Chapter 5 - State-building in fragile contexts

Strategies for external engagement

Working within local contexts and institutions

Understanding informal institutions and forms of order and authority that exist within and beyond the nation state is critical for understanding the feasibility of state-building interventions. Many studies have demonstrated how local institutions and traditional authorities are resilient, can endure state failure or collapse, and determine the everyday realities of poor people, particularly in remote or peripheral areas beyond the state’s reach. Some call for state-building interventions to better account for and tap into the potential for positive social change through these institutions on the basis they often carry legitimacy with the population, and that where formal state institutions do not match well with them, they will not endure. Recently there has been renewed attention on the ‘mediated state’ model, in which a central government with limited power and capacity relies on a diverse range of local and informal authorities to execute core functions of government and mediate relations between local communities and the state.

But others caution that local institutions should not be idealised. There are considerable challenges in addressing fragility when dominant social structures and local institutions may perpetrate violence, vulnerability, or predation. Some studies have identified a risk that state-building interventions can perpetuate weak, unstable or criminal institutions.

Unsworth, S. (ed.), 2010, 'An Upside Down View of Governance', Centre for the Future State, Institute of Development Studies, Brighton
This paper draws on country examples to illustrate how elements of public authority are being created through complex processes of bargaining between state and society actors, and the interaction of formal and informal institutions. Instead of prioritising reform of formal institutions, development practitioners should look at the structures, relationships, interests and incentives that underpin them. In the short-to-medium term it may be more useful to explore whether relationship-based arrangements could offer a way to make progress as opposed to helping build rules-based public authorities. Donors should prioritise international action to improve financial regulation and constrain criminal activity. They could do more to facilitate dialogue between politicians and investors and support collective action by business associations. Policymakers should be more alert to ways in which the design of public programmes influences opportunities and incentives for collective action to demand better services. Efforts to improve local governance need to take more account of informal village-level institutions. Tax reforms should prioritise equity, transparency and improved collection.
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Boege, V., Brown, A., Clements, K., and Nolan, A., 2008, ‘On Hybrid Political Orders and Emerging States: State Formation in the Context of ‘Fragility’’, Berghof Research Centre for Constructive Conflict Management, Berlin
This paper argues that current approaches to state-building rest on a narrow understanding of the sources of political order, focusing too heavily on the technical and bureaucratic functions of the state. It proposes instead that emerging states be viewed not as fragile entities lacking capabilities but as hybrid political orders whose sources of legitimacy are often more socially and culturally rooted. The reality is that state institutions co-exist with and depend on the family, religious, economic and cultural institutions. While the state, in the final analysis, has a coercive capacity to determine outcomes which other institutions lack, this does not mean that state institutions are the primary determinant of integration, security, welfare or legitimacy. These factors are much more critically determined by other institutions within the society.
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Menkhaus, K., 2006, ‘Governance without Government in Somalia: Spoilers, State Building, and the Politics of Coping’, International Security, 2006/7
Why has statebuilding in Somalia failed so often? This research suggests that the problem lies in the type of state that both external and local actors have so far sought to construct. Somalia needs to develop a mediated state in which a central government with limited power and capacity relies on a range of local authorities to execute core functions of government and mediate between local communities and the state.
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Cammack, D., 2007, 'The Logic of African Neopatrimonialism: What Role for Donors?', Development Policy Review, Vol. 25, Issue 5, pp. 599-614
When sub-Saharan African government institutions do not function as expected by international aid agencies, they are often labelled dysfunctional. This article explains the ‘logic’ behind neopatrimonial practices. Donors must begin to act politically – to confront directly the political logic that undermines economic development and democratic consolidation.
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McGovern, M., 2008, ‘Liberia: The Risks of Re-building a Shadow State’ Chapter 14 in (eds.) C T Call and V Wyeth, Building States to Build Peace, Lynne Rienner, Colorado
What lessons can the international community draw from statebuilding efforts in Liberia? This chapter reviews the international community's experience in Liberia during its post-conflict transitional period and finds that deeply intrusive forms of intervention often risk long-term sustainability for medium-term success. It argues that unless reforms and reconstruction are rooted in consultation and a sense of local ownership they are likely to collapse as soon as donor interest and resources shift elsewhere.
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Phillips, S., 2011, ‘Yemen: Developmental Dysfunction and Division in a Crisis State’, Research Paper 14, Developmental Leadership Program
This paper looks behind the scenes at the Yemeni regime’s opaque internal politics and at the nature of the neo-patrimonial system that it has entrenched over the past 32 years. Yemen is at a critical juncture, and the calculations and strategies of the country’s key actors may shift rapidly and on the basis of unpredictable factors, but it is important to keep in mind that deeply patrimonial systems are not transformed overnight.
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Further resources on working with non-state justice institutions are available on the GSDRC’s justice guide.

