People, aid and institutions in socio economic recovery facing fragilities

‘A key development challenge is how people’s livelihoods and nations’ economies can be rebuilt in the aftermath of conflict, in which civilians and civil institutions are often intentional targets of violence Rebuilding these institutions can only be achieved by an in-depth understanding of livelihoods, environment and governance This important new book offers insights and findings from recent research.’ — Daniel Maxwell, Tufts University, Boston, USA ‘Today we risk leaving those in fragile and conflict-affected situations behind in global development To eradicate poverty by 2030, we cannot settle for “business as usual” This volume confronts the failures of development in complex situations, including aid actors’ biases and the limits of massive hierarchical systems designed to move money irrespective of real needs and the resilience of the most vulnerable Essential reading for anyone who is ready to start doing things differently in the aid world.’ — Gary Milante, Stockholm International Peace Research Institute (SIPRI), Sweden ‘This volume of detailed and rigorous research is of urgent value to both students and activists, working under fragile conditions in diverse manifestations in Asia The ethnographic case studies take various lenses to help us delve deeply and broaden our view, and grasp the day-to-day process of recovery in the post- World Humanitarian Summit reality.’ — Mihir Bhatt, All India Disaster Mitigation Institute, India People, Aid and Institutions.indb 25/01/2017 11:41:15 PEOPLE, AID AND INSTITUTIONS IN SOCIO-ECONOMIC RECOVERY An estimated two billion people live in countries affected by fragility, conflict and violence Extreme poverty is increasingly concentrated in these areas, and governments and international agencies seek avenues to enable socio-economic recovery and to support people as they try to rebuild their lives and livelihoods People, Aid and Institutions in Socio-economic Recovery: Facing Fragilities provides an in-depth understanding of people’s strategies in the face of conflict and disasterrelated fragility and examines how policies and aid interventions enable their socioeconomic recovery – or fail to so Through field-based research, the book captures the complex and unfolding realities on the ground, exploring the interfaces between economic, social and institutional change This provides a rich and unique vantage point from which to reflect on the impact of recovery policies The book provides a set of cross-cutting findings that aim to inform policy and practice The detailed case studies of the book lay bare key dynamics of recovery Set against the findings from two chapters that review the literature, the cases provide evidence-based lessons for socio-economic recovery The chapters combine qualitative and quantitative methodologies and form a valuable resource for researchers and postgraduate students of disaster management, conflict, humanitarian aid and social reconstruction, and development management Dorothea Hilhorst is Professor of Humanitarian Aid and Reconstruction at the International Institute of Social Studies of Erasmus University Rotterdam and at Wageningen University, The Netherlands Bart Weijs is Coordinator of the Partners for Resilience Programme at CARE Nederland, and former researcher and coordinator of the IS Academy Human Security in Fragile States at Wageningen University, The Netherlands Gemma van der Haar is Assistant Professor at the chair group Sociology of Development and Change, Social Science Department, Wageningen University, The Netherlands She has a background in development sociology and conflict studies People, Aid and Institutions.indb 25/01/2017 11:41:15 Routledge Humanitarian Studies Series Series editors: Alex de Waal and Dorothea Hilhorst Editorial Board: Mihir Bhatt, Dennis Dijkzeul, Wendy Fenton, Kirsten Johnson, Julia Streets, Peter Walker The Routledge Humanitarian Studies series, in collaboration with the International Humanitarian Studies Association (IHSA), takes a comprehensive approach to the growing field of expertise that is humanitarian studies This field is concerned with humanitarian crises caused by natural disaster, conflict or political instability and deals with the study of how humanitarian crises evolve, how they affect people and their institutions and societies, and the responses they trigger We invite book proposals that address, amongst other topics, questions of aid delivery, institutional aspects of service provision, the dynamics of rebel wars, state building after war, the international architecture of peacekeeping, the ways in which ordinary people continue to make a living throughout crises, and the effect of crises on gender relations This interdisciplinary series draws on and is relevant to a range of disciplines, including development studies, international relations, international law, anthropology, peace and conflict studies, public health and migration studies The New Humanitarians in International Practice Emerging actors and contested principles Edited by Zeynep Sezgin and Dennis Dijkzeul Natural Hazards, Risk and Vulnerability Floods and Slum Life in Indonesia Roanne van Voorst UNHCR and the Struggle for Accountability Technology, law and results-based management Edited by Kristin Bergtora Sandvik and Katja Lindskov Jacobsen Australia’s Foreign Aid Dilemma Humanitarian aspirations confront democratic legitimacy Jack Corbett Public Health Humanitarian Responses to Natural Disasters Emily Chan People, Aid and Institutions in Socio-economic Recovery Facing Fragilities Dorothea Hilhorst, Bart Weijs and Gemma van der Haar People, Aid and Institutions.indb 25/01/2017 11:41:15 PEOPLE, AID AND INSTITUTIONS IN SOCIO-ECONOMIC RECOVERY Facing Fragilities Edited by Dorothea Hilhorst, Bart Weijs and Gemma van der Haar   People Aid and Institutions PRELIMS.indd 25/01/2017 15:43:19 First published 2017 by Routledge Park Square, Milton Park, Abingdon, Oxon OX14 4RN and by Routledge 711 Third Avenue, New York, NY 10017 Routledge is an