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    'Staff publications' contains references to publications authored by Wageningen University staff from 1976 onward.

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    Networked health sector governance and state-building legitimacy in conflict-affected fragile states : the variable impact of non-state provision of public health services in eastern Democratic Republic of Congo
    Aembe, Bwimana - \ 2017
    Wageningen University. Promotor(en): D.J.M. Hilhorst, co-promotor(en): D. Dijkzeul; Murhega Mashanda Job. - Wageningen : Wageningen University - ISBN 9789463431606 - 231
    governance - health - congo democratic republic - central government - local area networks - non-governmental organizations - conflict - governance - gezondheid - democratische republiek kongo - rijksoverheid - lokale netwerken - niet-gouvernementele organisaties - conflict

    State fragility in the Democratic Republic of Congo (DRC) has impacted the state’s ability to provide public services, as well as and the population’s experiences and perceptions of the state. For public health and for social welfare more broadly, the contributions of the state are weak and contingent on the involvement of non-state service providers (NSPs). The population has become dependent on non-state actors for the provision of basic social services, and NSPs are especially important in public health, where their engagement accounts for the survival of the sector. The state and NSPs interact through networked governance, where relevant actors are involved in a network through resource interdependency, cooperation, collaboration and even competition to achieve social goals (Klijn, 2004). Networked governance processes in the DRC public health sector take place at three structural levels: national, provincial and operational. Networked governance serves as an institutionalised public model for health sector management through these three levels.

    A great deal of previous work has studied the link between legitimacy and state service delivery, but there has been little investigation of the link between basic service provision by NSPs and state legitimacy in fragile states. This study explored how the networked governance of the health sector contributes to state-building processes and to state legitimacy in the DRC, also examining how the image of the state is shaped by NSP service provision. The study focused on state-building outcomes related to effective public health governance, the strengthening of system management and health service provision through state–non-state interactions. The study also explored state legitimacy and the population’s experiences and perceptions of the state, in a context where the delivery of public health services is mediated by non-state actors.

    The research was guided by the following key question:

    How does the networked governance of health services, involving state and non-state actors through multi-stakeholder interactions, affect state-building and legitimacy in the fragile setting of eastern Democratic Republic of Congo?

    Networked Governance in the Management of the DRC’s Health Sector

    Non-state stakeholders have been actively involved in the delivery of basic public services throughout the history of the DRC (Pearson, 2011; Seay, 2013; Waldman, 2006). Some scholars have argued that strong inputs from NSPs, supported by international funding, gives the DRC’s health sector its ‘current resilient’ outlook (Pearson, 2011: 12; Seay, 2013). Although these inputs have not been homogeneous across provinces or health zones (HZs) within provinces (Pavignani, Michael, Murru, Beesley & Hill, 2013; Pearson, 2011), their aggregate contribution accounts for the persistence of the sector in terms of policy making and enforcement, health system management and service delivery.

    NSPs can be categorised as national or international, and as traditional or situational partners. Faith-based organisations (FBOs) are classified as national and as traditional partners of the state. International actors recognised as traditional health policy partners mostly include bilateral and multilateral institutions that have long supported state-building in the DRC. In contrast, most international NGOs are situational partners whose emergence was spurred by state fragility and the humanitarian consequences of wars. In collaboration with the Ministry of Health (MoH), traditional international partners contribute to the process of national policy making and system strengthening. Situational partners are mostly engaged in unintegrated projects and humanitarian interventions focusing on circumstantial situations of social vulnerability. Through their frequent use of different policies and stand-alone projects, these organisations have involuntarily contributed to a decentralised and rather fragmented system. Traditional partners such as FBOs and international donor organisations play a crucial role in the networked governance of the health sector and in public health care delivery.

    Networked Governance and State Legitimacy in the DRC’s Fragile Health Sector

    The DRC has a long history of state fragility and deficiencies in performing the functions of modern states. NSPs operate like surrogate state service providers, and both the state and NSPs are engaged in the process of health care provision through networked governance.

    In this study’s examination of state legitimacy, ‘a state is more legitimate the more it is treated by its citizens as rightfully holding and exercising political power’ (Gilley, 2006). A lack of legitimacy is a major contributor to state fragility, because it undermines state authority (Unsworth, 2010). In most cases, declines in service delivery have been found to reduce the population’s support of the state and its leadership (OECD/DAC, 2008). However, little is known about how this works in fragile settings characterised by institutional multiplicity, so how NSP interventions contribute to state legitimacy was treated as an open question in this study.

    Actor-oriented Interactions in the Networked Governance of the DRC’s Health Sector

    Networked governance arrangements in the DRC’s health sector have the characteristics of a social arena, which is ‘typical of actor-oriented interactions’ (Hilhorst & Jansen, 2010). As symbolic locations, arenas are neither geographical entities nor organisational systems; rather, they describe the political actions of all of the social actors involved in a specific issue (Kitschelt 1980 in Renn, 1993).

    The Multilevel Nature of Health Sector Networked Governance Arenas

    Health sector governance in the DRC has a pyramidal organisation involving the central (national), intermediate (provincial) and operational (HZ) levels (Bukonda, Chand, Disashi, Lumbala & Mbiye, 2012).

    The central level consists of the national MoH, which is expected to play a strategic role, engaging in policy formulation, elaboration of the mechanisms for public policy implementation, sector funding and high-level interactions with non-state stakeholders (i.e. signing framework agreements or specific agreements). The MoH is responsible for general sector policy and system regulation, national programmes and tertiary hospitals (Waldman, 2006). Although policy making is an exclusive function of the MoH (Zinnen, 2012), donors and other development partners inform and support the process through technical and financial assistance.

    The intermediate level concerns the management of the provincial health system and the oversight of the operational (HZ) level. The intermediate level organises and provides technical support to the HZ (World Bank, 2005). At this level, state and non-state actors interact to improve the structural system governance and to manage the provision of health services. Through the Comité Provincial de Pilotage Santé, stakeholders work towards harmonising interventions and establishing the model of engagement at the provincial level. Using HZ evidence-based reports, the Comité Provincial de Pilotage Santé defines provincial-level stakeholder priorities in line with the national health policy.

    The HZ is the operational unit that integrates primary health care services and the first-referral level. An HZ covers an average population of 110,000 and consists of a central HZ office, an array of health posts and centres, and a general referral hospital (Carlson, Maw & Mafuta, 2009). Because of the lack of government financing over the last decades, HZs and their constituent facilities have operated with considerable autonomy, although MoH structures have retained administrative control, particularly over human resources (Carlson et al., 2009). Many facilities have become in effect privatised, relying on patient fees to pay staff and operating costs. At the HZ level, networked governance of the local health system takes place through the Bureau Central de Zone de Santé (HZ Management Board). In this arena, interactions take place among representatives of the state, non-state actors (where possible) and community-based organisations—especially the community health development committees (Comité de Développement Sanitaires).

    Research Methods

    This research is part of the Secure Livelihoods Research Consortium, which focuses on state legitimacy, capacity for state-building and livelihood trajectories in conflict-affected situations (Levine, 2014). This study fell under the first two of these themes, with a focus on the population’s experiences, perceptions and expectations regarding state legitimacy and on building effective states that deliver services and social protection. This study began in 2012, with the empirical research starting in August 2013. The fieldwork lasted 19 months, ending in April 2015.

    Most of the research was conducted in the province of South Kivu, with complementary data collection in Kinshasa. A case study design was used, with two multi-stakeholder governance arrangements serving as the cases. The first case was performance-based financing (PBF), which is the transfer of money or material goods from a funder to a contracting recipient, on the condition that the recipient will take a measurable action or achieve a predetermined performance goal. The second case was a community-based health insurance (CBHI) programme—Mutuelle de Santé (MUS). The case study of PBF focused on health system governance because of PBF’s pivotal role in the process of building the health system. The CBHI case study explored MUS outcomes related to equity in access to health services, protection from financial risk and the financing of health services. The CBHI case study was based primarily on observations in a rural area (Katana) and a semi-urban area (Uvira).

    Focusing on the multilevel networked governance of the DRC’s health sector, this study drew on institutional ethnography, which examines work processes and studies how they are coordinated, typically through examining various texts and discourses (Smith, 2009). Attention was given to discourses, relationship patterns, writings and multi-stakeholder governance arrangements throughout study period.

    Six types of participants were interviewed: public health officials and state actors from MoH offices at national and provincial levels (approximately 30 participants); representatives of donor organisations, international NGOs and national NGOs (16 organisations: three donor organisations, six international organisations and seven national NGOs); health service providers throughout the province (20 medical doctors); individuals involved in the management of CBHI/MUS at multiple levels, especially in Katana and Uvira (approximately 68 participants); CBOs (35 people from Comité de Développement de l’Aire de Santé, CODESA); and community members (beneficiaries, clients and citizens), especially in Katana, Bukavu, Uvira and Idjwi (approximately 1,000 participants). For the last category of respondents, community opinions on health services, the state and NSPs were assessed through interviewees’ personal storytelling, semi-structured interviews and focus groups. To assess the baseline situation in the health sector, a content analysis of the four main official policy papers was also conducted.

    Main Research Findings

    The findings of this research revolved around three main study concerns: 1) the institutional outlook, functioning and state-building outcomes of networked health governance and international intervention models; 2) the review of the two schemes fostering networked governance through multi-stakeholder governance engagement; and 3) the exploration of the impact of NSP interventions on the population’s perceptions and the legitimacy of the state.

    Institutional Functioning and State-building Outcomes of Networked Health Governance and International Intervention Models

    Networked health sector governance and state-building outcomes (chapter 2). Longstanding patterns of interaction exist between state and non-state actors seeking to improve public health in the DRC. In many cases, private actors have stepped in to fill the void created by the lack of state health care provision. The findings demonstrate that state–non-state interactions in the DRC’s health sector create a burgeoning form of multilevel networked governance and that these interactions play a role in explaining the persistence of the health sector despite the weakness of the state. It is difficult to assess the real influence of these interactions on state-building in a context of critical fragility, where coordination and alignment are problematic. The findings also indicate that several factors—specifically, the fragmented nature of interventions conducted by the majority of international NGOs, imbalanced power relations during negotiations with development partners and weaknesses in governance—impede the construction of a coherent, resilient and sustainable health system in the DRC. Generally, the findings indicate that networked governance through interactions between the state and non-state providers may contribute to state-building.

    State fragility discourse and the challenge of policy coalition-building for interventions programming and stakeholder engagement models (Chapter 3)

    State fragility is a discourse without a policy coalition in the DRC’s health sector governance network. The government and donors/international NGOs have not yet harmonised their perceptions of fragility. These key stakeholders have also not reached a common understanding on intervention policy, and there is a clash between opposing institutional logics in the processes of policy making and intervention programming. The contentious nature of the concept of fragile statehood has hampered the construction of a policy coalition for health sector interventions. Donors rationalise the persistence of emergency-based interventions by emphasising fragile statehood, whereas state officials assert political statehood and argue for a paradigm shift towards a higher degree of state control. The lack of consensus around state fragility has influenced perceptions of the state and international NGOs/donors in their engagement with health interventions programming in the DRC. Government officials in the DRC see fragile statehood as a stigmatising concept that contributes to difficulties with getting international NGOs to comply with the Paris Declaration on Aid Effectiveness. However, representatives of the state and donor organisations agree that, because public health sector funding is lacking, donors’ financial contributions ensure the sector’s survival.

