Aknowledgements

My thanks go also to the Swiss Agency for Development and Cooperation

(SDC) for supporting my endeavor as state-building represents a key institutional

priority of SDC, and I hope to have been able to meet their expectations. In that

respect, a special thanks goes to Mrs. Chrystel Ferret who supported my initiative

from the very beginning as well as to Mr. Gerhard Siegfried who allowed me to

continue my thesis and contribute t0 the alternative approaches and understanding

of the state-building approach within his SDC division.

Last but not least, I would like to thank my family: my parents who always

supported me in my life and, above all, my wife, Ana Milena Castro Amaya,

who in all these years rendered emotional and financial support through writing

this thesis. I also thank her for her patience and understanding by sacrificing many

weekends and vacations we could have spent differently. Without her support, this

work would not have been possible. In addition, I would like to thank my brother-

in-law, Mr. Antonio Corrales Cruz, who was of immense help as a gate-keeper to

access difficult-to-get key informants which allowed enriching the discussion and

contextualizing it, as well as for his logistical support during my field research.

Finally, I would like to thank everybody who was important in the successful

realization of this thesis. At the same time, I would like to express my apologies

that I could not mention them on an individual basis.

Acronyms

1

n2

Contents

Introduction .......:...............

1.1 State of the art and own research . ..............

1.1.1 The state theory and the state concept within the o

development discourse... еее:

.1.2 State fragility and state-building . . . . . . . . . ..

.1.3 Legitimacy and state-building in fragile contexts... . ..

12. Ownrésearch. . . \ assssnsesagesane

1.2.1 The state in the development discourse... . . . . . . ..

1.2.2 The question of legitimacy within the state-building

concept. . |...

13 Hypothesis ...6..622eee Peer yer ew eae

The origin of the state. . ...................

2.1 The origin of the State. . . . ...............

.1.1 The coercive theory . . . . . . . . . . . . . . .. B

.1.2 The voluntaristic theory... еее:

.1.3 The circumscription theory. . . . . . ...........

¿LA Conclusión: 2 1 ans mom ooh неоновые N

D

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D

22 Transition from the traditional to the modern state — an

evolutionary approach. . ................

2.2.1 Stateless societies and the primitive, "quasi" state — the

government administration. . . 2...

2.2.3 Preliminary conclusion... rne

2.3 The early, “not yet modern” ве o... e... n ne

2.4 The modern, developed state . . o o o rr nn

2.5 Conclusion еее еее еее

The state concept, a short overview еее.

3.1 The difficulty to define the state. . . еее.

ili

nN

nn

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3:9

34

3.3

3.6

Contents

The capitalist state according to the Marxist theory ...

32.1 The historical and materialist principles of the

development of thestate ето"

22 Nature and role of the state. еее.

The state as equilibrator and independent state. . . . . -

324 The state and the civil society еее

Abandoning the state . . .......... nn

3.3.1 The new universal paradigm of the political system ....

3.32 The boundaries of the political зуйет . еее

3.3.3 The civic and political culture of a society... . . : - -

Bringing the state back т. tton

3.4.1 The state as an autonomous actor... еее

More recent approaches of the state... nn

Conclusión +++ eee eae ee eo ns ES Em S

The state within the development discourse . еее:

4.1

4.3

The origin of international development... en

4.1.1 Development doctrines and development discourse

4.1.2 The development concepts..."

4.1.3 The modernization theory — a development concept that

survived eee. mom t t t t n

4.1.3.1 The concept of political development within the

modernization theory еее:

4.1.4 The concept of "good governance" within the

development theories. . . «t t tt nn

4.1.5 Thedevelopmentdiscourse еее

The state in the development agenda... .. ee es

42.1 The role of the state within the development agenda. . . .

4.2.2 The developmental state... ccn n

4.2.2.1 Decolonization and the raising of the

developmental state... nennen

4.2.2.2 Weak states, strong societies. ее:

4.2.2.3 The developmental state and “good governance”

Stale-building à «<6 oe wee a SRE E SEH ee Hone EES

4.3.1 The concept of state-building еее

iv

12

Contents

4.3.2 State-building and fragile states . . . . . . . . . . . . .. 108

4.3.2.1 The role of public administration and institution-building within the context of

State-building «s ss =: nase eos rseum« 109

4.3.2.2 The state-society relation and the social contract . 112

44. Conclusions... ence momo mom mom moo nox m mme xS AAA 115

44 The fragile state à: 25229-9992 neo msn eas 121

4.4.2 Conclusion and link to field research. . . . . . . . . . .. 125

LEMA a sas sno sassarese homes Oe mu a 127

5.1 Legitimacy matters, also within the state-building paradigm. . . . 127

59, МПа ес? а +»: «ose scans ssa 129

5.2.1 Definition of legitimacy «49m mmm 130

5.22. Sources of legitimacy « 9s «99 o. mu sue mat 132

5.2.3 Excursus: Legitimacy of political authority in the case of

democtdGye > 22 30e He D Serum nee 136

5.3 Ranking of the sources of legitimacy within state-building . . . . 140

5.3.1 Service delivery as the primary source of state legitimacy . 141

5.3.2 Service delivery and accountability . . . . . . . . . . .. 142

5.3.3 The causal link between state-service delivery and

state-lepitimacy .....2.%8 5s ¢ sme eRe ee m 144

5.3.3.1 The involvement of non-state actors in the

delivery of state services. . . . . . . . . . . . .. 145

5.3.4 Criticism on the state performance model linked to the

instrument of service delivery as the main source for legitimäcy' . za Less ss sr raro ae 149

5.4 Multiple sources of legitimacy... ne 152

5.4.1 Competing sources of legitimacy... . . . . . . . . . .. 154

5.4.2 The concept of “hybrid political order” (HPO)... . . .. 157

5.5 Legitimacy and trust. . ...................... 160

5.5.1 Trust as a component to reduce social complexity and risk

Management è as sx poem 9 om 9 om n m e Ex xe dh 162

5.5.2 Typology of trust. o... oo. 163

5.5.0.1 Personal trust . à e oso pus om omm m mom m n 163

5.5.22 Systemietnist: a & & e eh mo ommo ss 163

5.5.3 The concept of mistrust... . . . ............ 165

5.6 The concept of “public mistrust societies". . . . . ........ 166

5.6.1 Political culture within "societies of public mistrust”. . . . 166

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Contents

5.6.2 The distinction between « pays légal » and « pays réel ». .

5.6.3 The concept of common good in fragile contexts and

public mistrust societies еее.

6 Social capital. .............................

6.1 What is social capital?. |... o o o t t t nn

6.1.1 Conclusions . 2... 6 еее еее еее

6.2 Social capital and trust еее еее еее

6.3 Social capital as a public good... ne

6.4 Social capital and development . .... 6 nn

Network analysis and social capital . ................

7.1 Measuring social Capital... . .. .... . еее еее

7.2 The theoretical framework of the network analysis . . . . . . ++

7.2.1 Cohesion and behaviour... . o o n n e

7.2.2 Strong and weak ties... t t n n e

7.2.3 The strength of the weak ties. . . . . . . . . . . .....

7.24 Structural holes and the "tertius gaudens” . . . . . . . ..

73 Conclusion ............................

Methodology and field research . ..................