imprint of the Taylor & Francis Group, an informa business © 2017 selection and editorial matter, Dorothea Hilhorst, Bart Weijs and Gemma van der Haar; individual chapters, the contributors The right of the editors to be identified as the authors of the editorial material, and of the authors for their individual chapters, has been asserted in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988 All rights reserved No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data A catalog record for this book has been requested ISBN: 978-1-138-91450-6 (hbk) ISBN: 978-1-138-91451-3 (pbk) ISBN: 978-1-315-69075-9 (ebk) Typeset in Bembo by Saxon Graphics Ltd, Derby People, Aid and Institutions.indb 25/01/2017 11:41:15 CONTENTS List of illustrations ix Acknowledgements xi xiii List of contributors   Facing fragilities: The socially embedded nature of socio-economic recovery Dorothea Hilhorst, Gemma van der Haar and Bart Weijs   Recovering from conflict: What matters for livelihoods, economic activity and growth? Rachel Slater and Richard Mallett   International policies in the field of socio-economic development in fragile settings: Converging trends and contentious themes Anette Hoffmann 19 38   Precarious itineraries: The ‘longue durée’ of recovery and livelihoods in a post-war Salvadoran village Ralph Sprenkels and Chris van der Borgh 63   Emergency or durable solution? Coltan mining and cooperatives in northern Katanga (DRC) Claude Iguma Wakenge and Dorothea Hilhorst 82 People, Aid and Institutions.indb 25/01/2017 11:41:15 viii Contents   Negotiating traditional norms and barriers in women’s fragile economic development in Afghanistan Holly A Ritchie   Blind spots: Domestic entrepreneurship and private-sector development in South Sudan Rens Twijnstra and Dorothea Hilhorst   Labour mobilisation: The case of Tushiriki (DRC) Patrick Milabyo Kyamusugulwa, Jeroen Cuvelier and Dorothea Hilhorst   Aid under contestation: Public works, labour and community-based food security programming in post-conflict northern Uganda Winnie W Wairimu, Maja A Slingerland and Dorothea Hilhorst 10 Risky relations? Aid, security and access for recovery in South Sudan Bram J Jansen 11 From the rubble to the barricades: Social struggles around recovery and disaster risk management in Central America after Mitch Carlos Morales Carbonell and Gemma van der Haar 12 Addressing fragilities: The growth of cities and the challenges for the Red Cross/Red Crescent in assuming a resilience-building role Raimond Duijsens 13 Adding it all up? Doing development differently in conflict and in confronting disaster risk Ian Christoplos and Paul Harvey 99 119 138 156 173 191 210 228 Index 235 People, Aid and Institutions.indb 25/01/2017 11:41:15 ILLUSTRATIONS Figures 3.1 UN Three-Track Approach 3.2 The Peacebuilding (PB)–Economic Development (ED) Spectrum 5.1 The ‘3Ts’ mineral supply chain 6.1 Layered reality of purdah for Afghan women within their social and geographical setting 8.1 Map of South Kivu province 43 48 93 104 146 Tables 2.1 Conflict, growth and livelihoods: Four main bodies of evidence 6.1 Purdah transformation and emerging enterprise rules influenced by environment and actors 8.1 Types of labour in Tushiriki programme 9.1 General household characteristics 9.2 Activities outside of crop production and livestock production within the two study villages 9.3 Household food security status and land clearance distribution in the two villages 20 113 141 159 160 164 Box 3.1 Policy documents reviewed People, Aid and Institutions.indb 40 25/01/2017 11:41:15 13 ADDING IT ALL UP? Doing development differently in conflict and in confronting disaster risk Ian Christoplos and Paul Harvey Reframing embeddedness Aid and processes of recovery from conflict are always ‘embedded’ in social, economic and political contexts But too often aid policy and practice fail to take context into account sufficiently This risks being a truism – no one sets out to impose unrealistic blueprint approaches divorced from local realities However, as many of the contributions to this volume amply demonstrate, recognising the problem is relatively easy, whereas doing something meaningful about it is much harder If we fail to recognise the factors behind the path dependencies that divorce programming business-as-usual from seemingly glaring contextual realities we will fail to understand how to effect changes in humanitarian and reconstruction processes The Introduction (Chapter 1) to this volume claims that the policy implications of the findings are threefold: Greater modesty Better grounding of programming within ‘the grain’ of societal change A more informed understanding of challenging/changing institutions and capacity development Modesty is always welcome but we argue that is just a precondition for reflective praxis The harder question which this volume asks, and starts to suggest at least some answers to, is how external actors can apply this modesty to engage better with local context, politics, power and authority What Jansen (Chapter 10) calls ‘navigating authority’ is at the heart of the challenge facing engagement in conflictaffected places It is a challenge that is particularly hard because authority in conflict and post-conflict places is often contested, predatory and nasty Implementing the People, Aid and Institutions.indb 228 25/01/2017 11:41:21 Adding it all up?  229 ‘New Deal for Engagement in Fragile States’, agreed upon by a range of development actors at the Fourth High-Level Summit on Aid Effectiveness in Busan in 2011, would be easy if the deal had to be put in place in situations that are peaceful and well-governed But even when there are signs of progress, linear ambitions are not being moved closer to reality, despite such grand declarations, as recent events in South Sudan have all too sadly demonstrated To be frank, the contributions to the volume provide few grounds for optimism that international aid actors are getting much better at making good on the New Deal Time and again, the demands of narrowly conceived accountability to taxpayers and Western