,
35
]. Economic ou comes, such as ansac ions and echnology adop ion
beha io s, p esen enac men s o hese ules.
Commons made use o a angled web o in e ela ed concep s such as “ins i u ional adjus men ”,
“a i icial selec ion”, and “nego ia ional psychology”, among many o he s. Ins i u ional adjus men is
made necessa y by he unan icipa ed consequences ine i ably esul ing om he p e iously adop ed
wo king ules [
35
] (p. 71), while he no ion o a i icial selec ion d i es home he poin ha he
socio-economic li e un olds as a esul o pu pose ul ac i i ies o ci izens and au ho i a i e agen s who
a e “looking o he u u e” [
34
]. The heo y o nego ia ional psychology e e s o a model o human
beha io ha goes a beyond he neoclassical logic o cons ained maximiza ion [
35
,
36
]. The dis inc
no ma i e s anda d co esponding o hese concep s is no ins umen al alue bu “ easonable alue”,
which is gene ally conce ned wi h “whe he one is gi ing up a la ge sha e, and he o he is he e o e
ecei ing a la ge sha e o he social ou pu han is ‘ easonable’” [
31
] (p. 333). A aining easonable
alue is no subjec o any inexo able logic o echnological de elopmen a la Ay es [
37
]; i is a ma e
o he oli ional design o ins i u ions judged o be wo kable a a speci ic ime o a speci ic ask.
Reasonable alue is inhe en ly nego ia ional. This is why “Reason di e s om Reasonableness. Man
is no a a ional being, as he Eigh een h Cen u y hough ; he is a being o s upidi y, passion, and
igno ance, as Mal hus hough . Hence Reasonable Value con ains a la ge amoun o s upidi y, passion,
and mis ake” [
31
] (p. 682). The la e cha ac e is ics no wi hs anding, easonable alue emains
p ac ically easible, whe eas he Veblenian subo dina ion o ins umen al alue o ce emonial alue is
a o egone conclusion, a leas in capi alis socie ies.
I he ins i u ionalism o Commons is used as a sou ce o inspi a ion, hen a diagnos ic analysis
o echnology adop ion and o wa e managemen p ojec s in Cen al Asia mus in ol e iden i ying
he ele an au ho i a i e agen s, unde s anding hei goals, and igu ing ou why hese goals we e
disco dan . I is no ewo hy ha he sys ems- heo e ic schola ship has long been awa e ha goal-se ing
and goal-seeking a e p eca ious ac i i ies inasmuch as hey a e bound o gene a e side-e ec s and
unan icipa ed consequences ha a e likely o be igno ed [
38
,
39
]. I seems ha c i ique o he dis ega d
o consequences p esen s a common g ound o no ma i e pa adigms o ins i u ionalism, ins umen al
alue and easonable alue. In de eloping a sys ems- heo e ic accoun o he ins umen al alue
pa adigm, Valen ino [
26
,
40
] showed he dis ega d o consequences o be symp oma ic o ce emonial
alue. I he igno ed consequences a e publicly pe cei ed as impo an , hen a Commonsian pe spec i e
would judge he unde lying ins i u ions o be un easonable and need ul o e o m. The o e all
ins i u ionalis lesson is his: he e is no way o echnology o be di used and adop ed o he han
h ough ins i u ional channels which a e amed by he oli ional goal-se ing and goal-seeking
ac i i ies o au ho i a i e agen s. Acco dingly, he e ec i eness o echnology adop ion c ucially hinges
on he way he side-e ec s and igno ed consequences o hese ac i i ies a e deal wi h. This depends

Wa e 2017,9, 300 5 o 14
on he pe missi eness o ins i u ions. Wha needs o be added o he idea o pe missi eness is he
insigh ha easonable echnology adop ion does no mean maximum adop ion, as sugges ed by he
ins i u ionalis “p inciple o minimal disloca ion” [22] (p. 1106).
3. Encapsula ion and Ins i u ional Dominance in Wa e Use
3.1. The So ie Pe iod
Be o e he b eakup o he So ie Union in 1991, inno a ion di usion in he ag icul u e o he
Cen al Asian epublics used o be planned and con olled by a s ong cen al ac o , namely minis ies
in Moscow wi h local ep esen a i e b anches. The s a e- egula ed p omo ion o echnological
inno a ions, which we e m he e he So ie model, in ol ed assessmen o he demand o speci ic
inno a ions and hei u he es ing and di usion acco ding o he Pa y’s p io i ies (Figu e 1). In his
uling-down hie a chical model, a s ong ocus was placed on he exis ence o na ional and local
esea ch cen e s and hei coo dina ion h ough he cen ally issued asks, no ms, plans and o de s.
