The Case of Social Protection in Zambia
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Investigating the politics of global policy transfer: the case of social protection in Zambia A thesis submitted to the University of Manchester for the degree of Doctor of Philosophy in the Faculty of Humanities 2019 Kate Pruce Global Development Institute School of Environment, Education and Development Table of Contents List of Tables ................................................................................................................ 6 List of Figures ............................................................................................................... 6 List of Diagrams ............................................................................................................ 6 List of Acronyms ........................................................................................................... 7 Abstract ....................................................................................................................... 9 Declaration ................................................................................................................. 10 Copyright ................................................................................................................... 10 Acknowledgements .................................................................................................... 11 1. Introduction ........................................................................................................ 12 1.1. The ‘new wave’ of social protection in sub-Saharan Africa ....................................... 12 1.2. Perspectives on social protection ............................................................................. 14 1.2.1. Social protection and theories of welfare state development .................................. 14 1.2.2. Global policy transfer ................................................................................................ 15 1.2.3. The politics of social protection ................................................................................ 17 1.3. Research aims and questions ................................................................................... 18 1.4. Towards a conceptual framework for analysing the interaction of global policy ideas with the politics of domestic policy processes ...................................................................... 19 1.5. The case of Zambia ................................................................................................. 20 1.6. Key findings ............................................................................................................ 22 1.7. Thesis structure ....................................................................................................... 22 2. Formulating, promoting and implementing global policy ideas: the politics of policy transfer ...................................................................................................................... 25 2.1. Introduction ............................................................................................................ 25 2.2. Cycles or streams? Policy processes at global and national levels ............................. 26 2.2.1. National policy .......................................................................................................... 26 2.2.2. Policy-making in the ‘global agora’ .......................................................................... 31 2.2.3. The emergence of global social policy ...................................................................... 32 2.3. Towards translation: the formulation and movement of global policy ideas ............. 35 2.3.1. Global policy development ....................................................................................... 35 2.3.2. Global policy transfer ................................................................................................ 36 2.3.3. Implementation of global policies ............................................................................ 38 2.4. Comparing rationalist and constructivist approaches to policy transfer .................... 39 2.4.1. Rational-actor approaches and bounded rationality ............................................... 40 2.4.2. Constructivism and critical policy studies ................................................................. 41 2.4.3. Ideas and interests .................................................................................................... 42 2.5. Transnationalising and localising the multiple streams approach ............................. 45 2.5.1. Strategies of persuasion: the role of transnational actors in policy processes ......... 45 2.5.2. Theorising the political stream ................................................................................. 48 2.6. The rise of social protection as a global social policy ................................................ 51 2 2.6.1. Welfare-state building and social protection in the global South ............................ 52 2.6.2. From CCTs to ‘no-strings-attached’: design and transfer of global policy models ... 55 2.6.3. Adoption and implementation of cash transfer model ............................................. 59 2.7. Conclusion ............................................................................................................... 60 3. A conceptual framework for analysing the interaction of global policy ideas with the politics of domestic policy processes ..................................................................... 62 3.1. An actor-oriented approach: power and agency ....................................................... 63 3.1.1. The ‘expert’ ............................................................................................................... 63 3.1.2. Governmentality within development ...................................................................... 66 3.1.3. Interests and ideas of domestic actors...................................................................... 67 3.2. How global policy ideas are formed and how they travel .......................................... 69 3.2.1. Global policy formulation in the ‘global agora’ ........................................................ 69 3.2.2. How do global policy ideas travel?............................................................................ 70 3.3. Multiple streams and the ‘policy transfer window’ ................................................... 71 3.3.1. Alignment with the political stream: elite ideas and interests ................................. 72 3.3.2. Policy transfer window .............................................................................................. 73 3.3.3. Alignment with local ideas and interests .................................................................. 74 3.4. Conceptual framework ............................................................................................ 74 3.5. Research design and methodology ........................................................................... 77 3.5.1. Perspective and approach ......................................................................................... 77 3.5.2. Methods and selection decisions .............................................................................. 77 3.5.3. Data collection and analysis ..................................................................................... 80 3.5.4. Reflections and ethical considerations ...................................................................... 84 3.6. Conclusion ............................................................................................................... 85 4. Politics, ideas and development in Zambia ........................................................... 86 4.1. Introduction ............................................................................................................ 86 4.2. Colonial rule and the independence movement (1890-1964) ..................................... 87 4.2.1. The nature of colonialism in Northern Rhodesia ....................................................... 88 4.2.2. The independence movement and post-colonial state ............................................. 90 4.3. The First and Second Republics (1964-1991) ............................................................. 92 4.3.1. ‘One Zambia, One Nation’: attempting national unity in a fragmented context ..... 92 4.3.2. The one-party state: losing legitimacy ...................................................................... 95 4.3.3. Economic crisis and the onset of structural adjustment ........................................... 96 4.4. The Third Republic and beyond ................................................................................ 98 4.4.1. The coalition against UNIP ........................................................................................ 99 4.4.2. The rise of neoliberalism under MMD ..................................................................... 100 4.4.3. Zambia’s poverty crisis ............................................................................................ 104 4.4.4. The populist response ............................................................................................. 110 4.5. Conclusion ............................................................................................................. 113 5. Social policy ideas in Zambia: putting the social protection agenda in context .... 115 5.1. Introduction .........................................................................................................