8.1 Introduction. еее еее неее

8.2 Selection of the country and geographical area . . . . . . . . ++

8.3 Main actors and partners for the study. ее.

8.3.1 Communities. .......................

8.3.2 The Consejo Regional Indígena del Tolima (“CRIT”) . . .

8.3.3 Government of Tolima and municipality of Ortega. . . . -

8.3.4 The University of Tolima CUT") .............

8.3.5 Selected key informants . . . . . . . . . . . . n nn

84 Approach to the field . ......................

8.5 Community selection . ......................

8.6 Methodology . . .. . e t t tr tn

8.6.1 Operationalization of legitimacy... . . .. . ......

8.6.2 Design and sampling of the survey... . . se

8.6.2.1 Trial phase . ...................

8.6.2.2 Sampling .....................

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Contents

8.6.2.3 Data processing LL 223

8.6.3 24 phase of the field research: Participatory observation

to complement the network data analysis and giving the

historical and political context. . 2... ......... 225

9 Colombia and the district of Tolima ................. 229

9.1 Colombia, a short history and memories... ........... 229

9.2 Colombia and the violence .................... 230

9.3 The ethnic composition of the Colombian population . . . . . . . 234

9.4 An overview of Colombia’s current indigenous population . . . . 235

9.4.1 The indigenous populations and their historical relation to

the colonial and modern state . .............. 238

9.4.2 The Indian reservations — the “resguardos indígenas” . . . 240

9.4.3 Indigenous resistance . . ................. 244

9.5 Colombia's development approach . ............... 253

9.6 Colombia and the concept of “hybrid political orders" (HPO). . . 257

9.6.1 The formation of the guerrilla groups and their link to

SOCIE: s a a a ce hm sem Sn Emma ran aa 297

9.6.2 The formation of the paramilitary groups and their connections to the formal state. . . . . . 2 2 ss. 266

9.6.2.1 The origins of the paramilitary groups. . . . . . . 266

9.6.2.2 The paramilitary groups and their relation to the

formalstäle s osorno 267

9.7 Thedistrictof Tolima. 22 + 3:2 822: = 55 Ges sw em en 08 270

9.7.1 A short history and memories . . 222.22... 270

9.7.2 The indigenous community . ............... 274

9.7.3 Short overview of the main development challenges at the

district level à sa ss ss ss es spe sauna 5 0 es 276

9.7.3.1 Service delivery in the area of health, education,

housing situation and water and sanitation, and

general remarks on the development plan... . . 277

9.7.3.2 Forced migration . ................ 278

9.133 Accesstoland. + à =... ur usw bee mmm 279

10 Ortega and its communities. . .................... 283

10.1 The municipality of Ortega . . . ................. 283

10.1.1 History and memory . . .................. 283

10.1.2 Period of the violence until the present day . . . . . . . . 285

vil

10.2

10.3

10.4

10.5

10.6

10.7

10.8

Contents

Geographical and socio-economic characteristics . . . . - 290

The ethnic composition of the population of Ortega. . . . . . .. 291

Development challenges and service delivery at the municipal

level. - = ss aus zz so P wo sn HEHE EHR A 292

Communities: a case study of four communities. . . . . . . . . . 295

10.5.1 Demographic and socio-economic situation of the visited

communities . ...................... 295

10.5.1.1 Household composition . . . . . . . . . . . . .. 295

10.5.1.2 Migration . .................... 297

10.5.1.3 Access to land. ..oocoomspspmmos mes 301

10.5.1.4 Livelihood of the communities and household

EXPENSES. » sonara ms 2 905

10.5.1.5 Household income and expenses . . . . . .. .. 310

10.5.2 Service delivery . . .................... 315

The link between service delivery and state legitimacy . . . . . . 326

10.6.1 The supposed neutrality of delivery of public services . . . 333

Organization and political participation... . . . . . . . . . .. 338

10.7.1 Memberships at the community level . .......... 339

10.7.2 Trust amongst the community members and towards the

different institutions and the legitimacy of the political

SYSTEM > se more rase rasa «à 944

10.7.3 Trust and political participation . . . . .......... 349

10.7.4 The vote as a currency for exchange and access to public

500 cocos sapo rosas

The relevance of social networks as a survival strategy in a

context of “public mistrust societies” . . . ............ 399

10.8.1 Network analysis in the context of “public mistrust SOCIÉNES e + à sms eras IAEA 360

10.8.2 Types of relationships, weight, density and centrality of

the social network . .................... 361

10.8.3 Community of Flautillo . . ................ 363

10.8.4 Community of Aico . ................... MI

10.8.5 Community of Arroyuelo . ................ 378

10.8.6 Community of Vuelta del Rio... 2... . . . . . . . .. 384

10.8.7 The inter-community network . . ............. 389

10.8.8 Conclusions . ....................... 400

10.8.8.1 Key public persons and public officers ...... 400

10.8.8.2 Access to health... ............... 407

10.8.8.3 Access to credit чело haw KR DDS 409

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Contents

10.8.8.4 Access to security and conflict resolution . . . . . 410

10.9 Social capital and legitimacy . .................. 412

1] Conclusions .............................. 419

11.1 Development discourse around state-building... . . . . . . . .. 419

11.2 Competing actors and sources of legitimacy in Colombia... . . 421

11.3 Legitimacy and society link of the different armed groups and

other territorial асюг$ o... 424

11.4 The causal link between service delivery and state legitimacy. . . 427

11.5 Legitimacy of the state within a society of public mistrust... . . 430

12 ANNEXES c uunecobuszecruoccscsost5coctEWwGSssáesrs 433

Annex | Pictures field research municipality of Ortega . . . . . . . .. 433

Annex 2 Map indigenous, rom and afro Colombian population . . . . . 44]

Annex 3 Map “resguardo” Vuelta del Ri0................ 442

Annex 4 Localization of the violence in 1962.............. 443

Annex 5 Geographical distribution of the district of Tolima... . . .. 444

Annex 6 Discussion between communities and the municipal

administration on the priorities of the municipal Development Plan of

Ortega for the period 2016-2019 .................... 445

Annex 7 Directory of social relationships, institutions and services . . . 446

13 Bibliography. . ............................ 447