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4484 Amonya.Pdf R Amonya, Fred David (2018) Excitation of a dynamical system: public‐private partnerships in the non‐ergodic Uganda. PhD thesis. SOAS University of London. http://eprints.soas.ac.uk/26172 Copyright © and Moral Rights for this thesis are retained by the author and/or other copyright owners. A copy can be downloaded for personal non‐commercial research or study, without prior permission or charge. This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder/s. The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holders. When referring to this thesis, full bibliographic details including the author, title, awarding institution and date of the thesis must be given e.g. AUTHOR (year of submission) "Full thesis title", name of the School or Department, PhD Thesis, pagination. EXCITATION OF A DYNAMICAL SYSTEM Public-Private Partnerships in the Non-Ergodic Uganda FRED DAVID AMONYA Thesis Submitted for the Degree of PhD in Public Policy 2017 University of London Declaration for PhD thesis I have read and understood regulation 17.9 of the Regulations for students of the SOAS, University of London concerning plagiarism. I undertake that all the material presented for examination is my own work and has not been written for me, in whole or in part, by any other person. I also undertake that any quotation or paraphrase from the published or unpublished work of another person has been duly acknowledged in the work which I present for examination. Signed: Date: 30 October 2017 Abstract This thesis conceptualises policy space as a dynamical system. It identifies stresses within the system, and synthesises structures that reduce the stresses. To broaden, the thesis is a case study of PPP policy in Uganda. The policy space of Uganda is defined as nodes by Common Man’s Charter (CMC) and Structural Adjustment Programme (SAP). Drawing in the constraint of the institution and the excitation of global effects, the policy space is shown to be dynamical system and non-ergodic using calculus. This single conceptual framework dictates the adoption of ‘case study’ – an ontology of complexity, a methodology of variety, and an epistemology of explication. The dynamical and non-ergodic character of the policy space is illustrated in the explication of two PPP projects – Bujagali Hydropower Project (BHP) and Rift Valley Rail concession (RVR). These projects show price stress reflected in the enterprise segment of the population (industrial and agro processing). To sustain PPP in the country, the structure appeals to remoulding, and the thesis identifies three fronts. These are the process of PPP, its corporate structure, and the frame of knowledge refinement. Using the analytic-synthetic approach, the thesis provides improvements on the three fronts. On the first, Capability Search replaces Competitive Dialogue as the trunk process of engaging the state and private sector. On the second, a prototype Sub-National PPP (SN-PPP), which includes public equity, is presented. The third front examines the interdisciplinarity of PPP, and argues for Joint Research Model in place of the traditional Donor Dependency Model. Therefore, the thesis illuminates a composite policy object (PPP) striking a dynamical and non-ergodic space (Uganda). Incorporating the three syntheses will make PPP more robust in the complex policy space of the country. Excitation of a Dynamical System 3 Acknowledgement I am grateful to the faculty and library staff of Imperial College and SOAS. Not less, I appreciate the assistance offered by Library Services of the Parliament of Uganda, the Parliamentary Archives of the UK and the British Library. In addition, my appreciation of the need for case study approach (particularly in Africa) was developed during my visits to universities across the continent in 2009/10 under Transport Knowledge Partnerships of the Department for International Development (DFID). I am grateful to the universities and the DFID programme. However, the questions of this research emerged during my MSc in transport engineering and policy at the University of Birmingham (2003/4), the subsequent work at the UK science incubation centre attached to the University of Nottingham, and my enquiry in structured finance at Harvard University 2007. Further, my work with the Team of PPP Specialists of UNECE and the privilege of chairing the committee of Transport Systems Economics of the World Road Association was motivating. The salience of dynamical system in many of the 122 member countries of WRA has given impetus to this work. I have benefitted from similar stimulus analysing PPP policy across Africa for development finance organisations (particularly AfDB and the World Bank). This thesis appreciates the organisations identified above but does not in any way impute responsibility for the arguments herein to those organisations. The responsibility falls on me alone. To all the colleagues, the reality is clearer, albeit a dot on the vista of knowledge. However, the conceptualisation of policy space as a dynamical system renders the dot bright. Style and Orthography: Many instances of this thesis focus on product not agency. In those situations, the thesis uses passive voice and even hidden verbs. While those two may cause discomfort to many readers, they serve a functional role that also reflects the interdisciplinary nature of the thesis. On orthography, the alternative spellings (US-UK variants) will be discomforting to certain readers – but the structure of the thesis should alleviate such discomforts. The thesis presents three platforms of access – text, mathematical expressions, and block diagrams. In addition, the thesis presents chapter (and section) summaries that will relieve discomfort with the formalisms of mathematics. Excitation of a Dynamical System 4 Content Chapter 1.0 Research Motivation and Design 17 1.1 Overview ................................................................................................... 17 1.2 Research Questions and Motivation ...................................................... 20 1.3 The Conceptual Framework: Dynamical and Non-Ergodic Policy Spaces ........................................................................................................ 21 1.3.1 The Core Argument .................................................................................... 21 1.3.2 Non-Ergodicity on the Disciplinary Raft: A Bedding Review of Literature .. 30 1.4 Layout of the Thesis: The Orthodox Perspective ................................. 34 1.5 Strategy and Methodology ...................................................................... 36 1.5.1 Case Study and Dynamical Systems ......................................................... 36 1.5.2 Taxonomy of Case Study ........................................................................... 37 1.5.3 The Dilemma of Time and Space: Case Study in Doctoral Research ........ 38 1.5.4 Archival Data and Policy Science ............................................................... 40 1.6 Chapter Summary: Cohesion, Integration and Epistemology ............. 42 Chapter 2.0 Anchor Literature: Policy and Non-Ergodicity 43 2.1 Fundamental Axioms ............................................................................... 43 2.2 Literature Review – Competing Strategies ............................................ 45 2.3 Emergence of Policy Science: The Core Truss ..................................... 45 2.4 Existing Frames of Policy ........................................................................ 47 2.4.1 Taxonomy of Policy Frames ....................................................................... 47 2.4.2 Bounded Frames ........................................................................................ 48 2.4.3 Iterative Diffused Frame ............................................................................. 52 2.4.4 Reflexive Look at Social Choice and Public Choice Theories .................... 55 2.5 Chapter Summary .................................................................................... 63 Chapter 3.0 Origin and Diffusion of PPP 65 Excitation of a Dynamical System 5 3.1 Motivation of the Section ......................................................................... 65 3.2 Taxonomy of Literature on PPP .............................................................. 65 3.2.1 Organising Framework ............................................................................... 65 3.2.2 The Basis of the State ................................................................................ 65 3.2.3 The Basis of the Market ............................................................................. 67 3.2.4 The Basis of Society ................................................................................... 72 3.2.5 Focus on Uganda ....................................................................................... 74 3.2.6 Summary: The Special Place of PPP as a Dynamical System .................. 75 3.3 Origin of PPP ............................................................................................ 75 3.3.1 Exploratory Framework .............................................................................. 75 3.3.2 New Labour: 1997 Manifesto ..................................................................... 78 3.3.3 Private Finance Initiative (PFI) 1992 .........................................................
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