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Dissertation Aych 2016-09-15 Towards a History of Non Governmental Organisations (NGOs) in Ethiopia since the 1960s by Aychegrew Hadera Hailu A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy to the Bayreuth International Graduate School of African Studies (BIGSAS) at Bayreuth University Supervisor: Prof. Dr. Achim von Oppen September 2016 Acknowledgments This dissertation has come to fruition as a result of the support and encouragement of many individuals and organisations. My first profound gratitude goes to my supervisor, Prof. Dr. Achim von Oppen for his excellent supervision. He provided me with his unstinted academic support since my arrival in Bayreuth in the fall of 2011. He closely supervised the doctoral work and gave me thoughtful comments and suggestions in the process to improve the dissertation. I also thank members of the mentoring group, Prof. Dr. Bahru Zewde from Addis Ababa University and Prof. Dr. Georg Klute from Bayreuth University for their guidance and support. I thank both of them for reading drafts of the dissertation, giving me useful comments to improve the dissertation and for reviewing the dissertation and writing report to my doctoral dissertation Examination Commission. I also would like to thank some organisations that supported me financially to accomplish this work. I would like to acknowledge the financial support that I received from the Bayreuth International Graduate School of African Studies (BIGSAS) at Bayreuth University. I also thank the Bayreuth Academy of Advanced African Studies for providing me a short term fellowship. I thank both institutions as well as their entire staff for their support and encouragement. Dr. Annalisa Urbano, a post doctoral fellow of the Bayreuth Academy of Advanced African Studies deserves my special thanks and appreciation for reading and commenting on drafts of the dissertation. Although it is difficult to list their names here, a number of people and institutions assisted me to finalise this dissertation. I extend my heart-felt thanks to all of my informants. I also would like to thank Mekelle University for granting me study leave. I extend my special thanks to the entire membership of the Department of History and Cultural Studies of Mekelle University. I also extend my thanks to my family. I would like to thank my mother, Cheklit Hailu, for her moral support. My wife, Addis Adenie, and my daughter, Ruth Aychegrew, deserve my thanks. i Table of Contents ACKNOWLEDGMENTS I TABLE OF CONTENTS II LIST OF TABLES VI KEY TO TRANSLITERATION VII GLOSSARY OF AMHARIC TERMS IX ABSTRACT X CHAPTER ONE BACKGROUND TO THE STUDY 1 1.1. Problem Statement 1 1.2. Research Methodology 6 1.2.1. NGOs as a methodological challenge 6 1.2.2. Sample size and selection criteria 8 1.2.3. Sources 12 1.2.4. Data collection 13 1.2.4.1. Archival research and its challenges 13 1.2.4.2. Interviews 15 1.2.4.3. Focus Group Discussions 16 1.2.4.4. Informal Talks 16 1.2.4.5. Forms of Observation 17 1.2.5. Data Analysis 18 1.3. Theoretical Perspective 18 1.4. The social, economic and political context of Ethiopia 20 1.4.1. Socio-economic context 20 1.4.2. Political context 22 1.5. Non Governmental Organisations (NGOs): An Overview 23 1.5.1. Defining NGO 23 1.5.2. The NGO Phenomenon 25 1.5.3. NGOs in Africa 27 ii 1.6. Conclusions 28 CHAPTER TWO ACTORS AND THEIR ASPIRATIONS 30 2.1. Introduction 30 2.2. State actors 30 2.3. Non-state actors 34 2.3.1. Foreign donors 34 2.3.2. NGOs in Ethiopia 35 2.3.2.1 Origins of the selected NGOs in Ethiopia 39 2.4. NGO visions of development and state 43 2.4.1. Introduction 43 2.4.2. The roots of NGO visions and their opportunity in Ethiopia 44 2.4.3. A New Order, a Quest for New Visions and State Action 61 2.4.3.1. “Indigenisation” of NGOs 61 2.4.3.2. NGOs between opportunity and challeng in relative liberalism 64 2.5. Conclusions 73 CHAPTER THREE SPACE OF ACTION 74 3.1. Introduction 74 3.2. Policies of governments towards NGOs in Ethiopia 75 3.2.1. Religious hostility of governments and NGOs 75 3.2.2. Ethnicity, governments and NGOs 78 3.2.3. Security and Accountability of NGOs in Ethiopia 80 3.3. NGOs’ maneuvering and its effects 84 3.4. Fields of action and NGOs 99 3.4.1. NGOs’ fields of action and the response of governments: 1960s–1991 99 3.4.2. NGOs’ hope, apprehension, dynamism and frustration 102 3.5. Conclusions 113 CHAPTER FOUR EXPANSION AND CONTRACTION 115 4.1. Introduction 115 4.2. Resource and resource mobilisation 115 4.2.1. Voluntarism and NGOs’ resource mobilisation in Ethiopia 116 4.2.2. NGOs and trends in foreign-mobilised resources 120 4.3. Territorialisation and NGOs 131 4.4. NGOs’ territorial contraction: shrinkage and NGOs’ response 137 iii 4.5. Restoration and expansion towards marginal areas 140 4. 