publics stand in the way of modest acknowledgement of the bluntness of our intervention tools This in turn stifles adaptability and creativity, and reinforces tendencies towards staying within the bureaucratic ‘grain’ of technocratic solutions to complex and dynamic political problems This volume adds to the evidence base around the need for better grounded attempts to engage with and shape post-conflict institutional development But for development to be really done differently, established ways of doing business may need to be challenged more fundamentally An underlying question in this volume has been whether the ‘adding up’ of good elements and practices of socio-economic recovery actually leads to embeddedness It is easy to decry the fragmentation and disconnectedness of recovery programming, but the strength of this volume lies in bringing together what may otherwise be scattered and time-bound critiques of individual initiatives as a way of assessing what, ultimately, was the result once local processes took over Did the ‘old deal’ for fragile states, which still characterises most socio-economic recovery programming and Linking Relief, Rehabilitation and Development (LRRD) business-as-usual, work against embedding processes? Drawing on the themes raised in the Introduction to this volume, we look at the three areas noted above: greater modesty, better grounding of programming within ‘the grain’ of societal change, and a more informed take on challenging/changing institutions and capacity development Modesty There are many calls being made for ‘doing development differently’ by accepting and confronting complexity, but does this extend to a readiness to ‘do socioeconomic recovery differently’? Is a ‘new deal’ on offer? Do the pressures to achieve grand geopolitical solutions and path dependencies anchored in institutional mindsets, and the need to ensure organisational survival in chronic and post-conflict states, trump the reality check that is inherent in ‘doing development differently’? The cases in this volume largely precede more recent calls for a ‘new deal’ and ‘doing development differently’, and the attempts to anchor this in the humanitarian realm through the ‘Grand Bargain’ that was agreed at the 2016 World Humanitarian Summit However, they provide some important insights into the dynamics that need to be confronted if such paradigm shifts are to be realised People, Aid and Institutions.indb 229 25/01/2017 11:41:21 230  I Christoplos and P Harvey Sprenkels and Van der Borgh (Chapter 4) describe how the vast sums invested in recovery indeed ultimately ‘add up’ to some emergent forms of development, but the investments accumulate over a long period and as part of social processes (rather than projects) This means that recovery seldom ‘adds up’ to the visions of project documents, even if the results in sum are considerable Morales Carbonell and Van der Haar (Chapter 11) point out that the momentum behind social movements may also build up over time and may be due initially to the ways that fault lines in the existing social contract are revealed by a disaster Commitments to a different and more profound paradigm of disaster risk management can emerge, anchored in a growing awareness of the ways that prevailing political and economic structures generate disaster risk Even if the expectations generated by international post-conflict and post-disaster grandstanding and declarations are not followed through, on a more local-level frustration with the deteriorating social contract may lead to an understanding of how it is best not to rely on aid to fuel what soon becomes an entirely domestic struggle about the responsibilities of the State Institutions change and capacities emerge from these gradually intensifying internal societal pressures, rather than from ‘capacitybuilding’ projects Examples such as those from South Sudan (Jansen, Chapter 10) emphasise that, in contrast to the dynamic social processes that may be happening ‘on the ground’, humanitarian agencies remain largely ‘stuck in second gear’ in the LRRD continuum, employing easy assumptions that the State is neither capable nor interested in governing When development actors arrived on the scene in South Sudan (Twijnstra and Hilhorst, Chapter 7), their hesitation in acknowledging the misfit between their efforts and the messy nature of ‘real development’ reinforced a tendency to stay within their apolitical comfort zones This, combined with massive and urgent need, has reinforced falling back towards humanitarian modalities and technical assistance models that bear little resemblance to ‘doing development differently’ and the ‘Grand Bargain’ The pressures in place for a ‘new deal’ to address alienation and the spread of conflicts and insecurity, together with recognised inadequacies of traditional aid modalities, have led to calls for a greater focus on job creation, and along with that, efforts to mobilise private sector potential (Hoffmann, Chapter 3) Throughout the volume examples illustrate how the application of standard tools of post-conflict aid, as the means to implement this ‘new deal’, are not proving effective, partly because the technocratic tools and approaches for engaging with the presumed (or genuinely) predatory private sector have left little space for responding to the actual nature of markets for labour, products and services that would be expected to generate those jobs A major aspect of the need for greater modesty is the understanding that markets (Twijnstra and Hilhorst, Chapter 7), migration (Sprenkels and Van der Borgh, Chapter 4) and other drivers of livelihood recovery have far more influence on recovery than aid This is particularly apparent when the gaps in the LRRD agenda owing to unfulfilled promises, reinforced by convenient calls for neo-liberal laissez- People, Aid and Institutions.indb 230 25/01/2017 11:41:21 Adding it all up?  231 faire policies as a response to globalisation, lead quickly from a boom–bust aid jamboree to lingering neglect Perhaps the greatest and most glaring gaps between recovery realities