Fixing failed states – a framework for rebuilding a fractured world PDF

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Fixing failed states – a framework for rebuilding a fractured world Ashraf Ghani et Clare Lockart NB: concept fondamental  TRUST, CONFIANCE Construction of a functional state is the key element to fix states Preface  

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The impact of the 2009 economic crisis: State is the only orga capable of orchestrating collective political and social responses at times of market failure. The balance between the state and the market in the developed world: The issue is no longer whether there should be regulation but how, when and where the state should regulate the market. Managing a way out of the crisis is going to require medium-to long-term horizons from politicians not shortterm electoral considerations. Progress on an international state building agenda: the need to “solve issues of governance and political instability” headed a long list of failures in the instruments of foreign aid. The politics of state building : political process, they acquire shape direction and meaning through public discussion. Citizen mobilization is essential to challenging corruption and bad governance. Need for a compact between the citizens and the state and between the state and the international community. Ongoing lessons from the field: six factors that drive successful transitions (fixing states).

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Leadership and management team committed to a goal: change their country Focus on accountability in the management of public finances  plus “zero tolerance” attitude towards corruption in the public purse. Privileging of investment on human capital (education) Channeling the aid money available through their own budget systems to drive the creation of a domestic construction industry Understanding the need to broaden from a narrow elite to a growing middle class Commitment to transform individuals from subjects to citizens.

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Balancing state, market and civil society

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INTRODUCTION Forty to sixty failed states and two billion people concerned. Vicious networks of criminality and violence feed it. Dysfunctional state stands between them and a better life. Only sovereign states (= that provide basic services for citizens) will allow human progress to continue sinon c’est des “areas de misrule”. As the firm organizes economy, only the state can organize power. Basically the problem himself is an amount of national and international misunderstandings: - Little understanding of what a state needs to do in the modern world to serve its citizens and connect to global flows - Little understanding of how the international community can help a government to acquire the capacity to serve its citizens. - Little understanding if the kind of timeline that is required. - The solutions applied tend to be one size fits all, ignoring the demands of a state’s particular context or the new global context - No understanding of shared responsibility. Optimism of the authors based on three arguments: - The word has generated prosperity on an unprecedented scale - Global knowledge and information technology are expanding - There Is now a stock of experience on transforming states.

They argue for a reorientation in the international response to create capable states The book proposes a strategic framework for defining the functions of the state, designing the organizational structure necessary for the performance of those functions, and aligning actors to the goal of state building. It presents ideas for reorganizing international security so that political and economic organizations can serve the purpose of creating and sustaining effective states. On that basis, strategies can then be devised that are tailored to context and deal on state capacity in the form of a “sovereignty index”. Finally, the book proposes methods for comparative reporting on state capacity In the form of a “sovereignty index”.  establish legitimate states at a time when the use of force has reached its limit.  the solution must come through establishing legitimacy in the eyes of the international community and a country’s citizens. NB. Double compact (conceptualization of this process): compact between the state and the citizens and compact between the state and the international community.

Avant la construction ou reconstruction d’un état: imposition of international preferences. Mais il faudrait que la construction des états se fasse par eux memes (“self made states” idée très US)  outsiders might be asked to perform a specific function for a limited time and then, through a clear process of handover, see national actors take in that function. International organizations as currently constituted are an obstacle to state building. (when they were created they assumed that their constituent parts would be sovereign states that enjoyed legitimacy at home and behaved as responsible members of the international order. The framework presented has been tested through four lenses:  analytic perspective  practical experience  acting as both participant and adviser within the state building process  viewpoint informed by the successes and failures of different state building trajectories throughout history

