State-building
Paragraphs

External-led state building is at the forefront of international security governance; it has been called "a growth industry"; and it is, against the backdrop of the US-led intervention in Iraq, more controversial than ever. Since the end of the cold war, the UN have launched more than 60 missions in 24 countries. Whilst the primary objective of all of these missions was to monitor, keep, enforce or build peace, a second objective, which is intrinsically linked to the first, was to contribute directly or indirectly to the reestablishment of functioning state-hood. Peace-building mission have become state-building missions. There are two broad reasons for this. First, fragile states are seen as a risk to both their societies and to international security. And second, it is now broadly assumed that one vital condition for sustainable peace is that the state-apparatus has the capacity to exercise core functions of state-hood in an efficient, non-violent and legitimate way. Consequently, peace-building is more and more seen as state-building, and this evolution is reflected in both UN strategy documents, and the development aid strategies of most nation states.

It is against this background that the need for a systematic evaluation of successes and failures of external-led state building emerges. This in turn requires a framework that enables a cross-case comparison of outcomes of external-led state building efforts.

This paper has two objectives: First, I propose a framework that allows for the tracing of the absolute and the relative state-building progress of countries hosting a state-building operation. I argue that "success" should be disaggregated and measured along five dimensions: the absence of war, the reestablishment of a full monopoly over the means for violence, economic development, democracy, and institutional capacities. I discuss at some length the implications for data collection and proxying these measures of success. Secondly, I evaluate the outcome of 17 UN-led peace-building operations, using a new data set. I compare the successes and failures of state-building along these five dimensions against three hypothetical scenarios: The first one is "more is better." In this scenario, it is assumed that the more intrusive the intervention, the more successful the outcome. The second scenario can be called "less-is-more" and assumes that too intrusive missions are counterproductive, because they hinder the endogenous emergence of stable statehood. The third scenario is the "trade-off-scenario." Here, it is assumed that more intrusive interventions produce better outcome in some policy fields and worse in others. This then would point to existing trade-offs between different objectives of state building. Rather than assuming that all good things go together, in the "trade-off"-scenario the success in one dimension (for example democracy) comes at the expense of less success in another dimension (for example economic development).

All Publications button
1
Publication Type
Working Papers
Publication Date
Journal Publisher
CDDRL Working Papers
Authors
Christoph Zuercher
Paragraphs

If Vladimir Putin were to be asked whether he has been performing as an effective state-builder during the almost five years of his presidency, he would surely reply in the affirmative. And if he felt it necessary to buttress his response, he might mention his oft-cited promises to "strengthen the vertical" and establish "the dictatorship of the law" in Russia. But has Putin been engaging in effective state-building? Has he in fact been strengthening the Russian state? If by the term state-building one means authoritarian state-building, then the answer would be: "maybe yes," but also "maybe no."

On the other hand, if one is speaking of democratic state-building then the answer must be a unequivocally no. The aim of this essay is to examine the issue of Russian state-building as it has been elucidated and discussed by Western political theorists and by Russian analysts in the pages of the Russian press during 2004. The results of recent Russian public opinion polls will also be scrutinized.

All Publications button
1
Publication Type
Working Papers
Publication Date
Journal Publisher
CDDRL Working Papers
Authors
-

A background paper is available.

Encina Basement Conference Room,
E 008

N/A

0
Visiting Scholar 2005 -2006
test.jpg PhD

He is at CDDRL as a Humboldt Fellow.

Christoph Zuercher CDDRL Visiting Scholar, Associate Professor Speaker Free University Berlin
Seminars
Authors
Jason M. Brownlee
News Type
Commentary
Date
Paragraphs

As the conflict in Iraq reminds us, nation building confounds its architects' designs with almost predictable regularity. Investments of time, resources, and specialized knowledge have not enabled large-scale political engineering. Instead, would-be nation builders have been frustrated by a proliferation of unintended consequences and their inability to elicit societal participation in their projects. Results depend more upon initial conditions prior to an intervention than the nation builder's exertions upon arrival.

Hence, the U.S. has performed most poorly when its mission required the most work (e.g., Somalia, Haiti, Iraq). Conversely, it has done best where it did less (Germany, Japan), deferring to old-regime civil servants and upgrading already functional institutions. Given the humbling record of Western powers at navigating the perils of macro-level political planning, the "how" of nation-building should be considered, in the formulation of Defense Secretary Donald Rumsfeld, a known unknown.

More likely, it is a known unknowable. The extent of unintended consequences and contingency in largescale political engineering makes disappointment certain and disaster likely.

Twentieth-century experiences belie the notion that nation-building successes will solve the problem of state failures. Forces trying to impose regime change and raise new state structures immediately grapple with societal inertia and their own deficit in understanding local politics.