    Multi-stakeholder Health System Arrangements: Strengthening Networked Health Governance and Community Health Coverage

    International organisations and donors have supported schemes, such as PBF and CBHI/MUS, which have impacted the networked governance and system-building in the local health sector, as well as improving health care delivery.

    PBF and strengthening public health governance (Chapter 4)

    This study examined the effectiveness of PBF in three areas of health system governance: structural governance from a capacity-building perspective, health service provision management and demand-side empowerment for effective accountability. In general, the study found that PBF positively impacted the process of health system-building in these three areas. Although much is still lacking, health governance and the provision of services have improved, and patient-centred care and social accountability have strengthened the provider–patient relationship. The research found positive outcomes for incentive-based contracting and output-based financing. However, donors, state officials and other stakeholders doubt the sustainability of these approaches, and PBF faces obstacles associated with state fragility. In addition to structural threats and uncertain sustainability, transforming transactional motivation into transformational change is a challenge. Ultimately, the research found out that PBF supports health sector-based state-building, but it cannot repair a collapsed state.

    CBHI and community health coverage (Chapter 5)

    The MUS CBHI scheme began operating just after the wars in South Kivu. The research findings indicate that MUS schemes lead to improvements in access and social protection only for a portion of the population. Similar findings for outcomes related to resource mobilisation and the financial sustainability of the health sector point to continued management challenges facing MUS schemes. These challenges are compounded by state fragility. To contribute effectively to universal health coverage, the state should reinforce its stewardship presence in strengthening MUS.

    NSPs and Local Perceptions of the State (Chapter 6)

    Service provision—especially health care delivery—serves as a public sphere and an arena for interactions and multi-stakeholder processes. The findings indicated that the population’s perceptions of the state reflect a breach of social contract, because the state has failed to live up to the population’s needs and expectations. The presence of NSPs may have negative effects on the population’s perceptions of the state, because NSPs’ performance establishes their benevolent image while solidifying a negative image of the state. However, the state-building legitimacy outcomes of NSPs’ engagement in this context are contingent on how the services are delivered: When NSPs engage with the state on the ground, people also see the state in action. People then assign credit not only to the NSPs, but also to the state, which is important for state-building and legitimacy. There is no direct correlation between service provision by NSPs and the positive image of the state; what positively impacts the image of the state is its visibility on the ground.

    Overall, this study explored state-building outcomes resulting from networked health sector governance in a war-affected context with an empirically weak state. In this context, the public health provision inputs of NSPs are crucial for the population’s welfare. The findings indicate that NSP engagement contributes strongly to public health provision and the management of the health system. However, state fragility has a negative impact on networked health governance and donor-supported interventions. Bids to respond to population vulnerability and humanitarian needs should include state-building engagement, as state fragility hampers the success and undermines the sustainability of any rational intervention carried out by non-state actors.

    Navigating obstacles, opportunities and reforms: women’s lives and livelihoods in artisanal mining communities in eastern DRC
    Bashwira Nyenyezi, Marie Rose - \ 2017
    Wageningen University. Promotor(en): D.J.M. Hilhorst, co-promotor(en): G. van der Haar; J.G.R. Cuvelier. - Wageningen : Wageningen University - ISBN 9789463431996 - 228
    livelihoods - livelihood strategies - mining - women - women workers - gender - gender relations - empowerment - congo democratic republic - central africa - middelen van bestaan - strategieën voor levensonderhoud - mijnbouw - vrouwen - vrouwelijke werknemers - geslacht (gender) - man-vrouwrelaties - empowerment - democratische republiek kongo - centraal-afrika

    For more than two decades, the exploitation and trade of minerals has fuelled armed conflict and fostered a climate of insecurity that has led to the deaths of thousands of people in eastern Democratic Republic of the Congo (DRC) (Katanga, Ituri, Maniema, North and South Kivu). This has been seen as a consequence of prolonged socioeconomic and political instability since the late 1980s and 1990s, when a civil war led to the collapse of the Zairian state and there were civil wars in neighbouring countries.

    As a result of this situation, many armed groups prospered in this region. Mineral exploitation, especially of tin, tantalum, tungsten and gold, formed an incentive for these groups to stay in the strategic areas of the territory (e.g. mining areas and those on the main transport routes) and to continue the fighting. The diggers and the local populations were the first victims of conflict over the control of the natural resources that directly or indirectly support the war. These people have been subjected to permanent violence and illegal taxation. Massacres, kidnappings, looting, forced labour and insecurity have been part of their everyday lives. Violence was primarily directed at those involved in the supply chain—from extraction to trading minerals outside the mining sites. In the eastern provinces of DRC, transporters, traders and diggers, as well as women and children attached to auxiliary work, such as crushing or washing the minerals, were taxed and ransomed under threats and subjected to the use of violence.

    Faced with this critical situation in DRC, the international community did not remain silent. A growing movement for greater accountability of multinational companies regarding human rights and greater transparency of supply chains of minerals exploited in DRC has emerged and become a reality in the global market. From simple voluntary initiatives to international norms, these approaches are based on the same principle: due diligence applied to ‘conflict minerals’.

    When conflict in DRC is discussed, two things seem to stand out systematically. First, there is the ‘resource curse’, referring to the impoverishment of local populations living in mining zones, corruption and poor governance. Second is the discussion of ‘sexual violence as a weapon of war’ against women. Little is said about the women who work at artisanal mining sites, except to draw a simplistic portrait of passive victims. The truth is that the mining community is far more complex than what has been pictured, and the high-risk mining sector is sometimes considered a source of opportunity for certain women.

    Indeed, in DRC, it is estimated that the artisanal mining sector accounts for 90% of the national production and directly or indirectly furnishes the livelihoods of almost 20% of the population, including many women. Traditionally, in several local cultures in DRC, women are not allowed to enter the mines. Instead, they are assigned to secondary tasks in the processing phase of mineral exploitation: transporting, crushing, washing and reprocessing. Some women sell alcoholic beverages or other goods, and others are engaged in prostitution.

    This thesis focuses on women and mining. Instead of viewing women at the mining sites as victims, the study took an actor-oriented perspective. This starts from the idea that all women at the mining sites have agency and are creating room for manoeuvre to overcome the difficult situations they face in the world of mining. However, there are large disparities in the room for manoeuvre available to different women; some women have very few options, whereas others can diversify and expand their opportunities.

    Taking this approach, the study sought to answer the main research question: How do differentially positioned women navigate and negotiate the transformations of artisanal mining in the context of mining reforms in eastern DRC?

    The research took place from 2013 to 2014, partly in the province of South Kivu (Nyabibwe and Kamituga) and partly in North Katanga, in the current province of Tanganyika (Kisengo and Manono). Two mining sites were chosen in each area, either because they were pilot sites for implementation of the reform initiatives (Nyabibwe and Kisengo) or because of large numbers of women working as miners (Kamituga and Manono).

    This research is part of the ‘Down to earth: Governance dynamics and social change in artisanal and small-scale mining in DRC’ research programme. This programme aims to understand the negotiated outcomes of the implementation of conflict mineral policy in the eastern Congolese artisanal mining sector on three important topics: gender, livelihoods and governance. This thesis project addressed the first aspect in particular and aimed to contribute to the debate on mining reforms from a gender perspective.

    Chapter 1 starts with a general introduction to the research objectives, questions and methods. It describes the process through which the studied mining sites were selected based on either the presence of iTSCi initiatives or a great number of women working in the mineral supply chain. This research has essentially relied on qualitative methods, such as interviews, focus groups, life histories and observation. This chapter also describes some of the personal experiences during the fieldwork period.

    Chapter 2, which was jointly written with J. Cuvelier, D. Hilhorst and G. Van der Haar, introduces the debate around the conflict-related discourse on women’s integration in the mining sector. We examined the rise in international-level attention from international NGOs regarding international norms and the ban of ‘conflict minerals’ exploited in DRC. The resulting reforms, which were intended to improve women’s lives, were observed to also ultimately have negative side effects. The prohibition of pregnant women from the mines was generalised to all women, and access to the mining economy become a matter of negotiation for women. In the same vein, taking the particular case of Nyabibwe, women working as intermediaries between traders and diggers, although their work was an illegal practice in the government’s view (especially because of traceability issues), managed to negotiate recognition for their activities by creating their own organisation and forming political alliances. The thesis sheds light on the consequence of protectionist measures on women in mining and lays the groundwork for the following chapters, which further explore the research problem.

    Chapter 3, jointly written with G. Van der Haar, introduces the world of women in the mining areas by presenting reasons that lead women to move to and install themselves in mining centres. The analysis examines push and pull factors and also considers the concept of social navigation. The findings demonstrate that there are multiple, interrelated reasons to migrate to and to install oneself in the mining areas. Push and pull factors have merged over time and resulted in complex motives. This chapter adds to the understanding of how women create new sources of revenue and seek, with varying levels of success, to mitigate situations of vulnerability.

    In Chapter 4, I analyse the activities that women perform in the mining areas in more depth and describe what differentiates these women. The chapter begins with a descriptive analysis of the activities directly and indirectly related to mineral exploitation, together with a description of prostitution in the mining areas. The study identified social capital, financial assets and credit, and livelihood diversification among the factors that may differentiate these women. The findings also show that the reform process itself is a factor of differentiation, because it creates unbalanced power relations between those who are able to afford an identification card (a requirement of the formalisation process) and those who are not. The chapter concludes that, although many scholars have argued that women are working in the dire situation of perilous, exploitative and marginalised conditions, some women gain power positions and manage to save money and invest in other activities. Through their social networks, some women are able to gain access to the mining economy and improve their situation.

    In Chapter 5, jointly written with J. Cuvelier, we explore how, as is the case for men, there are also elites among women. These elites can be considered ‘big women’. Their power is based on either customary or official authority. With the implementation of the reform initiatives, the importance of official authority increases, to the detriment of customary authority. Based on the case of Kisengo and, in particular, on two female elites—one based on customary and the other on official power—we analyse how elite women negotiate and maintain power. Especially interesting for this study was how both ‘big women’ took advantage of their privileged access to the public authorities to negotiate informal arrangements for a group of women working in the coltan supply chain, allowing their clients (followers) to circumvent certain restrictive regulations concerning women’s access to mining activities. These elite women managed to control access to labour opportunities for women in the local mining economy.