Goals of the book: - To serve as a catlyst for a new understanding of the state as a dynamic, citizen oriented mechanism that is necessary for the construction of a legitimate economic, social and political order. - A functioning state is a necessary condition for the ability of business and civil society in turn to function (need of collaboration between them) - Seek the engagement of the global public in an agenda of state building - To suggest the contours of a pragmatic agenda of action. PART ONE: DEFINING THE CONTEXT Describes our understanding of the distinctiveness of the present world. I. The creeping “sovereignty gap” Outilnes the critical problem in the forty to sixty states that suffer from a soverignty gap between the functions desired by the population and the day reality of mismanagement. Main pb: failed states considered as “minors”  cannot have any sovereignty + corruption + transnational companies take out all the resources. More, a single framework for fixing failed states doesn’t exist. We can : - Inspire ourselves from the previous examples - Adapt this framework to the singular and unique context of every state

Prosperity for everyone is possible but, condition: effective states that provide good services to their citizens.  en gros tt le pb (pauvreté dans le monde, pb vari) réside dans l’absence de structure étatique ? Ou absence de souveraineté ? II. Reversing history Outilnes the way in which certain regions and countries have “reversed history” and created effective states despite significant problems. X trouver exemples pas slmt afghanistan, irak et kosovo mais aussi d’autres pays qui sont passés par la devastation et qui sont maintenant prospères. Ex. Pays européens post 2GM  avec strategic partnership / clean governance (no corruption) / infrastructures management / meritocracy system for recruiting the heads of companies (public or private)  they become credible partners Ex. Singapore: petite ile de merde, pas de ressources et finalement Ex. Southern US states  the states where instruments of exclusion / repression des minorités (ex. Slaves)  leaders qui ont arreté exclusion, construit insfrastructuresk, permis l’éducation de tous (higher ed), investissements militaires + budget qui reflet les valeurs de l’état (ex. Bcp x éducation). Ex. Irlande: avant l’un des pays plus pauvres d’europe (’60) et maintenant l’un avec les plus de croissance. Fait ca avec investissement dans technologie + access to EU + leadership  dvpmt of human capital been essential for successuful transitions  Leadership not to dominate but to manage relations III. Webs and flows of cooperation Describe our networked world Networked governance (= interconnections with public sphere, corporation, citizens) (ex. Air travel) and for every other flow. Result of the investment of the states on technology. 5 aspects of the networked world: - Framework that divide activities of the states market and citizens - Not only law rule: arrengements and practices - Massive public investment on the well being of the citizen - World evolving according to open system - Knowledge is now crucial (more than ex. Memory) on the work market  framework qui a permis le retablisssement de l’europe d’après guerre: démocratie + économie de marché

IV. Failed politics Depicts life in that half of the world that is excluded from the opportunities and economic and political relationships Poverty = population unable to this unprecedented stock of global wealth and knowledge (not bc they don’t have the capability to do it: they mostly have a great potential wealth but they don’t use it constructively At the roots of the failure: national politics + failure of international politics /aid  conflict Bcp d’ex: sudan or nepal (très dvppés). Ex. Nepal  nepalese people have an immense institutional creativity on a local level (village associations for politics and infrastructures  political elite may sacrifice the country’s medium to long term interest for their own short term gain Ex. Afghanistan: casini politici ma grande potenziale (negli anni 70 paese ricco e prospero car bcp ressources naturelles + possibiltà per le autorità de construire a functioning state but they chose to put private interest before public one. Après departure of talibams (2002)  capital humain dvppé de manière pro-active par les citoyens memes. Wanted to “overcome the digital gap and become connected to the network of opportunities that would allow the, to change not just their own lives but the lives of the generations to come”  they absolutely wanted to learn english and technology  connect themselves to knowledge et donc opportunités

Elections 2004 (1ères directes et libres) mvmt massif de la pop pour voter (mm pls fois  international medias appelé au trucage alors qu’avec un peu plus d’investissement inetrnational UN aurait pu automatiser le truc.. les afghans ne connaissaient pas la démocratie..) 6 themes from this disfunctionality 1. Conflict syndrome (prolonged conflict)  armed groups /polarization of identities /private networks / ungovernable flows / opaque decision making by a small élite  = distrust in states institutioons 2. Ending conflicts: solution  accommodate parties and not creating mechanisms x functioning states 3. Peace agreements /transfert de pouvoir after conflit: people used to opaque decision making do not trust the new order 4. Even with peace agreements poor policies and bad politics can destroy a country 5. Bad policies can be the biggest obstacle to dvpment, not only money 6. Perverse side of globalization: criminal networks can prosper within fragile states  in disfucntional states, l’élite pense à son agreandissement perso et en meme temps l’état n’arrive pas à fournir services basiques à citoyens.

