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Fragile States: Defining Difficult Environments for Poverty ReductionRice, Susan E. (2003) ‘The New National Security Strategy: Focus on Failed States’Brookings Institution Policy Brief # 116 (February 2003). Available at:http://www.brook.edu/comm/policybriefs/pb116.pdfRodrik, Dani, ed. (2003) In Search of Prosperity: Analytic Narratives on EconomicGrowth. Princeton: Princeton University Press.Rotberg, Robert I. (2002) ‘The New Nature of Nation-State Failure’ The WashingtonQuarterly 25(3): 85-96._____ (2003) (ed) State Failure and State Weakness in a Time of Terror, BrookingsInstitution._____ (ed) (2004a) When States Fail: Causes and Consequences, PrincetonUniversity Press_____ (2004b) ‘The Failure and Collapse of Nation-States: Breakdown, Prevention,and Repair’ in Rotberg (2004a).Sørenson, Georg (1996) ‘Development as a Hobbesian Dilemma’ in Third WorldQuarterly 17(5): 903-16._____ (1999) ‘Development in Fragile/Failed States’ Paper presented to FailedStates Conference, Purdue University, April 1999. Available athttp://www.ippu.purdue.edu/failed_states/1999/papers/Sorensen.html._____(2001) Changes in Statehood: The Transformation of International Relations(Palgrave).State Failure Task Force (2000). State Failure Task Force Report: Phase IIIFindings. Available at: http://www.cidcm.umd.edu/inscr/stfail/Unsworth, Sue (2003) ‘Better Government for Poor People’. DFID ConsultationPaper. http://www2.dfid.gov.uk/pubs/files/bettergovpovreduction.pdfvan de Walle, Nicolas (2001) African Economies and the Politics of PermanentCrisis, 1979-1999. Cambridge: Cambridge University Press.Williams, Justin (2003) What is Aid Effectiveness and How Can It Be Measured?Unpublished Literature Review paper.World Bank (1997) World Development Report 1997: The State in a Changing World.Oxford: Oxford University Press._____ (2002) World Bank Group in Low-Income Countries Under Stress: ATask Force Report. Washington DC.Weber, Max (1958) From Max Weber: Essays in Sociology. Oxford: OxfordUniversity Press.Zartman, I. William (ed.) (1995) Collapsed States: The Disintegration and Restorationof Legitimate Authority, London: Lynne Rienner.This working paper is intended to stimulate public discussion. It is not necessarilyDFID or UK Government policy25
Fragile States: Defining Difficult Environments for Poverty ReductionAnnex 1: Core Elements ofDevelopmental Capacity and WillingnessThe following tables present some key criteria for assessing state capacityand willingness. They are not measurement checklists or determinants ofcausality for difficult environments. They are intended as lists of factors thatindicate to what extent a state lacks the capacity and/or willingness tomobilise resources for poverty reduction. They may also serve as a first steptowards quantitative proxy indicators for measurement.Table 1: Indicators for the developmental capacity of a stateA) FOUNDATIONS OF STATE AUTHORITY►Territory control and • Control of external borders and internal territorypresence• Monopoly over legitimate use of violence andcoercion► Internationalsovereignty• Provision of human security• Juridical statehood: recognition of an entity(territorial and political) as a member of theinternational system► Rule of law • Ability to assert and enforce the primacy ofnational policies, laws, and norms of social andpolitical behaviour over all groups• Access to justice, particularly for the poorB) EFFECTIVE EXERCISE OF POLITICAL POWER► Formal andinformal distribution ofpower► Autonomy andstability of politicalinstitutions• Existence of effective checks (explicit orotherwise) on executive power• Autonomy: public institutions not used primarilyfor private gain• Stability: ability of public institutions to manageconflict (both at elite and wider social levels)• Ability of public institutions to engage withpopulation through some link of representation.► Engaging with thepopulationC) COMPETENCE IN MACRO-ECONOMIC MANAGEMENT► The building blocksfor monetary andfiscal policy► Regulatoryframework thatfacilitates economicactivity• A credible currency• A central bank (or similar authority withcompetence over monetary policy)• A ministry of finance (or equivalent organ withauthority over policy and distribution of resourceswithin government)• A consolidated and transparent budget process(formulation and execution)• A revenue base (budget envelope and some formof tax system)• Predictability in the use of productive assets foreconomic activityThis working paper is intended to stimulate public discussion. It is not necessarily DFID orUK Government policy26
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