Senior Level Forum on Development Effectiveness in Fragile States, 13-14 January 2005 - Background Papers

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Defining Difficult Partnerships or Fragile States - Policy coherence and strategic responses to fragile states - Aid instruments and service delivery in fragile states - Aid allocation to fragile states - Donor Harmonisation and Alignment in fragile states - Other Relevant Documentation

Defining Difficult Partnerships or Fragile States

• Fragile States: Defining Difficult Environments for Poverty Reduction (DFID, 2004)
  This paper summarises some of the main definitions that have been used to describe 'difficult partnerships', 'weak and failing states', and similar categories.  It argues that institutional capacity and political will are central features of most definitions, and useful for understanding what degree of 'stateness' is required for poverty reduction partnerships.
• Development Co-operation in Difficult Partnerships (OECD-DAC, 2002)
  This note addresses the issue of “difficult partnerships” and how the international community can support development in countries where the government does not share the objective of poverty reduction and lacks ownership.
• Poor Performers: Basic Approaches for Supporting Development in Difficult Partnerships - (OECD-DAC, 2001)
  This note sets out some basic approaches through which development agencies can continue to promote development even when they have a difficult partnership with the government of a country (a so-called “poor performer”).

Policy coherence and strategic responses to fragile states

• From aid effectiveness to development effectiveness: strategy and policy coherence in fragile states (ODI, 2005)
  This note seeks to set out the key issues relating to the challenge of policy coherence in fragile states; to summarize some mechanisms emerging from broader donor government practice to address this challenge; and to identify some of the questions and challenges that remain unaddressed.
• Striking a New Balance: Donor Policy Coherence and Development Cooperation in Difficult Environments (IPI/Global Policy Project, 2004) (IPI/Global Policy Project, 2004)
  A paper by the International Policy Institute of King's College/ Global Policy Project which examines the broad challenges of policy coherence and development effectiveness in fragile states.
• Case Study: Solomon Islands: A Brighter Future (Overview of the Regional Assistance Mission to Solomon Islands) (AusAID, 2004)
  One year ago, RAMSI began deployment to restore peace and security and stabilise government finances at the invitation of the Solomon Islands Government and under the auspices of the Pacific Islands Forum.
• Case Study: Lessons learned from CIDA's experience in Haiti: The rationale for a cooperation program in Haiti (CIDA, 2004)
  Haiti has been in an ongoing, low intensity crisis with periods of violent outbursts throughout much of its history, and currently appears out of reach of achieving the MDGs. This case study presents lessons learned from Canada's experience (1994-2004) as part of the international community's response to Haiti. It addresses the main SLF themes: aid allocation, service delivery and aid instruments, alignment and harmonisation, and policy coherence. 
• Case Study: Outcome Paper eastern Democratic Republic of Congo (OECD-DAC, 2004)
  This document summarise the discussions of the DAC Experts Meeting on Peace, Security, Reconstruction and Development in the eastern Democratic Republic of Congo (DRC) in the context of the region of Central Africa, sponsored by the Swiss Agency for Development and Co-operation (SDC), which was held on 6-7 October 2004. This paper will serve as background to the case study presentation on the Democratic Republic of Congo.
• Case Study: Programme Regional Grands Lacs, 2005 - 2008 (SDC, 2005). Document only available in French.
  La coopération au développement peut agir de façon déterminante sur les causes régionales des conflits et contribuer à améliorer les conditions de vie d’après-guerre. Des appuis dans le domaine de la gouvernance locale et des secteurs sociaux peuvent contribuer à la stabilisation de l'environnement social dans lequel se déroulent les processus de paix et faciliter leur consolidation,les caractéristiques régionales des conflits dans les Grands Lacs rendent nécessaire l'adoption d'une approche régionale de coopération.

Aid instruments and service delivery in fragile states

• Approaches to Improving the Delivery of Social Services in Difficult Environments (DFID, 2004)
  This paper examines ways that donors use to deliver services such as healthcare and education in areas where a partnership with the government is difficult to establish.  The possibilities for scaling up service delivery through non-state providers while supporting the development of effective state structures are explored.
• External Nation-Building vs. Endogenous Nation-Forming - A Development Policy Perspective (BMZ, 2004)
  An attempt to broaden the understanding of nation building processes and set them in a systematic framework. The authors use case studies from Africa, the Middle East and the Balkans to illustrate the diverse aspects of the theme.  The final section demonstrates how nation-building processes can be supported through the application of intelligent and sensitive policies by external actors.
• Promoting Good Governance in Post-Conflict Societies (GTZ 2004)
  The paper discusses how German Development Cooperation can contribute to the stabilisation of post-conflict societies and  the (re-)building governance structures.It also examines the conflicts of interests that occur when good governance is promoted in post-conflict societies, and makes suggestions for a step-by-step procedure.
• Joint Report on Transition Issues (UNDG/ECHA, 2004)
  A report provided by the Joint Working Group on Transition Issues, which was established by The United Nations Development Group (UNDG) and the Executive Committee on Humanitarian Assistance (ECHA) which examines transitions issues.
• Linking Relief, Rehabilitation and Development (LRRD) (EC, 2001)
  This document examines the grey zones that arise in various types of crisis when humanitarian policy and development co-ordination programmes differ.