V. The promises and perils of aid Explains how foreign aid had created an “aid complex” that exacerbates the very problems that the international community hopes to solve Aid system construit après 2GM (Plan Marshall)  mais “instad of opening countries up to legitimate entrepreneurial activity it epitomizes the side of exploitative capitalism.  How we hot here: the evolution of the aid complex: on en est arrivés là après 2gm  marshall plan that focus on education of everyone  vehicle for strong democracy and economy + instrument of social mobility  Flows of money: bcp d’argent dans le processus d’aide internationale mais à cause de la corrutpion + inefficience tt n’est pas dévolu à pays en difficulté  èerte espoir et de confiance de la part des citoyens.  Managing projects: bcp trop de projets  si malmenés peuvent undermine rather than support state institutions + pb of procurement _ peu de supervsion  les donors (ex. Banks) pvt cancel the projet if it does not meet established conditions + pb  donors logos present aprtout in the country  reminder of their aid dependance +pb  dual bureaucracies (quasi concurrentes on dirait): gvnmt et staff working for donor funded projects  Technical assistance:  Managing adjustment: donors are making policies / politics o failed states  allocation d’une donation à l’état à condtiion d’adopter une série de réformes voulues par eux. Syst international commence à comprendre que pour une économie saine il faut un état sain.  Un peace-keeping, military reconstruction (w/ mercenary armies = short term contracts, people raised in violence and for violence) and humanitarian intervention (but most often  they are “quick-impact projects” and not long term ones: this perpetuates the symptoms of the conflict (ex. Refugee camps) =\ reintegrate them to normal lives  The aid complex: “on a clear analysis of the state’s core functions, it continues to deal with the symptoms rather than the cause of the problem” Si on ne fait pas une approche analytique des fonctions de l’état, international aid will “continue to deal with the symptoms rather than the cause of the rpoblem”. Ex. Haiti  bcp d’aides mais tjs disfunctional state  aid made a little impact and had adverse impact on governance Aid system include “tacit knowledge” that must be turned into active knowledge to provide the bases for state building strategies

PART TWO: DEFINING THE STATE FOR THE 21TH CENTURY Presents a multifunctional framework for understanding state practices and delineates the performance of ten core functions that state must perform.

VI. Toward a Multifunctional view of the state States have responsabilities towards their citizens: have mechanisms to fullfill these responsibilities. Question about the efficiency of the state not about his interventions themselves.  The “functions of the state evolve overtime in response to the public consensus on the scale and parameters of the state’s activities”  “role of the state is multifunctional and dynamic rather than singular and static” In developing countries état n’a pas réussi à etre aussi flexible dans relation avec le marché et les citoyens  violence devient le moyen de faire changer les choses.