S a e and collec i e a ms coope a ed wi h he na ional esea ch cen e s on iden i ying a easible se o
echnologies o be es ed o implemen a ion. Cen al o he So ie model was he ope a ion o a cen al
ac o o e seeing he ac i i ies o o he ac o s. In a Veblenian in e p e a ion, his cen al ac o cons i u ed
he key sou ce o ce emonial encapsula ion o echnological de elopmen . This encapsula ion was
bound o supp ess he in e es s o he o e seen ac o s. On a Commonsian in e p e a ion, his agen
wielded un easonable powe .
Figu e 1. Models o inno a ion p ojec s.
The li e a u e documen ing he So ie model o inno a ion di usion iden i ies h ee main easons
o he poo ack eco d o inno a ion p ojec s: labo abundance [
41
], es ed in e es o kolkhoz
manage s [
42
], and he misma ch o s a e plans wi h local condi ions, including cul u al ba ie s [
43
,
44
].
On e lec ion, each o hese easons a ises ou o he ce emonial encapsula ion sugges ed abo e.
Acco ding o Dea den e al. [
45
], a key obs acle o he adop ion o inno a ions in hie a chies was no
cos s associa ed wi h inno a ion de elopmen , bu he cos o he ins i u ional en i onmen enabling
he adop ion.
Pom e ’s [
41
] s udy o he slow and es ic ed co on mechaniza ion in So ie Cen al Asia is
a case in poin . He shows ha he So ie cen al planne s we e mo i a ed by he ce emonial and
in idious goal o ou pacing he echnological de elopmen o he Uni ed S a es. Gi en his goal, i is
unsu p ising ha planne s’ e o s we e hwa ed by he g ea esis ance o kolkhoz a me s who we e
esponsible o he implemen a ion o echnical imp o emen s. The main eason o his esis ance
was no he incompe ence o manage s o planne s, bu a he he abundance o labo . Addi ionally
dep essed by egula le ies o s uden s and u ban wo ke s, he low labo cos made hand-picking mo e
economical compa ed o he labo -sa ing mechaniza ion. As a esul , kolkhoz manage s p e e ed
Wa e 2017,9, 300 6 o 14
o lea e he a ailable machine s ock idle. Fu he mo e, ac i e engagemen o s uden s and casual
wo ke s dis up ed indus ial p oduc ion and educa ion [
41
]. Acco ding o Pom e , “[ ]he ue cos
o s a e-di ec ed di usion was no ha planne s ailed o speed up di usion, bu ha hey did i oo
a ahead o i s ime” [
41
] (p. 186). This inding shows ha Veblen was igh on a leas wo coun s.
Fi s , i demons a es ha success ul adop ion o echnology is impossible i i is no ins i u ionally
secu ed. Second, i shows p og essi e ins i u ional change o be unlikely i i is d i en by ce emonial
o in idious conside a ions. A he same ime, Commons would s ess ha ins i u ions canno be
changed unless his is desi ed by he au ho i a i e agen s, who mus hold he app op ia e belie s.
Ano he ecen s udy o he pe sis ence o manual co on picking in Uzbekis an du ing he So ie
e a likewise poin s ou dys unc ional ins i u ions hinde ing he adop ion o new echnology [
42
]. Kelle
desc ibes he op-down ins i u ional e o ms ini ia ed by So ie planne s, including he s a e-o de ed
consolida ion o a ms, a new labo o ganiza ion, wage e o m, and he se ing up o egional economic
councils. Fo one, hese councils u ned ou o “unde cu he au ho i y o cen al minis ies wi hou
p o iding su icien esou ces o allow local go e nmen s o mee hei new esponsibili ies” [
42
].
As a esul ,
bo h he minis ies and local councils di e ed unds o unin ended uses. Secondly, he
newly in oduced cash wages we e pe cei ed by a me s as oo low ela i e o he g owing a m income
and p oduc i i y, hus discou aging hem om adop ing cos ly inno a ions. Thi dly, unemploymen
among he g owing u al popula ion made manual ha es ing cheape and mo e cos e ec i e han
mechanical ha es ing. Finally, in iew o he s eadily inc easing ou pu quo as o aw co on, “ he
p essu e o mode nize in a cul u al sense dwindled” as well [
42
]. Kelle concludes ha cul u al
alues and pa ia chy—o ce emonial dominance in Veblen’s wo ds—“we e and a e ac o s c ea ing
Uzbekis an’s dependence on manual labou ” [42], and impeding he in oduc ion o new echnology.