    Chapter 6, jointly written with D. Hilhorst, explains that, following the developments of the reform initiatives, there was no longer only one discourse (conflict-related) to be taken into account when analysing the problem of women’s access to the mining economy. At international level, there is also a more inclusive discourse (gender mainstreaming). This coexists with the local ideology based on culture, in which women are marginalised and discriminated against. The civil servants who must implement the law regarding the integration of women in mining activities must face the coexistence of these different ideologies, which are sometimes contradictory. This has direct consequences for women’s access to the mining economy, although some women do create room for manoeuvre by forming alliances with civil servants.

    Concluding this thesis, Chapter 7 responds to the concerns raised in the introduction. Starting from the concept of agency, and taking an actor-oriented approach, the thesis concludes with three key points about how the reform initiatives affect the positions of woman: 1) The research has demonstrated that the socio political situation in the DRC has given rise to different types of gender discourses at international level which in addition to local culture and believe have impacted on the access of women to the mineral exploitation. 2) The research discovered that women in mining have different needs and different ways of dealing with their situations: they are agents who make decisions based on either strategic opportunity or survival.3). Finally, the research demonstrated that the reform process is likely to increase particular forms of marginalisation in the mining labour regimes. They may also allow for the creation of power dynamics based on new social networks that discriminate against those who were already vulnerable. Nevertheless, the research witnesses cases of women, who have benefited from the presence of the reform initiatives to improve their conditions and create more opportunities.

    Stadium Coltan : artisanal mining, reforms and social change in eastern Democratic Republic of Congo
    Wakenge, Claude Iguma - \ 2017
    Wageningen University. Promotor(en): D.J.M. Hilhorst, co-promotor(en): K. Vlassenroot; J.G.R. Cuvelier. - Wageningen : Wageningen University - ISBN 9789463434560 - 210
    mining - conflict - economic sociology - cooperatives - reconstruction - poverty - rural sociology - workers - feedstocks - minerals - congo democratic republic - central africa - mijnbouw - conflict - economische sociologie - coöperaties - reconstructie - armoede - rurale sociologie - werkers - industriële grondstoffen - mineralen - democratische republiek kongo - centraal-afrika

    In the Democratic Republic of Congo (DRC), the mining sector has the potential to play a pivotal role in post-conflict reconstruction (World Bank, 2008), and artisanal mining sustains the livelihoods of millions people in the country (PACT, 2010). However, in the last 15 years, minerals from this artisanal mining have been ill-reputed. Eastern DRC has often been characterised by chronic instability and violent conflicts (Autesserre, 2010; Stearns, 2011) because it is widely believed that minerals in this region have attracted the greed of national and foreign armed groups, who benefit from the mining business.

    Although this ‘greed hypothesis’ has been criticised for its inconsistent performance in explaining resource-related conflicts (Le Billon, 2010; Ross, 2006), various national and international reform initiatives have gained momentum (Verbruggen et al., 2011). These initiatives aim to make the Congolese artisanal mining sector more transparent and to prevent ‘conflict minerals’ from entering the international market. In 2014, 13 reform initiatives—10 focusing on 3T (tantalum, tin and tungsten) and three on gold—were operational in eastern DRC (Cuvelier et al. 2014: 5). The implicit assumptions are that mining reforms will fully ‘clean’ artisanal mining of violence and corruption and that this will contribute to sustaining people’s livelihoods (Garrett and Mitchell, 2009: 12).

    This study investigated initiatives intended to ‘formalise’ artisanal mining in DRC—in other words, they aimed to bring mining under state control. The study especially focuses on the effects of one among these initiatives—the ITRI Tin Supply Chain Initiative (iTSCi)—on two groups of actors: miners (creuseurs) and middlemen (négociants). This thesis thus presents a fine-grained case study of the iTSCi. Designed by the International Tin Research Institute in 2009, iTSCi provides a means of determining the origin of 3T and documenting the trading chain for these minerals by ‘tagging and bagging’ the loads of 3T near miners’ shafts (at postes d’achat/selling points or buying stations), at counting offices (comptoirs) and in mineral depots, before the minerals are exported through the international market.

    This is a qualitative study undertaken at three coltan mining sites of northern Katanga: Kahendwa, Kisengo and Mai-Baridi. Coltan has been extracted at these sites since 2007. From March 2013 to September 2014, data were collected using participant observation of people’s practices (extraction/sale of coltan and various types of interactions between trading houses, cooperatives, mineworkers (creuseurs) and middlemen (négociants), as well as detailed in-depth interviews with creuseurs, négociants and their households. Data were also collected from the staff of mining cooperatives, trading houses, state authorities and civil servants—predominantly of the Service d’Assistance et d’Encadrement du Small-Scale Mining (SAESSCAM) and the Division des Mines. The last group of informants were a group of clandestine coltan négociants (known as hiboux—literally, ‘owls’), who were followed in the study.

    The purpose of this research is to study the micro-dynamics of changes after the reforms following the implementation of iTSCi. The study thus provides insights into how iTSCi is concretely implemented and how it has altered the organisation of mining and the trade of coltan. The study also aims to examine how this organisation affected creuseurs and négociants. The main research question of this study is as follows:

    How have initiatives to reform artisanal mining (iTSCi in particular) affected institutional change, how does this relate to changes in patterns of coltan production and trade, how were creuseurs and négociants affected by these changes, and how did these groups respond in the coltan mining areas of Kahendwa, Kisengo and Mai Baridi (northern Katanga) from 2009 to 2014?

    Analytically, the study adopted three main theoretical perspectives. First, an actor-oriented approach was taken, building on the premise that individual actors have the agency, knowledge and experience to reflect upon their situation and to respond to changes in their surrounding context (Giddens, 1984). Although the examined mining reforms consist predominantly of ‘ready-made’ techniques such as iTSCi’s ‘tagging and bagging’, analysing reforms with an actor orientation helps to highlight people’s reactions and responses. This includes how reform policies are applied in institutions (e.g. mining cooperatives), how they interact, how they are assigned meaning and how they are negotiated by social actors (Christoplos and Hilhorst, 2009).

    Second, the study builds on the sociology of economic life, which holds that economic action is a form of social action that is socially ‘embedded’, meaning that it is linked with or dependent on actions and institutions (such as social networks) that are noneconomic in content, goals and processes (Granovetter, 2005). This perspective facilitates the analysis of the livelihoods of négociants, including mechanisms of smuggling minerals into and beyond the mining areas where iTSCi is in force.

    Third, this thesis introduced the original concept of ‘enclaves of regulations’. These enclaves refer to the mining areas where iTSCi or other reforms are in force. This thesis has shown that, although these ‘enclaves’ appear to be ‘closed’ and insulated from the environment in terms of the locally applied rules for the mining and trading of minerals (e.g. ‘tagging and bagging’), in reality, such closure is not complete. This thesis has demonstrated that it would therefore be more appropriate to consider these ‘enclaves’ as semi-autonomous fields with porous boundaries.

    Apart from the introduction and the concluding chapters, this thesis is composed of five chapters. Chapter 2 explores the evolution of the mineral sector in the Katanga province. It analyses the history of mining, the initiation of artisanal mining and how the ongoing reforms have been informed by this history. In this chapter, it is shown that there is a long history of the organisation of mining in the Katangese province. The reforms therefore did not enter into a stage of anarchy, or an institutional void, but they added a layer to already existing forms of organisation.

    Chapter 3 focuses on mining cooperatives as newly introduced institutions aimed at governing the artisanal mining sites. Through a single case study, the chapter analyses how these cooperatives —especially the Coopérative des Artisanaux Miniers du Congo, CDMC—were introduced into the mining areas and how they interacted and blended with pre-existing miners’ organisations. This chapter demonstrates that cooperatives have been an emergent—rather than durable—solution in terms of representing the interests of artisanal miners.

    In Chapter 4, I provide a different perspective on ‘conflict minerals’. I thus introduce the notion of ‘reform conflicts’ to emphasise that, although ongoing reforms aim to sever the supposed linkages between the artisanal mining business and violent conflicts, these reforms have become a driving force behind the emergence of new conflicts over property rights and access to minerals.

    Chapter 5 is about livelihoods. It analyses how the reforms have influenced the livelihoods and socioeconomic position of négociants. This chapter also explores what kind of opportunities the reforms have offered to this group of mineral brokers often considered powerful in the mineral supply chain and explains what kind of constraints the négociants have confronted and why they have opted to diversify their livelihood portfolios. The chapter has shown that the reforms have affected this group of mineral brokers in different ways. Some négociants were well off, whereas others have been excluded from the mineral commodity chain. These findings contradict the widespread opinion that négociants are always abusive brokers in the mineral production and commodity chain.

    Chapter 6 analyses the responses of creuseurs and négociants to iTSCi. Although the mining sites where iTSCi is in force appear to be ‘enclaves of regulations’, I explore the strategies of creuseurs and négociants to bypass iTSCi and the reforms, especially around the coltan trade. This chapter demonstrates that coltan smuggling is a deeply rooted practice. Despite the reforms, smuggling continues in different forms.

    All of the elements highlighted above suggest that mining reforms have undergone a major shift, from addressing the initial problems associated with ‘conflict minerals’ to creating or reinforcing various types of problems, such as the influence of ‘big men’ in the mining business, coltan smuggling and the emergence of new conflicts over accessing minerals. This means that reform initiatives such as iTSCi should be based on knowledge about the actual situation. Thus, understanding and addressing these new types of problems calls for a comprehensive approach at both local and broader levels.

    Agricultural extension, technology adoption and household food security : evidence from DRC
    Santos Rocha, Jozimo - \ 2017
    Wageningen University. Promotor(en): E.H. Bulte, co-promotor(en): M.M. van den Berg. - Wageningen : Wageningen University - ISBN 9789463434485 - 231
    agricultural extension - technology - adoption - food security - households - development economics - agricultural production - knowledge transfer - congo democratic republic - landbouwvoorlichting - technologie - adoptie - voedselzekerheid - huishoudens - ontwikkelingseconomie - landbouwproductie - kennisoverdracht - democratische republiek kongo

    In this thesis, I use experimental and quasi-experimental data from 25 villages and a total of 1,105 farmers from eastern DRC to investigate the relationship among agricultural training, the adoption of agricultural technologies, crop productivity, and household food insecurity and dietary diversity. I present evidence that contributes to narrow the gap in the literature on the role of input subsidies fostering small-scale farmers' uptake of productivity-enhancing technologies, how farmer field school and farmer-to-farmer trainings affect the adoption of agricultural technologies, how F2F training may reduce the costs of FFS implementation, how adoption materializes on yields of food crops, and how training through the adoption of improved agricultural technologies impacts household food insecurity and the diet diversification of target households.