Aid allocation to fragile states

• Aid Allocation and Fragile States (Mark McGillivray, 2005)
  This paper summarises research on aid allocation and effectiveness, highlighting the current findings of the studies below.  It looks at how aid should and is being allocated across all developing countries, with particular reference to fragile states.
• The Forgotten States: Aid Volumes and Volatility in Difficult Partnership Countries (1992-2002), (Victoria Levin and David Dollar, 2005). Note: this document is 3.6 MB and in MS Word format.
  This paper summarises the findings of data analysis on aid allocations to difficult partnerships.  It provides information on aid flows and their level of volatility.
• Aid Allocation Criteria: Managing for Development Results and Difficult Partnerships (OPM, 2005).
  This report describes the different factors that donors take into account when determining their allocations of aid to countries, with a special focus on those that do not achieve “good performer” status.
• Development Effectiveness in Fragile States: Spillovers and Turnarounds (Lisa Chauvet, Paul Collier, 2005)
  This paper attempts to quantify some neglected potential effects of aid, thereby improving overall guidance on aid effectiveness. It is thus in the tradition of the research on ‘poverty efficient’ uses of aid (Collier and Dollar, 2002).

Donor Harmonisation and Alignment in fragile states

• Alignment and Harmonisation in Fragile States (OECD-DAC, 2004)
  The study examines the relevance of harmonisation and alignment in difficult partnerships, or fragile states, and puts forth a number of lessons that can be drawn from donor experience.
• Transitional Results Matrix (UNDG-WB, 2005)
  The Transitional Results Matrix (TRM), also referred to as a Transitional Calendar or Results-Focused Transitional Framework (RFTF), is a planning, coordination, and management tool that national stakeholders and donors can use to better prioritize actions necessary to achieve a successful transition in fragile states.
• Liberia Joint Needs Assessment Synthesis Report (UNDG, 2004)
  This Joint Needs Assessment was undertaken by the United Nations and World Bank Group to assist the Liberian government in its assessment of Liberia’s needs for the 2004-05 period. The Needs Assessment (NA) primary design was to determine the highest priority requirements during Liberia’s transition from war-related destruction to peaceful redevelopment.

Other Relevant Documentation

• Aid Instruments in Fragile States (DFID, 2005)
  This draft paper for consultation argues that we need an improved approach to the selection of aid instruments in fragile states based on promising experiences in many different contexts.
• Developing Poverty Reduction Strategies in Low Income Countries Under Stress (Agulhas, 2005)
  This study is a rapid assessment of the experience so far of conducting Poverty Reduction Strategies (PRSs) in Low-Income Countries Under Stress (LICUS).  The study's conclusion is that PRS principles and practices are directly applicable to LICUS, and should be introduced as soon as feasible.  The undertaking is of course more difficult in a LICUS, and the results more modest and harder to sustain.  Nonetheless, the PRS is the right tool for addressing the deep-seated problems with domestic institutions and policy processes found in LICUS, and for structuring the donor-government relationship into a more effective development partnership.
• Making aid work in fragile states: Case studies of effective aid-financed programs (World Bank, 2004)
  A paper commission by The World Bank, which aims to highlight examples of successful aid-financed programs in fragile states, and to learn lessons that can inform the design of future aid interventions in countries in which the environment is different or more difficult than in more stable contexts. Cases studies include projects in Afghanistan, Cambodia, East Timor, and Northern Uganda.
• Resilience and High Performance Amidst Conflict, Epidemics and Extreme Poverty: the Lacor Hospital Northern Uganda (ECPMD, 2004)
  St Mary’s Hospital, known locally as the Lacor Hospital, in Gulu district of Northern Uganda, formerly an isolated Catholic missionary hospital, is now fully integrated into the Ugandan health system. The case study describes how the hospital has grown into a centre of excellence, setting an example for the rest of the health system and helping to build health care capacity for the whole country.
• How Important Are Difficult Environments to Achieving the MDGs? (DFID, 2004)
  This paper examines three different attempts to categorise states as fragile, and on the basis of a common list, quantifies the importance of fragile states for each Millennium Development Goal.  The headline message is that fragile states are estimated to contain 28-35% of all people on less than $1 per day, as well as 41-51% of all children dying before the age of 5, although these states contain only 16% of the population in developing countries.
• The Conflict Analysis Framework (UNDG-ECHA, 2004)
  The Conflict Analysis Framework was created as part of the follow-up from the Joint UNDG-ECHA Working Group on Transition.  It aims to provide an understanding of the causes and consequences of violent conflict, as well as the dynamics supporting or undermining peace efforts in a transition situation.
• Practical Guide to Multilateral Needs Assessments in Post-Conflict Situations (UNDG/UNDP/World Bank, 2004)
  A guide which aims to make Post-Conflict Needs Assessments (PCNA) more effective by systematizing the analysis and suggesting more efficient processes.
• Action Plan: "Civilian Crisis Prevention, Conflict Resolution and Post-Conflict Peace-Building" (Germany, 2004)
  An Action Plan created by the German Federal Government to build on its Comprehensive Concept on Civilian Crisis Prevention, Conflict Resolution and Post-Conflict Peace-Building”, which details the basic principles and strategies of German crisis prevention policy.
• States at risk - Stabilisation and State-building by External Intervention (BMZ, 2004)
  Speech given by Adolf Kloke Lesch at the Carnegie Endowment for International Peace, January 2004.