This dilemma pushes would-be nation builders down one of two undesirable paths. Either they recognize their inability to restructure indigenous political arrangements or they attempt to do so in vain. Despite plans of change at the outset of nation building, those executing the project soon embrace a change of plans.

Thus, even the most committed states have been hampered by an inability to develop political capacity on the ground and improve upon the initial endowments of the country being occupied. Institutional value-added has been minimal, reflecting the problem of state instability back upon those who expected to solve it.

These patterns raise serious doubts about the chances of success in even the most well-intentioned of regimechange missions. They demarcate the limits of projecting state power abroad, whether for humanitarian or security purposes. The failures of imposed regime change lead to the conclusion that indigenous gradual political development-with all of its potential for authoritarianism and civil unrest-may be the optimal path for sustainable democratization and state building.

When comparing the uneven history of post-colonial development with the poor record of nation building we are left paraphrasing Churchill's endorsement of democracy as the worst kind of government except for the alternatives: Sovereign political development may be the worst form of government except for all those kinds of nation building that have been tried.

Infrastructural weakness is not a technical problem surmountable through systematic review of prior experiences. Indeed, the notion of "learning past lessons" deceptively implies that the current generation of academics and policymakers can succeed where their predecessors failed. The idea that nation building is a flawed but salvageable project prejudges its fundamental viability.

Once we have set our sights on rescuing an enterprise that has repeatedly frustrated its architects and their subjects, we screen out alternatives that more effectively serve the same development goals. We also risk funneling research down an intellectual cul-de-sac, at great cost in time, resources, and lives lost for those participating in failed regime-change missions. Therefore, a more productive direction for contemporary interest in nation building may mean backing up and reassessing the core problem of weak states, on one hand, and the limits of foreign intervention, on the other. Ensuring a positive impact on the country considered for intervention requires orienting the enterprise away from the takeover of state functions and toward the short-term provision of aid to local communities.

Apart from the futile pursuit of infrastructural power or the doomed deployment of despotic power (coercion), one can envision a third kind of influence, "regenerative power," which is exercised during relief efforts, such as emergency assistance following natural disasters.

Regenerative power involves neither the adoption of domestic state functions nor physical coercion. It denotes the ability of a state to develop infrastructure under the direction of the local population. For example, it means rebuilding a post office, but not delivering the mail. It is typified by the U.S. response to natural disaster relief within its own borders and abroad.

Regenerative power turns nation building on its head. Rather than imposing a blueprint from outside, participants respond to the needs of the affected community. It is restorative rather than transformative. There is no preexisting master plan for what the "final product" will be, but rather an organically evolving process in which the assisting group serves at the direction of the people being assisted.

The exercise of regenerative power is inherently limited in scale since it depends on local engagement rather than elite planning. It is inimical to macro-level ambitions but it also acquires a bounded effectiveness that imposed regime change lacks. Where nation building attempts to overwrite existing organization and only belatedly incorporates local understanding, disaster relief efforts and regenerative projects begin from the assumption that local communities know best their own needs. Existing social networks and patterns of authority are an asset, not a hindrance, and local know-how offers the principal tool for resolving local crises.

Rather than pursuing the often destructive delusion of interventionist state transformation, regenerative power starts from an interest in using state power for constructive purposes and a sober assessment of the limits of that aim. The assisting foreign groups serve under the direction of indigenous political leaders toward the achievement of physical reconstruction and emergency service provision.

With remarkable prescience Rumsfeld commented in October 2001, "I don't know people who are smart enough from other countries to tell other countries the kind of arrangements they ought to have to govern themselves."

The experience of twentieth century U.S. interventions and ongoing operations in Iraq supports his insight. Proponents of nation building or shared sovereignty arrangements have exaggerated the ability of powerful states to foster institutions in developing countries. The empirical record, from successful outcomes in Germany and Japan to dismal failures across the global south, shows the societies alleged to be most in need of strong institutions have proven the least tractable for foreign administration. Rather than transmitting new modes of organization, would-be nation builders have relied upon existing structures for governance.

This dependence on the very context that was intended for change reveals how little infrastructural power nation builders wield. They are consistently unable to implement political decisions through the local groups. Contrary to recent arguments that sustained effort and area expertise can enable success, nation building has foundered despite such investments.

Understanding that nation building is a "known unknowable" is crucial for redirecting intervention where it can be more effective. Advocates of humanitarian assistance should consider the merits of smaller, regenerative projects that can respond better to uncertainty and avoid the perils of large-scale political engineering.

