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State-Building:The Missing Dimensions of Stateness
Francis Fukuyama
Johns Hopkins UniversitySchool of Advanced International Studies
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Functions of the StateAddressing market failure Improving equity
Minimal Functions Providing pure public goods
Protecting the
poor
Defense
Antipoverty
programs
Law and Order Disaster reliefProperty Rights
Macroeconomic management
Public Health
Intermediate Functions
Addressing
externalities:
Regulating
monopoly:
Overcoming
imperfect information:
Providing social
insurance
Providing social
insurance:
education utility regulation Insurance
Redistributive
pensions
environmental protection anti-trust Financial regulation
Family
allowances
Consumer protection
Unemployment
insurance
Activist Functions
Coordinating private
activity: Redistribution:
Fostering markets
Asset
redistribution
Cluster initiatives
Source: World Bank, World Development Report, 1997
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The Scope of State Functions
Minim
alFunctions
Interm
ediateFunctions
ActivistFunctions
Providingpurepublicgoods
Defen
se,
Lawand
order
Propertyrights
Macro
economicm
anagement
Public
health
Improvingequity
Protec
tingthepoo
r
Addressingextern
alities
Education,environment
RegulatingMonopoly
Overcomingimpe
rfecteducation
Insurance,
financialregulation
Social
Insurance
Industrialpolicy
Wealthredistribution
X-axis
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Two Dimensions of Stateness
Strength
ofStateI
nstitutions
Scope of State Functions
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State Capacity
Defense
Law
andO
rder
Property
Rights
prote
cting
thep
oor
Macr
oecono
micm
anag
ement
Publi
cHealth
educ
ation
finan
cialr
egula
tion
redistrib
utive
pen
sions
envir
onme
ntal
protection
unem
ploym
entin
surance
assetr
edist
ribution
Foste
ringm
arkets
Cluster
initia
tives
state function
capacity
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Stateness and Efficiency
Strength
ofStateInstitutions
Quadrant I Quadrant II
Quadrant III Quadrant IV
Scope of State Functions
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The Stateness Matrix
Strength
ofStateInstitutions
France
JapanUnited States
USSR
Turkey
Brazil
Sierra Leone
Scope of State Functions
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Change over Time
Strength
ofStateInstitutions
Japan 1980
Scope of State Functions
USSR 1980
Japan 2001
New Zealand 1981
New Zealand 1995
Russia 2000
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Reform Paths
Strength
ofStateInstitutions
Path I
Path IV
Path III
Path II
Scope of State Functions
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Tax Extraction Rates v. Per Capita GDP
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Components of Institutional Capacity
component discipline transferability
Organizational design and
management
management; public
administration; economics high
Institutional design
political science;
economics; law medium
Basis of legitimation political science medium-low
Social and cultural factors sociology; anthropology low
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Weak States and the Black Hole
of Public Administration
Central issue of all organizational theory isdelegated discretion
Underlying issue in socialism debate
(Hayek), corporate structure (Chandler),
federalism
Contemporary approach brings this under aprincipal-agent framework
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Principal-Agent Theory
Coase, theory of the firm 1937 Alchian and Demsetz, firms as nexus of
contracts 1972
Williamson, opportunism and bounded
rationality
Jensen and Meckling, agency costs 1976
Fama, markets for managers 1980
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Domains of Organizational
Uncertainty
Ambiguity of goals Impossibility of erecting formal system of
monitoring and incentives
Inability to determine appropriate degree of
delegation ex ante
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Public Sector Outputs
Low
Specificity
High
Quadrant I Quadrant II
Quadrant III Quadrant IV
Low Transaction volume High
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Monitorability of Public Sector Outputs
Low
Specificity
High
Central banking
Aircraft maintenance
Telecoms
Railroads
Highway maintenance
Foreign affairs Court systems
Primary school teaching
University education Preventative medicine
Guidance counseling
Low Transaction volume High
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Consequences of Organizational
Ambiguity
Need to understand better where differentpublic sector activities fall in the matrix
Seek to fix problems that are actually solvable
New approaches to activities for which
there are no best practices
Need to teach development differently
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What follows if public
administration is not a science?
Need for metis (Scott) Does not necessarily imply leaving localinstitutions in place
Requires rather contextual judgment aboutapplicability of foreign models
Need to think about the structure ofdecision-making rather than content ofdecisions
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Applications
Japan: MacArthurs decision to keep theEmperor
versus the clean break in Germany
Iraq: disbanding the Iraqi Army
Iraq: tribalism in the Sunni triangle
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Making Things Worse
IFIs and donor community complicit indestruction of institutional capacity
Contradiction between objectives of
capacity-building and provision of services
Need to rethink aims and emphasis of Phase
II nation-building
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Implications for Democracy
Promotion
Need to rethink 1990s emphasis on civilsociety
Good theory but questionable allocation of
resources
Need to deal first with problem of weak
states Party-building ahead of civil society promotion