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University of the Western Cape University of the Western Cape Institute for Social Development Faculty of Economic and Management Sciences The Political Economy of Social Protection in Sub-Saharan Africa: Tracing the Agenda in Zambia and Zimbabwe A thesis submitted by Samuel Kapingidza at the Institute for Social Development, Faculty of Economic and Management Sciences, University of the Western Cape, in fulfilment of the requirements for the award of a PhD in Development Studies. Supervised by Professor Stephen Devereux November 2018 http://etd.uwc.ac.za/ Acknowledgements I am indebted to many people who contributed to the success of this journey. I am grateful to my supervisor, Stephen Devereux, for his expert guidance, wise counsel and mentorship from the beginning to the end of this study. His insightful comments and suggestions on the many draft chapters throughout the review process significantly refined this thesis. This study involved immense primary data collection, an exercise that would not be possible without the cooperation of the various organisations and individuals alike. I am therefore obliged to government officials from various ministries, officials from various external agencies (bilaterals, multilaterals and IFIs), civil society, INGOs and beneficiary communities in both Zambia and Zimbabwe. It was insightful to listen to them narrating how they have interacted in the social protection policy space towards a common goal of poverty reduction. Indeed, their rich narratives are at the core of this study. My sincere gratitude also goes to the German Academic Exchange Service (DAAD) for funding this study. I thank my peers and staff at the Institute for Social Development (ISD) for all the psychosocial and administrative support. Last but not least, I am indebted to my family for enduring my absence for a long time and for the unwavering support for the entire period of this study. To my sons, Samuelson and Selby, this modest achievement is meant to inspire you in your future aspirations. To my parents, your consistent emphasis on the importance of education challenged and inspired me to get this far. i http://etd.uwc.ac.za/ Table of Contents Acknowledgements ......................................................................................................................... i List of Acronyms ............................................................................................................................. vi Abstract ............................................................................................................................................ xii Chapter 1 Introduction and Research Methodology ........................................................... 1 1.0 Introduction .......................................................................................................................................... 1 1.1 Background to the study .................................................................................................................. 1 1.2 The research problem and central argument........................................................................... 2 1.3 Research Objectives and Questions.............................................................................................. 3 1.4 Research Methodology ...................................................................................................................... 4 1.4.1 Document and Empirical Studies Review .......................................................................................... 6 1.4.2 Primary Data Collection ............................................................................................................................ 7 1.4.3 Ethical Considerations ............................................................................................................................ 12 1.4.4 Data Analysis ............................................................................................................................................... 13 1.4.5 Limitations of the Study ......................................................................................................................... 15 1.4.6 Case Studies and Time Frame of the Study .................................................................................... 16 1.5 Structure of the thesis ..................................................................................................................... 16 1.6 Conclusion ........................................................................................................................................... 17 Chapter 2 Conceptualising Power and Politics ................................................................... 18 2.0 Introduction ........................................................................................................................................ 18 2.1 Conceptualising the Politics of Externally Driven Social Protection .............................. 18 2.1.1 Hickey’s framework: Linking politics and social protection ................................................... 20 2.1.2 The Power Cube: Understanding the power-play in social protection .............................. 24 2.1.3 Synthesised framework: The interplay of power and politics in social protection ...... 27 2.2 Conclusion ........................................................................................................................................... 32 Chapter 3 The Primacy of Politics ........................................................................................... 34 3.0 Introduction ........................................................................................................................................ 34 3.1 The Genesis of the Social Protection Discourse ..................................................................... 34 3.2 Policy Diffusion and Policy Transfer .......................................................................................... 39 3.3 Transnational networks, non-state actors and policy transnationalism ..................... 45 3.4 Policy Process and the Primacy of Politics .............................................................................. 47 3.4.1. Politics of the policy process ............................................................................................................... 48 3.4.2 Social protection for the electorate ................................................................................................... 55 3.5 The Politics of financing social protection ............................................................................... 56 3.6 International Organisations and Policy Positions on Social Protection ....................... 63 3.6.1 World Bank: social protection and labour ...................................................................................... 63 3.6.2 DFID: building evidence for social cash transfers ....................................................................... 65 3.6.3 The International Labour Organisation (ILO): social protection floors ............................. 68 3.6.4 UNICEF: child sensitive social protection ....................................................................................... 69 3.6.5 The German Agency for Technical Cooperation (GTZ) ............................................................. 70 3.7 Conclusion ........................................................................................................................................... 71 Chapter 4 Social Protection Policy in Zambia ..................................................................... 73 4.0 Introduction ........................................................................................................................................ 73 4.1 Poverty and Vulnerability in Zambia ......................................................................................... 73 ii http://etd.uwc.ac.za/ 4.2 Historical and political context of social welfare in Zambia ............................................. 76 4.2.1 From ‘developmental state’ to neoliberalism ............................................................................... 76 4.2.2 Rise of the Patriotic Front: Social protection as pro-poor ideology .................................... 80 4.3 National Development Plans (NDPs): Putting Social Protection on the National Agenda .......................................................................................................................................................... 82 4.4 The Social Cash Transfer (SCT) programme in Zambia ...................................................... 85 4.5 Key persons in the social protection agenda in Zambia ..................................................... 87 4.5.1 Michael Sata ................................................................................................................................................ 88 4.5.2 Charlotte Harland-Scott ......................................................................................................................... 90 4.6 Evolution of Social Protection Policy in Zambia .................................................................... 91 4.6.1 The Draft Social Protection Strategy: Social Protection-Sector Advisory Group (SP- SAG) and External Agency Policy Agendas ................................................................................................ 92 4.6.2 The Livingstone Call for Action ..........................................................................................................
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