6. NGOs’ programmes: sectoral diversity and volume 143 4. 6. 1. Introduction 143 4. 6. 2. Relief and rehabilitation programmes 144 4.6.2.1. Relief programmes 144 4.6.2.2. The rehabilitation programme 149 4.6.3. The Rise of multi-sector development programmes 153 4.6.3. 1. Diminishing of relief situation and its impact on the programme of NGOs 153 4. 6. 3. 2. The rise of multi-sector development programmes 155 4. 6. 3. 2.1. Type and scale of NGO programmes in the post 1983–1984 famine period 155 4. 6 .3 .2. 2. Regime change and NGOs’ programmes 167 4.7. CONCLUSIONS 171 CHAPTER FIVE STRUCTURING AND RESTRUCTURING 174 5.1. Introduction 174 5.2. Structures, centralisation and decentralisation of decision-making authority 175 5.2.1. Structures of decision-making authority 175 5.2.2. Centralisation of decision-making authority 178 5. 2.3. Decentralisation of decision-making power and authority 187 5.2.3.1. The government’s regional policy and NGO decentralisation 194 5.2.3.2. Participatory development and NGOs decentralisation 197 5.3. Challenges to decentralised management 203 5.4. Conclusion 204 CHAPTER SIX THE IMPACT OF NGOS IN ETHIOPIA 206 6.1. Introduction 206 6.2. Participation 208 6.3. The State, the society and the economy in the 20th century 209 6.3.1. The imperial period: Until 1974 209 6.3.2. The military period: 1974–1991 210 6.3.3. The Politics of Famine 213 6.4. NGOs and relief operations 215 6.4.1. The 1970s famine and the NGOs’ response 215 6.4.1.1. Desperation and advocacy 215 6.4.2. The 1980s famine and NGO relief operations in Ethiopia 222 6.4.2.1. Donor indifference, NGO advocacy and global sympathy 222 iv 6.4.2.2. War, the relief operation and NGOs 224 6.4.3. Free gifts and disempowerment 230 6.5. NGOs and the challenges of sustainable development 234 6.5.1. Introduction 234 6.5.2. Environmental conservation and agriculture 235 6.5.2.1. Land, participation and results 235 6.5.2.2. NGOs, from optimism to pessimism 242 6.5.2.3. The quest for a new approach and its failure 249 6.5.3. NGOs and water 256 6.5.4. NGOs and Health 263 6.5.5. NGOs and the sustainability issue 266 6.5.5. NGOs and governance 271 6. 6. Conclusions 277 CHAPTER SEVEN GENERAL CONCLUSIONS 279 7.1. Review of findings 279 7.2. Wider implications of the results 281 BIBLIOGRAPHY 285 LIST OF INFORMANTS 296 DECLARATION 299 v List of Tables TABLE 1 SAMPLING OF RESEARCH SUBJECTS CONSIDERED AND SELECTED 10 TABLE 2 CATEGORY A INFORMANTS (INSIDERS OF THE CONCERNED NGOS) 12 TABLE 3 CATEGORY B INFORMANTS (OUTSIDE THE CONCERNED NGOS) 12 TABLE 4 CASH MOBILISED AND EXPENDED BY CRDA: 1975-1982 160 TABLE 5: CASH, IN ETH $ MOBILISED AND SPENT BY CRDA: 1983–1993 161 TABLE 6: NUMBER OF PROJECT PARTICIPANTS FROM 1970 TO 1974 164 TABLE 7: NUMBER OF PROJECT PARTICIPANTS FROM 1975 TO 1976 164 TABLE 8: DISTRIBUTION OF RURAL RADIO FORUMS FROM 1981 TO 1984 165 TABLE 9: TOTAL CEREAL FOOD AID TO ETHIOPIA: 1972-73-1982-83 (IN 000 TONS) 230 vi Key to Transliteration I. Seven Sounds of the Ethiopian Alphabet are represented as follows: 1st order በ Bä 2nd order ቡ Bu 3rd order ቢ Bi 4th order ባ Ba 5th order ቤ Bé 6th order ብ Be 7th order ቦ Bo II. As to the sixth form in the above list, it must be emphasized that the “I” will be sufficed to the letter if and only if the letter is vocalized or stressed. Otherwise it will not be required at all Example: ምግብ = Migib ቅምጥ = Qimit III. Palatalized Sounds are represented as follows: ሸ = Šä ቸ = Čä ኘ = Ñä ዠ = Zhä ጀ = Jä IV. Gluttalized Sounds are represented as follow: ቀ = Qä ጠ = Ţä ጨ = Ċä ፀ = Şä vii V. Gemination should always be indicated by doubling Example: Käbbädä Täsämma VI. General Examples ጫጩት = Ċaċut በዝባዥ = Bäzbazh ፀዳለ = Şädalä ቁጥር = Qu ţir ጅራፍ = Jiraf እንድርያስ = Indryas ቃኘው = Qaññäw ሽሽት = Šišit viii Glossary of Amharic Terms Addis Zämän new era Ato title equivalent to Mr. Ballabat landlords, local hereditary ruler Berr Ethiopian Currency Däjjazma č commander of the gate. A rank of the nobility next to ras Derg literally committee. It is used in reference to the military government that ruled Ethiopia between 12 September 1974 and 28 may 1991 Wäyzäro title of a married woman ix Abstract Ethiopia is one of the poorest countries in the world.
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