and pathdependent programming aims are to be found in public works programmes in Africa (Kyamusugulwa et al., Chapter 8; Wairimu et al., Chapter 9) Examples such as these demonstrate a failure to take into account the dynamics of livelihood recovery This creates such a gulf between reality and programming goals that the intended ‘beneficiaries’ refuse to accept the benefits on offer and ‘vote with their feet’ (Wairimu et al., Chapter 9) This has led to a growing, but still insufficient, acknowledgement of the importance of grounding programming in ongoing social development processes But is more modesty emerging? In South Sudan the failure to get any of the private investment projects going has apparently not led to a fundamental rethink Instead, it has encouraged a fall back to long-discredited technical assistance models of capacity development (Christoplos et al 2014) as local entrepreneurial capacities have been declared to be non-existent The old LRRD temporary gap-filling concept (keeping services and the economy going until ‘development arrives’), anchored in government and its international supporters, once again provides new life for old, failed models that effectively put aid at the centre of political and economic processes that are clearly far beyond the influence of technical advisors with an apolitical mandate Grounding within social development and ‘going with the grain’ The chapters in this volume stress the importance, and the absence, of attention to ongoing historical and political processes in the design of recovery programming At the same time, numerous examples highlight the oft-recognised dangers of ‘going with the grain’ where there is a need to ‘use long spoons when dining with the devil’ (Slim 1997) Other examples highlight the discomfort with the messy, complex, political processes of economic life in which local entrepreneurs in South Sudan are inevitably embroiled, which led to a retreat into a technical, capacitydevelopment agenda that ignored the processes that were actually at play (Twijnstra and Hilhorst, Chapter 7) Questions remain about squaring this circle and how to select which particular ‘grain’ to go with (Hoffmann, Chapter 3) An important aspect of this is to move the project cycle, and evaluation cycles in particular, beyond the short-term focus in which ‘the context’ is treated as a few paragraphs in the Introduction to Plans and Evaluations, but rarely as the analytical focus In asking what matters for livelihoods and growth, Slater and Mallett (Chapter 2) call for moving away from overly technocratic and State-centric approaches to economic recovery and engaging more fully with politics, as well as with the hybrid, networked, negotiated realities of governance and informal institutions The chapters present different aspects of a dichotomy between the broader (official and de facto) recovery agenda and the struggles of households to establish, maintain and build upon their livelihoods (Sprenkels and Van der Borgh, People, Aid and Institutions.indb 231 25/01/2017 11:41:21 232  I Christoplos and P Harvey Chapter 4) This raises questions around another difficult choice: is it more important to ‘go with the grain’ of government policies, coordination mechanisms and statebuilding agendas? Or is it better to adapt service provision to contributing to on-the-ground livelihood struggles? Is there a need to choose, or does this amount to a division of labour in which NGO service providers inevitably focus on the latter, and the international financial institutions (IFIs) and bilateral agencies on the former, with the UN somewhere in the middle? As Hoffmann (Chapter 3) explains, there is a range of understanding on this issue and no clear emerging consensus on the trade-offs between these entry points A more informed understanding on challenging/changing institutions and capacity development Ritchie (Chapter 6) writes about ‘norm entrepreneurs, norm bandwagons and norm cascades’ These terms exemplify both the hubris about what development efforts were expected to achieve in Afghanistan, and also draw attention to the striking negotiation processes that aid and business entrepreneurs actually stimulated Some actors, including the Red Cross movement (Duijsens, Chapter 12), are embracing what are intended to be new ‘community-based’ approaches to ‘resilience’ that are intended to build upon, and go within the grain of, existing risk management capacities But it is recognised that this will be reliant on an extraordinarily challenging level of holistic thinking and integrated engagement The other chapters in the volume imply that this remains beyond the capacity of the development approaches on offer in aid interventions today Indeed, Hoffmann (Chapter 3) stresses that policies (and their subsequent applications) have a ‘social history’ that reflects their origins in different ministries, political processes and discourses There is little sign on a global level that the clarion call for ‘resilience’ is becoming a game-changer for interministerial consensus-building around what capacities should be developed Hoffmann brings out the particularly critical struggles between the desire to take more holistic livelihood approaches (promoted by the UN) and the narrower jobs and employment focus (promoted by the World Bank) The capacity-development mindset of the programming described in this volume largely falls into two categories When the humanitarian sector dominates (Wairimu et al., Chapter 9; Jansen, Chapter 10), there is a tendency to see the development of capacities as a positive externality of service delivery Capacity is something that will be miraculously ‘handed over’ when the projects are completed The cases that examine more ambitious commitments to capacity development (for example, Twijnstra and Hilhorst, Chapter 7) show that praxis leans more towards ‘isomorphic mimicry’ (Andrews et al 2012), in which institutions are established that superficially resemble ‘models’ of good governance and ‘normal’ State, private-sector and civil society functions, but which are actually