Iron Houses in the Tropical Heat: Decentralization Reforms in Africa and their Consequences

Abstract

Decentralization reforms introduced to Africa have not always delivered the intended outcomes. Through interaction with the broader historical, political, social and economic context, reforms seem to have engendered political consequences beyond decentralization itself. Most of the literature on decentralization and development emphasizes questions of institutional design and policy, but here we expand the focus of analysis and incorporate the harder-to-pin-down political patterns marking the workings of decentralization in Africa. Through the case-studies of Ghana, Senegal, Zimbabwe, Namibia, Ethiopia and Uganda we seek to connect the debates on development with the scholarly literatures on comparative federalism, comparative decentralization and local democracy. The conclusion that emerges is that no magic formula which can turn countries into peaceful, stable and prosperous democracies overnight exists. And, importing formal institutions without regard to the local historical, political, social and economic context risks leaving us with elegant but dysfunctional iron houses in the tropical heat.     

Federalism and Decentralization in Sub-Saharan Africa: Five Patterns of Evolution

Abstract

The 1990s were marked by democratic reforms throughout Sub-Saharan Africa. This went in tandem with decentralization reforms which either created or strengthened subnational levels of government. More than twenty years later it seems everywhere to the south of the Sahara there is a gap between the institutional/constitutional blueprints introducing the reforms and the facts on the ground. Understanding and explaining this gap in the workings of federalism and decentralization is important to both theorists and practitioners. This article proposes five benchmarks in order to map out the evolutionary patterns of the last two decades: a) symmetrical recentralization; b) differentiated performance; c) legitimizing traditional authority structures and indigenous conflict resolution; d) politicization of local conflicts over land, water, and other natural resources; and e) federal extinction.     

Ethnic Decentralization and the Challenges of Inclusive Governance in Multiethnic Cities: The Case of Dire Dawa,Ethiopia

Abstract

Ethnic decentralization which could emerge in the form of autonomy and/or federalism has become an important way of responding to the challenges of ethno-nationalist conflicts. Since 1991, Ethiopia has adopted an ethnic federal structure which provides territorial autonomy to its various ethnic groups. This approach to autonomy, however, has brought challenges to multiethnic cities and ethnic borderlands where different ethnic groups coexist. By examining the experience of Dire Dawa, the second largest city in Ethiopia, this article shows how federalism and territorial autonomy by themselves are not enough to address problems of participatory governance in multiethnic cities. The article finally underscores the need for policy innovations that would ensure power-sharing in multiethnic cities.     

Reproducing remoteness? States,internationals and the co-constitution of aid ‘bunkerization’ in the East African periphery

ABSTRACT

The physical and social retreat of international interveners behind the walls of ‘bunkered’ aid compounds in (putatively) more remote and dangerous regions of the South has been the focus of growing critical attention in recent years. An increasingly remote and fearful culture of risk aversion and differentiation among Western states and organizations has been largely identified as the driving force behind this set of practices. This article presents a different perspective on the bunkerization phenomenon through focusing on the agency of Southern states in the process. Exploring bunkerization across eastern/central Africa—and in Ethiopia’s eastern Somali region in particular—the study emphasizes not only how African states have been key promoters of modern bunkerization, but also how bunkerization behaviour and mentalities have historically characterized how many African borderlands—and contemporary sites of international intervention—have been incorporated into the global state system.     

Decentralization in Post-Apartheid South Africa

Abstract

Decentralization in South Africa was entrenched in the new democratic constitution of 1996 and charged local government with bringing basic and other services to the population. Our in-depth empirical study of 38 municipalities across South Africa indicates that the experiment with decentralization has largely failed to achieve its main aims—democratizing local government and delivering adequate basic services to all communities. In order to provide some answers to the question as to why this failure occurred, we focus attention on the legislative over-burdening of local government and its concurrent lack of institutional capacity to actually turn legal obligation and decentralization principles into practice as two of the main and related causes for this failure. While the South African constitution gave clear mandates to local government, the issue of adequate institutional capacity for municipal government was largely overlooked or ignored altogether.     

