Aknowledgements
My thanks go also to the Swiss Agency for Development and Cooperation
(SDC) for supporting my endeavor as state-building represents a key institutional
priority of SDC, and I hope to have been able to meet their expectations. In that
respect, a special thanks goes to Mrs. Chrystel Ferret who supported my initiative
from the very beginning as well as to Mr. Gerhard Siegfried who allowed me to
continue my thesis and contribute t0 the alternative approaches and understanding
of the state-building approach within his SDC division.
Last but not least, I would like to thank my family: my parents who always
supported me in my life and, above all, my wife, Ana Milena Castro Amaya,
who in all these years rendered emotional and financial support through writing
this thesis. I also thank her for her patience and understanding by sacrificing many
weekends and vacations we could have spent differently. Without her support, this
work would not have been possible. In addition, I would like to thank my brother-
in-law, Mr. Antonio Corrales Cruz, who was of immense help as a gate-keeper to
access difficult-to-get key informants which allowed enriching the discussion and
contextualizing it, as well as for his logistical support during my field research.
Finally, I would like to thank everybody who was important in the successful
realization of this thesis. At the same time, I would like to express my apologies
that I could not mention them on an individual basis.
Acronyms
1
n2
Contents
Introduction .......:...............
1.1 State of the art and own research . ..............
1.1.1 The state theory and the state concept within the o
development discourse... еее:
.1.2 State fragility and state-building . . . . . . . . . ..
.1.3 Legitimacy and state-building in fragile contexts... . ..
12. Ownrésearch. . . \ assssnsesagesane
1.2.1 The state in the development discourse... . . . . . . ..
1.2.2 The question of legitimacy within the state-building
concept. . |...
13 Hypothesis ...6..622eee Peer yer ew eae
The origin of the state. . ...................
2.1 The origin of the State. . . . ...............
.1.1 The coercive theory . . . . . . . . . . . . . . .. B
.1.2 The voluntaristic theory... еее:
.1.3 The circumscription theory. . . . . . ...........
¿LA Conclusión: 2 1 ans mom ooh неоновые N
D
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D
22 Transition from the traditional to the modern state — an
evolutionary approach. . ................
2.2.1 Stateless societies and the primitive, "quasi" state — the
government administration. . . 2...
2.2.3 Preliminary conclusion... rne
2.3 The early, “not yet modern” ве o... e... n ne
2.4 The modern, developed state . . o o o rr nn
2.5 Conclusion еее еее еее
The state concept, a short overview еее.
3.1 The difficulty to define the state. . . еее.
ili
nN
nn
+
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ON
3:9
34
3.3
3.6
Contents
The capitalist state according to the Marxist theory ...
32.1 The historical and materialist principles of the
development of thestate ето"
22 Nature and role of the state. еее.
The state as equilibrator and independent state. . . . . -
324 The state and the civil society еее
Abandoning the state . . .......... nn
3.3.1 The new universal paradigm of the political system ....
3.32 The boundaries of the political зуйет . еее
3.3.3 The civic and political culture of a society... . . : - -
Bringing the state back т. tton
3.4.1 The state as an autonomous actor... еее
More recent approaches of the state... nn
Conclusión +++ eee eae ee eo ns ES Em S
The state within the development discourse . еее:
4.1
4.3
The origin of international development... en
4.1.1 Development doctrines and development discourse
4.1.2 The development concepts..."
4.1.3 The modernization theory — a development concept that
survived eee. mom t t t t n
4.1.3.1 The concept of political development within the
modernization theory еее:
4.1.4 The concept of "good governance" within the
development theories. . . «t t tt nn
4.1.5 Thedevelopmentdiscourse еее
The state in the development agenda... .. ee es
42.1 The role of the state within the development agenda. . . .
4.2.2 The developmental state... ccn n
4.2.2.1 Decolonization and the raising of the
developmental state... nennen
4.2.2.2 Weak states, strong societies. ее:
4.2.2.3 The developmental state and “good governance”
Stale-building à «<6 oe wee a SRE E SEH ee Hone EES
4.3.1 The concept of state-building еее
iv
12
Contents
4.3.2 State-building and fragile states . . . . . . . . . . . . .. 108
4.3.2.1 The role of public administration and institution-building within the context of
State-building «s ss =: nase eos rseum« 109
4.3.2.2 The state-society relation and the social contract . 112
44. Conclusions... ence momo mom mom moo nox m mme xS AAA 115
44 The fragile state à: 25229-9992 neo msn eas 121
4.4.2 Conclusion and link to field research. . . . . . . . . . .. 125
LEMA a sas sno sassarese homes Oe mu a 127
5.1 Legitimacy matters, also within the state-building paradigm. . . . 127
59, МПа ес? а +»: «ose scans ssa 129
5.2.1 Definition of legitimacy «49m mmm 130
5.22. Sources of legitimacy « 9s «99 o. mu sue mat 132
5.2.3 Excursus: Legitimacy of political authority in the case of
democtdGye > 22 30e He D Serum nee 136
5.3 Ranking of the sources of legitimacy within state-building . . . . 140
5.3.1 Service delivery as the primary source of state legitimacy . 141
5.3.2 Service delivery and accountability . . . . . . . . . . .. 142
5.3.3 The causal link between state-service delivery and
state-lepitimacy .....2.%8 5s ¢ sme eRe ee m 144
5.3.3.1 The involvement of non-state actors in the
delivery of state services. . . . . . . . . . . . .. 145
5.3.4 Criticism on the state performance model linked to the
instrument of service delivery as the main source for legitimäcy' . za Less ss sr raro ae 149
5.4 Multiple sources of legitimacy... ne 152
5.4.1 Competing sources of legitimacy... . . . . . . . . . .. 154
5.4.2 The concept of “hybrid political order” (HPO)... . . .. 157
5.5 Legitimacy and trust. . ...................... 160
5.5.1 Trust as a component to reduce social complexity and risk
Management è as sx poem 9 om 9 om n m e Ex xe dh 162
5.5.2 Typology of trust. o... oo. 163
5.5.0.1 Personal trust . à e oso pus om omm m mom m n 163
5.5.22 Systemietnist: a & & e eh mo ommo ss 163
5.5.3 The concept of mistrust... . . . ............ 165
5.6 The concept of “public mistrust societies". . . . . ........ 166
5.6.1 Political culture within "societies of public mistrust”. . . . 166
У
Contents
5.6.2 The distinction between « pays légal » and « pays réel ». .
5.6.3 The concept of common good in fragile contexts and
public mistrust societies еее.
6 Social capital. .............................
6.1 What is social capital?. |... o o o t t t nn
6.1.1 Conclusions . 2... 6 еее еее еее
6.2 Social capital and trust еее еее еее
6.3 Social capital as a public good... ne
6.4 Social capital and development . .... 6 nn
Network analysis and social capital . ................
7.1 Measuring social Capital... . .. .... . еее еее
7.2 The theoretical framework of the network analysis . . . . . . ++
7.2.1 Cohesion and behaviour... . o o n n e
7.2.2 Strong and weak ties... t t n n e
7.2.3 The strength of the weak ties. . . . . . . . . . . .....
7.24 Structural holes and the "tertius gaudens” . . . . . . . ..
73 Conclusion ............................
Methodology and field research . ..................