    As a complement to econometric evidence and in order to understand the main findings, I also discuss behavioral features and farmer driven initiatives which somehow condition these impacts. Throughout the four main chapters, I identify practical implications that are highly important for the design and implementation of new programs and policies aimed to address agricultural productivity issues and reduce household food insecurity. In Chapter 1 I develop a general introduction to the research which discusses the evolution of agricultural extension in the last few decades, and describe FFS and F2F training methodologies. Chapter 2 provides a detailed description of the project intervention, technologies promoted, research settings and the data collection process. In Chapter 3, I report the results of an experimental study that analyses the impact of one-shot input starter packs on the adoption of productivity-enhancing complementary practices, which have the potential to maximize the impact of starter pack inputs. Additionally, I assess the levels of persistence on farmers’ use of improved crop seeds which are included in the starter packs. Overall, I find no evidence of starter packs’ impact on small-scale farmers’ adoption of productivity-enhancing technologies. Similarly, the levels of persistence regarding the use of seeds following the delivery of starter packs were not significant. These results are consistent with studies that have found minimal or no persistence on the use of inputs following the provision of subsidies, including Duflo, Kremer et al. (2011). The limited impact that starter packs had on yields in the first year may logically explain that farmers refrained from using improved seeds subsequently because the inputs are not economically attractive.

    Chapter 4 studies the effectiveness of knowledge transmission from farmers trained in FFS through farmer-to-farmer training (F2F), which could potentially result in lower extension costs and higher impacts. I find that FFS training has a higher impact than F2F training in the first period, but the magnitude of the treatment effect in the second period is not statistically different between the two training methods. I argue that the dissemination of technologies promoted in FFS groups can well be formalized through farmer-to-farmer deliberate training attached to the FFS approach. Given the low costs of F2F training compared to FFS, the introduction of F2F training may substantially alleviate a major constraint to the large-scale introduction of FFS as a training method, its high costs.

    In Chapter 5, I study the impact of farmer’s participation in FFS and F2F training on small-scale agricultural productivity. A multi-crop yield-index and the yields of cassava were used as impact indicators. The results indicate that both FFS and F2F trainings contribute to a significant increase in farmers’ yields, especially in the second period when the magnitude of the effect substantially increased. We also learned that the effect size does not differ between the two training approaches in neither period, suggesting that F2F communications are a suitable alternative or complement to FFS training. While the chapter was unable to confirm if training materializes in higher yields through technology adoption, I argue that in the context of the sample the adoption of productivity-enhancing practices and inputs are likely the most important impact mechanism.

    I also study the relationship between agricultural training, the adoption of improved technologies and household food insecurity. I find that farmers’ participation in agricultural trainings has a positive effect, through the adoption of improved technologies, on improvements in household dietary diversity (HDDS). Nonetheless, the impact on household access to food (HFIAS) is less evident. These results suggest that FFS/F2F training can well reduce household food insecurity, which is mostly achieved through the adoption of improved agricultural technologies. Yet, there are farm and household specific factors which constrain how training impacts technology adoption and how adoption affect household food insecurity and diet diversification. In Chapter 7, I synthesize the results of the four main chapters and articulate the sequence of results from training to adoption to productivity to food security.

    Le mouvement des femmes au Sud-Kivu, République démocratique du Congo : Une analyse de la société civile
    Hilhorst, Thea ; Bashwira Nyenyezi, M.R. - \ 2016
    Wageningen : Wageningen University, Wageningen UR (Publication occasionelle 11) - 79
    women - woman and society - organizations - gender relations - grassroots organizations - civil society - congo democratic republic - east africa - vrouwen - vrouw en samenleving - organisaties - man-vrouwrelaties - grassroots organisaties - maatschappelijk middenveld - democratische republiek kongo - oost-afrika
    The report is the result of a research among women's organisations in the civil society of South-Kivu.
    Enhancing governance for sanitation marketing in DRC : Creating an enabling environment for sanitation marketing
    Klaver, D.C. - \ 2015
    Wageningen : Centre for Development Innovation - p. 1 - 38.
    marketing - marketing policy - sanitation - new sanitation - governance - civil rights - congo democratic republic - east africa - marketing - marketingbeleid - volksgezondheidsbevordering - nieuwe sanitatie - governance - burgerrechten - democratische republiek kongo - oost-afrika
    This report is one of the results of the ‘Sanitation Marketing in Equateur Province’ project in RDC, in which Wageningen UR and Oxfam Great Britain (Oxfam GB) work together.

    • It Describes the characteristics of different governance arrangements that address sanitation problems in Gemena in terms of actors involved and decision-making process and power;
    •Assesses the strengths and weaknesses of these different governance arrangements in solving collective problems in the field of sanitation, and
    •Presents different policy propositions on how to create more enabling governance arrangements for the sustainable provision of sanitation services.
    The Women’s Movement in South Kivu, DRC: A civil society analysis
    Hilhorst, D. ; Bashwira Nyenyezi, M.R. - \ 2014
    Wageningen : IS Academy on Human Security in Fragile States (Occasional paper / Special Chair Humanitarian Aid and Reconstruction 11) - 62
    congo democratic republic - congo - women - civil society - woman and society - woman's status - women's movement - civil law - qualitative analysis - humanitarian aid - development aid - democratische republiek kongo - congo - vrouwen - maatschappelijk middenveld - vrouw en samenleving - positie van de vrouw - vrouwenbeweging - burgerlijk recht - kwalitatieve analyse - humanitaire hulp - ontwikkelingshulp
    Social capital, agricultural innovation and the evaluation of agricultural development initiatives
    Rijn, F.C. van - \ 2014
    Wageningen University. Promotor(en): Erwin Bulte, co-promotor(en): Marrit van den Berg. - Wageningen : Wageningen University - ISBN 9789461739094 - 185
    ontwikkelingseconomie - sociaal kapitaal - landbouwontwikkeling - plattelandsontwikkeling - innovaties - afrika ten zuiden van de sahara - institutionele economie - rwanda - uganda - democratische republiek kongo - landbouw - sociale netwerken - economische ontwikkeling - development economics - social capital - agricultural development - rural development - innovations - africa south of sahara - institutional economics - rwanda - uganda - congo democratic republic - agriculture - social networks - economic development

    In this thesis, I show that social capital has an important role in the evaluation of development initiatives targeting agricultural innovation. Social capital and agricultural innovation are naturally linked from an innovation system perspective in which innovations result from the integration of knowledge from various actors and stakeholders. In chapter 1, I identify the three research questions upon which this thesis is based. First, how are social capital and agricultural innovation related? Second, can development initiatives increase agricultural innovation by building social capital? Third, does the initial level of social capital increase the success of these development initiatives in enhancing agricultural innovation? These question mainly relate to the increasing number of policies, programs and project that include beneficiaries in the design, management and decision making process.

    In chapter 2, I elaborate on the main concepts underlying this thesis including social capital, how it relates to development initiatives in the agricultural sector, and how it can be measured. I broadly define social capital as the participation of individuals in formal and informal networks, the norms that define these networks and the trust these individuals have within and outside these networks. Participation in networks is structural social capital, whereas norms and trust within and between these networks is cognitive social capital. I distinguish four dimensions of social capital: structural bonding, structural bridging, cognitive bonding and cognitive bridging. In this thesis bonding and bridging social capital is akin to social capital inside and outside the village. Agricultural innovation is defined in terms of improved land and crop management practices, an important area of agricultural innovation for small scale producers.

    In chapter 3 till 7, I empirically investigate the relationships between social capital, agricultural innovation and two types of development initiatives. The first initiative is the implementation of agricultural research through the Integrated Agricultural Research for Development (IAR4D) approach. IAR4D was adopted by the Sub Saharan African Challenge Program (SSA CP) and implemented in eight different countries. The core of this approach is the development of Innovation Platforms (IPs), which can be described as an informal coalition and alliance of conventional agricultural research and development actors. Using the semi experimental data collected in this context, I could investigate the important role of social capital in different contexts. The second type of initiative is implementation of sustainable certification schemes through group-based experimental learning approaches. I investigate four sustainable coffee projects in Vietnam, of which two adopted the interactive Farmer Field School training approach. The data of these four projects allow me to verify some of the conclusions in a different context and for a different development initiative.

    In chapter 3, I use baseline data from the IAR4D initiative to explore the association between different forms of social capital and uptake of various agricultural innovations, for a sample of 2500 households in seven countries in SSA. I find that structural bridging social capital is associated with more extensive adoption of agricultural innovations. This result is true for the pooled model as well as for four of the seven country models. This form of social capital captures agriculture-related links creating access to knowledge and resources and is considered an important dimension of economic development. I find a negative association between cognitive bonding social capital and the innovation index. This finding could represent a potentially harmful side of social capital in terms of agricultural innovation.

    In chapter 4, I investigate the impact of IAR4D on social capital. I narrow my focus on the border region between Rwanda, Uganda and the DRC. Because the SSA CP data set consist of randomized data of participating and non-participating villages, before and two years after implementation, I can investigate the impact of the program. Many participatory projects in rural Africa are efforts to enhance development indirectly by promoting cooperation in formal or informal networks, and by encouraging trust and norms of behaviour towards mutually beneficial action. But it remains unclear whether external interventions can actually influence social capital, especially in the short term. I show that IAR4D has had a positive impact on structural bridging social capital in DRC and Uganda. There was no impact on structural bridging social capital in Rwanda, or on the other dimensions of social capital. Finally, I showed that traditional agricultural extension has been less successful in increasing structural social capital than IAR4D.

    In chapter 5, I use data from a survey I conducted among IP coordinators to measure the extent to which IPs were implemented according to the principles of IAR4D across the three sub regions. Linking these data to the main survey data, I find that the extent to which IPs were implemented according to IAR4D principles is associated with the success of IAR4D in increasing the level of household food security, although not through increased adoption of agricultural innovation or increased levels of social capital at household level. Looking at the sub-components of these principles, especially involvement of IP stakeholder is crucial. Tentative results suggest that this involvement is higher in communities with a higher level of education, a higher percentage of female headed households, and a higher level of village social capital.

    In chapter 6, I analyse how different indicators used to represent social capital are related in the border region between Rwanda, Uganda and the DRC. I focus on the relationship between various indicators of trust, an important component of cognitive social capital, and group membership, an important component of structural social capital. The indicators used are based on questions I added to the follow up survey of the SSA CP in 2010. I find that different indicators of trust and group membership cannot be empirically captured by an overarching social capital factor, and are not even necessarily associated to each other.

    In chapter 7, I present evidence that the relationship between social capital and agricultural innovation is not only evident for the IAR4D approach, but also for a different development initiative in a different context: sustainable coffee certification in Vietnam. I use data collected among 240 randomly selected project participants and 150 comparable farmers that did not participate in the projects. I focus on the role of bonding and bridging cognitive social capital, defined as trust. I find a significant positive relation between trust and the uptake of sustainable agricultural training practices. This relationship mostly results from high levels of bridging trust, and is even higher in combination with high levels of bonding trust. I also find tentative evidence that participation in the sustainable coffee projects positively influenced bonding trust in one project whereas it negatively influenced bridging trust in another project.

    In chapter 8, I give an overview of the three main findings. First, social capital is associated with agricultural innovation. Second, development initiatives can influence social capital. Third, the existing level of social capital is associated with the success of development interventions. However, the effect was not necessarily positive and depends greatly on the dimension of social capital.