Fiscal Federalism in South Africa

The constitutional change in South Africa in the 1990s broughtabout the decentralization of substantial budgetary responsibilityto newly created provincial governments. This study capturesthe new assignment of functions and resources to the differentspheres of government in South Africa and provides an assessmenton the basis of a framework derived from fiscal federalism principles.It concludes that there is a substantial congruence betweenwhat can be viewed as theoretically desirable and what is outlinedin the South African Constitution of 1996, but observes significantdivergences between the Constitution and actual practice.     

Decentralized Governance under Centralized Party Rule in Ethiopia: The Tigray Experience

Abstract

In the mid-1990s Ethiopia adopted a federal constitution promising regional autonomy and the creation and strengthening of local government units below the regional level. Some observers attribute the various shortcomings of Ethiopian federalism that have emerged since then to the original institutional/constitutional design. This paper, however, argues that what is not in the constitution has come to influence the workings of decentralization more than what is codified in it. The dominant national party in power, the Ethiopian People's Revolutionary Democratic Front (EPRDF), either directly or through affiliates, controls political office at all levels of government, thereby limiting the room for local initiative and autonomy. The presence of a national dominant party limits the responsiveness and downward accountability of Wereda (district) authorities; it also undermines political competition, and by extension, good governance at the grassroots level. The paper is based on field research carried out in the Tigray regional state of Ethiopia. The conclusion is that when one party dominates the politics of the region and its institutions, extra-constitutional intra-party politics determine how things work, thereby subjugating localities’ autonomy and impeding their ability to deliver on promises of decentralization.     

When Decentralization Leads to Recentralization: Subnational State Transformation in Uganda

Abstract

Among other shortcomings of decentralization reforms undertaken by developing countries since the 1980s, recent research finds that the reforms' primary aim—devolution of authority to localities—has often not been achieved in practice. This article builds on that insight, examining an understudied pathway through which states that have undertaken decentralization can ultimately recentralize power: administrative unit proliferation. Rapid creation of numerous new subnational administrative units is an increasingly common occurrence in developing countries, particularly in sub-Saharan Africa. This phenomenon, I argue, allows for recentralization by reducing the intergovernmental bargaining power and administrative capacity of each subnational unit, as well as by substantially expanding both the reach of the national executive's patronage network and its ability to monitor emergent security threats on its periphery. The article illustrates these mechanisms with evidence from Uganda.     

Fiscal decentralization and the size of government: a European country empirical analysis

This article is an original contribution to the understanding of the relationship between fiscal decentralization and government size. Using a panel data set of the EU-15 countries, we analyse the effect of decentralization on aggregate, national and subnational government sizes by separating the long run effects of decentralization from its short run dynamics. In the long run, tax autonomy reduces central expenditure but increases—and to a greater extent—subnational public expenditure, leading to higher aggregate public expenditure. We find also that vertical imbalances tend to increase the sizes of subnational, national and aggregate governments.     

The Geography of Governance in Africa: New Tools from Satellites,Surveys and Mapping Initiatives

Abstract

Research on decentralization in Africa and beyond has made clear that the quality of decentralized governance is highly variable across localities within countries. In light of that variation, this article has three goals: first, we critique existing academic research on the quality of governance in light of work on decentralized governance in Africa; second, we provide a conceptual map of how to theorize subnational variation in the quality of governance in settings characterized by considerable dependence on higher authorities for revenues; and third, we outline a series of data initiatives that offer the opportunity to study local and regional politics in new and exciting ways across the region. We conclude with great optimism about the prospects for innovative work on decentralized governance within countries across the region.     

Crafting a Region While Intervening? Regional Discourses on Burundi

Peacemaking interventions do not only intend to facilitate desirable order in crisis contexts but, thereby, the participating interveners also struggle to attach meaning to their own position in the world. The African interveners, loosely organized around the ‘Regional Peace Initiative on Burundi’, engender an image of the self that affects the possibilities for political cooperation on the regional scale. Based on a discourse analysis of an extensive corpus of diverse voices from East and South Africa, it is shown that intervention politics increased regional awareness—but not in a linear manner. The idea of a progressive and autonomous East Africa was strongest in the first years of regional facilitation between 1996 and 1999, when the revival of the East African Community (EAC) was also simultaneously being negotiated. This regional impetus decreased with South Africa's more active participation in the intervention, which envisioned increasing its own country profile instead.     