involved in very different roles Hoffmann (Chapter 3) describes the recognition of the need to find an alternative to isomorphic mimicry, such as People, Aid and Institutions.indb 232 25/01/2017 11:41:21 Adding it all up?  233 when the 2011 World Development Report called for breaking out of technocratic institution-building But the cases here show that this is more easily said than done The dominance of ‘big men’ in attempts to form mining cooperatives in Congo (Wakenge and Hilhorst, Chapter 5) being a glaring case of falling back on isomorphic mimicry in the face of seemingly overwhelming evidence that there is a serious mismatch between Northern cooperative models and local political realities In something of an understatement, the authors write, ‘This optimistic take on the potential working of cooperatives in the mining sector has not been underpinned by large bodies of evidence’ A chink of optimism is provided by Ritchie (Chapter 6), whose chapter describes how, in at least some places, a combination of NGOs, social entrepreneurs and supportive local actors was able to engineer real change in purdah practices, enabling women to take part in business This had gradual ripple effects across the community, influencing other village women and broader social practices Ritchie concludes that entrepreneurship in fragile environments may sometimes foster critical institutional processes that can contribute to tentative bottom-up democratic development Within conducive institutional settings, this suggests that positive social change is possible and that outside actors can contribute to it The fact that ‘normal’ entrepreneurialism – i.e., by Dutch standards – was not present in South Sudan led the donor establishment to declare that there was a grand capacity gap in the ‘missing middle’ and entrepreneurialism more generally (Twijnstra and Hilhorst, Chapter 7) However, cases such as this document show that, within both approaches, actors are developing their own entrepreneurial capacities, drawing on the resources, and even some of the ideas, of those supporting them, but in a manner that seldom reflects the aims in the results frameworks of the projects they are involved in Can we learn from cases and findings? The policy and praxis influence of the stories in this volume will ultimately derive from the extent to which readers are able to draw generalised conclusions about tomorrow’s conflict and recovery process ‘Generalisability’ is often assumed to be the Achilles’ heel of the case-study method It is assumed that readers recognise the ‘generalisable’ elements in a set of case studies by matching patterns in both the observed phenomena and in the conceptualisations (Trochim 1989) The case studies in this volume look at patterns in the actual processes of recovery (‘from below’) and also at the patterns in how LRRD, peacebuilding, statebuilding and an assortment of other, more or less grand, concepts are being applied Even if the labels vary according to the time frames, fads, international declarations and types of conflicts and disasters, certain patterns emerge The findings in the Introduction (Chapter 1) provide rich learning about the ways in which aid actors could approach post-conflict reconstruction differently The Introduction noted the importance of looking critically at ‘what is social and what is economic’ about socio-economic recovery, which leads to questions of People, Aid and Institutions.indb 233 25/01/2017 11:41:21 234  I Christoplos and P Harvey how people reconstruct their lives, the ways in which aid becomes socially embedded, and how recovery is politically contested within the re-ordering processes that are under way As stressed in the Introduction, there is a need to transcend recognition of the fact that recovery is both social and economic to an understanding of how the social and the economic interact The cases here together suggest discernible patterns of the ways in which different approaches would have to be more engaged with the realities of local politics and societal contestations, and better able to step out of technocratic mindsets That, in turn, would mean getting out of sterile policy discussions in capitals that are often divorced from reality, and focusing instead on local-level presence as a basis for engaging in the renegotiations among communities and authorities At the core, there should be a more politically astute yet principled engagement with the State at different levels that goes beyond the State avoiding the instincts of the humanitarian actors and the State supporting development aid approaches uncritically The volume provides plenty of evidence of the need for more locally grounded and modest approaches to supporting people’s social and economic recovery after conflict The need for a change of approach is now much more widely acknowledged and is starting to be reflected in changing donor policies and aid-agency practice However, translating good policy intentions into practice requires battling against strong institutional incentives for business-as-usual with logframes, blueprints and accountability to taxpayers which often trump adaptation and innovation The battleground is at least becoming clearer and the challenge is for individuals and organisations to overcome institutional barriers and find ways to development differently in, and after, conflict References Andrews, M., Pritchett, L and Woolcock, M (2012) Escaping capability traps through Problem-Driven Iterative Adaptation (PDIA) Working Paper 299 June 2012 Washington DC: Center for Global Development Christoplos, I., Engstrand, K and Liljelund Hedqvist, A (2014) Capacity Development Literature Review, UTV Working Paper 2014:1 Stockholm: Swedish International Development Cooperation Agency Slim, H (1997) Doing the right thing: Relief agencies, moral dilemmas and moral responsibility in political emergencies and war, Disasters, 21: 244–257 doi: 10.1111/14677717.00059 Trochim, W.M.K (1989) Outcome pattern matching and program theory Evaluation and Program Planning, 12: 355–366 People, Aid and Institutions.indb 