    I also present several implications for policy. First, stimulating social capital, especially bridging social capital, may be a natural leverage point for policy makers to promote agricultural development. Second, increased levels of social capital can indeed be an outcome of development initiatives, either intentionally or not. At the same time, I show that this impact requires specific efforts and is not necessarily positive. The third implication is that social capital matters for the success of certain development initiatives, either as a source of heterogeneous implementation or impact. Fourth, it is vital to take into account the multi-dimensional nature of social capital and the fact that these dimensions might have different relations to agricultural innovation and development initiatives. Combined these implications mean that indicators of social capital should be included in the design and evaluation of agriculture-related development initiatives.

    Finally, I give suggestion for future research. First, to further unravel the chains of causation between different dimensions of social capital, agricultural innovation, and development initiatives. Second, to validate the indicators and indices of social capital using experimental games, more advanced survey questions, or better embedding them in existing theories. A third area of future is to advance in the measurement of innovation as a truly interactive and participatory process. Fourth, to address whether the importance of social capital, as a catalyst for success or as an outcome variable, depends on the nature of the development initiatives or the context in which it is implemented. Finally, research yet has to address the long-run effect of development initiatives on social capital.

    Community-driven reconstruction in the Eastern Democratic Republic of Congo : capacity building, accountability, power, labour, and ownership
    Kyamusugulwa, P.M. - \ 2014
    Wageningen University. Promotor(en): Thea Hilhorst, co-promotor(en): Paul Richards; M. Mashanda. - Wageningen : Wageningen University - ISBN 9789461739032 - 251
    bewonersparticipatie - reconstructie - ontwikkelingsprogramma - capaciteitsopbouw - gemeenschappen - politieke macht - sociale processen - democratische republiek kongo - community participation - reconstruction - development programmes - capacity building - communities - political power - social processes - congo democratic republic
    This PhD research focuses on community-driven reconstruction (CDR): the social dynamics of target communities in post-conflict eastern Congo. The main research question: how do social dynamics and power relations influence decision making and implementation of CDR and how do perceptions of local people and International Rescue Committee (IRC) staff shape development in the communities of Burhinyi, Luhwindja and Kaziba?
    Colonial Exploitation and Economic Development: The Belgian Congo and the Netherlands Indies Compared
    Frankema, E.H.P. ; Buelens, F. - \ 2013
    London : Routledge (Routledge explorations in economic history 64) - ISBN 9780415521741 - 292
    kolonialisme - kolonies - kolonisatie - economische ontwikkeling - congo - democratische republiek kongo - belgië - nederlands indië - nederland - geschiedenis - colonialism - colonies - colonization - economic development - congo - congo democratic republic - belgium - netherlands east indies - netherlands - history
    This volume discusses the comparative legacy of colonial rule in the Netherlands Indies and Belgian Congo during the nineteenth and twentieth centuries. Whereas the Indonesian economy progressed rapidly during the last three decades of the twentieth century and became a self-reliant and assertive world power, the Congo regressed into a state of political chaos and endemic violence. To which extent do the different legacies of Dutch and Belgian rule explain these different development outcomes, if they do at all? By discussing the comparative features and development of Dutch and Belgian rule, the book aims to contribute to a deeper understanding of the role of colonial institutional legacies in long run patterns of economic divergence in the modern era and to add a comparative case-study to the strand of literature analyzing the marked differences in economic and political development in Asia and Africa during the postcolonial era.
    Promouvoir la Bonne Gouvernance des Entités Territoriales Décentralisés et Provinciales : Atelier d'écriture
    Klaver, D.C. - \ 2010
    Wageningen : Wageningen UR Centre for Development Innovation, Cordaid - ISBN 9789085855972
    governance - overheidsbeleid - regionaal bestuur - plaatselijk bestuur - decentralisatie - deugdelijk ondernemingsbestuur - toerekenbaarheid - multi-stakeholder processen - democratische republiek kongo - centraal-afrika - ontwikkelingslanden - franssprekend afrika - governance - government policy - regional government - local government - decentralization - corporate governance - accountability - multi-stakeholder processes - congo democratic republic - central africa - developing countries - francophone africa
    Sur la base des expériences vécues, ce rapport décrit les stratégies les plus prometteuses pour promouvoir la bonne gouvernance au niveau des Provinces et des Collectivités Territoriales en République Démocratique du Congo. Il est le résultat d’un atelier qui s’est tenu à Bukavu en décembre 2009 auquel participèrent les partenaires de Cordaid, les représentants des collectivités territoriales et des territoires, et les représentants de la société civile. Ces expériences phares portent sur l’organisation des acteurs en structures associatives pour la défense de leurs intérêts ; le renforcement du cycle de planification, d’exécution et de suivi-évaluation des plans de développement locaux ; la mobilisation et la gestion transparente des fonds ; l’Information, la communication et la prise de connaissance ; le renforcement de la sécurité, de l’état de droit et de la paix ; l’affrontement de la problématique foncière. La multiplication de ces expériences et la conception d’une stratégie de plaidoyer pour également aborder les questions stratégiques telles que les rétrocessions et le respect des cadres législatifs et administratifs s’avèrent nécessaire pour contribuer d’avantage à la bonne gouvernance en République Démocratique du Congo.
    Partners in peace : discourses and practices of civil-society peacebuilding
    Leeuwen, M. van - \ 2008
    Wageningen University. Promotor(en): Thea Hilhorst. - S.l. : S.n. - ISBN 9789085049562 - 252
    oorlog - conflict - sociale onrust - preventie - internationale samenwerking - ontwikkelingsbeleid - hedendaagse samenleving - sudan - rwanda - burundi - democratische republiek kongo - guatemala - peace building - vrede - maatschappelijk middenveld - internationale conflicten - politieke conflicten - sociaal conflict - conflictmanagement - war - conflict - social unrest - prevention - international cooperation - development policy - contemporary society - sudan - rwanda - burundi - congo democratic republic - guatemala - peacebuilding - peace - civil society - international conflicts - political conflicts - social conflict - conflict management
    This study looks into images, and assumptions, of civil-society peacebuilding and its support by international development organizations, and how this relates to politics and practices of peacebuilding on the ground. It is built principally on a series of case studies of peacebuilding interventions and organizations working in southern Sudan, Burundi and the African Great Lakes Region, and Guatemala. This study underscores the importance of implicit assumptions in contemporary peacebuilding work. International support to civil-society peacebuilding is often guided by simplified notions on conflict and the potential roles of civil society in bringing about peace. To arrive at better peacebuilding practices, it is necessary to know more about what civil society is, how it works, and how the assumptions motivating its support work out in practice. This requires exploring the everyday peacebuilding practices of civil-society organizations. In particular, attention needs be given to the organizing practices of peacebuilding organizations, how they operate and develop, to the different meanings attributed to peacebuilding by the diverse parties involved, and to how understanding peacebuilding is part of organizational politics.
    In fieldwork and analysis, I applied an actor-oriented approach. Such an approach helps to clarify how policies and interventions of organizations result from the everyday practices of organizations and the people and authorities of the communities where they implement their programs. A core notion in this study is discourse, referring to collective practices of ordering or ‘framing’ in the minds of actors, who make sense of their experiences through coherent schemes. Discourses are often seen as implying power: as dominant traditions of looking at the world which eliminate alternative visions, or as affecting social relations through diverse ways. Organizations may use discourses strategically, for example, to legitimize interventions. Discourse can be highly political, promoting particular agendas for development.
    While acknowledging the power of discourse, this study focuses on discourse as a cognitive process. To be able to operate and to respond to the complexity of conflict and peacebuilding, development organizations simplify reality. But simplifying reality always implies that parts of reality are lost or remain underexposed. In the case studies, I reflect on the consequences of simplification, and explore how development organizations can better take account of the necessary simplifications they make. In practice, it is often difficult to separate the cognitive exercise of ordering from the politics of ordering - the two often interact or go closely together. Simplification always implies political choices by prioritizing certain problems and interpreting particular interventions as the most appropriate. The study argues that to understand ordering requires giving equal attention to the several attributes of discourse. This research approach is elaborated upon in chapter 1.
    Chapter 1 also reflects on my experiences with an interactive research approach. Through such an interactive approach, I aimed to develop a sense of ownership over questions and recommendations by the civil-society organizations involved in the research and so enhance their peacebuilding work. In my experience, an interactive approach enhances the depth of ethnography and analysis of findings. Carrying out research with (instead of only on) organizations facilitates relations of trust and witnessing organizing practices from within organizations, and enables discussing findings with research partners. It stands out in this study that rather than a research methodology, the interactive character of research should be seen as an intention. The extent to which research becomes interactive cannot be planned, nor assured by the adoption of particular interactive methodologies. Rather, the interactive character of research develops with the advancement of collaboration. Crucial to this process is mutual commitment, which depends on the flexibility of the research and research partners, the expected benefits for the participants, the extent to which expectations are satisfied along the way, and the enthusiasm of individual participants. The interactive character of research is also affected by organizational changes and changing interests. Practically, this means that a researcher needs to ensure that space for participation and non-participation is maintained throughout the process.
    The subsequent two chapters analyse international discourses and policies of peacebuilding, and look at a general level at how organizations make sense of conflict. Chapter 2 analyzes how over the 1990s, peacebuilding discourses developed that attributed a major role to civil society in realizing peace. Though seeming consensus on peacebuilding evaporated with the anti-terrorist policies after 9/11, and peacebuilding roles taken on by international NGOs and local civil-society organizations were reclaimed by donor governments and multi-lateral agencies, many international and local organizations continued to be involved in peacebuilding. Nonetheless, consensus on what peacebuilding should look like remains absent. Development actors differ considerably in prioritizing particular domains, and do not agree on the sequencing and interdependence of particular interventions. Moreover, practices of civil-society peacebuilding implicitly build on strong assumptions about the roles civil society, the state and international actors should play in peacebuilding and governance.
    Chapter 3 analyses how those policy trends and emerging discourses regarding peacebuilding and civil society are reflected in the work of particular international development organizations. The chapter demonstrates that peacebuilding is not just an opportunistically applied policy label but has acquired different meanings in practice. Definitions of peacebuilding in policy strategies reflect the different backgrounds of organizations. At the same time, local conditions set limits and pose specific opportunities for peacebuilding. The chapter illustrates that rather than that international development organizations change their practices when new discourses come into fashion and replace previous ones, practices of organizations follow slower. Newer and older discourses continue to be relevant in the practices of organizations. This provides room for manoeuvre to organizations who find in this multiple grounds to legitimize a large range of intervention strategies. Policies are an ongoing process, and are shaped along the way by diverse participants, a theme that is elaborated upon also in the next chapters.
    The remainder of the study discusses case studies of the everyday practices of civil-society peacebuilding in a variety of countries. Chapter 4 analyses the organizing practices of a local women’s peace organization in southern Sudan. The case underscores how the practice of policy making and implementation is more related to the internal dynamics of an organization than to the planned objectives of the intervention. The chapter highlights that to better understand civil-society peacebuilding we need qualitative approaches that give central attention to dynamics of peace organizations. These include the history of an organization and the context in which it develops, the way conflict is experienced in the every day life of local people, the way how actors in and around organizations give meaning to the organization and its practices, and the politics of organizations. The chapter outlines such an approach, presenting five properties of local peace organizations that need be taken into account when supporting local peacebuilding.
    The next two case studies look in particular at how the framing of conflict situations works through in interventions. Chapter 5 analyses how conflict and peacebuilding in the Great Lakes Region are increasingly framed in regional terms. In practice, however, local and international organizations have difficulty in analysing the regional character of conflict and arriving at collaborative regional strategies. Moreover, local civil-society organizations are deeply embedded in the politics of regional conflict. Consequently, the shift to regional peacebuilding approaches remains more theoretical than practical. A regional framing of conflict helps to understand conflict, but fails to inform intervention practice.
    Chapter 6 discusses the consequences of understanding land disputes in Burundi as short term problem, resulting from the massive return of refugees and displaced to their home communities. This particular framing of land disputes urged international and local organizations to initiate programmes for strengthening the capacities of local conflict resolving institutions. The case material shows that though the return of refugees was a factor in disputes about land, there is a lot of continuity between conflict-related and regular land disputes in Burundi. Many land disputes require first and foremost solutions at the political level, rather than at the local level. Moreover, the question was whether the strengthening of local dispute resolving mechanisms would enhance their legitimacy and accessibility, and could guarantee the protection of vulnerable people. While a framing of local land disputes in terms of an emergency helped to define interventions, this framing neglected the long-term, structural character of many land disputes.
    Chapter 7 tackles the question of what the official ending of violence implies for the roles, policies and practices of civil-society organizations. It discusses how Guatemalan civil-society organizations deal with agrarian conflict, ten years after the 1996 peace agreements. The case study shows how international organizations tend to assume that the peace agreements implied a switch to a peaceful situation, in which state institutions function, and civil society can effectively participate in the democratic process. This imagining makes them to assume that civil society now has to switch from protest to proposal, and to neglect the slow process of societal transformation in a post-conflict setting. The chapter argues that the pace and extent of societal transformation has a strong influence on how organizations can develop. It also illustrates that framing conflict and intervention is a continuous process, in which organizational politics play an important role. Finally, the chapter raises some questions on the overall roles of the international community in realizing peace. It argues that the increasing global influence on national governance processes effectively diminishes the power of local citizens to demand accountability from their governments for the processes of change initiated.
    Chapter 8, the conclusion of the study, argues the importance of looking at the everyday practices of peacebuilding. It points out how international discourses on civil-society peacebuilding have resonated in the policies of international development organizations. Over the last fifteen years many organizations have come to reflect on how their programmes contribute to peaceful societies. What emerged was not a circumscribed and shared peacebuilding agenda, but a shared preoccupation with the impacts of diverse interventions on peace and conflict. The precise reasons why organizations apply the term, what peacebuilding does and how it works cannot be read from mandates and policy documents. It requires one to look at the everyday politics and practices of organizations. The meaning of peacebuilding results from everyday negotiations of staff-members and stakeholders at different levels in the aid-chain, each with their own interests and perspectives. To understand peacebuilding, one needs to understand the history of organizations and individual staff members, and the multiple identities and realities organizations represent to the people participating in them, and explore the roles of both organizational politics and conflict politics in defining interventions.
    The conclusion also poses pertinent questions on the assumptions underlying contemporary peacebuilding work, in particular on the roles of civil society and governance. The particular roles civil-society organizations may play in peacebuilding and their most effective contributions to governance strongly depend on local conditions, and on how those influence organizations. International development organizations tend to have particular images of what civil society should do and look like and are eager to support only those organizations fitting their image. International support to local civil society needs to take more account of prevailing forms of governance and the history and development of civil society in a particular context.
    Finally, the conclusion lines out different processes through which organizations arrive at particular framings of the reality in which they operate. Such framings simplify reality in ways that create possibilities for intervention or restrict them. Framing involves cognitive processes of ordering and creating routine, as much as organizational politics. Organizations tend to separate emergency from normality, to focus on techniques of intervention, and to interpret contexts and peacebuilding interventions according to their own frames of reference and particular expertise. At the same time, organizational politics –intentionally or unintentionally– play a strong role in ordering. Organizations promote particular representations of reality that are in line with their possibilities for intervention, and that legitimize them to intervene, and that present their interventions in a-political terms.
    The chapter underscores the high expectations international organizations often have of their intervention. The study points to the need to observe modesty and connect to local agendas. Rather than to work on grand schemes of peacebuilding and taking the lead in societal transformation, they need to be partners in peace.


