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The quality of public sector organizations has proved to be highly significant for economic growth, poverty reduction, reduced income inequality, improved health etc.

How do we get there? -National characteristics -International dimension

Capacity-Building and Reform in Developing Countries: Linking Policy and Politics

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Outline

• Introducing ourselves & our research:– Key questions– Background– Main Findings– Future Research– 3 Take-Away Points

• Discussant • Q&A

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Background: The State & Human Welfare

• What we know:– Strong capable democracies are the most welfare

enhancing form of political organization

• What we don’t know: – How do you get it?

• The West followed one particular recipe:– First state became strong, then democratic

• Developing countries today following another:– Democratizing first, before becoming strong

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Research Question

• Key Research Question:– What are the consequences for human development of

‘reverse sequencing’ (democratizing before the state becomes strong)?

• Main Research Finding:Reverse sequencing can lead to more corruption, lower

administrative capacity (i.e. states that are democratic but not strong & capable)

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Democracy and Administrative Capacity in the World

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Research Findings

Mechanisms: Democracies can’t use coercion to solve collective action

problems & it becomes harder to state-build• Concrete case study: Taxation in Rwanda & Lesotho

Democracy changes elite-ruler relations, destabilizing rulers & increasing the importance of patronage (corruption)Concrete case study: Food Security Policy in Malawi

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Taxation in Rwanda & Lesotho

• Question:– Are there differences in how they go about collecting tax in

Rwanda (autocracy) compared to Lesotho (democracy)?

• Methods:– Interviews with RRA & LRA officials & detailed process tracing

• Findings:– Rwanda – use tax as a form of state-building to extend control of

state over population (eg. aggressively extending tax-net). Have succeeded in increasing direct taxes.

– Lesotho – avoid using tax to state-build - ‘too politically sensitive’ (instead emphasize voluntary compliance). Have not succeeded in increasing direct taxes, still reliant on trade

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Food Security Policy in Malawi 1964-2009

• Question:• How did democratization impact on food security in Malawi?

• Methods:• Diachronic comparison before & after multi-party elections in 1994

• Findings:• Democratization destabilized elite-ruler relations which led to:

– Fragmentation of policy making, as it became arena for elite competition

– Undermined capacity of bureaucracy to implement, as patronage increased

– Affected relationship with donors, concerned about corruption– Grain sold to Muluzi supporters → shortages

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Future Research

• Party Systems & Elite Behaviour: are consolidated parties the missing link in containing elite behaviour & connecting elites to voters?– Compare Kenya & Ghana

• Taxation & Democracy: has democracy made governments more accountable to private sector than to voters?– Quantitative Study of all 48 African countries

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3 Main Take Away Points

1) The West followed one particular recipe:– Strong first, democratic second

Developing countries today following another:– Democratizing first

2) This may not lead to the same outcome:– Reverse sequencing can lead to more corruption, lower

administrative capacity

3) We need to think more critically about the component parts of good governance – democratic institutions, bureaucracy, rule of law – and how sequencing in development of these institutions matters

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Background: Administrative reforms in developing countries

• The main research discourse Do not transfer Western models to developing countries– Bad experiences – Build on local knowledge and local circumstances – Significant adjustments

• Routine explanation

• A lack of empirical studies on public officials

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Key research questions

• How do public officials (i.e. public auditors) perceive what is legitimate structures and practices?

• How do they reform their organizations?

• How may problems of implementation be understood?

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The State Audit Case (Riksrevisioner)Research Design and Data

• Three parts: 1. Arenas 2. NAO Namibia3. NAO Botswana

• Methods – Observations (ap.100h + informal conversations)– Document studies – Personal interviews (59 with 46 persons)

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Main findings

• Arenas – Harmonization in line with international (Western) standards– When gap between international and local, discussed how

to change the local norms • NAO Namibia & Botswana

– Continuous change to achieve higher compliance with standards

• Problems of implementation – Underestimation of time and support needed– Management– Motivation

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Future Research

• Professionalization of public sector officials in African countries

• The role and impact on audit on public sector performance:– Quantitatively: Cross-country comparative research,

developing + developed countries– Qualitatively: The dynamic interplay between audit and non-

state actors

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3 Main Take Away Points

1) Professionals & Actors: - International instead of West – Africa- Not merely historic legacies & local conditions shape

attitudes and action, identities are more dynamic

2) Sharing common understandings and practices –enables cooperation, internationally – regionally

3) Be critical to routine explanations: Ground conclusions on empirical work