Capacity-Building and Reform in Developing
Countries: Linking Policy and Politics
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
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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 Namibia
3. 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 nonstate 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
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