The Overseas Development Institute (ODI) is leading a consortium on Africa Power and Politics that is assessing how donors may work “with” the grain rather than against it in different contexts in Africa.

Addressing exclusion

Social exclusion is a key cause and characteristic of state fragility. Supporting opportunities for enhancing excluded groups rights and their participation in governance is therefore viewed as a critical aspect of state-building by donors. Some view a rights-based approach to programming as crucial in the achievement of long term and sustainable empowerment of marginalised groups.

Evans D.G., 2008, 'Human Rights and State Fragility: Conceptual Foundations and Strategic Directions for State-Building', Report prepared for the Ministry of Foreign Affairs, Denmark 
How can a human rights-based approach support state building in fragile states? This paper presents guidance for international actors. Given the relationship between conflict and poverty, neither factor on its own can guide responses to state fragility. A human rights-based approach to state building involves analysing and addressing issues of social, economic and political exclusion.
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Langer, A., Stewart, F. and Venugopal, R., 2010, 'Have Post-Conflict Development Policies Addressed Horizontal Inequalities?', In Brief, Centre for Research on Inequality, Human Security and Ethnicity (CRISE), Oxford
Severe horizontal inequalities (HI), or inequalities among groups, are undesirable in themselves and can lead to violent conflict. International donors sometimes acknowledge HI as important, but instead privilege more conventional policies that can actually lead to a worsening of HI. The paper distinguishes between direct, indirect or integrationist policies. Direct policies target particular groups explicitly to improve their access to particular resources; indirect policies are universally applicable policies designed to have the effect of reducing HI; and integrationist policies aim to bring groups together, reducing group identities and enhancing national ones. All three can play a role, but indirect policies and integrationist ones are particularly appropriate as direct polices can arouse severe tensions. Policies such as those on infrastructure, industrial promotion and training, should seek to reduce both regional and ethnic inequalities in market opportunities. Likewise HI policies should complement other development policies. It is important that policy-makers are conscious and sensitive of the context in regard to HI and the tensions and controversies that may arise from policies, especially redistributive policies.
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Stewart, F., Brown, G., and Langer, A., 2007, 'Policies towards Horizontal Inequalities', CRISE Working Paper, no. 42, Queen Elizabeth House, Oxford University, Oxford
Severe horizontal inequalities (HIs), or inequalities among groups, are undesirable in themselves and can lead to violent conflict. So, what can be done to reduce them? This paper reviews a range of policies which could contribute to reducing HIs in the political, socio-economic and cultural status dimensions. Considerations of HIs are frequently ignored in policy-making, and need to become an important part of policy discussions in multicultural societies.
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DIIS, 2008, ‘Youth Employment in Fragile States’, DIIS Policy Brief, Danish Institute for International Studies, Copenhagen
Directing the energy of youth towards reconstruction is a challenge and requires rapid interventions in the areas of education, family life and health, economic empowerment and civic participation.
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For further reading, see also: 'Tackling social exclusion' in the GSDRC social exclusion guide; 'Protecting minority rights' in the GSDRC conflict guide; and 'State fragility and human rights' in the GSDRC human rights guide.

Gender and state-building

Gender roles and relations can determine opportunities and obstacles to state-building. Many argue early attention needs to be given to gender equality and to increasing women’s voice in political, social, and economic development in fragile and post-conflict settings. State reconstruction can provide opportunities to shape new social, economic, and political dynamics that can break existing gender stereotypes. For example, recent research has shown how the redrawing of the boundaries of authority between the formal state and customary governance systems can provide new citizenship opportunities for women. Not focusing on gender early on can entrench systems that discriminate against women which are much harder to challenge later.

At the operational level, however, gender is often not seen as a high priority by donors in the early states of post-conflict state-building, and may be ignored in the design of interventions. It is important to understand the linkages between gender and fragility, and the implications of failing to take gender into account (including the potential to inadvertently reinforce discrimination).          