8.1 Introduction. еее еее неее
8.2 Selection of the country and geographical area . . . . . . . . ++
8.3 Main actors and partners for the study. ее.
8.3.1 Communities. .......................
8.3.2 The Consejo Regional Indígena del Tolima (“CRIT”) . . .
8.3.3 Government of Tolima and municipality of Ortega. . . . -
8.3.4 The University of Tolima CUT") .............
8.3.5 Selected key informants . . . . . . . . . . . . n nn
84 Approach to the field . ......................
8.5 Community selection . ......................
8.6 Methodology . . .. . e t t tr tn
8.6.1 Operationalization of legitimacy... . . .. . ......
8.6.2 Design and sampling of the survey... . . se
8.6.2.1 Trial phase . ...................
8.6.2.2 Sampling .....................
Z2
Contents
8.6.2.3 Data processing LL 223
8.6.3 24 phase of the field research: Participatory observation
to complement the network data analysis and giving the
historical and political context. . 2... ......... 225
9 Colombia and the district of Tolima ................. 229
9.1 Colombia, a short history and memories... ........... 229
9.2 Colombia and the violence .................... 230
9.3 The ethnic composition of the Colombian population . . . . . . . 234
9.4 An overview of Colombia’s current indigenous population . . . . 235
9.4.1 The indigenous populations and their historical relation to
the colonial and modern state . .............. 238
9.4.2 The Indian reservations — the “resguardos indígenas” . . . 240
9.4.3 Indigenous resistance . . ................. 244
9.5 Colombia's development approach . ............... 253
9.6 Colombia and the concept of “hybrid political orders" (HPO). . . 257
9.6.1 The formation of the guerrilla groups and their link to
SOCIE: s a a a ce hm sem Sn Emma ran aa 297
9.6.2 The formation of the paramilitary groups and their connections to the formal state. . . . . . 2 2 ss. 266
9.6.2.1 The origins of the paramilitary groups. . . . . . . 266
9.6.2.2 The paramilitary groups and their relation to the
formalstäle s osorno 267
9.7 Thedistrictof Tolima. 22 + 3:2 822: = 55 Ges sw em en 08 270
9.7.1 A short history and memories . . 222.22... 270
9.7.2 The indigenous community . ............... 274
9.7.3 Short overview of the main development challenges at the
district level à sa ss ss ss es spe sauna 5 0 es 276
9.7.3.1 Service delivery in the area of health, education,
housing situation and water and sanitation, and
general remarks on the development plan... . . 277
9.7.3.2 Forced migration . ................ 278
9.133 Accesstoland. + à =... ur usw bee mmm 279
10 Ortega and its communities. . .................... 283
10.1 The municipality of Ortega . . . ................. 283
10.1.1 History and memory . . .................. 283
10.1.2 Period of the violence until the present day . . . . . . . . 285
vil
10.2
10.3
10.4
10.5
10.6
10.7
10.8
Contents
Geographical and socio-economic characteristics . . . . - 290
The ethnic composition of the population of Ortega. . . . . . .. 291
Development challenges and service delivery at the municipal
level. - = ss aus zz so P wo sn HEHE EHR A 292
Communities: a case study of four communities. . . . . . . . . . 295
10.5.1 Demographic and socio-economic situation of the visited
communities . ...................... 295
10.5.1.1 Household composition . . . . . . . . . . . . .. 295
10.5.1.2 Migration . .................... 297
10.5.1.3 Access to land. ..oocoomspspmmos mes 301
10.5.1.4 Livelihood of the communities and household
EXPENSES. » sonara ms 2 905
10.5.1.5 Household income and expenses . . . . . .. .. 310
10.5.2 Service delivery . . .................... 315
The link between service delivery and state legitimacy . . . . . . 326
10.6.1 The supposed neutrality of delivery of public services . . . 333
Organization and political participation... . . . . . . . . . .. 338
10.7.1 Memberships at the community level . .......... 339
10.7.2 Trust amongst the community members and towards the
different institutions and the legitimacy of the political
SYSTEM > se more rase rasa «à 944
10.7.3 Trust and political participation . . . . .......... 349
10.7.4 The vote as a currency for exchange and access to public
500 cocos sapo rosas
The relevance of social networks as a survival strategy in a
context of “public mistrust societies” . . . ............ 399
10.8.1 Network analysis in the context of “public mistrust SOCIÉNES e + à sms eras IAEA 360
10.8.2 Types of relationships, weight, density and centrality of
the social network . .................... 361
10.8.3 Community of Flautillo . . ................ 363
10.8.4 Community of Aico . ................... MI
10.8.5 Community of Arroyuelo . ................ 378
10.8.6 Community of Vuelta del Rio... 2... . . . . . . . .. 384
10.8.7 The inter-community network . . ............. 389
10.8.8 Conclusions . ....................... 400
10.8.8.1 Key public persons and public officers ...... 400
10.8.8.2 Access to health... ............... 407
10.8.8.3 Access to credit чело haw KR DDS 409
vili
Contents
10.8.8.4 Access to security and conflict resolution . . . . . 410
10.9 Social capital and legitimacy . .................. 412
1] Conclusions .............................. 419
11.1 Development discourse around state-building... . . . . . . . .. 419
11.2 Competing actors and sources of legitimacy in Colombia... . . 421
11.3 Legitimacy and society link of the different armed groups and
other territorial асюг$ o... 424
11.4 The causal link between service delivery and state legitimacy. . . 427
11.5 Legitimacy of the state within a society of public mistrust... . . 430
12 ANNEXES c uunecobuszecruoccscsost5coctEWwGSssáesrs 433
Annex | Pictures field research municipality of Ortega . . . . . . . .. 433
Annex 2 Map indigenous, rom and afro Colombian population . . . . . 44]
Annex 3 Map “resguardo” Vuelta del Ri0................ 442
Annex 4 Localization of the violence in 1962.............. 443
Annex 5 Geographical distribution of the district of Tolima... . . .. 444
Annex 6 Discussion between communities and the municipal
administration on the priorities of the municipal Development Plan of
Ortega for the period 2016-2019 .................... 445
Annex 7 Directory of social relationships, institutions and services . . . 446
13 Bibliography. . ............................ 447
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