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1. The Pillars of Governance. A Macro-Quantitative Analysis of Governance Performance

Author:
Gregor Walter-Drop, John Wiesel, and Melissa Lee
Publication Date:
05-2016
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
State building is seen as the central tenet of many present-day development efforts. This rests on a global normative script that emphasizes the modern state’s role in providing governance services from security to education to health. However, the relationship between statehood and governance outcomes is not well understood. We use a macro-quantitative approach to analyze state performance in various governance dimensions including security, health, education, economic subsistence, infrastructure, and the environment. We test for the power of statehood in explaining the variation in governance outcomes while controlling for various other factors prominent in the respective debates in political science, economics, and development studies. The analysis yields three interesting results. First, statehood does not have a consistent significant relationship with governance outcomes. It matters more for some outcomes than for others. Second, we find that statehood sometimes performs better at predicting subjective (survey-based) evaluations than at predicting objective measures of governance outcomes (which confirms the ubiquity of the normative script). Finally, we find that the degree of domestic female empowerment performs consistently strong at explaining the variation in governance outcomes. This result is consistent with the policy community’s emphasis on women’s roles in development.
Topic:
Security, Education, Health, Infrastructure, Governance, and State Building
Political Geography:
Global Focus

2. Dysfunctional Institutions, Social Trust, and Governance in Areas of Limited Statehood

Author:
Thomas Risse and Tanja A. Börzel
Publication Date:
07-2015
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
Areas of limited statehood where the state is absent or dysfunctional are rarely ungoverned or ungovernable spaces. The provision of rules and regulations as well as of public goods and services – governance – does not necessarily depend on the existence of functioning state institutions. How can this be explained? This article makes two claims. First, we identify functional equivalents to state institutions that fail to govern hierarchically. Second, we focus on informal institutions based on social trust that are endogenous to areas of limited statehood. Personalized social trust among community members enables actors to overcome collective action problems, enhancing the legitimacy of governance actors. The main challenge in areas of limited statehood, which are often characterized by social heterogeneity and deep social and cultural cleavages (particularly in post-conflict societies), is to move from personalized to generalized trust in “imagined communities” despite dysfunctional state institutions. We argue that generalized trust in areas of limited statehood crucially depends on inclusive social identities as an enabling condition for effective and legitimate governance.
Topic:
Governance, Community, Statehood, and Social Identities
Political Geography:
Global Focus

3. Meta-Governance of Partnerships for Sustainable Development - Actors’ Perspectives on How the UN Could Improve Partnerships’ Governance Services in Areas of Limited Statehood

Author:
Marianne Beisheim and Nils Simon
Publication Date:
09-2015
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
In the context of negotiations on the Post-2015 or 2030 Agenda for Sustainable Development and the process of formulating Sustainable Development Goals (SDGs), the United Nations (UN) (again) assigns an important role to multi-stakeholder partnerships. But how do actors view these partnerships more than ten years after the UN’s engagement with them? Our previous research found that transnational multi-stakeholder partnerships for sustainable development are neither as successful as their proponents claim nor as ineffective as their critics argue (Beisheim/Liese 2014). In light of these findings, we ask whether relevant actors argue that lessons learned with regard to partnerships’ success conditions should be translated into rules and standards that guide the operations of existing and the development of new partnerships. This kind of meta-governance of partnerships could be exerted by state or non-state actors at the national or international level. Moreover, we distinguish between two broad functions of meta-governance: enabling and ensuring. In this paper, we present first insights into actors’ views on the meta-governance of partnerships. We focus on the actors in the UN-context, where reforms of the framework for partnerships are under debate.
Topic:
United Nations, Governance, Reform, and Sustainable Development Goals
Political Geography:
Global Focus

4. Governance Transfer by the Economic Community of West African States (ECOWAS)

Author:
Christof Hartmann
Publication Date:
02-2014
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
In the early 1990s, ECOWAS already committed its member states to standards of democracy and human rights. The organization developed its framework for governance transfer primarily through its 1999 and 2001 protocols in the wake of democratization processes in its member states. Overall standards are more developed in the fields of (liberal) democracy and human rights than in the rule of law and good governance. ECOWAS's instruments for protecting democracy and human rights are far-reaching, allowing for sanctions and military interventions under the so-called 'Mechanism.' By comparison, there are few instruments to actively promote governance standards beyond election observation missions. In practice, ECOWAS has generally reacted to political crises and security threats in its member states with a mixture of diplomatic interventions, fact-finding missions, and (the threat of) sanctions. These measures were mostly carried out by individual member states and only loosely linked to regional rules and procedures.
Topic:
Political Violence, Economics, Human Rights, Regional Cooperation, and Governance
Political Geography:
Africa

5. Governance Transfer by the Organization of American States (OAS)

Author:
Mathis Lohaus
Publication Date:
03-2014
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
This case study examines to which extent the Organization of American States (OAS) engages in governance transfer to its member states. Both the standards and policies prescribed in regional documents as well as their application are analyzed. Historically, the organization has emphasized two areas. Human rights are protected through multiple treaties and a strong regional legal regime. Democracy is protected by strong incentives to avoid coups and supported via different types of assistance, including a long-standing system of election observation. The OAS addresses good governance since the 1990s, particularly with regard to combating corruption and modernizing public management. Provisions concerning the rule of law are addressed in connection with the other standards. After analyzing the framework and measures of governance transfer, this report explores how the observed patterns can be explained and briefly discusses the future prospects for the OAS.
Topic:
Economics, Human Rights, International Cooperation, and Governance
Political Geography:
America, South America, and North America