Castillejo, C., 2008, ‘Strengthening Women's Citizenship in the Context of State Building: The Experience of Sierra Leone’, Fundación para las Relaciones Internacionales y el Diálogo Exterior (FRIDE), Madrid
How can women’s citizenship in developing countries be strengthened? In many African countries women have little contact with the formal state and their lives are governed by customary governance systems that seriously limit their rights and opportunities for political participation. This is particularly true for women in fragile states, where the formal state is weak and inaccessible. Based on field research in Sierra Leone, this paper examines how processes of post-conflict state-building have redrawn the boundaries of authority between the formal state and customary governance systems, and thereby provided new citizenship opportunities for women. The paper explores the changes that are taking place in women’s rights, women’s political participation and women’s mobilisation in Sierra Leone, in the context of state-building. It also makes recommendations for how donors can support the strengthening of women’s citizenship within their support for state-building in Africa.
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Larson, A., 2008, ‘A Mandate to Mainstream: Promoting Gender Equality in Afghanistan’, Afghanistan Research and Evaluation Unit, Kabul
How well is gender equality being promoted in Afghanistan? This study argues that gender mainstreaming is not being substantively implemented in the Administration, although it is the government’s principal strategy for promoting gender equality. Mainstreaming is a valuable tool and could be more effectively executed. It is the responsibility of the Government of Afghanistan (GoA), and of its leaders in particular, to ensure that its written commitment to promote gender equality in the GoA Gender Mainstreaming Policy is supported by its activities and practices.
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Strengthening citizen engagement

Many caution that any reconstruction process must allow for active citizen participation, particularly from periphery populations, in order to enhance its legitimacy. Donors need to therefore balance the top-down focus on institution-building with the strengthening of bottom-up access to institutions and accountability. Civic participation is also seen to strengthen state legitimacy. Citizen-centred or community-based approaches (CBA) are increasingly advocated as ways to develop local governance capacity and social capital.

Von Kaltenborn-Stachau, H., 2008, ‘Fostering Positive Citizen-State Relations in Support of State-building’, Part I in ‘The missing link: connecting citizen and state in post-conflict environments’, CommGAP, World Bank, Washington
How can the international community help to rebuild state-society relations in post-conflict situations? This study argues that current donor approaches to state-building are too narrowly focused and too fragmented to fully address the “invisible” yet critical processes of state-society relations. It recommends the adoption of a governance framework based on the concept of the public sphere in order to foster positive collaboration and engagement within post-conflict societies.
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Bell, E., 2008, ‘Society in State-building: Lessons in Improving Democratic Governance’, Initiative for Peacebuilding
What is the best way to promote democratic governance in fragile and conflict-affected countries? By directing attention to interactions between state and society, this report aims to help external agencies and conflict-affected societies generate a culture of democratic politics. Drawing on analyses of Angola, the Democratic Republic of Congo, Georgia and Pakistan, the paper recommends using the potential that is inherent in all development assistance to improve governance. This includes using the processes for defining development strategies to widen and deepen ownership by society as a whole.
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Uvin. P., 2006. 'Fostering Citizen Collective Action in Post-Conflict Societies', in What Really Works in Preventing and Rebuilding Failed States?, Occasional Paper Series, Woodrow Wilson International Center, Washington, DC
How do NGOs contribute to civil society development in post-conflict environments? What role should the donor community play? This paper describes the challenges involved in civil society development in post-conflict Rwanda and Burundi. It concludes that in order to be successful, the donor community must find more effective and constructive means of supporting citizen opportunities for local learning and bargaining within the framework of the law. Promoting a culture of citizenship is crucial to effective civil society promotion.
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Eyben, R. and Ladbury, S., 2006, 'Building Effective States: Taking a Citizen's Perspective', Development Research Centre, Citizenship, Participation and Accountability, Institute of Development Studies, Brighton
How can a citizen-centred approach to development build effective states by improving relations between state and society? This paper gives an overview of current debates and analyses citizens’ own views on these issues. It argues that a state’s legitimacy is strengthened by civic participation, which often grows up around local issues, and can be empowered through donor support.
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The National Solidarity Programme (NSP) in Afghanistan is a high-profile example of a citizen-led reconstruction effort which aimed to empower communities, improve community relations, and increase public faith in the system of government. However, other research warns about the challenges of making these structures sustainable, coherent and effective and in developing their relations with non-state actors and customary governance systems.

