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INFORMATION TO USERS The most advanced technology has been used to photo graph and reproduce this manuscript from the microfilm master. UMI films the original text directly from the copy submitted. Thus, some dissertation copies are in typewriter face, while others may be from a computer printer. In the unlikely event that the author did not send UMI a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyrighted material had to be removed, a note will indicate the deletion. Oversize m aterials (e.g., maps, drawings, charts) are re produced by sectioning the original, beginning at the upper left-hand comer and continuing from left to right in equal sections with small overlaps. Each oversize page is available as one exposure on a standard 35 mm slide or as a 17" x 23" black and white photographic print for an additional charge. Photographs included in the original manuscript have been reproduced xerographically in this copy. 35 mm slides or 6" X 9" black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. A ccessing the World’sUMI Information sin ce 1938 300 North Zeeb Road, Ann Arbor, Ml 48106-1346 USA r Order Number 8800621 The role of the state in capital accumulation and class formation in Zambia Mumeka, Lundondo, Ph.D. The American University, 1987 Copyright ©1987 by Mumeka, Lundondo. All rights reserved. UMI 300 N. Zeeb Rd. Ann Arbor, MI 48106 THE ROLE OF THE STATE IN CAPITAL ACCUMULATION AND CLASS FORMATION IN ZAMBIA by Lundondo Mumeka submitted to the Faculty of the College of Arts and Sciences of The American University in Partial Fulfillment of The Requirements for the Degree of Doctor of Philosophy in Sociology Signatures of Committee: Chairman: ^ , ïean of{the College Date ^ 1987 The American University Washington, D.C. 20016 tenip9\ ff>13 /u'STiIGAÎÎ UNIVERSITY LIBRARY ^ <S) COPYRIGHT BY LUNDONDO MUMEKA 1987 ALL RIGHTS RESERVED THE ROLE OP THE STATE IN CAPITAL ACCUMULATION AND CLASS FORMATION IN ZAMBIA by Lundondo Mumeka ABSTRACT This research on the political economy of Zambia has been based on the hypothesis that in a developing economy such as Zambia, where private capital plays a negligible part in the process of capital formation, the state plays a pivotal role as a vehicle for capital accumulation. This research al-so has been based on the complementary hypothesis that in an economy in which the public sector is dominant, the economic role of the state is central to the process of class formation. Other hypotheses particularly germane to the study have guided our analysis. These are that no economic policy as a mode of state intervention can be properly analyzed without taking into account its class content, and that the state is neither a neutral instrument nor a monolithic weapon in the service of the ruling class. The purpose of this study is threefold; First, to analyze and measure the macroeconomic impact of state inter vention in the economy. This calls for analysis of the operations of the parastatal sector as a whole, and of ii individual enterprises therein with sufficient weight to exert perceptible impact on macroeconomic parameters. Second, to analyze and measure the macroeconomic effects of Zambia's integration into the international division of labor in the face of the inherent centrifugal tendencies of modern capitalism. Third, to determine the class characteristics of the Zambian State and to analyze the impact of its economic intervention on the processes of class formation. The results of the research support the hypothesized centrality of the Zambian State as a vehicle for capital accumulation and class formation. In this connection, no evidence has been found to suggest that the Zambian State is a simple instrument used by the ruling class to protect its economic interest. Instead, the Zambian State is found to have its own dynamics. Its real relationship with local and foreign class forces is largely an empirical question dic tated by historical conjunctures. Finally, the results of the research also stress the importance of exogenous factors in determining the effectiveness of state intervention in the economy as a result of Zambia's integration into the new global economy. Ill W ACKNOWLEDGMENTS To my father-in-law, the late Mr. Peter Harrison Mambwe, who always wished me great success and whose wisdom and vision continue to inspire me, I owe the greatest debt. He was my mentor and closest friend. He is greatly missed. To my father, the late Mumeka Mumeka, I wish to acknowl edge a very special indebtedness for enormous sacrifices he made under harsh political and economic conditions of the colonial rule so that one day I might walk through the gates of institutions