All News button
1
Paragraphs

Proponents of foreign-led state building or shared sovereignty arrangements have exaggerated the ability of powerful states to foster institutions in developing countries. The empirical record, from successful outcomes in Germany and Japan to dismal failures across the global South, shows foreign forces are heavily constrained by antecedent local capacity. The societies alleged to be most in need of strong institutions have proven the least tractable for foreign administration. Rather than transmitting new modes of organization, would-be state builders have relied upon existing structures for governance. This dependence on the very context that was intended for change shows that foreign state builders wield very little infrastructural power. They are consistently unable to implement political decisions through the subject population. Contrary to recent arguments that sustained effort and area expertise can enable success, external state building has foundered despite such investments. Understanding why foreign-led state building continues to fail is crucial for redirecting intervention where it can be more effective. Advocates of humanitarian assistance should consider the merits of smaller, regenerative projects that can respond better to uncertainty and avoid the perils of large-scale political engineering.

All Publications button
1
Publication Type
Working Papers
Publication Date
Journal Publisher
CDDRL Working Papers
Authors
Jason M. Brownlee
-

During the first three months of 2004, Larry Diamond served as a senior adviser on governance to the Coalition Provisional Authority in Iraq. He is now lecturing and writing about the challenges of post-conflict state-building in Iraq.

Rajiv Chandrasekran has been one of the Post's main correspondents in Iraq over the last two years. He is currently on leave from the Post and is a Visiting Scholar at the SAIS, Johns Hopkins University.

Diamond and Chandrasekran will speak panel-style and provide their perspectives on the recent elections in Iraq and Iraq's political future. A light lunch will be served on a first come, first serve basis.

Oksenberg Conference Room

Rajiv Chandrasekran Foreign Correspondent Washington Post

CDDRL
Stanford University
Encina Hall, C147
616 Jane Stanford Way
Stanford, CA 94305-6055

(650) 724-6448 (650) 723-1928
0
Mosbacher Senior Fellow in Global Democracy at the Freeman Spogli Institute for International Studies
William L. Clayton Senior Fellow at the Hoover Institution
Professor, by courtesy, of Political Science and Sociology
diamond_encina_hall.png MA, PhD

Larry Diamond is the William L. Clayton Senior Fellow at the Hoover Institution, the Mosbacher Senior Fellow in Global Democracy at the Freeman Spogli Institute for International Studies (FSI), and a Bass University Fellow in Undergraduate Education at Stanford University. He is also professor by courtesy of Political Science and Sociology at Stanford, where he lectures and teaches courses on democracy (including an online course on EdX). At the Hoover Institution, he co-leads the Project on Taiwan in the Indo-Pacific Region and participates in the Project on the U.S., China, and the World. At FSI, he is among the core faculty of the Center on Democracy, Development and the Rule of Law, which he directed for six and a half years. He leads FSI’s Israel Studies Program and is a member of the Program on Arab Reform and Development. He also co-leads the Global Digital Policy Incubator, based at FSI’s Cyber Policy Center. He served for 32 years as founding co-editor of the Journal of Democracy.

Diamond’s research focuses on global trends affecting freedom and democracy and on U.S. and international policies to defend and advance democracy. His book, Ill Winds: Saving Democracy from Russian Rage, Chinese Ambition, and American Complacency, analyzes the challenges confronting liberal democracy in the United States and around the world at this potential “hinge in history,” and offers an agenda for strengthening and defending democracy at home and abroad.  A paperback edition with a new preface was released by Penguin in April 2020. His other books include: In Search of Democracy (2016), The Spirit of Democracy (2008), Developing Democracy: Toward Consolidation (1999), Promoting Democracy in the 1990s (1995), and Class, Ethnicity, and Democracy in Nigeria (1989). He has edited or coedited more than fifty books, including China’s Influence and American Interests (2019, with Orville Schell), Silicon Triangle: The United States, China, Taiwan the Global Semiconductor Security (2023, with James O. Ellis Jr. and Orville Schell), and The Troubling State of India’s Democracy (2024, with Sumit Ganguly and Dinsha Mistree).

During 2002–03, Diamond served as a consultant to the US Agency for International Development (USAID) and was a contributing author of its report, Foreign Aid in the National Interest. He has advised and lectured to universities and think tanks around the world, and to the World Bank, the United Nations, the State Department, and other organizations dealing with governance and development. During the first three months of 2004, Diamond served as a senior adviser on governance to the Coalition Provisional Authority in Baghdad. His 2005 book, Squandered Victory: The American Occupation and the Bungled Effort to Bring Democracy to Iraq, was one of the first books to critically analyze America's postwar engagement in Iraq.

Among Diamond’s other edited books are Democracy in Decline?; Democratization and Authoritarianism in the Arab WorldWill China Democratize?; and Liberation Technology: Social Media and the Struggle for Democracy, all edited with Marc F. Plattner; and Politics and Culture in Contemporary Iran, with Abbas Milani. With Juan J. Linz and Seymour Martin Lipset, he edited the series, Democracy in Developing Countries, which helped to shape a new generation of comparative study of democratic development.