234 25/01/2017 11:41:21 INDEX acceptance strategies 176, 180–1, 183–4, 189 accountability 55, 57, 123, 125, 128, 142, 148, 229 Adam, J 25 advocacy 139, 141, 199, 222 Afghanistan 28, 30, 99–116, 232 Africa 83, 86, 127, 231 agency 2, 5, 32, 100, 169, 218–20, 222; political 202–6 agriculture 10, 25, 73, 85, 105, 148, 196; Uganda 156, 160–2, 164, 166–7, 169–70 aid 3–4, 7–9, 11, 141, 227, 229–31, 234; coherence 44; dependency 52, 158, 161, see also dependency syndrome; El Salvador 63–4, 69, 75; livelihoods 30, 32; South Sudan 124–5, 128, 173–89; Uganda 156–61, 165, 168, 170 Aidland aidnography 120 Alliance des Forces Démocratiques pour la Libération du Congo (AFDL) 140 Alliance for a Green Revolution in Africa 157 Alvarez, S 193 Angola 140 Anuarite, B 83 Apthorpe, R Arnstein, S.R 142 Association of Artisanal Miners (ACK) 83, 88–91, 93, 95 attitudes 22–5, 102, 107–9, 112 People, Aid and Institutions.indb 235 Badiuzzaman, M 24 Bangladesh 24 Barry, M 83 Battilana, J 111 Bauer, M 24 Beckert, J 110 Belgium 86, 143, 145 Bellows, J 22 Béné, C 216 Berlin Wall 24 big men see elites Big Tent Philosophy 126 Binford, L 73 Blaikie, P 213 Blattman, C 22 Branch, A 167 Burchardi, K.B 24 bureaucracy 5, 8, 96, 176, 229 Burundi 23 Busan see New Deal for Engagement in Fragile States Calderón, V 25 Cannon, T 214 capacity 72, 230–1, 233; building 43, 121–2, 132, 217, 227, 231–3 capital 20–2; flight 125 Carbonell, C.M 191–207, 230 case studies 12–13, 88, 100, 105–6, 129–31, 145–52, 165, 233–4 Catholicism 74, 150, 203, 205 25/01/2017 11:41:21 236 Index Central America 191–207 Chad 140 change, drivers of 122–3, 128–9, 132–3 China 143 Christoplos, I 228–34 civil society 192, 196, 210, 212–13, 217, 223, 232 civil war 20–2, 46, 63, 68, 75, 133 clientelism 123, see also patronage climate change 198, 210–12, 218, 221 coercion 32, 139, 143, 145 cognitive dissonance 129 collaboration 56, 59, 64, 193, 219–21, 223; DRC 83, 87, 89–91, 95; research 158–9; South Sudan 124, 127–8, 176, 181–2 collective action 71, 75, 112, 193–6, 202–3, 206–7 Collier, P 46, 50, 55 colonialism 9, 85–7, 143, 145, 147 coltan 83, 88, 92–5 Colombia 21 commercialisation 157, 161, 170 communism 67, 156 communities 24, 198–9, 205, 213–14, 220, 222 community councils 71–2 Community-Based Organisations (CBOs) 141, 183, 197–8, 232 community-driven reconstruction (CDR) 138–9, 142, 145, 152–3 comprehensive peace agreement (CPA) 120, 124–5, 129–30, 175, 179 Concertación Regional para la Gestión del Riesgo (CRGR) 197 conflict 1–2, 6, 10, 65–6, 86, 124–5, 170; fragile settings 39, 41–2, 44, 46–7, 49, 52, 56; livelihoods 19–20, 22–4, 29, 31 conflict sensitivity 131 cooperation 47, 57–8, 85, 101, 111–12, 115, 177 Coopérative des Artisanaux Miniers du Congo (CDMC) 83, 87–8, 90–6 cooperatives 12, 64, 72, 82–4, 88–96, 233; DRC 86–7; sub-Saharan Africa 85–6 coping mechanisms 7, 52, 214 corruption 119, 131–2 Cramer, C 73 Crandall, C 115 critical realism 100 Cuvelier, J 138–53 People, Aid and Institutions.indb 236 data 2, 24, 88, 99, 101, 159 decision-making 24, 64, 86, 138, 142, 223 democracy 2, 30, 99, 115, 194, 204, 233 Democratic Republic of the Congo (DRC) 8, 10, 21, 82–96, 138–53, 233 democratisation 191–2, 196 Department for International Development (DFID) 13 dependency syndrome 141, 158, 161, see also aid, dependency development 19, 65, 115, 133, 140, 163, 189, 206; actors 25, 230; doing differently 229–30; fragile settings 38–40, 44, 46, 48, 58; human 192; livelihoods 50–3; markets 28; private sector 26–8, 121–3, 128; Red Cross/Red Crescent 211, 213, 215–16, 218, 223; social embeddedness 3, 8, 10–11; uneven Develtere, P 85 Dewey, J 101 diasporas 44, 46 Dili Consensus 45 Dill, K 192 Diocesan Committee for Justice and Peace (CDJP) 94–5 disaster risk management (DRM) 22, 191–3, 207, 216–20, 227, 230; collective action 194–6; legal/institutional change 199–202; political agency 202–6; risk management networks 196–9, see also risk management discourse 4; analysis 8; disasters 212–13; of disturbance 178–80 displacement 22, 25, 42, 74, 160 Dobler, C 31 domestic violence 25 donors 138, 165, 216, 223, 233; discourse 121–3; DRM 191, 194–5, 197, 206; El Salvador 64–5, 69–70, 72; fragile settings 44, 51, 56–7, 59; livelihoods 23, 27, 32; South Sudan 119–20, 123, 128, 132–3 Duijsens, R 210–25 Dupas, P 22 economic reform 26, 33, 47; neo-liberalism 64, 75 education 22, 39, 51, 67, 109, 114–15, 167; civic 139, 144 egalitarianism 24, 75 25/01/2017 11:41:21 Index  237 El Salvador 7, 10, 63, 75–6, 193–4, 197, 199–203, 205; aid/migration 67–71; recovery/livelihoods 64–6, 71–5 elections 67 elites 67, 83–4, 95–6, 152, 186, 233; elite pacts 38, 53–7; South Sudan 123, 126, 130 embeddedness 71, 229; political 139; social 4–9, 12–13, 83, 173, 227, 234 employment see labour empowerment 25, 76, 99, 108, 168, 223; community 213, 218, 220, 223; disempowerment 129–32 enabling environments 20, 25–6 engagement 57, 103, 110, 177, 232 entrepreneurship 8, 11, 52, 231; domestic 119–33; institutional 103, 110–11, 114; norms 103, 232; social 122, 233; women 99–100, 104–6, 108, 110, 112–15 Escobar, A 193 Ethiopia 22 ethnicity 31, 89, 91, 103, 159–60, 184, 186 ethnography 95, 100, 120, 145, 158, 160 exclusion 99–100, 192 exploitation 82, 86, 125 failed states 124 Ferf, A 65 Fischer, E 84, 86 Flynn, R Flyvjberg, B 13 Foltz, J.D 22 Food and Agriculture Organization (FAO) 156, 164 food security 8, 156–70, 175, 221 Food Security Programme (FSP) 159 forced labour 139, 142–5, 148, 152 Foreign Direct Investment (FDI) 125 formalisation 84–5 fragility 1, 3–5, 30, 74, 99, 173, 179, 210; fragile states 19, 32, 120–1, 123–4, 132; international policies 38–40, 44, 46–50, 52, 54–6, 59 Frente Farabundo Marti para la Liberación Nacional (FMLN) 63–4, 69, 73–5 Frerks, G 214 funding 19, 127–8, 207, 224 Geenen, S 83, 85 gender 25, 99; norms 103, see also women People, Aid and Institutions.indb 237 Georgia 24 Ghana 85–6 Gilligan, M 24 Global Witness 144 globalisation 7, 73–5, 231 Gomez, G 110 Goodhand, J 28 governance 2, 5, 9, 33, 139–41, 185, 232 governments 12, 96, 156, 210, 216, 221–2; DRC 85–6, 96; DRM 192, 195, 198, 200–1, 206; local 