6. Governance Transfer by the Southern African Development Community (SADC). A B2 Case Study Report

Author:
Anna van der Vleuten
Publication Date:
03-2014
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
As early as 1992, the Treaty of the Southern African Development Community (SADC) already included a commitment to human rights, democracy, and the rule of law as governance standards in its member states, but it was in 2001 that SADC significantly broadened its efforts at governance transfer. SADC focuses in particular on standards related to gender, (socioeconomic) human rights, and (electoral) democracy, which are promoted and protected through various instruments including military interventions and sanctions in the framework of security cooperation. While the rule of law and good governance have also gained a more prominent place on the agenda since 2001, standards and instruments are less developed. Overall, there is a significant gap between the prescription of standards and policies on the one hand and the implementation of measures on the other. The suspension of the SADC Tribunal in 2010 following its rulings on human rights issues clearly shows the limits of SADC as an active promoter vis-à-vis its member states.
Topic:
Security, Development, and Governance
Political Geography:
Africa

7. Governance Transfer by the Organization of American States (OAS). A B2 Case Study Report

Author:
Mathis Lohaus
Publication Date:
03-2014
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
This case study examines to which extent the Organization of American States (OAS) engages in governance transfer to its member states. Both the standards and policies prescribed in regional documents as well as their application are analyzed. Historically, the organization has emphasized two areas. Human rights are protected through multiple treaties and a strong regional legal regime. Democracy is protected by strong incentives to avoid coups and supported via different types of assistance, including a long-standing system of election observation. The OAS addresses good governance since the 1990s, particularly with regard to combating corruption and modernizing public management. Provisions concerning the rule of law are addressed in connection with the other standards. After analyzing the framework and measures of governance transfer, this report explores how the observed patterns can be explained and briefly discusses the future prospects for the OAS.
Topic:
Human Rights and Governance
Political Geography:
America

8. Governance Transfer by the Southern African Development Community (SADC)

Author:
Anna van der Vleuten and Merran Hulse
Publication Date:
03-2014
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
As early as 1992, the Treaty of the Southern African Development Community (SADC) already included a commitment to human rights, democracy, and the rule of law as governance standards in its member states, but it was in 2001 that SADC significantly broadened its efforts at governance transfer. SADC focuses in particular on standards related to gender, (socioeconomic) human rights, and (electoral) democracy, which are promoted and protected through various instruments including military interventions and sanctions in the framework of security cooperation. While the rule of law and good governance have also gained a more prominent place on the agenda since 2001, standards and instruments are less developed. Overall, there is a significant gap between the prescription of standards and policies on the one hand and the implementation of measures on the other. The suspension of the SADC Tribunal in 2010 following its rulings on human rights issues clearly shows the limits of SADC as an active promoter vis-à-visits member states.
Topic:
Democratization, Gender Issues, Human Rights, and Governance
Political Geography:
Africa and South Africa

9. Security sector reconstruction in a post-conflict country: Lessons from Timor-Leste

Author:
Deniz Kocak
Publication Date:
10-2013
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
Post-conflict missions by the United Nations are increasingly mandated to reform the security sector and to establish viable security governance organs in, often, collapsed states. UN missions in Timor-Leste, tasked with the build-up of local security institutions and forces from 1999 to 2005, were regarded by some as successful examples of externally-led security sector transformation in so far as they managed to establish a local police force and local security governance institutions. Yet, the breakdown of the Timorese security sector during violent clashes between newly created security forces in 2006 hinted at weaknesses in the externally driven implementation of SSR. The UN mission subsequently mandated to assist in rebuilding the dysfunctional security sector, was however openly challenged by growing local resistance towards external meddling into the highly sensitive domain of security, and simultaneously, by assertive local approaches to security governance. By tracing the UN mission's steps in performing SSR before and after the security breakdown of 2006, the paper explains inherent flaws in the UN's approach and expounds the Timorese' alternative approach. It will be argued that the UN failed to enforce its security governance model in Timor-Leste creating the way for an evolving local approach to security governance.
Topic:
Conflict Resolution, Security, Governance, and Reconstruction
Political Geography:
East Asia, United Nations, and Timor-Leste

10. Human Rights Obligations of Non-State Actors in Areas of Limited Statehood

Author:
Bernd Ladwig, Daniel Jacob, and Andreas Oldenbourg
Publication Date:
01-2012
Content Type:
Working Paper
Institution:
Collaborative Research Center (SFB) 700
Abstract:
The idea of a natural duty of justice expresses our cosmopolitan duty to ensure that everyone's human rights are institutionally protected and promoted. The state system is one way to specify this duty: Within a moral division of labor, states have an obligation to protect their citizens' human rights, and the community of states as a whole has subsidiary obligations if states fail to do so. In areas of limited statehood, however, both the remains of the state and the international community often do not fulfill their obligations. Without relieving them of their obligations, this raises the question as to whether it is possible to assign human rights obligations to non-state actors operating in areas of limited statehood, such as TNCs or NGOs. Our core argument is that these non-state actors do indeed have specific human rights obligations, which can be specified by examining their special relations to their social environment. Making use of criteria prominent in the global justice debate, we propose to distinguish four types of special relations: membership, cooperation, negative impact, and power. The relation between a non-state actor and society, then, determines the social scope of its human rights obligations.
Topic:
Civil Society, Human Rights, International Law, Non-Governmental Organization, and Governance