    La problématique de l'application des techniques d'analyse coûts-bénéfices en Afrique subsaharienne : le cas du Zaïre
    Musampa-Tshibalabala, R. - \ 2000
    Agricultural University. Promotor(en): P. van den Noort. - S.l. : S.n. - 289
    kosten-batenanalyse - ontwikkelingsplanning - haalbaarheidsstudies - projectbeoordeling - afrika ten zuiden van de sahara - ontwikkelingsprojecten - economische evaluatie - democratische republiek kongo - cost benefit analysis - development projects - economic evaluation - development planning - project appraisal - feasibility studies - africa south of sahara - congo democratic republic

    De bedoeling van dit onderzoek is het toetsen van de toepasbaarheid van de methodologische principes van economische projectanalyse in de politieke, economische en financiële context zoals die bestaat in Zaïre (thans: Congo geheten). Om realistisch te werk te gaan, hebben wij dit gedaan vanuit het standpunt van de schaduwprijsmethode (Méthode des Prix de Référence, MPR) voor twee praktijkgevallen van projecten die geanalyseerd en gefinancierd werden door de Wereldbank.

    Na een algemene introductie die voornamelijk de probleemstelling betreft, en na de motieven van het onderzoek en de gevolgde methode, wordt het onderzoekswerk in twee delen opgebouwd: een deel betreffende de theorie (hoofdstuk 1 t/m 4), en een deel over de toepassing (hoofdstuk 5 t/m 9). Hoofdstuk 10 geeft de conclusies van het onderzoek.

    De theorie

    Het eerstehoofdstuk is een algemene inleiding, het geeft om te beginnen een idee van wat een project is, zijn analysekader, welke de relaties tussen projecten zijn en met de ontwikkelingsplanning. Verder zijn in dit hoofdstuk drie werkhypotheses opgesteld die achtereenvolgens betrekking hebben:

    op het ontbreken in Zaïre van voorwaarden die geschikt zijn voor de toepassing van de kosten/baten analysetechnieken,op de zeer beperkte en weinig verspreide kennis van deze technieken, en tenslotteop de voorwaarden waaraan voldaan zouden moeten worden om deze technieken te kunnen toepassen.

    De evaluatie van projecten vanuit het gezichtspunt van de ondernemer (hoofdstuk 2)

    Na het onderzoeksterrein omschreven te hebben qua tijd (1978-1990) en qua ruimte (twee agrarisch-industriële projecten in landelijke gebieden), hebben wij de beslissingscriteria van investeringen voor de ondernemer bestudeerd. Twee groepen van criteria zijn bestudeerd, te weten die aangeduid als statische en die als dynamische. Drie statische criteria zijn bestudeerd: de gemiddelde rentabiliteit (Taux Moyen de Rentabilité, TMR), het jaarlijkse percentage van het rendement (TAR) en de eenvoudige terugverdienperiode (Délai de Recupération Simple, DRS).

    In de tweede groep bestudeerden wij de zogenaamde dynamische criteria: deze onderscheiden zich van de eerstgenoemde door bij de evaluatie rekening te houden met het disconteringsprincipe. Bij deze criteria speelt de tijd een belangrijke rol, overeenkomstig de zegswijze "één vogel in de hand is beter dan tien in de lucht".

    De voorwaarden voor aanvaarding of verwerping van een project zijn bestudeerd en uitvoerig besproken voor wat betreft vier dynamische criteria: de interne rentevoet (Taux de Rentabilité Interne, TRI), de netto contante waarde (Valeur Actualisée Nette, VAN), de kosten/baten verhouding (Rapport Bénéfices-Coûts, RBC) en de verhouding tussen netto baten en investeringen.

    De evaluatie vanuit het gezichtspunt van de gemeenschap

    De beschrijving van de basisprincipes, van de rekenwijzen, van zowel de toepassingen als de beperkingen van de twee grote stromingen of benaderingen van economische analyse, namelijk de schaduwprijsmethode (MPR) en de effectenmethode (Méthode des Effets, ME), heeft ons een grote hoeveelheid aan theoretische inzichten opgeleverd.

    * De benadering via de schaduwprijsmethode (MPR) ( hoofdstuk 3 )

    De studie van de context en van de principes van de MPR heeft ons de beginselen en nadere verfijning duidelijk gemaakt. In tegenstelling tot de financiële analyse, vergelijkt de financiering van een investering vanuit het gezichtspunt van de gemeenschap de kosten en de voordelen die de "echte" "opportunitykosten voor de totale economie weergeven. De MPR omvat, of beter gezegd houdt rekening met de kwantitatieve en niet kwantitatieve aspecten van de gebruikte hulpbronnen (kosten) en van de baten van een project of investeringsprogramma. Oftewel, stellen Kuyvenhoven en Mennes (1988, p.2), de kosten/baten analyse neemt in ogenschouw en vergelijkt systematisch alle kosten en alle baten van een project, ongeacht of die toevallen aan een individu, een onderneming, een sociale groep, een openbare sector of aan het gehele land.

    Deze principes hebben bij ons enkele vragen opgeroepen: in welke mate kan men van te voren in termen van kosten en baten alle effecten van een project herkennen? Bijvoorbeeld, hoe moet men de effecten van de vervuiling van een fabriek op het milieu vaststellen? Of, hoe moet men de gevolgen van de vervuiling van Tchernobyl van 1986 en van Tokaïmura van 1999 vaststellen? En in de sociale sector, bijvoorbeeld de gezondheidszorg en het onderwijs, is het mogelijk om daar de effecten vast te stellen van de verbetering van diensten en zo ja vanuit welk perspectief?

    Teneinde zich beter rekenschap te geven van de doelmatigheid van deze benadering, zijn enkele gevallen van praktische toepassingen door de Wereldbank over de hele wereld geïnventariseerd. Hierbij zij opgemerkt dat de Wereldbank en de internationale gemeenschap in 1990 de African Capacity Building Initiative (ACBI) hebben opgezet om de verstoorde evenwichten in de Afrikaanse landen te herstellen.

    Maar de MPR blijft veeleisend voor wat betreft betrouwbare en consistente statistische gegevens, iets waarover veel ontwikkelingslanden, waaronder Zaïre, niet beschikken, tenminste op het ogenblik niet.

