Chapter 5 - State-building in fragile contexts

Assessments of external engagement and lessons learned

Critiques and dilemmas of externally-assisted state building

International actors confront a range of dilemmas in engaging with state-building processes. Many see inherent tensions and contradictions between external assistance and the need to develop local ownership, between universal values and local expectations, and between short-term imperatives (such as elite bargains) and the development of longer-term state institutions. At the practical level, donors need to reconcile the need for long-term but not open-ended engagement, ensure policy coherence and divisions of labour within and between donor governments and agencies, and be mindful that aid instruments do not undermine state legitimacy.

Paris, R., and Sisk, T., 2007, ‘Managing Contradictions: The Inherent Dilemmas of Postwar Statebuilding’, Research Partnership on post-war state-building, International Peace Institute, New York
How can legitimate, effective institutions best be built to create peaceful states? This research suggests that state-building has become a central focus of multidimensional peace operations in war-torn societies. But efforts to construct legitimate, effective state institutions are full of tensions and contradictions. Understanding these tensions and contradictions is essential for anticipating many of the practical problems that international agencies face in the course of state-building operations and for devising more nuanced and effective state-building strategies for future missions.
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Eubank, N., 2010, ‘Peace-Building without External Assistance: Lessons from Somaliland’, Center for Global Development Working Paper 198, Washington, D.C.
Somaliland has not been recognized as a state by the international community and is thus ineligible for foreign financial assistance. This paper finds evidence that Somaliland’s ineligibility for foreign aid facilitated the development of accountable political institutions and contributed to the willingness of Somalilanders to engage constructively in the state-building process. In the absence of other sources of revenue, the New Charter government of Somaliland had incentives to establish credible political institutions and engage with the business community to create a tax-based relationship with its citizens.
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Ottaway, M., 2002, ‘Rebuilding State Institutions in Collapsed States’, Development and Change, vol 33, no. 5
Is institution building the best way of reconstructing collapsed states? What can be done to avert failure in reconstruction efforts? This paper critiques the model of state reconstruction currently adopted by the international community. The article compares exogenous state-building (using the examples of Mozambique, Cambodia and Bosnia) with endogenous efforts (for example, Uganda, Ethiopia and Eritrea) and finds that exogenous, donor driven attempts are more expensive and tend to focus on building institutions rather than establishing power. She criticises donor state-building techniques as focusing more on imported ‘best practice’ than local solutions, as being overwhelming for the country in question and for not being resourced adequately enough to see the donors’ goals realised.
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Englebert, P., and Tull, D., 2008, ‘Postconflict Reconstruction in Africa: Flawed Ideas about Failed States’, International Security, Volume 32, Number 4, pp. 106-139
Why have international efforts to reconstruct public institutions in failed and collapsed states in Africa enjoyed such little success, particularly in establishing self-sustaining state institutions? This article examines the obstacles to successful reconstruction in the failed states of sub-Saharan Africa. It argues that three flawed assumptions underpin international efforts to rebuild failed states in Africa and recommends a greater reliance on indigenous reconstruction efforts.
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Lun, M., 2009, ‘Reconnecting Joined-up Approaches: Nation-building Through State-Building', Overseas Development Institute, London
How can sustainable peace be built in fragile states? This study shows that while donors have largely focused on state-building, stability requires a deeper process of nation-building. External actors are restricted to using state-building as a means of enabling nation-building. They can assist in the establishment of rule of law, create a fertile investment climate for economic regeneration and agree an exit strategy. However, only the partner country can take the active lead role in nation-building.
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'Do no harm' and state-building

A 'do no harm' approach to state-building encourages external actors to mitigate the potential for aid to result in unintended harmful outcomes. Underlying this principle is the need for interventions to be based on sound contextual analysis to better facilitate external alignment behind endogenous processes. Donors are increasingly thinking about what a 'do no harm' approach to state-building means in any given context, so as to avoid some of the well-documented pitfalls of engaging in these complex and highly political processes. 