Kelle hus backs up Pom e ’s obse a ions by showing ha he ce emonial op-down e o ms in he
ins i u ional s uc u e would be in ain unless suppo ed by app op ia e and su icien echnologies.
Simila op-down ac ions ha supp essed he ins umen al aspec s o echnological inno a ion in
ag icul u e we e unde aken in So ie academia. Cocks [43] no es ha So ie science and echnology
policy was eo ien ed in he la e 1960s away om he c ea ion o new echnologies owa d echnology
applica ion. While ying o con ol esea ch ac i i ies, his policy inc eased he o ganiza ional
dissocia ion be ween esea ch and de elopmen ac o s, leading o de iciencies in o ganiza ional
s uc u e, planning, managemen and mo i a ion [
43
]. These de iciencies u he agg a a ed he
misma ch be ween echnology and physical ag icul u al and o he local condi ions, hus causing no
only he deg ada ion o soil and ha es quali y bu also he hos ili y o local s akeholde s. I he e o e
came as no su p ise ha he collapse o he So ie Union led o he comple e abandonmen no only o
co on mechaniza ion bu also o he p oduc ion o co on ha es e s.
Gleason’s s udy [
44
] o he p ocess o ins i u ional edesign o cen ally adminis e ed policies in
iew o he eme ging so e eign legal s uc u es o he Cen al Asian s a es p esen s ano he illus a ion
o he cul u al ba ie s ha ha e a isen in a numbe o dispu es be ween local go e nmen s and
he So ie Cen al appa a us in he Cen al Asian wa e managemen c isis. As Gleason epo s,
he ailu e o acknowledge cul u al alues such as adi ional e e ence o wa e obs uc ed he
smoo h p i a iza ion o wa e igh s. Ano he p oblema ic cul u al alue was ha wa e could no
be accep ed as a saleable commodi y ha had o be economized. To ollow he inno a ion plans,
he So ie adminis a ion ei he adop ed supe icial changes ia “pseudo-inno a ions” o claimed
nonexis en cases o adop ion [46] (p. 375).
Gene ally speaking, he b eakup o he So ie Union has adically changed he ins i u ional
en i onmen in which he o me Cen al Asian epublics ope a ed. Fi s , he decen aliza ion o he
So ie sys em o policymaking necessi a ed e o mula ed plans o he newly-eme ged economies,
namely Kazakhs an, Ky gyzs an, Tajikis an, Tu kmenis an and Uzbekis an. Those plans included
he eo ien a ion and mode niza ion o ag icul u e owa ds ood sel -su iciency, mainly ia impo
subs i u ion o g ains and li es ock p oduc s. Second, decen aliza ion pu a hal o he in lows
om he cen al inancial pool, he eby se ing limi s o budge expendi u es. This poli ical and
Wa e 2017,9, 300 7 o 14
economic eshu ling has u ned on i s head no only policymaking, bu also he o ganiza ion o he
esea ch landscape. Mos ema kably, he p ocesses o inno a ion adop ion and di usion we e no
longe hie a chical.
While he pos -So ie Cen al Asian esea ch communi y had long expe ience o expe imen ing
and lea ning in applied science (e.g., in he de elopmen o ag icul u al machine y, i iga ion
in as uc u e, and c op managemen ), i was ill-p epa ed o deal wi h he new decen alized
en i onmen . Wi h he onse o decen aliza ion, his communi y was con on ed wi h no el challenges
including, bu no limi ed o, wa e supply ins abili y, p og essing clima e change, and deg ada ion o
ag icul u al lands. Each o hese equi ed u gen solu ions in he mids o he u bulen p ocess o he
agmen a ion o cen ally-ope a ed and a ge -o ien ed collec i e a ms in o decen alized p i a e
decision-making uni s. The la e aced simila challenges, bu we e unp epa ed o deal wi h hem
indi idually. The widening knowledge and echnology gap called o he pa icipa ion o a compe en
hi d pa y ha would complemen i s expe ise wi h ha o he local ac o s, p ima ily go e nmen
and esea ch cen e s. Pa icipa ion o he hi d pa y in he p omo ion o ag icul u al inno a ions
cons i u es he key ea u e o he T ansi ional model o inno a ion di usion. In con as o he So ie
model, he T ansi ional model was explici ly gea ed o he le el o newly-in oduced indi idual a ms
ha badly lacked bo h expe ience and inancial esou ces (Figu e 1).