100; South Sudan 121, 128, 174–5, 180, 183, 185–7 Grand Bargain 229–30 Granovetter, M 12 group dynamics 101–2 growth 2, 19, 28–30, 32, 42, 47, 124, 161; policies 49–50; sustainability 56 Guatemala 193–4 guerilla movements 64, 67–9, 73 Harvey, P 228–34 Hassan, T.A 24 health 22, 39, 51, 165, 167 Hechter, M 111, 114 hierarchies 75, 198 Hilhorst, D 84; chapters by 1–15, 82–96, 119–33, 138–53, 156–70 Hilson, G 85–6 Hodgson, G 101, 112 Hoffmann, A 38–59, 232 holism 52, 214–15, 221, 224, 232 Holmen, H 85 Honduras 64, 67, 193–4, 197–201, 203–6 Horne, C 101, 114 Host State Agreements 180 housing 39, 70 Howell, J 196 human capital 20–2 Humanitarian Aid Commission (HAC) 187 humanitarianism 41, 141, 157–8, 165, 168, 206, 232, 234; diplomacy 219–20, 222–4; new 213; Red Cross/Red Crescent 210, 215, 217–19, 221; South Sudan 125, 130, 133, 174–8, 181–2, 184–8 Hurricane Mitch 191–207 Hyogo Framework for Action 218–19 25/01/2017 11:41:21 238 Index Ibáñez, A.M 21–2 identities 75 ideology 26, 114, 182, 198 inclusivity 11, 44, 99–100, 115, 124, 142; coalitions 46–7, 54–7, 59 Indonesia 24–5, 142 inequality 27, 46, 204 informality 131, 133, 193, 210; settlements 210–11, 216, see also institutions, informal information asymmetry 22 infrastructure 7, 21, 24, 69–70, 152, 184, 211–12; Uganda 156, 160 innovation 119, 122, 124, 234 institutions 11–12, 39, 83–5, 130, 170; capacity building 42, 47, 233; change 82, 99–101, 232–3; DRM 200–2; incentives 234; informal 30–1, 33, 53–7, 59, 123; institutionalisation 115; local 65; reform 121 interactive research 12–13, 157–9, 162, see also methodology International Fund for Agricultural Development (IFAD) 156 International Monetary Fund (IMF) 86 International Network on Conflict and Fragility (INCAF) 44 International Non-Governmental Organisations (INGOs) 120, 132, see also non-govenmental organisations International Rescue Committee (IRC) 139 intervention 12–13, 26, 53, 65, 140, 148–9, 206, 216; chain 120; South Sudan 121, 123, 177, 189; Uganda 157, 159, 169 interventionism 123, 125, 129 interviews 88, 100, 132, 157, 175 Iraq 124 Islam 108–9 Jansen, B.J 173–89, 227 justice 52 Justino, P 21 Kalyvas, S 10 Kandori, M 101, 111 Katanga 82–96 Kenya 22, 125 King, E 142 People, Aid and Institutions.indb 238 Knowles, S 31 Koford, K.J 114 Kosovo 29 Kyamusugulwa, P.M 84, 138–53 labour 8–9, 49–52, 162–9; availability 156–8; casual 166–7; employment generation 27–8, 38, 41–2, 44, 129, 133; flexibility 195; forced 139, 142–5, 148, 152; informal 25, 211; markets 25, 27, 42; migration 63–4, 70–1, 73–6; mobilisation 138–53; South Sudan 119, 121; unions 67, 196–7 Lampis, A 207 land rights 31, 70, 202–3 Land Transfer Programme (PTT) 69, 72–3 language 108–10, 123 legitimacy 5, 55–6, 111, 177, 179, 206 liberalisation 7, 33, 65, 73, 85 liberalism 30, 32, 115 liberation theology 67 Liberia 22 Libya 140 Linking Relief, Rehabilitation and Development (LRRD) 229–31, 233 livelihoods 2–4, 6–7, 64, 75, 230–1; El Salvador 64–6, 71–5; fragile settings 38, 44, 47, 50–3, 56, 58; recovering from conflict 19, 28, 30, 32; Red Cross/Red Crescent 210, 214, 220–2, 224; strategies 22–3, 66, 69; Uganda 156–7, 159–60, 164 lobbying 197–9, 205 local authorities 15, 88, 100, 106, 174–5, 182–3, 185–7 local level 22–5, 57, 99, 227, 233–4; DRM 200; economies 48, 72, 74; leadership 72–3 Longley, C 30 Lord’s Resistance Army (LRA) 22, 160 McCord, A 167 Machonachie, R 85 macro-level aspects 3, 11, 52, 99, 114 Majchrzak, A 38 Mali 5, 85 Mallett, R 19–33, 231 Mansuri, G 142 marginalisation 74, 85, 93, 96, 99, 192 25/01/2017 11:41:21 Index  239 markets 22, 33, 122, 127, 157, 230; black 28; development 28; interaction 107; local 43, 48; market-led employment 47; regulation 29 Marriage, Z 181 Marsland, R 143 Mashatt, M 27 Mendelson-Forman, J 27 Mesas para la Gestión del Riesgo 192–3, 195–202, 205–6 methodology 12–13, 31, 88, 120–1, 123, 156, 158–60, 175, see also interactive research; collaborative 193 micro-level aspects 3, 21, 54, 106; micro-dynamics 99; micro-enterprise 119, 131–2; micro-finance 119; micro-politics 4, 11–12 migration 22, 211, 230; labour and 7, 63–4, 70–1, 73–6 Miguel, E 22 Millennium Development Goals (MDGs) 51, 219 Miller, J.B 114 mining 10, 12, 204–5, 233; artisanal 82–96, 144; Mining Mineral Resources (MMR) 83, 87–8, 91–6 missing middle 8, 128–9, 233 modernisation 161, 169–70 modesty 228–31 moral norms 102 Morales Santander, D 203 Mosse, D 132–3 Moya, A 21–2 Mozambique 21, 73 Muller, C 24 Namibia 140 narratives 76, 115, 174 natural resources 44–6, 125, 196 neo-liberalism 10, 128, 132, 195–6, 230; DRM 198, 200, 206; El Salvador 64, 73, 75; livelihoods 20, 29–30, 32–3; Red Cross/Red Crescent 211, 216 Nepal 24 Netherlands 8, 39, 119–20, 124–7, 130–2, 140, 157, 159, 233 Netherlands African Business Council (NABC) 120–1, 127 New Deal for Engagement in Fragile States 44–5, 52, 121, 228 People, Aid and Institutions.indb 239 Nicaragua 193–4, 199 Nigeria 31, 124 non governmental organisations (NGOs) 13, 22, 39, 69, 157, 232–3; DRC 141, 144; DRM 196–8, 201, 203, 205; Red Cross/Red Crescent 219, 221; South Sudan 122, 128, 132, 174–5, 177–88; Uganda 163, 166–8; women 100, 105–10, 114 non-State actors 121–2, 132, 211 norms 11, 99–102, 110–12, 114–15; change 108–11; entrepreneurs 103, 232; purdah 103–4; transforming 102–5 North, D 31 observation 88, 100, 161, 193 Office for the Coordination of Humanitarian Action (OCHA) 180, 182, 186–7 Opoku-Agyemang, K.A 22 Opp, K 111, 114 oral traditions 102 Organisation for Economic Co-operation and Development (OECD) 41, 44; Development Assistance Committee (OECD-DAC) 43–4 organisational domain 181–3 Oxfam 144, 197 paramilitaries 67 participant observation see observation participatory approaches 72, 140, 143, 158 patronage 31, 56, 132, 184, see also clientelism peace 2, 26–8, 41, 50, 52 peace agreements 22, 28, 63, 65, 70–1, 140, 158; comprehensive 120, 124–5, 129–30, 175, 179 peacebuilding 32–3, 38–40, 44, 48, 58–9, 65, 176 Pelling, M 192 perceptions 22–5, 32, 46 personal domain 186–8 Pierce, J 196 Platteau, J.P 102 policy 2–3, 8, 13, 83–5, 132–3, 196, 227, 233–4; agendas 40, 157, 169; bilateral 53; documents 