OECD DAC, 2010, ‘Do No Harm: International Support for Statebuilding’, International Network on Conflict and Fragility (INCAF), OECD, Paris
How can donors ensure they do no harm? How can they be sure they intervene constructively in fragile situations? This book provides practical guidance based on the results of research undertaken on behalf of the OECD DAC International Network on Conflict and Fragility (INCAF). The book is based on comparative case studies of six countries (Afghanistan, Bolivia, Democratic Republic of Congo, Nepal, Rwanda and Sierra Leone) and a comprehensive literature review. It addresses how the interventions of OECD countries may risk undermining positive statebuilding processes, and makes recommendations as to how this may be avoided in the future.
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Nixon, H., 2007, 'Aiding the State? International Assistance and the Statebuilding Paradox in Afghanistan', AREU Briefing Paper, Afghanistan Research and Evaluation Unit, Afghanistan
How can a sustainable, legitimate and effective state be established in Afghanistan? As it moves from a transitional framework to a longer-term development framework, insurgency, opium and popular discontent threaten to undermine progress and further destabilise the country. This paper argues that while these threats require short-term action, sustainable solutions depend on improved governance, which in turn requires realistic state-building goals. Aid dependence, donor-driven assistance, limited state control over resources and budget assistance all present difficulties for state-building in Afghanistan.
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State-building case studies and narratives

Many argue it is vital for external actors to understand the historical trajectory of state-building in any given context, and the potential for path dependence, in each specific country context in which they are operating. State institutions are formed through long-term processes of state formation and through interactions with geographic and political economy characteristics, and ethnic and religious factors. The case studies below demonstrate how forms of the state can change over time in response to these internal and external factors. Some recent studies have sought to account for why some states faced with similar economic and structural conditions are resilient, whereas others fall into fragility.

Commins, S., Rocha Menocal, A., and Othieno, T., 2009, ‘States in Development: Testing the State-building Framework’, Overseas Development Institute (ODI), London
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Shah K., 2009, 'The Failure of State Building and the Promise of State Failure: Reinterpreting the Security-Development Nexus in Haiti ', Third World Quarterly, London: Vol. 30, Issue 1, pp 17 — 34
How can a relational perspective inform state building in fragile states? This article argues that mainstream approaches to resolving concerns of security and development through state building fail to consider the influence of historical and external factors such as transnational power relations. The case of Haiti illustrates how attempts to consolidate the modern (liberal) state have in fact contributed to insecurities. A focus on social and political struggle, domination and subordination provides a useful framework for analysis of the historical trajectory of development in — and of — fragile states.
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Beswick, D., 2009, ‘The Challenge of Warlordism to Post-Conflict State-Building: The Case of Laurent Nkunda in Eastern Congo’, The Round Table, Volume 98, Issue 402, pp. 333 - 346
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Gutierrez-Sanin, F. et al., 2009, ‘Politics and Security in Three Colombian Cities’, Crisis States Research Centre, London School of Economics (LSE), London
How and why did a radical improvement in the security situation in two of Colombia's three major cities, Bogotá and Medellín, come about? Is it sustainable? Why did such an improvement not occur in Colombia's other major city, Cali, or in other areas of the country? This paper discusses the 'metropolitan miracle' that took place  in Colombia starting in the early 1990s. It argues that the explanation for the metropolitan miracle lies in politics - in particular, coalitions, organisation and statebuilding.
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Moxham, B., 2008, ‘State-Making and the Post-Conflict City: Integration in Dili, Disintegration in Timor-Leste’, Crisis States Research Centre, London School of Economics (LSE), London
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Sumich, J. and Honwana, J., 2007, 'Strong Party, Weak State? Frelimo and State Survival Through the Mozambican Civil War: An Analytical Narrative on State-Making', Working Paper 23, Crisis States Research Centre, London School of Economics (LSE), London
In Mozambique, the ruling Frelimo party has maintained power continuously since independence. Is this evidence of a strong state or a strong party? This paper argues that it is evidence of a strong party and a weak state. Outside intervention in Mozambique, for example by the World Bank and the International Monetary Fund, has served to strengthen the Frelimo party rather than the Mozambican state.
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Hesselbein, G., 2007, 'The Rise and Decline of the Congolese State: An analytical narrative on state-making', Crisis States Research Centre, London School of Economics (LSE), London
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Chopra, J., 2002, 'Building State Failure in East Timor', Development and Change, vol. 33, no. 5
International state-building interventions frequently invite controversy and the United Nations Transitional Authority in East Timor (UNTAET) was no exception. Can international intervention succeed where local participation is excluded? Should a 'peace-maintenance' mandate involve bestowing sovereignty on the United Nations? This paper reviews the governorship style of intervention exercised by the UN in East Timor, highlights the problems associated with such a total form of international administration and recommends a 'participatory intervention' doctrine for future enterprises.
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Further narratives on state-building can be found on the Crisis States Research Centre website.

Useful websites

• OECD DAC: Peace-building, state-building and security 
• International Peace Institute: Research partnership on post-war state-building  
• Institute for State Effectiveness 
• Princeton University is running a research partnership on “Institutions for Fragile States”, in response to demand for problem-focused knowledge and practical “lessons” on the organisational designs, recruitment procedures, and management practices that yield accountable and capable government in volatile political settings.

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