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Actors, Ideas and Rules in New Zealand Official Development Assistance Policy Change

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Actors, Ideas and Rules in New Zealand Official Development Assistance Policy Change Actors, Ideas and Rules in New Zealand Official Development Assistance Policy Change Joanna Spratt August 2017 A thesis submitted for the degree of Doctor of Philosophy of The Australian National University © Copyright by Joanna Spratt 2017 All Rights Reserved 1 2 Candidate’s Declaration This thesis is my own original work, except where cited. Joanna Spratt Word Count: 89,109 3 4 Acknowledgements Like all doctorate theses, this one would not have been possible without the support and encouragement of others. My husband, Terence Wood, has been my greatest champion, steadfastedly encouraging me and providing a sounding board for testing out various arguments. Our mutual fascination with international aid and develoment issues helped to make this fun, as well as formative. My sisters, Amanda and Rebecca, were always curious and supportive. My parents, Peter and Berys Spratt, instilled in me a passion for learning, curiosity about the world, and compassion for those who do not enjoy the same opportunities I have. I am indebted to them for this. My father is not here to read this thesis, but I know he would be proud of my accomplishment. I am ever-grateful for my supervisors. Adrian Kay, Ian Thynne and Stephen Howes comprised my supervisory panel, bringing a blend of public policy, public administration and development policy perspectives to this research. Adrian, my Chair, offered dedicated support, always listening first before giving advice, and never judging. Adrian’s deep knowledge of policy meant I gained the benefit of his informed, thoughtful experience, supporting me to develop my thinking further. Similarly, Ian was always generous with his encouragement, enthusiasm and wisdom, gained across his decades of academic work and supervisory experience. Stephen’s experience working in inernational aid and development, along with his incisive critique, were a helpful contribution to my thinking. All the individuals I interviewed made this thesis possible. These were busy people and did not have to make time to talk with a research student. Yet they did. I am deeply appreciative of this. Listening to interviewees was one of the most enjoyable aspects of the entire doctoral process. Archival research requires the assistance of people who know the archives. The Ministry of Foreign Affairs and Trade enabled me to access their files and provided outstanding support. Jaques Bancilhon was an attentive archivist and I am thankful to 5 him for all the hours of searching, ordering and photocopying he carried out for me. Elizabeth Beaufort, Don Will and Patti Goss were also of assistance in this process. During my field research in New Zealand, I was welcomed at Victoria University of Wellington’s School of Government, and provided with an office and computer access. Thanks to Head of School Professor Brad Jackson, School Manager Lyne Todd and Senior Administrator Amanda Cunningham. With the support of Associate Professor Karl Lofgren, I gave a seminar to other higher-degree researchers at the School of Government, and received welcome feedback from Associate Professor Graham Hassal, Dr. Amanda Wolfe and Dr. Elizabeth Eppel. I was lucky enough for the Australia National University (ANU) College of Asia and the Pacific to support me to attend the 2014 Institute of Qualitative and Multi-Method Research at Syracuse University in the USA. This deepened my interest and knowledge of research methodology. Attending the ANU Thesis Boot Camp was also a beneficial activity. I won an Executive Education scholarship at the Crawford School of Public Policy to attend a ‘macroeconomics and government’ course, helping to fill some gaps in my knowledge of how economies function. I also gained greatly from participation at the ‘Domestic Dimensions of Development Cooperation’ conference in Antwerp, in October 2015, where I presented my research and obtained useful feedback. Thanks to the organisers, and to the ANU for funding support to attend. This research is supported by an Australian Government Research Training Programme (RTP) Scholarship. One aspect of doctorate life that made the process more enjoyable were my colleagues at ANU. Special mention to Julia Talbot-Jones, my office-mate, fellow aid-researcher Ben Day, and Megan Poore, our Higher-Degree Research Advisor. Matthew Gibbon provided me with various election manifestos. Again, I was humbled by the fact that a total stranger was willing to assist me. Thanks also to Gordon Shroff for several discussions and assistance in locating interviewees, and to David Cuthburt for helping me to locate the Alliance Party’s 1999 election manifesto. 6 Abstract This thesis is an in-depth study of two cases of significant Overseas Development Assistance (ODA) policy change in New Zealand. It focuses on the roles of actors, ideas and rules in ODA policy change. To date there has been little in-depth study of ODA policy change. Yet civil society, multilateral and private sector entities expend considerable resources attempting to influence ODA policy – either to promote change or to defend the status quo. In the academic work that does exist, scholars have primarily explored the domestic factors influencing the amount of ODA given, where it is given, and the reasons why donors provide ODA. The case studies that have been conducted highlight the roles of interest groups, rules and the professional executive in policymaking. To contribute to learning about ODA policymaking, I focused on exploring policy goal changes. I created an analytical framework drawing on the broader literature of policy studies. Specifically, I drew from policy change theorists’ insights about change and used this framework to explore and analyse two cases of ODA policy goal change in New Zealand. My findings show that key to New Zealand ODA policy goal change are actors behaving entrepreneurially, connected to an ideas-based network that cuts across societal interest groups and government. Ideas are an important motivating force for actors. These include ideas about the national interest, the relationship between development cooperation and other foreign policy outcomes, and power and control within government agencies. Unlike many policy change theorists, I explicitly examine formal rules, highlighting specific important rules, and how rules form the context within which actors act, including to avoid ambiguous rules. These findings are useful for actors wishing to influence ODA policy goals, for scholars who want to examine ODA policy change elsewhere, and for policy change thinkers. 7 Table of Contents Table of Tables ............................................................................................................................12 Table of Figures ..........................................................................................................................13 Acronyms ......................................................................................................................................14 Chapter One: Introduction ........................................................................................... 15 Why Study ODA Policy Change? ............................................................................................16 Scholarly Foundations ..............................................................................................................19 One Piece of the Jigsaw ............................................................................................................21 Research Questions ...................................................................................................................22 Spoiler Alert .................................................................................................................................22 What’s it Worth? Contribution to Knowledge ..................................................................23 The Cases of Change ..................................................................................................................25 Research Design .........................................................................................................................26 Important Concepts Defined ..................................................................................................27 Official Development Assistance (ODA) ..................................................................................... 27 Development .......................................................................................................................................... 28 Donors and Recipients ....................................................................................................................... 29 New Zealand Context ................................................................................................................29 Political and Economic Backdrop .................................................................................................. 29 New Zealand Abroad .......................................................................................................................... 31 ODA Programme ................................................................................................................................... 32 Kiwis Going Global ............................................................................................................................... 35 Reader’s Roadmap .....................................................................................................................40
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