How federalism influences welfare spending: Belgium federalism reform through the perspective of the synthetic control method

The question of whether and how federalism influences a country's welfare state has been a longstanding concern of political scientists. However, no agreement exists on exactly how, and under what conditions, federal structures impact the welfare state. This article examines this controversy. It concludes theoretically that the specific constellation of federal structures and distribution of powers need to be considered when theorising the effects of federalism on the welfare state. Using the case of Belgium and applying the synthetic control method, it is shown in the article that without the federalism reform of 1993, the country would have had further decreases in social spending rather than a consolidation of this spending in the years after 1993. In the case of Belgium, the combination of increased subnational spending autonomy in a still national financing system provided ideal conditions for a positive federalism effect on social spending to occur.     

PLATEAUS NOT SUMMITS: REFORMING PUBLIC FINANCIAL MANAGEMENT IN AFRICA

Successful public sector reform is rare in Africa. Over 12 years, Ethiopia transformed its public financial management (PFM) to international standards and now has the third best system in Africa that is managing the largest aid flows to the continent. This article presents a framework for understanding PFM reform based on the Ethiopian experience. Reforms succeed when they are aligned with the four drivers of public sector reform: context, ownership, purpose, and strategy. PFM is a core function of the state and its sovereignty, and it is not an appropriate arena for foreign aid intervention—governments must fully own it, which was a key to the success of Ethiopia's reform. The purpose of PFM reform should be building stable and sustainable “plateaus” of PFM that are appropriate to the local context, and they should not be about risky and irrelevant “summits” of international best practice. Plateaus, not summits, are needed in Africa. Finally, a strategy of reform has four tasks: recognize, improve, change, and sustain. Ethiopia succeeded because it implemented a recognize–improve–sustain strategy to support the government policy of rapid decentralization. All too often, much of the PFM reform in Africa is about the change task and climbing financial summits. Copyright © 2011 John Wiley & Sons, Ltd.     

Brazil: The Prospects of a Center-Constraining Federation in a Fragmented Polity

Although there have been deep changes in the federation as aconsequence of redemocratization and decentralization, Brazilcontinues to exhibit profound imbalances among regions. Theseimbalances create contradictions and tensions in Brazilian federalism.The central problem addressed in this article is to identifythe main difficulties facing federalism, and to assess theirconsequences on the prospects of federalism should tensionscontinue unabated. Brazilian federalism has always been a meansof accommodating deep-rooted regional disparities. Althoughthere are political and fiscal mechanisms to offset some ofthe problems of regional disparities, such mechanisms have beeninsufficient to counteract a long history of uneven regionaldevelopment. Because of the country's inequalities, the capabilitiesof subnational governments to respond to Brazil's current demandsand agendas are highly uneven.     

Xenophobic violence and the ambivalence of citizenship in post-apartheid South Africa

This essay examines the way that the language of rights has been used to both justify and challenge xenophobia in South Africa. South Africa has struggled with incidents of xenophobic violence against African migrants, with major outbreaks of violence taking place in 2008 and in 2015, and despite substantial anti-xenophobia efforts, African migrants continue to be subject to discrimination and abuse. Part of the reason for the persistence of anti-African migrant sentiment is a prevailing rhetoric of victimization, which frames irregular African migrants as a threat to the rights of South Africa’s poor. This essay analyzes that rhetoric, as well as analyzing how a grassroots movement of shackdwellers, Abhlali baseMjondolo, has challenged that rhetoric by highlighting the interconnection between the rights of citizens and noncitizens in the country. In examining the contestation over rights in South Africa, this essay seeks to engage with the ambivalence of citizenship in South Africa and the conflict between the human rights framework that has been established in the country and the necessary limitation of the rights of noncitizens.     

A New Start Toward a More Decentralized Federalism in Brazil?