Ghani, A., and Lockhart, C., 2008, ‘National Programs: The Challenge of Implementation’, Chapter 9 in Fixing Failed States: A Framework for Rebuilding a Fractured World, Oxford University Press, Oxford
How do national programmes aid the state-building process? This chapter assesses the success of national programmes in Europe, the United States and Afghanistan. Currently, state-building strategies falter because they fail to link intentions to realistic and innovative delivery mechanisms. The real work lies in implementation, and national programmes can provide the implementation vehicles that align vision, rules, resources and participants to achieve a common goal.
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Nixon, H., 2007, ‘The Changing Face of Local Government?: Community Development Councils in Afghanistan’, Afghanistan Research and Evaluation Unit, Kabul
What role do Community Development Councils (CDCs) play at the community level in Afghanistan? This paper presents findings from research on subnational governance in Afghanistan. It finds that CDCs have made a significant contribution to the welfare and representation of community members. It is now important to consider the future of CDCs, their role in achieving improved development outcomes and their position in the local governance system.
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Further information on the role of communications in state-building is available in the Communications in Fragile and Conflict-affected States section of the GSDRC’s guide on communications and governance.

Decentralisation in fragile states

There is considerable disagreement about whether and how decentralisation should be pursued in fragile environments. Decentralisation is often supported on the basis that it can positively impact on centre-periphery relations and bring government closer to the people. But many studies have found that informal political institutions can subvert the decentralisation process in fragile states, and some caution that the relationship between state resilience and decentralisation is not yet well understood. A long-standing concern in the state-building literature has been the need to balance the development of strong central institutions with the need for the state to have a local presence, but without local agencies becoming autonomous from the state.

Brinkerhoff, D., 2008, ‘Good Enough Governance in Fragile States: The Role of Center-Periphery Relations and Local Government’, Paper presented at the 4th International Specialised Conference on “International Aid and Public Administration”, International Institute of Administrative Sciences, Ankara, Turkey, June 23-27
How can fragile and post-conflict states stabilise themselves and transition toward socio-economic recovery? This paper argues that developing countries and donors should eschew ambitious idealised visions of good governance in favour of pragmatic approaches aimed at achieving "good enough governance". Drawing from evidence from stabilisation efforts in Iraq, it concludes that implementing this new strategy requires looking beyond the centre to the critical role of sub-national levels of government in post-conflict reconstruction.
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GSDRC, 2008, ‘Decentralisation and Assistance to Sub-national Governments in Fragile Environments’, Helpdesk Research Report, Governance and Social Development Resource Centre, Birmingham
Many argue that strengthening sub-national governance in fragile situations is vital, particularly for delivering basic services where the state is weak or absent, for addressing ethnic/regional inequalities, and for conflict management. The importance of center-periphery relations in terms of statebuilding, particularly in restoring state legitimacy, is also noted. Yet others are skeptical as to whether there is any evidence that decentralisation can produce pro-poor outcomes in fragile settings. Furthermore, there is significant concern that decentralisation in certain contexts can be potentially damaging; case studies highlight the risk that decentralisation can be subverted by politics, therefore reinforcing non-democratic and non-participatory political systems, and increasing the potential of a return to conflict or fragility.
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Engberg-Pedersen, L., 2008, ‘Local Governance in Fragile States’, DIIS Policy Brief, Danish Institute of International Studies, Copenhagen
This brief argues that early support to local governance in fragile states is vital for enabling socio-economic development in the countryside, but comprehensive political, fiscal and administrative decentralisation reforms are rarely the way forward. In situations where non-state actors fill the gaps left by absence of government, comprehensive decentralisation risks reproducing state fragility. Ignoring informal non-state authorities can considerably undermine efforts to reform local governance in fragile states. Overall, donors should not be overly ambitious and should adopt a properly sequenced and integrated approach.
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Jackson, P., 2005, 'Chiefs, Money and Politicians: Rebuilding Local Government in Post-War Sierra Leone', Public Administration and Development, vol. 25, no 1., pp. 49-58
What are the prospects for decentralisation in post-war Sierra Leone? This paper analyses the interaction between the different elements of local government, finance, and the diamond trade in Sierra Leone and offers guidance for post-conflict reconstruction at a local level. It argues that the reconstitution of the politico-economic networks surrounding diamond extraction outside of local government may lead to the alienation of the same groups that led the rebellion over the last few years.
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GSDRC, 2010, 'Decentralisation and Statebuilding', Helpdesk Research Report, GSDRC, Birmingham
Decentralisation and the building or restoring of sub-national government institutions can significantly alter centre-periphery relations. Much of the literature cites the potential for these processes and structures to contribute to improving state-citizen relations and advancing state legitimacy. However, the contribution that decentralisation and sub-national government can make to statebuilding is influenced to a great extent by the nature of the political settlement and the political economy of the country. Much of the literature and case studies from around the world stress that decentralisation frameworks and the development of new local institutions cannot in themselves counter entrenched political economies. Political contexts and actors that are present particular challenges include neo-patrimonialism, fragmented political power, traditional and non-state actors and exclusionary settlements.
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