    * De benadering via de effectenmethode (ME) ( hoofdstuk 4 )

    Volgens deze benadering van economische analyse wordt de bijdrage van een project bepaald door de toegevoegde waarde gecreëerd door haar effecten van begin tot eind in de productieketen, en op alle niveaus en in alle sectoren van het land. Bij de bestudering van de "basistechnieken en -hypotheses" hebben wij gemerkt dat voor wat betreft de toepassing, ook de ME een aanzienlijke hoeveelheid cijfermatige gegevens eist, zowel van economische functionarissen op nationaal niveau, als van ondernemingen, en zelfs van huishoudens.

    Een zwak punt van de ME is dat zij onderdeel is van een planningsproces waarbij de economische berekeningen de weg dienen te wijzen in de besluitvorming. Toch is de overheid in de ontwikkelingslanden (i.h.a.) weinig betrouwbaar: de plannen zelf, voorzover ze al bestaan, zijn veelal slecht geformuleerd en worden nooit gerealiseerd.

    Een vergelijking van de twee benaderingen die hier bestudeerd werden laat zien dat ondanks hun verschillen, zij dezelfde doelen nastreven, maar op verschillende manieren: de schaduwprijzen voor de MPR en de marktprijzen voor de ME. De vergelijking heeft desalniettemin aangetoond dat de degelijke theoretische principes van de MPR kunnen leiden tot verstandige investeringskeuzes voor het land.

    De toepassing

    De agrarische sector van Zaïre (hoofdstuk 5)

    Om al deze theorieën in een reële context te plaatsen, hebben wij de verschillende aspecten van de agrarische Zaïrese sector, wiens potentieel onbetwistbaar is, onderzocht. Na presentatie van de voornaamste gegevens over de agrarische sector (waarin zo'n 70% van de bevolking een bestaan vindt), hebben wij de twee typen van landbouw die bedreven worden in Zaïre beschreven, te weten de traditionele landbouw en de moderne landbouw.

    Verscheidene zaken karakteriseren de traditionele landbouw: de omvang van de factor arbeid en van de oppervlakte gecultiveerde grond op het totaal van het hele land; de geringe opbrengsten per hectare; de grootte van het familiebedrijf die de 1,5 ha. niet overschrijdt; de lange duur van braaklegging; en de overheersing van voedingsgewassen voor eigen verbruik. Een kort onderzoek naar de ontwikkeling van deze landbouw maakt duidelijk dat ze in continu verval is sinds het onafhankelijk worden van het land in 1960.

    De moderne landbouw, bedreven op ongeveer 2 miljoen ha, onderscheidt zich van de traditionele landbouw door moderne exploitatie- en managementtechnieken, hetgeen het belang verklaart van het kapitaal dat hierin door de eigenaren is geïnvesteerd. Zij is voornamelijk gebaseerd op exportgewassen: koffie, katoen, palmolie, cacao, etc.

    Over de door de overheid gevolgde landbouwpolitiek en -strategie kan men zich terecht een groot aantal vragen stellen, evenals over de aangewende instrumenten (zie Shapiro en Tollens, 1992, pag.129-141).

    In de bijzonder gecompliceerde agrarische context van Zaïre beschikt men niet over de geschikte menselijke en materiële middelen om zodanig betrouwbare statistische gegevens te verzamelen en te verwerken dat er betrouwbare projectevaluaties mee te maken zijn.

    De projecten betreffende suikerriet en oliepalm (hoofdstuk 6)

    Dit hoofdstuk gaat over de presentatie alsook over de lokalisatie van de twee projecten aangemerkt als casestudies, dat van het suikerriet en dat van de oliepalm. De twee projecten zijn gefinancierd door de Internationale Ontwikkelingsassociatie van de Wereldbankgroep (IDA), de eerste in cofinanciering met het Franse Ministerie van Ontwikkelingssamenwerking, de tweede met cofinanciering van de Afrikaanse Bank van Ontwikkeling (ADB) en de Arabische Bank voor Economische Ontwikkeling in Afrika (BADEA).

    De sub-sector suiker: de twee industriële suikerrietplantages bevinden zich in Kwilungongo (op 175 km van Kinshasa) en in Kiliba (Zuid-Kivu). Vóór de financiering van het project van de Compagnie Sucrière (CS) was de productie in de twee bedrijven kleiner dan de jaarlijkse behoefte van het land: de productie bijvoorbeeld in de periode 1976-79 was ongeveer 50.000 ton, terwijl de jaarlijkse behoeften van het land lagen op ongeveer 100.000 ton (Ministerie van Landbouw, 1988, pag. 21).

    De sub-sector oliepalm: alhoewel de oliepalmteelt wijd verspreid is over het hele land, dragen slechts vier regio's in belangrijke mate bij aan de industriële teelt en productie. De Maatschappij Plantages Lever van Zaïre (PLZ), die bestudeerd wordt in dit boek, is de belangrijkste van alle industriële maatschappijen, met een palmolieproductie van ongeveer 50% van het totaal van de industriële oliepalm productie van het land. Ook in deze sub-sector is de productie sterk afgenomen: bijvoorbeeld van ongeveer 170.000 ton in 1970 naar ongeveer 145.000 ton in 1975 in de periode van studie.

    De financiering van de twee projecten beoogde ondermeer productiegroei, het scheppen van arbeidsplaatsen, rehabilitatie van de productie-eenheden, scholing, aanschaf van nieuwe machines en sociale infrastructuur, teneinde de levensomstandigheden van de werknemers en van de omwonende bevolkingsgroepen te verbeteren.

    In beide gevallen hebben wij geconstateerd dat de prijzen niet waren vastgesteld volgens de wet van vraag en aanbod; ze waren zonder meer vastgesteld door de regering, hetgeen iedere concurrentie uitsloot. Een vergelijking heeft aangetoond dat de productiekosten van een ton suiker in Zaïre tot de hoogste van het Afrikaanse continent behoren (Wereldbankrapport, 1985, pag. 12).

    Als men al deze feiten in ogenschouw neemt, zou men zich kunnen afvragen waarmee de resultaten van een economische analyse die uitgevoerd zou zijn volgens de methodologische principes zoals beschreven in hoofdstuk 3 en 4 zouden overeenkomen als:

    het referentiekader van een project onduidelijk is enals de inmengingen van de regering de werking van de marktwetten verstoren?

    De boekhoudkundige en financiële analyse van het suikerrietproject (hoofdstuk 7)

    In hoofdstuk 7 hebben we getracht enkele boekhoudkundige en financiële aspecten te bestuderen van het suikerrietproject waarvoor bepaalde becijferde informatie beschikbaar was.

    Ons doel was tweevoudig: aan de ene kant bepaalde boekhoudkundige en financiële aspecten onderzoeken die onbestudeerd waren gebleven bij de evaluatie van het project en, aan de andere kant, de voorspelde resultaten vergelijken met de daadwerkelijk bereikte resultaten. Daartoe hebben wij gebruik gemaakt van de bedrijfsgegevens over de voorcalculatie en de voorlopige balansen, maar ook van de werkelijke balansen van de vijf opeenvolgende jaren. Om een idee te krijgen over de financiële situatie van de CS na de financiering, hebben we drie ratiogroepen bestudeerd, te weten:

    de ratio van liquiditeit,de ratio van financiële autonomie ende ratio van de financiering van de duurzame activa.

    De boekhoudkundige en financiële analyse was nodig, want zij heeft aangetoond dat in veel gevallen het ten tijde van de projectevaluatie uitgevoerde onderzoek onvolledig was; zo werden bepaalde boekhoudkundige principes niet in acht genomen, bijvoorbeeld de berekening van de afschrijvingen, het niet uitkeren van het dividend, het in aanmerking nemen van de waarde van de duurzame activa. Op het financiële vlak hebben we geconstateerd dat geen rekening is gehouden met werkkapitaal en met andere relevante ratio's, die het mogelijk maken het financieel evenwicht van het bedrijf te beoordelen.

    De resultaten hebben aangetoond dat de onderneming het hoofd boven water heeft kunnen houden dankzij buitenlands kapitaal en dat haar ratio van onafhankelijkheid gedurende de in aanmerking genomen periode (1988-1992) kleiner is gebleven dan 1,0. De kosten van de koersverschillen volgend op de omzetting van de leningen in deviezen tegen de wisselkoers van de dag hebben gezorgd voor een ernstig gebrek aan geldmiddelen en heeft de maatschappij genoopt tot het niet nakomen van haar betalingsverplichtingen.

    Voor wat betreft de vergelijking tussen de voorspelde versus de daadwerkelijk behaalde financiële resultaten hebben wij tamelijk grote verschillen geconstateerd, met name wat betreft de bijdrage van het project aan de staatsbegroting en wat betreft het handhaven van het financieel evenwicht dat bij de evaluatie vooraf was aangenomen.

    Ondanks de financiële moeilijkheden die we zonet beschreven hebben, heeft studie van de financiële resultaten van het project aangetoond dat de Wereldbank de enige begunstiger van het project was. Deze bank heeft de facto haar totale lening, de achterstallige rente, en de rente op rente ingevorderd, zoals aangegeven is in het volgende hoofdstuk.

    De sociaal-economische analyse van de twee projecten (hoofdstuk 8)

    Gebaseerd op verscheidene statistische gegevens heeft hoofdstuk 8 nogal belangrijke informatie verschaft, die ons inziens de gesignaleerde problemen bevestigen.

    De resultaten van de vooraf uitgevoerde berekeningen laten een positieve rentevoet zien: 17,5% voor het project van de CS (bureau van uitvoering), en 16% voor het project van de PLZ (bureau van uitvoering).

    Na de realisatie van de twee projecten laat de achteraf uitgevoerde ex post evaluatie hiervan de duidelijk negatieve economische resultaten zien ten opzichte van de voorspellingen: - 8% economische rentabiliteit voor de CS, tegen ongeveer één economische rentabiliteit van 5% voor de PLZ (Afrondingsrapporten, 1991, pag.8 en 13).

    Herhaaldelijk zijn er veranderingen ingevoerd en zijn verplichtingen niet nagekomen, zodat de uitgevoerde projecten niet meer overeen kwamen met de aanvankelijk beoordeelde projecten. Zo zijn bijvoorbeeld in het geval van het project van de CS, de clausules over de voldoende toewijzing van deviezen en de prijscorrecties van de suiker niet in acht genomen en is er geen enkel proefproject voor de verbetering van de levensomstandigheden van de plaatselijke bevolking uitgevoerd.

    In het geval van het project van de PLZ waren er eveneens verscheidene veranderingen (vermeld in punt 8.3.1., zoals wijzigingen in de Investeringscode; de overeenkomsten tussen de SOFIDE en de palmoliemaatschappijen) aangebracht, hetzij als opheffingen, hetzij als toevoegingen aan het oorspronkelijk ontwerp. De regering en de Nationale Bank hebben op hun beurt tegengewerkt, de ene in het kader van de Investeringscode, en de andere aangaande de toewijzing van deviezen (hoofdstuk 5).

