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State-Building in Fragile States: An Assessment Toolkit. CONTEXT. Ongoing, increased challenge of state fragility WDR 2011 has moved the consensus and knowledge on the role of donors in FCS forward, BUT
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CONTEXT • Ongoing, increased challenge of state fragility • WDR 2011 has moved the consensus and knowledge on the role of donors in FCS forward, BUT • Challenges of operationalization and persisting weaknesses in donor approaches to state-building: • Toolkit on State-Building in Fragile States: • Overarching 'Guidance Note’ • Interactive E-Tool (excel-based) • 'How To' Note on how to use the Tool • Set of 'State Building at a Glance' indicators, • Working / background paper reviewing literature underpinning the approach
Toolkit on State-Building in Fragile States • Offers country and donor teams: • A common ‘language’ or framework for approaching/ understanding fundamental state-building issues • A structured and guided process for collectively an consistently discussing and assessing state-building challenges and their implications for country programming • Toolkit CAN: • Help teams arrive at a common understanding on state-building challenges and implications for country programming • Help ‘surface’ some of the difficult state-building challenges that often are passed over • Help identify areas for further in-depth investigation (via PEA and other analytical instruments/ approaches) • Toolkit CANNOT provide definitive answers (if you find X, then do Y)
Social and Political Context: Nature and Context of Fragility • 3 core dimensions/ characteristics of functioning states and institutions: Authority, Capacity, Legitimacy (ACL) • 4 ‘domains’ where these dimensions play out: constitutive/survival domains (security, political/ government), and output/expected domains (economic, social service delivery) • A myriad of institutions that contribute to outcomes in the four domains • Each institution will have its own authority-capacity-legitimacy (ACL) challenges Overview - Conceptual framework
A C L SECURITY POL/ GVT ECONOMIC SOC/ SERV DEL. A C L SECURITY INSTIT. 1. Core security instit. 2. Justice instit. 3. Etc. POL/ GVT . INSTIT. Structural Causes of Fragility Elite and social cleavages Political settlement, political system and social contract Macro-/Structural Level Specific Institutions & Organizations 1. SOCIAL & POLITICAL CONTEXT AUTHORITY (A) CAPACITY (C) LEGITIMACY (L) 2. STRATEGIC LEVEL ASSESSMENT 3. DOMAIN LEVEL ASSESSMENT 4. INSTITUTIONAL & ORGANIZATIONAL ASSESSMENT
Excel-based Tool guides teams step by step through the assessment process • Each step includes questions or ‘prompts’ to help teams: • Assess the ACL of the state or of key institutions at the respective level and identify state-building needs based on this assessment • Assess what the government, the Bank, and the international community are doing to address these needs • Identify the implications of the assessment for the Bank’s portfolio in terms of risks, priorities and next steps Over view – State-Building Assessment Tool (SBAT)
A C L SECURITY POL/ GVT ECONOMIC SOC/ SERV DEL. A C L SECURITY INSTIT. 1. Core security instit. 2. Justice instit. 3. Etc. POL/ GVT . INSTIT. Structural Causes of Fragility Elite and social cleavages Political settlement, political system and social contract Macro-/Structural Level Specific Institutions & Organizations 1. SOCIAL & POLITICAL CONTEXT AUTHORITY (A) CAPACITY (C) LEGITIMACY (L) State-Building Implications Implications for the Bank portfolio and partnerships Risk implications 2. STRATEGIC LEVEL ASSESSMENT 2. STRATEGIC & OPERATIONAL IMPLICATIONS State-Building Implications Implications for the Bank portfolio and partnerships Risk implications Prioritization 3. DOMAIN LEVEL ASSESSMENT 3. STRATEGIC & OPERATIONALIMPLICATIONS Implications for the Bank portfolio and partnerships Risk implications Prioritization 4. OPERATIONAL IMPLICATIONS 4. INSTITUTIONAL & ORGANIZATIONAL ASSESSMENT Analysis Practice
Team-based assessment and planning tool workshop of 1 to 4 days (depending on version used) • Needs: • Team contact person + facilitator for planning, conducting and following up on the workshop • Ideally: work in groups of max 5-6 people • Laptop(s) + Projector(s) How to use the SBAT
The SBAT is best used to inform the development of country strategies in FCS (ISNs or CASs), but it can be ‘customized’ to meet a variety of needs. E.g.: • Joint donor assessments. • Focus on a specific sector or domain. • Use for sub-national authorities. • Use with government and/ or civil society representatives. • Use in other low- and middle-income countries. Purpose and Options for Customization
Not just ‘another’ analytical tool: • Focuses more directly on the state and what the Bank and its partners can do to strengthen it • Takes a systematic approach of linking different levels of assessment: • From the macro-/ strategic level to individual institutions and organizations • From analysis to strategic and operational implications • Offers a conceptual framework or a ‘common language’ on state-building. • Generates a common team-based experience of linking analysis to operational implications • Can 'surface' many of the difficult issues and diverse viewpoints about state-building that often are left unnoticed • Offers (some) suggestions for strategic and operational choices for supporting state-building • Structured guidance for systematic team discussion of state-building challenges and implications Conclusion
To understand to nature and the causes of fragility • Structural Causes – e.g. ethnic or religious divisions, economic inequality • Elite cleavages • Social cleavages/ social cohesion • Political Settlement/ Political System • Social Contract/ Citizen-State Relations • Reflection of key drivers of fragility in the four domains of governance • Key issues, risks and expected evolution over time • Sets the stage for considering the state and its institutions with their overall socio-political context Step 1. Assess the Social and Political Context
To get an overall picture of the state’s authority, capacity and legitimacy • ‘Flags’ issues for further assessment at the next stages • Can highlight some macro-level risks and strategic implications for teams • E.g. if the state has high legitimacy due to political inclusion, but low capacity to deliver services that are increasingly demanded by the population, then ‘flag’ building capacity for service delivery as a key issue to keep in mind for the following steps. Step 2. Strategic/ Overall Country-Level Assessment
‘Disaggregating’ ACL in the four domains of governance (security, political/ gvt., economic, and social/ service delivery) - Helps to: • See in which domain and dimension the state performs better or worse • Suggestions for indicators to help assess the state’s authority, capacity and legitimacy in each domain • get a more disaggregated picture of ‘meso-level’ challenges and implications for country programming • assign priorities to each domain (if possible/ desired) • Identify sector-level risks and priorities • Some suggestions for strategic/ operational options to consider in each domain + further literature included in toolbox Step 3. Domain Level Assessment
List of ‘typical’ institutions for each domain: • Prompts to determine ACL of the listed institutions • Option to add country-specific institutions that are not listed generic questions that can be applied/ adapted to any institution • Helps to: • Identify key institutions and their strengths and weaknesses in terms of ACL • assign priorities and develop more fine-grained, ‘micro-level’ operational options/ implications for country programming • Some general suggestions on strengthening ACL of institutions • e.g. align de jure and de facto authority, build capacity of organizations not just individuals etc. Step 4. INSTITUTIONAL assessment
To get an overall – integrated – picture of the assessment and the implications • Snapshot: all color-based ratings • Summary: text for key issues for state stability and resilience and next steps for the Bank • Review: • Quick ‘glimpse’ of key challenges, priorities, next steps etc. • Ensure consistency– revisit assessments where necessary Step 5: Country Snapshot and Summary