Citizen, State, and the Negotiation of Development: The Nacala Development Corridor and the N13 Highway Rehabilitation Programme A thesis submitted in fulfilment of the academic requirements for the degree of Doctor of Philosophy in The School of Built Environment and Development Studies University of KwaZulu-Natal By Marc Ronald Kalina Student Number: 211559258 March 2017 i ABSTRACT For rural citizens in developing countries, the extension of infrastructural networks into previously remote areas is one of the primary ways in which the state comes into view through development. In some countries, citizens affected by infrastructural development are able to negotiate with the state over local developmental outcomes through engagement with the state and the advocacy of interested intermediaries. An examination of Mozambique’s experiences, in this thesis, however suggests that the dominance of state power within developmental processes, as well as a lack of commitment to governance of the authoritarian Mozambican state, limits the ability of Mozambican citizens to equitably engage with the state over the negotiation of local developmental outcomes. The aim of this thesis is to analyse the development of the Nacala Development Corridor Programme and the N13 Highway Rehabilitation Project in northern Mozambique as a lens through which to more broadly interrogate the impacts of the development on local citizens and examine the relationship between citizen and state within development processes. The research contributes to theoretical debates, in which a gap exists for critical, English-language research, set within a developing nation context. The study adopts a qualitative and deductive explanatory case study design in order to evaluate the implications of the infrastructure interventions associated with the Nacala Development Corridor and the N13 Highway Rehabilitation. The study is rooted within the discipline of development studies and provides critical engagement with the theories of the developmental state and Mozambican neoliberalism. Furthermore, the study draws on Foucault’s concept of ‘governmentality,’ as well as a number of post-Foucauldian concepts in relation to state-citizen relations, in order to provide a set of analytical concepts for interpreting the interactions between citizen and state. This study reveals that in the case of the Nacala Development Corridor and the rehabilitation of the N13 Highway, state-citizen relations in Mozambique are complex, and are constantly being reshaped by the transformational impacts of infrastructural development. As a result of these developments, citizens along the N13 have altered their relationship with a previously distant government and are increasingly looking to hold the state accountable on development issues. The rehabilitation of the N13 in particular, has dramatically increased the number and nature of local communities’ interactions with state institutions by forcing affected individuals to negotiate their continued existence in relation to the road. However, processes of negotiation over local developmental outcomes are shallow, with the state dominant in decision-making. As a result, some citizens have turned to alternative forms of participation, such as lodging complaints, in order to have their voices heard. Such methods are unevenly available to citizens within the study area, and are largely ineffective in challenging the exertion of state power within development. However, the majority of citizens within the study area are reluctant to resist the state, instead demonstrating a passive sense of ‘uncritical’ citizenship evident in the term ‘governo papa’ in describing the role of the state. ii PREFACE The work described in this thesis was carried out in the School of the Built Environment and Development Studies, University of KwaZulu-Natal, Durban, from July 2011 until November 2016 under the supervision of Professor Dianne Scott. This study represents an original piece of work by the author and has not otherwise been submitted in any form for any degree or diploma at any tertiary institution. Where use has been made of the work of others this is duly acknowledged in the text. iii COLLEGE OF HUMANITIES DECLARATION - PLAGIARISM I, ……………………………………….………………………., declare that 1. The research reported in this thesis, except where otherwise indicated, is my original research. 2. This thesis has not been submitted for any degree or examination at any other university. 3. This thesis does not contain other persons’ data, pictures, graphs or other information, unless specifically acknowledged as being sourced from other persons. 