of higher learning— a right denied Africans during the colonial rule. The values he held gave me an early awareness of the benefits of hard work and of striving for excellence in every endeavor of social life. For this I shall forever remain indebted to him. Two women whose love and encouragement gave me the strength to embark on a long journey of intellectual pursuit deserve special mention and thanks. They are my late mother, Mrs. Imbuwa Mumeka, and my mother-in-law, the late Mrs. Dalise Mambwe. They will always be missed. I owe a special debt to my wife, Cecilia, and my chil dren Imbuwa, Litia, Mundia, and Mambwe, who made untold sacrifices during my prolonged period of study leading to the completion of this dissertation. Without my family's ability to endure hardships this accomplishment would have remained a IV IF dream unfulfilled. My wife, Cecilia, must especially be thanked for her vital companionship and extraordinary under standing during the trying times of my graduate work. She is a woman of unique qualities and determination. My success is largely attributed to her rare qualities as a wife and mother. To my wife and daughter Imbuwa I am especially indebted for their immense help in typing, proofreading, and providing all-round assistance in completing this disserta tion. I gratefully acknowledge the invaluable support I received from His Excellency Mr. Nalumino Mundia, Zambia's Ambassador to the United States and former member of the Central Committee and Prime Minister of the Republic of Zambia; His Excellency Mr. Bitwell Kuwani, Zambia's Ambassa dor to Belgium and former governor of the Bank of Zambia; and Dr. Robert Nelsen, former executive secretary of the Chris tian Church (Disciples of Christ) of Indianapolis, Indiana. Their support and encouragement gave me hope when none was in sight. To these men of compassion and good judgment I express my deepest gratitude. Many other debts were incurred in the course of working on this dissertation. I would especially like to thank professors J. K. Siegenthaler and S. K. Farsoun, my disser tation directors, for exceptional care and attention they gave me during my years at the American University. They were my lead professors. They taught me the research methods used in this dissertation and introduced me to many of the sources utilized in connection with it. I am especially grateful to Professor Siegenthaler for accepting the respon sibility of committee chairman at short notice to replace Professor Farsoun, who was leaving for sabbatical at the School of African and Asian Studies of the University of London. I would also like to thank Dr. Gary N. Howe and Profes sor John Weeks for serving on my dissertation committee and for their enriching guidance in the early stages of the dissertation work. Thanks are also due to Dr. Robert David and Dr. Ken Kusterer for being so kind as to agree to serve on my disser tation committee at short notice to replace Dr. Howe and Professor Weeks, who left the country for research work in Europe. Finally, my profound gratitude is due to the Christian Church (Disciples of Christ) of Indianapolis, Indiana, and the Hall of Nations Foundation of the American University for generous tuition grants, which enabled me to complete my doctoral studies. The Sociology Department and faculty at the American University assisted me in various ways. For all this I am truly grateful. VI TABLE OF CONTENTS ABSTRACT ................................................... ii ACKNOWLEDGMENTS .......................................... iv LIST OF TABLES ............................................ xi LIST OF ILLUSTRATIONS ..................................... xix Chapter I. INTRODUCTION AND STATEMENT OF THE PROBLEM . 1 Significance of the Study ..................... 4 H y p o t h e s e s ................................ 11 Hypothesis 1 ................................ 12 Hypothesis 2 ................................ 12 Hypothesis 3 ................................ 12 Hypothesis 4 ................................ 13 Hypothesis 5 ................................ 13 Hypothesis 6 ................................ 13 Hypothesis 7 ....................... 14 Structure of the S t u d y ....................... 14 II. THEORETICAL PERSPECTIVE ......................... 20 Introduction ................................... 20 Marxist Theories of the S t at e ................ 22 The Postcolonial S t a t e ........... 31 The Debate over State Autonomy and the Postcolonial State ..................... 38 Dependency Theory ............ 48 C o n c l u s i o n ................................... - . 53 III. RESEARCH METHODOLOGY ............................ 58 Introduction ................................... 58 Definition