    Een ander maar evenzo opvallend punt is dat om diverse redenen in geen van de twee gevallen men zich ooit aan het uitvoeringsschema gehouden heeft: het project van de CS heeft een termijnoverschrijding van twee jaar en vijf maanden gekend, terwijl dat van de PLZ een vertraging vermeldde van twee en een half jaar op een totaal van 20 jaar.

    Gedurende deze vertraging ging de economische en financiële situatie aldoor maar achteruit, zodat het merendeel van de tijdens de evaluatie verkregen gegevens veranderd waren, zoals wij dit ook signaleerden aan het begin van deze studie.

    Beter gezegd, de problemen hebben zich voorgedaan in alle projectfasen, van voorbereiding tot afronding, zegt de Wereldbank (Afrondingsrapport, 1991, pag. 1-8).

    Wat betreft de toepassing van de methodologische voorschriften bij de onderzochte gevallen hebben we opgemerkt dat de analisten dan wel de experts van de Wereldbank bijvoorbeeld de schaduwprijzen van de deviezen of de productiekosten van de producten uit de losse pols bepaald hebben. De schaduwprijs van arbeid is evenmin berekend; we veronderstellen dat deze is vastgesteld op basis van vraag en aanbod op de arbeidsmarkt. De enige uitgevoerde economische berekeningen waren die van de interne rentevoet (TRI).

    Ook hier zijn de voordelen overschat, doordat men over het hoofd heeft gezien dat:

    de prijzen van de betrokken producten gecontroleerd en vastgesteld door de regering waren op kunstmatig lage niveaus,de gehanteerde productiekosten slechts ruwe schattingen waren vanwege het gemis van een analytische boekhouding enhet land grote en veelvuldig optredende inflatoire bewegingen kende, hetgeen gepaard ging met devaluatie. Onze eigen rentabiliteitsberekeningen (zie annex), deels gebaseerd op de wereldprijzen van suiker zoals die verschaft zijn door de Wereldbank, hebben enigszins andere uitkomsten gegeven dan die afkomstig van het evaluatieonderzoek.

    Om de kosten te bepalen van de deviezen die uitgespaard zouden worden in het kader van het project (een van de doelen nagestreefd door de CS), hebben we de berekeningen toegepast van de interne wisselkoers oftewel de test van Bruno volgens de methodologie van Gittinger (1982, pag.419). De geactualiseerde resultaten (tabel 8.5 en 8.6) hebben aangetoond dat de interne wisselkoers bijna nul zou zijn; het project heeft dus geen deviezenbesparing opgeleverd.

    De toepassing van de kosten-batenanalyse en de uitvoering van projecten door de ondernemingen in het sociaal-economische milieu van Zaïre (hoofdstuk 9).

    De verschillende empirische feiten die in de voorgaande hoofdstukken verzameld zijn, tonen aan dat de uitvoering van een project beïnvloed wordt door diverse factoren die onvermijdelijk met elkaar verbonden zijn. Noch de beslissing om een project uit te voeren, noch haar resultaten zijn niet alleen de daad van een simpele rentabiliteitssom, maar veeleer de bijdrage van een combinatie van menselijke, sociale, economische, financiële, technische en culturele factoren en van de nationale en mondiale conjunctuur, van het nationale beleid, etc.

    Met het oog op de samenhang tussen al deze zaken, hebben wij een vragenlijst opgesteld, die zowel open als beperkt is. Open, in de zin dat het formulier verscheidene zaken aansnijdt die betrekking hebben op meerdere aspecten van een project; beperkt, omdat hij bedoeld is voor een kleine steekproef: de twee bezochte ondernemingen en de Ministeries van Planning en die van Financiën.

    Het vragenformulier was dus gewijd aan de methodologische procedures, van het beheren of van het uitvoeren van de projecten, van het sociaal-economische milieu, van het regeringsbeleid, van de ex-post controle, en aan de betrokkenheid van de regering bij de ontwikkeling van de projecten.

    De antwoorden op de vragenlijst hebben ons veel inzicht gegeven; op praktisch alle niveaus: van de Wereldbank, van de regering en van de ondernemingen.

    De bijdrage en de conclusies van het onderzoek (hoofdstuk 10)

    Het empirisch onderzoekswerk uitgevoerd in het kader van deze studie, werd in twee delen gesplitst. Het eerste deel heeft zich gebogen over de theoretische principes van de economische analysetechnieken van investeringsprojecten. In dit deel hebben we de principes van de twee grote economische benaderingen onderzocht: de schaduwprijsmethode (MPR) en de effectenmethode (ME). Het tweede deel van de studie werd gewijd aan de praktische aspecten van de toepasbaarheid van een van deze benaderingen, namelijk de MPR, door de Wereldbank in twee concrete gevallen. Het gaat om twee door dit orgaan gefinancierde projecten waarvoor bepaalde gegevens beschikbaar waren.

    Door de theoretische principes te confronteren met de werkelijkheid van een land als Zaïre heeft ons onderzoek vastgesteld dat er talrijke voorwaarden bestaan voor de toepassing van de methodologische principes, en dit op alle niveaus,

    Wat wij hier te zeggen hebben richt zich hoofdzakelijk op twee punten. Het eerste punt is een poging achteraf te verklaren wat zich in de twee bestudeerde gevallen echt heeft voorgedaan. Het tweede punt, nauw verwant aan het eerste, is een geheel aan voorstellen tot herstructureren en herformuleren, en wel op de drie niveaus die hieronder worden genoemd.

    Op het niveau van de Wereldbank: De meningsverschillen encontroversen over bepaalde aspecten van de analysemethode van de schaduwprijsmethode (MPR) ten spijt, betwist geen enkele verstandige econoom de geldigheid van de basisprincipes van deze benadering. Wij verwijzen naar de discussie over het probleem van de discontovoet dat aangepast is aan de tijd (Livingstone en Tribe, 1996, pag. 66), als mede naar de moeilijkheid om de omvang te schatten van de effecten die een project zal hebben op het welzijn van personen in de tijd (Mishan, 1993, pag.140); tenslotte is ook het kwantificeren van alle consequenties van een project een moeilijke zaak. De samenhang van de theoretische principes van de MPR toont aan dat als de nodige onderzoeken correct uitgevoerd worden en als aan de gevraagde toepassingsvoorwaarden wordt voldaan, het mogelijk is om de nagestreefde resultaten te bereiken.

    Dit brengt ons ertoe te beweren dat het merendeel van de problemen bij het ontwerpen van de projecten, (zie tabel 10.1), zijn toe te schrijven aan de experts van de Wereldbank die, zoals men in deze studie heeft gezien, de studies en schattingen van kosten en baten niet voldoende uitgediept hebben.

    MacMillan (1991, pag. 75-76), verklaart echter dat de Wereldbank algemeen .. zelf heeft ingezien dat in het merendeel van de gevallen, de "ontwerpproblemen" de belangrijkste oorzaak zijn van het onvoldoende presteren en het mislukken van projecten. We hebben vijf typen problemen geïnventariseerd; voorstellen tot aanpak van deze problemen zijn vermeld in tabel 10.1.

    Om elke betrokken partij in staat te stellen de obstakels te herkennen die een goed verloop van een project in de weg staan, alsook het herkennen van de behaalde vooruitgang door middel van bepaalde indicatoren en de verantwoordelijkheden vast te stellen op elk niveau, stelt deze studie voor dat de Wereldbank de zogenaamde "integrale aanpak van projectbeheer", wel bekend onder de benaming van "logical framework" introduceert. Dit instrument, ontwikkeld door de Europese Unie (1993), wordt toegepast door de Afrikaanse Ontwikkelingsbank (BAD). Akroyd (1995, pag. 210), bevestigt de doelmatigheid daarvan in concrete toepassingen in Zimbabwe, Malawi en Egypte.

    Op het niveau van de ondernemingen, is de voornaamste bijdrage van deze studie zonder enige twijfel de inhoud van de enquête. Het formulier heeft bestaan uit verscheidene thema's die betrekking hebben op de verschillende aspecten van het project; op het sociale economische en financiële milieu waarin de uitvoering van het project gesitueerd is; op de relaties tussen de bedrijven en de regering; op de strategische acties van de ondernemingen ten tijde van crises; op de relaties tussen de ondernemingen en de Wereldbank, kortom op alles wat direct of indirect zou kunnen bijdragen tot het succes of tot het fiasco van een project. Het formulier heeft tenslotte de bedrijven in staat gesteld om concrete voorstellen te doen i) aan de regering en ii) aan de Wereldbank met wie zij samenwerkten om het project tot een goed einde te brengen.

    Hoewel zij tot nu toe beperkt is gebleven tot twee ondernemingen, zou de vragenlijst als referentie kunnen dienen voor andere bedrijven bij de uitwerking, de uitvoering en de follow-up van een project.

    Op het niveau van de regering, - door de ondernemingen aangewezen als bron van hun ellende - vragen wij een positieve reactie op de navolgende observatie: projecten functioneren goed als het beleid en de instellingen goed zijn (Wereldbank, 1999, pag.15). De voorstellen die wij aanprijzen, hebben in de bestudeerde gevallen betrekking op de als bottleneck blootgelegde problemen.

    Het gaat met name over een gebrek aan betrokkenheid van regeringszijde, over de tekortkomingen van het macro-economische beleid, over onvoldoende fondsen, en over de ondoeltreffendheid van het overheidsapparaat.

    Laten wij tot slot van deze studie zeggen, dat de toepassing van de door ons op ieder niveau gedane eenvoudige en bescheiden voorstellen, niet automatisch een betere gang van zaken oplevert. Integendeel, onze voorstellen botsen met de slechte en vastgeroeste praktijken, praktijken die door geen enkel uitwerking- en uitvoeringsschema van projecten, hoe geavanceerd ook, automatisch kunnen worden gecorrigeerd. Ons scenario van de voorstellen - en wij zijn ons daar bewust van - botst met de belangen van de machthebbers van de natie - gedurende de studie periode. Alleen door mentaliteit - en gedragsveranderingen in alle geledingen van de maatschappij kan de gewenste situatie bereikt worden.

    Nadere informatie

    Bent u geïnteresseerd in het gehele proefschrift dan kunt u contact opnemen met Raphael Musampa , Voerakker 12, 6713 SN EDE, +31 318 416257 of met de leerstoelgroep Agrarische Economie en Plattelandsbeleid, Wageningen Universiteit, Hollandseweg 1, Wageningen, +31 317 484049.

    Contribution a l'etude ethnobotanique des Wagenia de Kisangani, Zaire
    Bokdam, J. ; Droogers, A.F. - \ 1975
    Wageningen : Veenman (Mededelingen Landbouwhogeschool Wageningen 75-19) - 74
    bedektzadigen - oorsprong - distributie - vestiging - etnografie - antropologie - wilde planten - plantkunde - volkscultuur - democratische republiek kongo - nieuwe cultuurgewassen - gebruiken - volkenkunde - economische botanie - angiosperms - origin - distribution - establishment - ethnography - anthropology - wild plants - botany - folk culture - congo democratic republic - new crops - customs - ethnology - economic botany
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