4. This thesis does not contain other persons' writing, unless specifically acknowledged as being sourced from other researchers. Where other written sources have been quoted, then: a. Their words have been re-written but the general information attributed to them has been referenced b. Where their exact words have been used, then their writing has been placed in italics and inside quotation marks, and referenced. 5. This thesis does not contain text, graphics or tables copied and pasted from the Internet, unless specifically acknowledged, and the source being detailed in the thesis and in the References sections. Signed iv ACKNOWLEDGEMENTS Many individuals have given me immeasurable aid and comfort throughout this dissertation process. Foremost, I would like to thank my wife Elizabeth, whose constant love and support has made all my achievements possible. Second, I would like to gratefully acknowledge my supervisor, Professor Dianne Scott, who has consistently challenged me to think more critically and has helped improve the quality of my writing considerably. Furthermore, I would like to thank my family, particularly my parents and in-laws, who have encouraged and supported me throughout my studies. Finally, I would like to personally thank all of my friends, both in Durban and the United States, who have politely pretended to be interested in my work and have provided just the right amount of healthy distraction. A number of my colleagues at both the University of KwaZulu-Natal and Universidade Eduardo Mondlane have contributed to the success of this research. First, I would like to thank everyone within the former School of Development Studies for providing a congenial and supportive academic environment. In particular, I would like to express my gratitude to Dr. Dori Posel, whose financial support provided for the maps used within the dissertation; Dr. Richard Ballard, who asked just the right questions at my proposal defence and significantly influenced the course of the study; Dr. Catherine Sutherland, who assisted me in numerous ways throughout my stay at UKZN and; Shivani Durgiah, Priya Konan, Kanagie Naidoo, and Mary Smith, who all eased the pain of registering with a new institution and provided consistent support through a tumultuous period of the University’s history. Finally, I would link to thank my friends at colleagues at Universidade Eduardo Mondlane who provided me a valuable institutional home in Mozambique, in particular: Dr. Boaventura Cau, Dr. Ines Raimundo, and Dr. Ramos Muanamoha. Without their support this study would not have been possible. v LIST OF ACRONYMS AND ABBREVIATIONS AADT Average Annual Daily Traffic AAP African Action Plan AC Asphalt Concrete ADF African Development Fund ADT Average Daily Traffic AfDB African Development Bank AIDS Acquired Immune Deficiency Syndrome ANE Administração Nacional de Estradas (National Roads Administration) AP Affected Person AU African Union BADEA Arab Bank for Economic Development of Africa BOT Build-Operate-Transfer BWI Bretton Woods Institution CBO Community Based Organization CCCC China Communications Construction Company CDN Corredor de Desenvolvimento de Norte (Development Corridor North) CEAR Central East African Railways CFM Portos e Caminhos de Ferro de Mocambique (Ports and Railways Company of Mozambique) Chico China Henan International Cooperation Group CRN Core Road Network CSP Country Strategy Paper DANIDA Danish International Development Agency DBST Double Bituminous Surface Treatment DfID UK’s Department for International Development DPs Development Partners DRC Democratic Republic of the Congo EIB European Investment Bank EIRR Economic Internal Rate of Return EM Ecological Modernisation vi ESAP Environmental and Social Assessment Procedures ESIA Environmental and Social Impact Assessment ESMP Environmental and Social Management Plan EU European Union EUR European Union Euro FE Fundo Estrada (Road Fund) FDD Fundo de Desenvolvimento Distrital (District Development Fund) FG Focus Group FNDP Fifth National Development Programme Frelimo Frente de Libertação de Moçambique GAZEDA Gabinete das Zonas Económicas de Desenvolvimento Acelerado (Office for Accelerated Development Economic Zones) GDP Gross Domestic Product GOM Government of Mozambique GPN General Procurement Notice GRZ Government of Zambia HDI Human Development Index HDM Highway Design and Management Software I&APs Interested and Affected Parties ICB International Competitive Bidding IFIs International Financial Institutions INATTER Instituto Nacional dos Transportes Terrestres (National Institute of Land Transport) ISDB Islamic Development Bank JASZ Joint Assistance Strategy for Zambia JICA Japan International Cooperation Agency KEXIM Export-Import Bank of Korea M&E Monitoring and Evaluation MDC Maputo Development Corridor MDGs Millennium Development Goals MCC Millennium Challenge Corp. MICOA Ministério