VII. The framework: the ten functions of the state Selon eux, c’est les 10 fonctions que l’état devrait avoir s’il veut sortir de la situation de failed state Rule of law (x définir les pouvoirs et leurs limites résoudre les conflts w/ law mais surtout faut que citoyens y adhèrent x que les lois soient utilisées dans la pratique légale. Nécessaire car 1. Stabilize gvnmt 2. Sets a predictable environment on peut faire des plans sur le long terme 3. Crée confiance dans les institutions 4. Incita a intraprendere). Bes° aussi de concertation des lois avec celles des autres pays  sinon risque d’etre exclu de la mondialisation 2. Monopoly on the legitimate means of violence (absolument nécessair epour l’état sinon entités parlallès comme guerrillas ou mafias l’auront. Mais pour éviter les dérives de ce pouvoir, faut qu’il soit soumis à la loi) 3. Administrative control (the state must seem accountable to the citizens. Ex. E-gvnance is very good car permet collaboration active des citoyens qui deviennet des collaborateurs in the production of public value  citizen centre gvnance) 4. Sound management of public finances (faut que citoyens y aient confiance. Mais pb: tension entre le coiurt terme des élections et le long terme de certains projets et réformes). 5. Investments in human capital (w/ ealth and education  new education = a field of continuous learning and lifelong updating of skills = ça a crée la classe moyenne après 2GM  sans ça: inégalités, pauvreté et immobilité sociale) + “today both knowledge and crativity are recognized as the engine of competitivness” no need of memorizing anymore (machines do it for us)  today besoin de personnes fortes en problem solving and creativity 6. Creation of citizenship tights through social policy (can create a sens of unity / equality and cpmmon destiny. If not: clivages d’ethnie, religion, race, classe, genre) 7. Provision of infrastructures services (sans infrastructures difficile de s’insérer dans le marché = no moyens de communication au niveau techno comme au niveau physique) 8. Formation of a market (en régulant, en supportant et intervenant en cas de pb. But role of the state in the marketis specific from state to state  anyway the state provides architecture within the market operations) 9. Management of public assets (public national assets ex. Capitaux, héritages, image of the country, ressources naturelles but with 21ème siècle  security, environnement, trade are global assets to manage all tpgether). 10. Effective public borrowing (if public borrowing  creation of companies  emploi = plus de taxtes = état est plus riche. Semble donner vraiment une recette pour que le public borrowing fonctionne. 1.

Avec ces 10 fonctions on pourrait créer un “sovereignty index”  The sovereignty dividend and the sovereignty gap: état en bonne santé pas forcément centralisé: acteurs niveau local peut faire mieux qu’état décidant x tt le pays par ex. PART THREE: A NEW AGENDA FOR STATE BUILDING Range of pragmatic mechanisms that will make a state building agenda practicable. Future planning is a trend, an exercise that état / citoyens / universités font.

VIII. International compacts: sovereignty strategies Outlines a sovereignty strategy based on long term compacts that integrate the current raft of interventions in the economic, political, security, judicial, administrative and social domains into a single, long term approach A sovereignty strategy is

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the alignment (de tous les éléments de la stratégie – little projects doivent etre alignés avec la global strategy) of internal and external stakeholders (= des acteurs) to the goals of a sovereign state (fournir les 10 fonctions) through the rules of the game: formulation (so actors have a juridical framework rather than violence) calibration (réconsidérer règles quand des nouveaux acteurs apparaissent en ne st pas régulés par règles existantes) and adherence. With mobilization of resoucres (ex. Capital des expats, cultural heritage = tourism, licensing of goods, natural ressources, human capital and trust  create social capital). With designation of critical tasks (define priorities) with mandating leaders and managers (quelli di prima fanno tutto da soli e no cooprazione internaz mentre quelli nuovi devono esser inspiring and rallying people around a vision and use their potemtial for common good). Reflexive monitoring of the implementation process (constant evaluation des projets / policies + report to citizens and ask for feedbacks) The double compact in pratice ( = droits et devoirs des functioning states: obligations state versus citizens and status vs international community)

IX. National programs: the challenge of implementation Explains the key modality for implementing this strategy: national programs that build domestic capability for the performance of each function in the medium to long term. En gros ca sert à donner à l’état le pouvoir d’agir en cas de critical task à mener. Attributs: - A unified set of rules - Mobilized and harnessed assets (already existing capabilities) - Sound management system (effects / flows must become predicatble) - Social and institutional capital (cooperation with citizens  they want to change) - Careful sequencing (prendre le temps que les projets demandent) - Calibration over time (le programme doit s’adapter aux changements. Pas immuable) - National programs as instruments of transformations National programs vs other approaches National programs: support soverignty and inspire confiance de la part des citizens Large scale humanitarian programs: Ex. Refugees: they perpetuate conflict conditions (refugee camps) Ex. Food program: court terme ! vaut meiux donner à l’état les moyens d’investir pour produire nourriture Quick impact projects: good ma tolgono potere totalmente al governo locale....