3.2. The T ansi ional Pe iod
As he new go e nmen s and newly-eme ged indi idual a ms lacked inancial means o in es
in o p ojec s, he T ansi ional model inco po a ed an in e na ional dono agency as a hi d pa y.
The in e na ional dono would acili a e he ans e o inno a ion esponsibili ies om minis ies and
ela ed ins i u ions o ag icul u al p oduce s. Such in e ac ion be ween go e nmen s and dono s also
inco po a ed he ine- uning o inno a ions o local ci cums ances, and o he speci ic needs o end
use s. Pa o hese in e ac ions came in he o m o ce ain policy condi ionali y imposed by dono s on
ecepien go e nmen s o p omo e ins i uional en i onmen s ha would enable inno a ion adop ion
and di usion. The T ansi ional model is, hus, mo e con es ed and nego ia ional.
An ins i u ionalis analysis o de elopmen aid d aws a en ion o he pa e ns and p oblems
o ins i u ional encapsula ion o echnology. In he So ie pe iod, encapsula ion could be clea ly
a ibu ed o he cen al planne s who we e s ee ing he p ocesses o inno a ion di usion. Being
inhe en ly conse a i e, cen al planne s we e no a all in e es ed in lowe ing he ex en o ins i u ional
dominance and in he sp eading o ins umen al habi s o hough ha migh ul ima ely call in o
ques ion he legi imacy o ex an poli ical powe [
47
]. The impo an ins i u ionalis poin is ha
he hi d pa y implica ed in he T ansi ional model o inno a ion di usion likewise p esen s an
ine i able sou ce o encapsula ion. The hi d pa y is ypically ep esen ed by o eign and in e na ional
dono agencies ha impo new ules and isions o he implemen a ion o inno a ion p ojec s. T ue,
he na u e o encapsula ion wi hin he T ansi ional model di e ed ma kedly om ha in he So ie
model. Mos impo an ly, he T ansi ional model encompassed a pla o m in which he in e es s o
in ol ed ac o s could be nego ia ed in such a way ha he ole o local a ms was s eng hened. Also
no ewo hy is he a o able impac o he hi d pa y’s unds and in es men s on s eng hening he
capaci y o na ional esea ch cen e s. Ye , he hi d pa y acqui ed conside able poli ical in luence
o e he inno a ion di usion p ocesses, hus disappoin ing hopes ha he T ansi ional model would
esol e p oblems o encapsula ion and ins i u ional dominance. I such hopes a e o be ealis ic, hey
mus pe ain o he easonable econcilia ion o in e es s o all he au ho i a i e agen s in ol ed, along
he lines o John R. Commons’ easonable alue heo y.
Conside a ecen s udy o he implemen a ion o inno a i e i iga ion echnologies by
Wa e Use s Associa ions (WUAs) in he Fe ghana Valley, sha ed by Ky gyzs an, Tajikis an and
Uzbekis an [
13
]. The hi d pa y commendably in es ed non- i ial esou ces in o add essing he
salien p oblem o wa e and land use in p o inces su e ing om land deg ada ion and wa e sca ci y.
Fu he mo e, in con as o he s a e-di ec ed inno a ion p ojec s, WUAs’ adi ional ocus on e iciency
Wa e 2017,9, 300 8 o 14
was no longe “pu ely echnical” bu a he based on “a mo e human and o ganiza ion cen e ed
pa adigm” [
13
] (p. 1). Ye , Kazbeko e al. [
13
] disce ned ha “ he in e es s and expe ience o empo al
p ojec owne s” led o p ojec unce ain y and hus o he ailu e o he p ojec ’s echnical upg ade [
13
]
(p. 9). Encapsula ion and ins i u ional dominance we e e idenced by he hi d pa y’s in e e ence
wi h he local owne s’ in e es s which u ned ou o play a non-negligible ole. The au ho s ha e
disco e ed ha i he hi d pa ies in luence hese in e es s, exis ing p ojec knowledge and expe ience,
i.e., “p ojec memo y”, migh ge los o o e uled when ans e ed o new owne s. E en i he oles o
p ojec pa ne s a e legally ixed, “ he indi idual in e es migh shi powe balances be ween in e nal
p ojec owne s and he e o e migh de e mine changes o p ojec objec i es and implemen a ion
p ocedu es” [13] (p. 8).