38, 40–50, 59; growthorientated 57; international 48–50, 56–9; 25/01/2017 11:41:21 240 Index reform 20, 38, 43; responses 41–8, 55–6; trends 50 political economy 49, 55–6, 59 Porvenir 63–4, 68–71, 74–5 poverty 1, 8–9, 46, 53, 71, 124, 169, 192, 204; DRC 82–3, 85–6, 140, 142–3, 152; Red Cross/Red Crescent 211–12, 215 power 28, 82, 85; dynamics 10–11, 108–10, 115, 122, 184; holders 100, 112, 114; networks 129; relations 66, 206; struggles 54–6, 84 praxis 4, 7, 232–3 predation 29, 123, see also rent-seeking preferences 101, 112, 167 private sector 31, 45, 50, 132, 213, 230–2; development 26–9, 32, 121–3, 128; PSI 124, 128; PSI-plus 119, 123–4, 126–8, 130–1; stabilisation policies 48–9 pro-social behaviour 24, 115 problem analysis 41, 44, 46 programmatic domain 183–4 property rights 114–15, 121 protest 94–6, 197, 203 Protestantism 102, 147–9, 205 public goods 29, 138, 142, 152, 167 public sector 47, 196 public works 141, 157–8, 161–2, 165–8, 231 Pugh, M 29, 32 purdah 99–100, 103–4, 106–14, 233 qualitative methods 25, 28, 31, 120 quantitative methods 28, 160 reconstruction 2, 65–6, 69–70, 72, 173; community-driven 138–9, 142, 145, 152–3; from below 7; post-disaster 191–207 recovery, post-conflict 2, 9–10, 138, 140, 173 Red Cross/Red Crescent (RC/RC) 9, 210–25, 232 refugees 63, 66–9 reintegration 41–2, 121 Relief and Rehabilitation Commissions (RRCs) 185, 187 religion 67, 74, 148–51, 156, 177, 182; Afghanistan 100, 102, 107–9, 111, 114–15 People, Aid and Institutions.indb 240 remittances 44, 63–4, 70–1, 74 rent-seeking 57, 123, see also predation repatriation 68–9 repression 67, 198, 204, 206 resilience 52, 58, 74, 210–25, 232 returnees 23, 41–2, 63, 129–30 Revolutionary United Front (RUF) 22 risk 22, 25, 32, 127, 212–13, 215, 224 risk management 31, 191–207, 221, see also disaster risk management (DRM) Ritchie, H.A 99–116, 233 roads 70, 141–2, 146–7, 152, 162, 165 Robinson, J 22 role models 102, 111 rural areas 64, 71, 100, 103, 105, 157, 162, 189 Rwanda 5, 140 sanitation 39, 51 schools 9, 142, 145, 147–52, see also education Seabright, P 101 Secure Livelihoods Research Consortium (SLRC) 19, 21 security 2, 11, 52–3, 160, 173–5, 177–9 Seidler, V.S 31 self-organisation 162, 207 self-sufficiency 158, 164 Sen, K 31 Serbia-Montenegro 29 Service d’Assistance et d’Encadrement du Small-Scale Mining (SAESSCAM) 88, 90, 92–4 service provision 30, 121, 160, 176, 204, 211, 232 Sierra Leone 22 skills training 42, 107–8 Slater, R 19–33, 231 slavery 143 Slingerland, M.A 156–70 slums 211–12, 215 small and medium-size enterprises (SMEs) 119, 122, 131–2 social actors 66, 84, 193, 195, 202, 204, 206 social capital 22–5, 32, 76, 166 social contract 192 social development 54, 231–2 social embeddedness 1–15, 83, 139, 173, 227, 234 25/01/2017 11:41:21 Index  241 social mobilisation 10, 191–7, 199, 202–6 social networks 25, 32, 186–8 sociology 5, 12, 101 South Sudan 5, 8, 11, 119–33, 173–89, 229–31, 233 Southern African Development Community 140 spatial domain 185–6 Sprenkels, R 63, 230 stability 26–7, 111–12, 127; stabilisation 42, 48–9, 53 State 5, 13, 39, 122, 143, 230–2, 234; DRC 83, 85–6; El Salvador 196, 198–9, 201, 206; livelihoods 25–7, 29, 33; South Sudan 178–9, 185, 187; Statesociety relations 50–1 Steer, L 31 Stewart, F 46 Stoddard, A 180 Sudan 124–5, 140, see also South Sudan Sudanese People’s Liberation Army (SPLA) 175, 178, 185 Sunstein, C.R 103 surveys 159, 166 sustainability 28, 63, 65, 124, 158, 192, 194; international policies 41–2, 44–5, 51, 56–7 Syria 32 systemic approach 216, 220 Tabellini, G 31 Tanzania 84–5, 143 taxation 44, 95, 143, 176, 179 technocratic approach 10, 33, 47, 54, 57, 207, 229–31, 233–4 Ter Haar, G 102, 111 tied payments 167 Titeca, K trade 5, 51, 124–5 trafficking 46 transition 29–30, 56 transparency 148 trust 101, 111–12, 114–15, 123 Tushiriki 138–53 Twigg, J 215 Twijnstra, R 119–33 Uganda 5, 8, 10, 21–2, 125, 140, 156–70 People, Aid and Institutions.indb 241 UN 121, 128, 157, 175, 178–9, 217–19, 232; international policies 41, 50–1, 53, 56–8 UN Department for Safety and Security (UNDSS) 181, 187 UN Development Programme (UNDP) 26–8, 41, 50–1, 56 UN High Commissioner for Refugees (UNHCR) 67, 183 UN International Decade for Natural Disaster Reduction 212 UN International Strategy for Disaster Reduction (UN-ISDR) 212 UN Mission in South Sudan (UNMISS) 177, 185 UN Office for the Coordination of Humanitarian Action (OCHA) 180, 182, 186–7 uncertainty 3–4 unemployment 46, 49–50, 158, see also labour universities 197–9 urban environments 6, 9, 103, 188, 210 urbanisation 211–12, 214, 216 USA 6–7, 64, 70–1, 73–5 values 101, 112, 114–15 van der Borgh, C 63–76, 230 van der Haar, G 1–15, 191–207, 230 Van Voorst, R.S 215 Vietnam 31 Village Development Committee (VDC) 140 violence 3, 22–4, 29, 31–2, 46–7, 125, 140, 211 volunteering 138, 147, 150–2, 158, 221, 223 Voors, M 22 Vothknecht, M 24 vulnerability 32, 175, 192, 194, 212–16, 221, 223 vulnerable groups 21, 41, 158, 161, 211 Wairimu, W.W 156–70 Walraet, A 25 Wanyama, F.O 85 water 30, 39, 51, 198, 203, 215 wealth distribution 39, 49 Weatherson, C 31 25/01/2017 11:41:21 242 Index Weber, M 33, 102, 115 Weijs, B 1–15 well-being 23, 52 White, S 143 Williams, G 29–30 women 11, 25, 99–116, 143, 162, 165, 233 working conditions 82–3 World Bank 11, 41, 45–7, 54–5, 57, 86, 123, 128 People, Aid and Institutions.indb 242 World Development Report (WDR) 38, 46–7, 50–5, 57–9 World Food Programme (WFP) 156, 162, 186 Yemen 51 Zaire 144 Zimbabwe 140 25/01/2017 11:41:21 ... People, Aid and Institutions in Socio- economic Recovery Facing Fragilities Dorothea Hilhorst, Bart Weijs and Gemma van der Haar People, Aid and Institutions. indb 25/01/2017 11:41:15 PEOPLE, AID. .. recovery in the post- World Humanitarian Summit reality.’ — Mihir Bhatt, All India Disaster Mitigation Institute, India People, Aid and Institutions. indb 25/01/2017 11:41:15 PEOPLE, AID AND INSTITUTIONS. .. 11:41:15 PEOPLE, AID AND INSTITUTIONS IN SOCIO- ECONOMIC RECOVERY Facing Fragilities Edited by Dorothea Hilhorst, Bart Weijs and Gemma van der Haar   People Aid and Institutions PRELIMS.indd 25/01/2017