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political science
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State-Building:The Missing Dimensions of StatenessFrancis FukuyamaJohns Hopkins UniversitySchool of Advanced International Studies
Functions of the StateSource: World Bank, World Development Report, 1997
The Scope of State FunctionsMinimal FunctionsIntermediate FunctionsActivist FunctionsProviding pure public goods Defense, Law and order Property rights Macroeconomic management Public health Improving equity Protecting the poorX-axisAddressing externalities Education, environment Regulating Monopoly Overcoming imperfect education Insurance, financial regulation Social InsuranceIndustrial policy Wealth redistribution
Two Dimensions of StatenessScope of State FunctionsStrength of State Institutions
State Capacity
Sheet1
Addressing market failureImproving equity
Minimal FunctionsProviding pure public goodsProtecting the poor
DefenseAntipoverty programs
Law and OrderDisaster relief
Property Rights
Macroeconomic management
Public Health
Intermediate FunctionsAddressing externalities:Regulating monopoly:Overcoming imperfect information:Providing social insuranceProviding social insurance:
educationutility regulationInsuranceRedistributive pensions
environmental protectionanti-trustFinancial regulationFamily allowances
Consumer protectionUnemployment insurance
Activist FunctionsCoordinating private activity:Redistribution:
Fostering marketsAsset redistribution
Cluster initiatives
Sheet2
componentdisciplinetransferability
Organizational design and managementmanagement; public administration; economicshigh
Institutional designpolitical science; economics; lawmedium
Basis of legitimationpolitical sciencemedium-low
Social and cultural factorssociology; anthropologylow
State capacity
9
7
10
4
3
2
1
Function
Capacity
state capacity 2
8
9
4
3
6
4
3
5
7
3
6
4
2
1
state function
capacity
Sheet4
Defense8
Law and Order9
Property Rights4
protecting the poor3
Macroeconomic management6
Public Health4
education3
financial regulation5
redistributive pensions7
environmental protection3
unemployment insurance6
asset redistribution4
Fostering markets2
Cluster initiatives1
Sheet3
monetary policy9
fiscal policy7
internal security10
public safety4
education3
credit allocation2
parastatal mgmnt1
Stateness and EfficiencyScope of State FunctionsStrength of State InstitutionsQuadrant IQuadrant IIQuadrant IIIQuadrant IV
The Stateness MatrixScope of State FunctionsStrength of State InstitutionsUSSRJapanBrazilSierra LeoneUnited StatesFranceTurkey
Change over TimeScope of State FunctionsStrength of State InstitutionsUSSR 1980Japan 1980Russia 2000Japan 2001New Zealand 1981New Zealand 1995
Reform PathsScope of State FunctionsStrength of State InstitutionsPath IIPath IPath IIIPath IV
Tax Extraction Rates v. Per Capita GDP
Components of Institutional Capacity
Sheet1
Addressing market failureImproving equity
Minimal FunctionsProviding pure public goodsProtecting the poor
DefenseAntipoverty programs
Law and OrderDisaster relief
Property Rights
Macroeconomic management
Public Health
Intermediate FunctionsAddressing externalities:Regulating monopoly:Overcoming imperfect information:Providing social insuranceProviding social insurance:
educationutility regulationInsuranceRedistributive pensions
environmental protectionanti-trustFinancial regulationFamily allowances
Consumer protectionUnemployment insurance
Activist FunctionsCoordinating private activity:Redistribution:
Fostering marketsAsset redistribution
Cluster initiatives
Sheet2
componentdisciplinetransferability
Organizational design and managementmanagement; public administration; economicshigh
Institutional designpolitical science; economics; lawmedium
Basis of legitimationpolitical sciencemedium-low
Social and cultural factorssociology; anthropologylow
State capacity
9
7
10
4
3
2
1
Function
Capacity
Sheet3
monetary policy9
fiscal policy7
internal security10
public safety4
education3
credit allocation2
parastatal mgmnt1
Weak States and the Black Hole of Public AdministrationCentral issue of all organizational theory is delegated discretionUnderlying issue in socialism debate (Hayek), corporate structure (Chandler), federalismContemporary approach brings this under a principal-agent framework
Principal-Agent TheoryCoase, theory of the firm 1937Alchian and Demsetz, firms as nexus of contracts 1972Williamson, opportunism and bounded rationalityJensen and Meckling, agency costs 1976Fama, markets for managers 1980
Domains of Organizational UncertaintyAmbiguity of goalsImpossibility of erecting formal system of monitoring and incentivesInability to determine appropriate degree of delegation ex ante
Public Sector OutputsLow Transaction volume HighLow Specificity HighQuadrant IQuadrant IIQuadrant IIIQuadrant IV
Monitorability of Public Sector OutputsLow Transaction volume HighLow Specificity HighCentral bankingAircraft maintenancePrimary school teachingHighway maintenancePreventative medicineTelecomsGuidance counselingForeign affairsRailroadsUniversity educationCourt systems
Consequences of Organizational AmbiguityNeed to understand better where different public sector activities fall in the matrixSeek to fix problems that are actually solvableNew approaches to activities for which there are no best practicesNeed to teach development differently
What follows if public administration is not a science?Need for metis (Scott)Does not necessarily imply leaving local institutions in placeRequires rather contextual judgment about applicability of foreign modelsNeed to think about the structure of decision-making rather than content of decisions
ApplicationsJapan: MacArthurs decision to keep the Emperorversus the clean break in GermanyIraq: disbanding the Iraqi ArmyIraq: tribalism in the Sunni triangle
Making Things WorseIFIs and donor community complicit in destruction of institutional capacityContradiction between objectives of capacity-building and provision of servicesNeed to rethink aims and emphasis of Phase II nation-building
Implications for Democracy PromotionNeed to rethink 1990s emphasis on civil societyGood theory but questionable allocation of resourcesNeed to deal first with problem of weak statesParty-building ahead of civil society promotion
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