Yamaswa i e al. [
48
] epo a simila expe ience wi h a wa e managemen p ojec conduc ed
om 2001 o 2012 in he Fe ghana Valley. The p ojec ’s goal was o es ablish long- e m ansbounda y
wa e coope a ion be ween he ipa ian s a es in o de o imp o e wa e managemen in he Sy Da ja
basin. Despi e a o able economic condi ions, and close collabo a ion wi h dono s, he p ojec su e ed
signi ican delays in he planning phase. Acco ding o he au ho s, simila p oblems occu ed wi h an
ea lie wa e managemen p ojec ha was launched in 1998 by he Uni ed Na ions Special P og am
o he Economies in Cen al Asia (SPECA) in he same egion. Based on hei pe cep i e analysis o
p ojec documen s and implemen e expe ience, he au ho s iden i y p ojec igidi y, especially in he
planning phase, as he majo hind ance o e ec i e p ojec implemen a ion. They conclude ha unless
a p ojec is lexible, and hence no excessi ely encapsula ed by igid s a i ied s uc u es o s a us and
p i ilege, i will be incapable o adap ing “ o he cons an ly changing en i onmen ” [48] (p. 16).
Obe ki che [
12
] inqui es in o he easons why wa e sa ing echnologies de eloped by academic
esea ch ha e been seldom adop ed by a me s in he Kho ezm p o ince o Uzbekis an. In line
wi h he dicho omous iew o echnology and ins i u ions, she iden i ies easons o an ins i u ional
na u e—mos impo an ly he di e gence be ween he discu si e cons uc ions and local expe iences
o wa e sca ci y (c . [
49
]). She a gues ha he esea che s’ unde s anding o echnology is necessa ily
socially cons uc ed (c . [
47
,
50
]) and embedded in hei own li ewo ld which gi es p ominence o
he issues o ine iciency and unsus ainabili y o wa e use, especially in he long e m. In con as ,
a me s expe ience wa e sca ci y as a lack o echnical, o ganiza ional, o sociopoli ical con ol o e
wa e [
12
]. Fa me s’ wa e use decisions e lec hei p agma ic sho - e m planning p io i ies a he
han long- e m sus ainabili y conce ns, no leas because o poli ical isks o losing hei land.
Gi en ha a me s end o decouple hei wa e use p ac ices om land issues, Obe ki che [
12
]
a gues ha an in ima e unde s anding o ins i u ional s uc u es o schola ly ac i i y is essen ial o
iden i ying wo kable solu ions o wa e sca ci y in Uzbekis an. No less ema kable is he a gumen
ha he echnologies de eloped o imp o e wa e use e iciency would ha e a be e chance o being
adop ed i he (seemingly ce emonial) s a e con ol could be loosened and land enu e secu ed [
12
].
“In his p ocess, a me s should no only be ega ded as he ecipien s o scien i ically p oduced
knowledge a om hei eali y, bu should be included in he p oblem-de ini ion p ocess as well as in
he sea ch o adequa e solu ions” [
12
] (p. 1283). O he wise, a me s would espond “ o unan icipa ed
ad ances in he a s and sciences
. . .
by a emp ing o minimize he impac o he echnological
inno a ion on he exis ing habi s o hough and beha io ” [
22
] (p. 1094). In he Veblenian amewo k,
his ecommenda ion gi es exp ession o he p inciple o minimal disloca ion men ioned abo e.
In ano he s udy, Obe ki che and Ho nidge [
51
] analyze how a me s’ pe cep ions o wa e
managemen in luence wa e conse a ion in he Amu Da ya lowlands o Uzbekis an. The au ho s
show he seemingly ins umen al beha io o wa e conse a ion o be impeded by ce emonial
ins i u ions such as he symbolic o eligious alues o access o wa e , as well as by a me s’ belie s
in he s a e’s esponsibili y o wa e managemen . This inding is in line wi h John Dewey’s [
52
]
conclusion ha cus oms supply he s anda ds o human ac i i ies and in e ac ions. As Bush pu
i , “[ ]hose pa e ns o beha io pe cei ed o be i al o he su i al o he communi y a e he mos
ca e ully p esc ibed and ca y he hea ies sanc ions” [
22
] (p. 1077). Acco ding o Obe ki che and