Investigating 'pockets of effectiveness' in developing countries: a new route to building state capacity for development

调查发展中国家的“有效性领域”：建设国家发展能力的新途径

• 批准号: ES/N01443X/1
• 负责人: Sam Hickey
• 金额: $ 56.06万
• 依托单位: University of Manchester
• 依托单位国家: 英国
• 项目类别: Research Grant
• 财政年份: 2017
• 资助国家: 英国
• 起止时间: 2017 至 无数据
• 项目状态: 已结题
• 来源: https://gtr.ukri.org/projects?ref=ES%2FN01443X%2F1
• 关键词: Investigating; pockets; effectiveness; developing; countries

A major challenge for achieving poverty reduction is that the capacity of states to deliver development is in short supply, particularly in Africa. However, 'pockets of effectiveness' (PoEs) offer important clues concerning how developmental forms of state capacity might emerge and be sustained in difficult contexts. PoEs are public organisations that function effectively where this is not the norm, with history suggesting that they have proved critical to developmental state success in the global south. Examples include national banks that can maintain macroeconomic stability and establish the conditions for pro-poor growth; regulatory agencies that can effectively govern key development resources; and policy delivery units capable of providing basic social services, all of which are central to improving the lives of poor people in Africa.Recent research on PoEs has suggested that both external (e.g. political context) and internal factors (e.g. organisational leadership) shape their performance. However, this emerging subfield of governance research lacks a comparative study which systematically identifies how PoEs emerge and are sustained in different contexts and sectors, and the role that domestic and international actors can play in this. This absence has ruled out developing a theory of change concerning how PoEs emerge and are sustained and the generation of policy recommendations beyond specific cases. The key objectives are therefore to: (a) Undertake a comparative analysis of the institutional and political conditions through which PoEs emerge and are sustained in different contexts and within different sectors(b) Identify the role that domestic and international actors play in developing and sustaining PoEs (c) Directly inform and improve efforts by governments and development agencies to support PoEs in Africa, and developmental governance more broadly (d) Strengthen the capacity of early-career African researchers to undertake governance research and policy engagement.The project will employ a 'political settlements' approach to understanding the political and institutional conditions associated with poverty reduction, and directly explore what domestic and international actors can do to promote these conditions. Political settlements analysis focuses on how formal and informal forms of politics and power relations shape the performance of public organisations. Different kinds of political settlement offer different kinds of incentives and opportunities for elite actors to invest in building effective developmental institutions. We will undertake comparative qualitative investigations into PoEs within two 'competitive clientelistic' types (Ghana, Zambia) and two 'dominant' types (Rwanda and Uganda). A PoE involved in each of economic development, regulation and social provisioning will be investigated in each context. This design will significantly enhance our generation of policy relevant findings and also theory-development.The PI and Co-I have extensive experience of directing and undertaking comparative research in Africa, and will actively strengthen the capacity of the early-career African researchers involved here. The PI has a very productive track record of working with this particular team. Our innovative programme of policy engagement and uptake work will be further supported by a high-capacity team at Manchester and the use of networks established through the PI's leading role in international research centres since 2005. The research team already has good relationships with leading officials within some of the PoEs involved and with governance advisors within international development agencies. This provides a strong basis for ensuring that key stakeholders are enrolled into and inform the project from the outset, and that the findings will be channelled directly to the key actors involved in promoting poverty-reducing forms of state capacity in Africa.

实现减贫的一个主要挑战是，国家提供发展的能力不足，特别是在非洲。然而，“有效性口袋”（PoEs）提供了重要线索，说明在困难的环境中，国家能力的发展形式可能如何出现并维持下去。民营企业是在非常态地区有效运作的公共组织，历史表明，它们对全球南方国家的发展成功至关重要。例如，能够维持宏观经济稳定并为有利于穷人的增长创造条件的国家银行；能够有效管理关键发展资源的监管机构；以及能够提供基本社会服务的政策执行单位，所有这些都对改善非洲穷人的生活至关重要。最近对poe的研究表明，外部因素（如政治背景）和内部因素（如组织领导）都影响着他们的表现。然而，这一新兴的治理研究分支领域缺乏一项比较研究，以系统地确定PoEs如何在不同背景和部门中出现和维持，以及国内和国际行动者在这方面可以发挥的作用。由于缺乏这方面的研究，就无法发展出一套关于私营企业如何出现和维持的变革理论，也无法在具体案例之外提出政策建议。因此，主要目标是：(a)对在不同背景和不同部门内产生和维持专业企业活动的体制和政治条件进行比较分析(b)查明国内和国际行动者在发展和维持专业企业活动方面所起的作用(c)直接通报和改进各国政府和发展机构支助非洲专业企业活动的努力；(d)加强非洲早期职业研究人员进行治理研究和政策参与的能力。该项目将采用“政治解决”方法来了解与减贫相关的政治和体制条件，并直接探讨国内和国际行动者可以采取哪些措施来促进这些条件。政治解决分析侧重于正式和非正式形式的政治和权力关系如何塑造公共组织的绩效。不同类型的政治解决方案为精英参与者投资建立有效的发展机构提供了不同的激励和机会。我们将对两种“竞争clientelistic”类型（加纳、赞比亚）和两种“dominant”类型（卢旺达和乌干达）的poe进行比较定性调查。将在每一种情况下对涉及经济发展、管制和社会供应的项目进行调查。这一设计将极大地促进我们的政策相关发现和理论发展的产生。PI和Co-I在指导和开展非洲比较研究方面拥有丰富的经验，并将积极加强这里的早期职业非洲研究人员的能力。PI在与这个特定团队合作方面有着非常富有成效的记录。我们的政策参与和吸收工作的创新计划将得到曼彻斯特高能力团队的进一步支持，并利用PI自2005年以来在国际研究中心的领导作用建立的网络。该研究小组已经与一些参与项目的主要官员以及国际发展机构的治理顾问建立了良好的关系。这为确保关键利益相关者从一开始就参与并了解项目情况提供了坚实的基础，并确保将研究结果直接传达给参与促进非洲国家减贫能力形式的关键行为体。

项目成果

The Politics of Building Effective Water Utilities in the Global South: A Case of NWSC Uganda

• DOI: 10.2139/ssrn.3668153
• 发表时间: 2020-08
• 期刊: Social Science Research Network
• 作者: Badru Bukenya

Bank of Zambia's Autonomy Amidst Political Turnovers in Zambia*

赞比亚银行在赞比亚政治更迭中的自治*

• DOI: 10.2139/ssrn.3716795
• 发表时间: 2020
• 期刊: SSRN Electronic Journal
• 作者: Cheelo C

Political Settlement Dynamics and the Emergence and Decline of Bureaucratic Pockets of Effectiveness in Ghana

加纳的政治解决动态以及官僚效率的出现和衰落

• DOI: 10.2139/ssrn.3894493
• 发表时间: 2021
• 期刊: SSRN Electronic Journal
• 作者: Abdulai A

Zambia Revenue Authority Professional Performance Amidst Structural Constraints, 1994-2019

1994-2019 年赞比亚税务局在结构性限制下的专业表现

• DOI: 10.2139/ssrn.3716824
• 发表时间: 2020
• 期刊: SSRN Electronic Journal
• 作者: Cheelo C

The Political Economy of Central Bank Effectiveness: The Case of National Bank of Rwanda

中央银行有效性的政治经济学：卢旺达国家银行的案例

• DOI: 10.2139/ssrn.3661614
• 发表时间: 2020
• 期刊: SSRN Electronic Journal
• 作者: Behuria P