Download full-resolution headshot; photo credit: Rod Searcey.

Former Director of the Center on Democracy, Development and the Rule of Law
Faculty Chair, Jan Koum Israel Studies Program
Date Label
Larry Diamond Senior Fellow, Hoover; Coordinator Democracy Program CDDRL
Conferences
-

Kimberly Marten is a tenured associate professor of political science at Barnard College, Columbia University, and also teaches at Columbia's School of International and Public Affairs (SIPA).

She earned her Ph.D. at Stanford in 1991, and held both pre-doc and post-doc fellowships at CISAC. She has written three books: Enforcing the Peace: Learning from the Imperial Past (Columbia Univ. Press, 2004), Weapons, Culture, and Self-Interest: Soviet Defense Managers in the New Russia (Columbia University Press, 1997), and Engaging the Enemy: Organization Theory and Soviet Military Innovation (Princeton University Press, 1993), which received the Marshall Shulman Prize. Her numerous book chapters and journal articles include a Washington Quarterly piece in Winter 2002-3, "Defending against Anarchy: From War to Peacekeeping in Afghanistan," as well as op-eds in the New York Times and International Herald Tribune.

In May 2004 she was embedded for a week with the Canadian Forces then leading the ISAF peace mission in Kabul. She is a member of the Council on Foreign Relations and the Program on New Approaches to Russian Security (PONARS). Her current research asks whether warlords and gangs can be changed from potential spoilers to stakeholders in state-building processes.

Reuben W. Hills Conference Room, East 207, Encina Hall

Kimberly Marten Associate Professor of Political Science Barnard College
Seminars
-

Gayle Smith is a renowned expert on African politics and economics. She has worked on failed states, post-conflict management, and transnational threats in Africa for over 20 years. She served as Special Assistant to the President of the United States and Senior Director for African Affairs at the National Security Council under the Clinton Administration. Smith negotiated a ceasefire between Uganda and Rwanda in 1999 and won the National Security Council's Samuel Nelson Drew Award for Distinguished Contribution in Pursuit of Global Peace for her role in the negotiated peace agreement between Eritrea and Ethiopia. She has travelled extensively in active war zones and published pioneering analyses of political emergencies and humanitarian interventions in Africa in particular.

Encina Basement Conference Room

Gayle Smith Center for American Progress
Seminars

Encina Hall, C149
616 Jane Stanford Way
Stanford, CA 94305

(650) 725-0500
0
Senior Fellow, Freeman Spogli Institute for International Studies
Professor, by courtesy, of Political Science
alberto_diaz-cayeros_2024.jpg MA, PhD

Alberto Díaz-Cayeros is a Senior Fellow at Stanford University's Freeman Spogli Institute for International Studies (FSI), and co-director of the Democracy Action Lab (DAL), based at FSI's Center on Democracy, Development and Rule of Law (CDDRL). His research interests include federalism, poverty relief, indigenous governance, political economy of health, violence, and citizen security in Mexico and Latin America.

He is the author of Federalism, Fiscal Authority and Centralization in Latin America (Cambridge, reedited 2016), coauthored with Federico Estévez and Beatriz Magaloni, of The Political Logic of Poverty Relief (Cambridge, 2016), and of numerous journal articles and book chapters.

He is currently working on a project on cartography and the developmental legacies of colonial rule and governance in indigenous communities in Mexico.

From 2016 to 2023, he was the Director of the Center for Latin American Studies at Stanford University, and from 2009 to 2013, Director of the Center for US-Mexican Studies at UCSD, the University of California, San Diego.

Affiliated faculty at the Center on Democracy, Development and the Rule of Law
Co-director, Democracy Action Lab
Director of the Center for Latin American Studies (2016 - 2023)
CV
Date Label
0
CDDRL Postdoctoral Fellow, 2004-05
Visiting Fellow and Campbell National Fellow, Hoover Institution 2004-05
athier_photo_-_alex_thier.jpg

Alex Thier is Senior Advisor at Moby Media. He served as CEO of the Global Fund to End Modern Slavery; Co- Director of the Task Force on US Strategy to Support Democracy and Counter Authoritarianism; and Senior Democracy Fellow at Freedom House. He was the ninth Executive Director of the Overseas Development Institute in London, a leading global think tank on sustainable development, conflict, climate, and governance. He was appointed by President Obama to serve as chief of USAID’s Bureau for Policy, Planning, and Learning from 2013 to 2015, and as chief of Afghanistan and Pakistan Affairs from 2010 to 2013. He worked previously at the US Institute of Peace, the United Nations, and Oxfam. He was a CDDRL and Hoover Fellow in 2004-2005, and is a graduate of Stanford Law School.

Subscribe to State-building