The paradox of water management projects in Central Asia: An institutionalist perspective

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 S anda d-Nu zungsbedingungen: Die Dokumen e au EconS o dü en zu eigenen wissenscha lichen Zwecken und zum P i a geb auch gespeiche und kopie we den. Sie dü en die Dokumen e nich ü ö en liche ode komme zielle Zwecke e iel äl igen, ö en lich auss ellen, ö en lich zugänglich machen, e eiben ode ande wei ig nu zen. So e n die Ve asse die Dokumen e un e Open-Con en -Lizenzen (insbesonde e CC-Lizenzen) zu Ve ügung ges ell haben soll en, gel en abweichend on diesen Nu zungsbedingungen die in de do genann en Lizenz gewäh en Nu zungs ech e. Te ms o use: Documen s in EconS o may be sa ed and copied o you pe sonal and schola ly pu poses. You a e no o copy documen s o public o comme cial pu poses, o exhibi he documen s publicly, o make hem publicly a ailable on he in e ne , o o dis ibu e o o he wise use he documen s in public. I he documen s ha e been made a ailable unde an Open Con en Licence (especially C ea i e Commons Licences), you may exe cise u he usage igh s as speci ied in he indica ed licence. h p://c ea i ecommons.o g/licenses/by/4.0/ 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