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A University of Sussex PhD thesis Available online via Sussex Research Online: http://sro.sussex.ac.uk/ This thesis is protected by copyright which belongs to the author. This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the Author The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the Author When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given Please visit Sussex Research Online for more information and further details Weak States, Strong Elites and Acquiescent Donors: State-building and aid relationships in the Democratic Republic of Congo 2006-2016 Camilla Lindström A dissertation submitted in fulfilment of the requirements for the degree of Doctor of Philosophy in Development Studies of the University of Sussex Institute of Development Studies University of Sussex December 2019 iv UNIVERSITY OF SUSSEX CAMILLA LINDSTROM DPHIL DEVELOPMENT STUDIES WEAK STATES, STRONG ELITES AND ACQUIESCENT DONORS: STATE-BUILDING AND AID RELATIONSHIPS IN THE DEMOCRATIC REPUBLIC OF CONGO 2006-2016 Summary This thesis contributes to theories about aid negotiations by researching how development assistance for state-building has been negotiated in a fragile state, the Democratic Republic of Congo (DRC). Using qualitative methods, mainly in the form of semi-structured interviews, I explore how, in the context of the various structural factors that surround the negotiations, the different actors have tried to influence these factors to their advantage and what strategies the donors and the government have used to reach their objectives. In contrast to countries such as Rwanda and Uganda, I found that the Congolese government hasn’t tried to use image management to ‘sell’ itself to the donors. Instead, its strategy has been to increase its negotiation capital by taking an aggressive approach in discourse with the donors. Donors have struggled to have a constructive dialogue with the government and have been reluctant, due to international norms of ownership and previous experiences, to use conditionality as a negotiating strategy. To see how the strategies employed by donors and the government varied depending on the sector and level (central – district) at which engagement was taking place, I reviewed two large donor-funded programmes; one in the health sector, the other in the justice sector. I found that the strategies used in the two sectors did indeed vary quite substantially, with the consequence that the donors had more influence in the health than in the justice sector. To add to the complexity, Congo is what researchers have described as an archetype for a hybrid state, where the state is sharing its authority and legitimacy with a large number of non-state actors, such as customary chiefs and faith- based organisations. In this thesis I explored what this meant for donor efforts to build state-capacity and how it affects aid negotiations. I conclude with the recommendation that donors would benefit from working more closely with non- state actors in their efforts to build state-capacity. v Acknowledgements I am grateful and indebted to all of you who made this research journey possible. The past five years has been a unique experience of deep learning and self- reflection. First and foremost, I wish to thank Anu Joshi and Jeremy Allouche for all of their support and guidance throughout my doctoral training. I have benefited immensely from their knowledge, patience and encouragement. I should also like to thank Naomi Hossain who was my supervisor together with Anu during my first year of study. I wish to thank Stiftelsen Tornspiran for the financial support I received to pursue doctoral studies. Without this generous support the extended field visits would not have been possible. Thanks also to Iris Jonzén-Sandblom and Greta Jonzén’s Stiftelsen for the valuable contribution to my first field visit. My fellow DPhils have made this journey rewarding through their companionship, friendship, vigorous discussions and helpful feedback to draft chapters. A special thanks to Sung Kyu Kim and Marika Djolai who provided valuable support, especially during the last year of the thesis, and to Mujtaba Piracha for encouraging me throughout my first year. In Congo I am grateful to a number of people. Firstly, to all of those that gave freely of their time to meet with me and have open and frank discussions. I would like to extend a special thanks to Stephan Guittet for letting me stay in his apartment for several months and for the interesting discussions we had. Thank you also Ann Melin, Jeanette Klangenfeldt, Katarina Bergqvist and Henrike Hilgenfeld for temporarily hosting – and most of all for your support and company. I would particularly also like to thank Michel Kassa for sharing all his valuable insights into Congo politics over numerous dinners. Thanks also to Phyllis Cox for keeping me company during the last round of fieldwork and to commenting on drafts throughout the process. Thanks a lot also to Delphin Mbaya for numerous interesting discussions at our weekly round-table discussions at café Eric Kayser, and for accompanying me throughout the research, including having joined me to Kananga as research assistant. A special thank you also to Helena Bådagård for your unfailing support and to Florence Nkiela Nguala for calling me every month wondering if I have finished yet. Thanks also to Anna von Wachenfelt and Sara Gustafsson for having tried to keep me sane over the last few months when I completed the PhD. I am forever grateful to my father and my grandparents who have encouraged me to have an inquisitive mind and for supporting me to walk my own ways in life. Thank you also to my mother who has greatly encouraged me to finish the dissertation. Thanks also to my sister, who has kept encouraging me through the PhD journey. Lastly thanks a million to Paul Hailston, who has supported me throughout this journey. Without you this thesis would not have been possible. vi Map 1: Democratic Republic of Congo with provinces prior to July 2015 (source: ezilon.com) vii Map 2: Democratic Republic of Congo with current provinces (source comersis.com). viii Table of Contents Acknowledgements ............................................. Error! Bookmark not defined. Abbreviations .................................................................................................... xii Chapter 1: Introduction ....................................................................................... 1 1.1. Introducing the research topic .................................................................. 1 1.2. Contextualizing state-building and aid relationships ................................. 3 1.3. Research aim, purpose and rationale ..................................................... 10 1.4. Some considerations on terminology ...................................................... 14 1.5. Research design and methodology ........................................................ 16 1.6. Caveat of the study ................................................................................. 26 1.7. Structure of the thesis ............................................................................. 27 Chapter 2: Conceptual Framework ................................................................... 29 2.1. Introduction ............................................................................................. 29 2.2. The context of engagement and structural factors .................................. 30 2.3. Negotiation strategies ............................................................................. 39 2.4. Negotiations within different sectors and different levels of engagement 46 2.5. Real governance, predation and state building ....................................... 49 2.6. Towards a conceptual framework ........................................................... 53 2.7. Conclusion .............................................................................................. 56 Chapter 3: State Failure and Aid in Congo ....................................................... 57 3.1. Introduction ............................................................................................. 57 3.2. The turbulent history of Congo ............................................................... 58 3.3. Political culture, power and the functioning of the state administration ... 74 3.4. The current state of Congo – Heading towards a collapse? ................... 79 3.5. Contemporary development assistance to Congo ................................. 81 3.6. The functioning of the health and justice sectors .................................... 88 ix 3.7. Conclusion ............................................................................................ 100 Chapter 4. The Contemporary Engagement Between Donors and the Government – a Complicated Relationship ..................................................... 101 4.1. Introduction ........................................................................................... 101 4.2. Perceptions of self and others .............................................................. 101 4.3. Creating and using bargaining spaces .................................................. 113 4.4. Who needs whom? ............................................................................... 125 4.5. Donors