Brazil's political history can be read as a cyclical alternationbetween centralization and decentralization—a contestbetween the center and the periphery. Centralizing tendenciesreached one height under the "Estado Novo" of GetúlioVargas (1937–1945) and peaked again under a series ofmilitary governments from 1964 to 1985. Forces favoring regionalismand more state and local autonomy have been given impetus duringthe 1980s by trends of regional differentiation, popular mobilization,return to civilian government in 1985, several key elections,and state and local financial crises. The constitution promulgatedin October 1988 features decentralizing fiscal provisions thatgive reason to believe that federalism may be revitalized inthe next several years in response to grassroots demands fromstate and local governments. However, these federalism reformsmay be threatened by the national government's attempts to thwartthe constitution's decentralization provisions and by nationaleconomic and political instability.     

Rethinking Federalism: Changing Power Relations Between the Center and the States

India's federalism during the last 50 years had two phases:three decades of centralized federalism followed by cooperativeand competitive federalism. Unitary features of India's Constitutionand planned development led to strong central dominance in thefirst phase, with the states in a subordinate position. Themomentum of impressive initial growth did not last. The late1970s saw a weakened Congress party, the emergence of coalitionpolitics, and a shift in the Center-states power balance. Growthfollowed liberalization and moves toward decentralization, butthis was accompanied by an accentuation of regional disparitiesand fiscal imbalances. A major factor in the negative resultshas been weaknesses in the intergovernmental transfer system.Desirable reforms, which maintain moves toward decentralizationand greater states' autonomy, are explored here.     

Managing South African transformation: the story of cricket in KwaZulu Natal, 1994–2004

Sport has historically been an important element of South African popular culture, even though it was divided along racial lines for much of the country's history. In post-apartheid South Africa, sport is seen by politicians, sports officials and many ordinary people as a means to surmount race and class barriers and to forge nationhood. But sport remains a site of acute contestation over what transformation means: ‘merit’ versus ‘affirmative action’, beneficiaries of change, pace of transformation and so on. This conflict reflects the broader tensions over how South African society should be restructured. Change in racial composition at the level of leadership, coaching and players since 1990 has failed to transform cricket into a ‘people's game’. The cricket establishment is following the lead of government in prioritizing the empowerment of a minority. Class privilege has replaced race privilege. At the same time, tensions generated by change are producing further hostility along the fault lines of race and class. There is, for example, a conflict over resources among those previously labelled ‘Black’: Indians, Coloureds and the majority African population. These struggles reveal the fragmented nature of post-apartheid South African society, notwithstanding attempts to define South Africa as a ‘rainbow nation’. The historical, social, economic and cultural legacy of South Africa's conflicting pasts, the impact of globalization—and sport is a principal front of globalization, generating vast economic revenue and creating intolerable pressure to succeed—as well as post-apartheid discrepancies in economic and social conditions are all making it difficult to forge a united national culture, despite the attempt to use sport for the ‘mythic enactment’ of a collective South African identity. The tensions discussed in this article continue to be alive though the ‘patterns of prejudice’ are manifesting themselves in different forms.     

Tax decentralization and local government size

This paper investigates the relationship between fiscal federalism and the sizes of local governments. While many empirical studies emphasized that grants encourage the growth of local public spending and local taxes constrain it, they are more silent regarding the effects of different types of tax autonomy. The paper addresses this issue by arguing that tax decentralization as organized on tax bases used only by local governments (tax-separation), rather than on tax-base sharing, would restrain local public expenditures. Using an unbalanced panel of OECD countries, the key finding is that only property taxes—mostly based on a “tax-separation” scheme—seem to favor smaller local governments. Thus, while tax decentralization is a necessary condition for limiting the growth of local governments, it does not appear sufficient, as tax-separation schemes among government levels would in fact be required.     

Overlapping publics and the negotiation of legitimacy in South African and Namibian sexual politics

ABSTRACT

This article explores how and why social movement organizations negotiate their presence in, and demands on, multiple public spheres. We analyse the strategies of two social movement organizations, Free Gender in Cape Town, South Africa, and Sister Namibia in Windhoek, Namibia. Free Gender elected to withdraw participation from a governmental task team convened to address the issue of homophobic violence, despite the opportunity this offered the organization to participate in national politics. Sister Namibia, by contrast, decided to maintain its public presence despite experiencing political homophobia from the ruling party, the South West African People’s Organisation. We contribute to the literature on public spheres and social movements by demonstrating the need to consider the overlapping nature of public spheres in South Africa and Namibia at the local, national, and transnational levels to account for activists’ strategic decisions.