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Environmental, social and governance (ESG) concerns are an increasingly important factor worldwide for banks when they invest in large projects. In the Southern African region with its rich mineral deposits, this trend has added importance. Mining companies extract minerals from the ground, and their activities routinely give rise to public concerns about the pollution of water sources, adequate land for agriculture, and fair community participation in mining projects. South African law accepts that the directors of corporations such as banks have fiduciary obligations to act in the best interests of shareholders.
Given the importance of mining activity to economies in Southern Africa an important question aligned to this fiduciary duty is this: Are banks when conducting business obliged to act in the best interests of stakeholders affected by the activities of the mining companies they fund? The trite response is that banks have recognised their obligations to communities through their commitment to SRI (socially responsible investment) practices and internal ESG processes that ensure that their funding decisions result in no harm to communities.
This paper sets out to critically consider the effectiveness of ESG principles implemented by South Africa’s banks when they fund mining projects in the SADC region. There are internal differences in ESG principles between banks, and a variety of funding methods to which the principles are applied. The study evaluates the ESG frameworks used by each bank and, given the significant market share, aggregates this information to present a picture of the effectiveness of these frameworks. The approach taken is a critical one, meaning that what is presented in bank annual reports and sustainability reports is not merely accepted, but (to the extent possible) internal ESG risk frameworks are interrogated for adequacy of application by banks when funding mining projects. The effectiveness of the implementation of internal ESG procedures by banks is then measured against available evidence. This evidence includes the effects of mine project funding decisions of banks on ESG categories as ascertained from public information.
After consideration of the evidence, observations and conclusions are provided on the analysis. In the closing section, recommendations are provided on areas for possible focus to improve the effectiveness of ESG principles used by banks in the SADC region.
Southern Africa is endowed with lucrative mineral resources such as diamonds, gold, copper, coal, platinum, and uranium. This rich endowment can be a major asset in the quest for inclusive and sustainable development, yet mining in Southern Africa has often been criticised as an enclave sector that at best contributes little to economic development and at worst does substantial social and environmental harm. To avoid such pitfalls emerging international consensus emphasises the importance of good mineral governance. This involves the adoption and implementation of regulatory frameworks that promote deeper linkages between the mining sector and the broader economy, and that protect people and the environment from the potentially harmful consequences of mineral extraction.
This pilot study provides a barometer of mineral governance in ten Southern African countries: Botswana, Democratic Republic of the Congo (DRC), Lesotho, Madagascar, Malawi, Namibia, South Africa, Swaziland, Zambia, and Zimbabwe. The barometer takes stock of mining regulations in place at the end of 2015, the extent to which they are implemented, and features of supporting institutions. It is based on the observation that while regulations impose obligations on mining companies, in doing so they directly impose obligations on the state to monitor and enforce compliance, and they also indirectly impose obligations for citizens and civil society to hold the state and mining companies accountable. The barometer includes indicators of mineral governance across four main issue-areas: national economic and fiscal linkages; community impact; labour, and the environment, with artisanal and small-scale mining (ASM) treated as a special topic. The barometer also includes indicators of state capacity and state accountability with respect to mineral governance.
Renewable energy technologies have experienced an exponential growth in South Africa, thanks to the procurement of large-scale power plants. However, South Africa’s electricity sector still lacks a level playing field. Significant vested interests have maintained overwhelming support for centralised, coal-based electricity generation, preventing the development of renewable energy technologies to their optimal potential. Active efforts are required to enhance the transformation of electricity supply in the country by truly incorporating the low-carbon transition in electricity planning, opening the policy space for the development of embedded generation, and phasing out fossil fuel subsidies.
The electricity sector in South Africa is a highly contested space. The emergence of renewable energy technologies (along with energy efficiency and other demand-side management opportunities) has generated healthy revitalisation and disturbance of the status quo in the industry. Discussions around other technologies, such as gas-to-power and nuclear energy, are also adding to this vibrant dynamics. Significant vested interests are still at play alongside massive state support to maintain the domination of the coal industry over the electricity supply industry in South Africa.
Active efforts are required to provide a level playing field for all energy technologies and enhance the transformation of electricity supply in the country. This includes truly incorporating the low-carbon transition in electricity planning, open the policy space for the development of embedded generation and phase out fossil fuel subsidies.
Between 2015 and 2016, Jimma University developed and ran a training and mentoring programme with the Ethiopian Federal Ministry of Health to improve the Ministry’s capacity for using evidence in policy making. This case study discusses the project and its potential for shaping the institutional culture of this busy department.
The rise of the social protection agenda in Zambia over the past few years seems in some ways to fit with mainstream accounts of how welfare states are likely to emergein developing countries, particularly in terms of the links to elections and pro-poor political parties. However, here the authors demonstrate that this (still incipient) policy shift flows more directly from two alternative sources, namely shifting dynamics within Zambia’s political settlement and the promotional efforts of a transnational policy coalition.
The general aim of the research project, The Post Amnesty Conflict Management Framework in the Niger Delta, was to ascertain how the implementation of the Presidential Amnesty Programme (PAP) which had been introduced by the Shehu Musa Yar'Adua-led administration in 2009 was perceived by the people of the Niger Delta, and to what extent it had contributed to creating lasting conditions for peace and stability in the region.
The following policy recommendations derive directly from the findings of the research:
This study explored ways in which Mali’s 25-year old decentralized governance system empowers local government to help communities adapt to the changing climate. The findings suggest that local development plans hold promise as a vehicle for engaging communities and integrating adaptation into local development planning, but that more needs to be done to strengthen the process. Centered in the southern regions of Mopti, Koulikoro and Sikasso, where most livelihoods derive from farming and livestock, the study also found that decentralized governance creates particular opportunities to facilitate problem-solving across villages and build external linkages to NGOs, donors and others. Such relationships are important as households increasingly compete for water and land for grazing and farming, and trees for charcoal and fuelwood. With higher temperatures and decreasing rainfall likely in these regions in the future, effective management of natural resources is vital to maintaining livelihoods and minimizing conflict.
Multilateral development banks increasingly struggle to respond effectively to the needs of middle-income countries, influencing not only their potential development impact but also their own financial stability. This challenge has been driven by a changing external environment, including additional competition from other financiers, the changing needs of middle income countries and institutional constraints. Business processes that deter greater borrowing by countries, especially in the presence of other financiers with less strenuous requirements, also contribute to this situation. These include lengthy loan approval processes, limited use of in-country management systems and sensitivities around environmental and social safeguards. There is also a need for greater responsiveness and an emphasis on the importance of knowledge services. This paper highlights some of these challenges and offers some alternative solutions. The New Development Bank, as a new entrant to the development finance milieu, will do well to draw on the experiences of existing multilateral development banks to improve its offerings to countries.
Illicit financial flows (IFFs) are garnered through the proceeds of illicit trade, trade mispricing, transfer pricing and other forms of organised profit-motivated crime. This paper focuses on the commercial tax evasion component of illicit financial flows (IFFs), clarifying concepts often used interchangeably, namely transfer pricing, abusive transfer pricing, trade mispricing (or trade mis-invoicing), trade-based money laundering (TBML), tax evasion and tax avoidance. It also shows how they link to IFFs. It estimates the extent of trade mispricing by enhancing the model currently used by Global Financial Integrity, and by developing a TBML model as a means of quantifying IFFs between two developing countries. There are data challenges with this methodology, as it is an estimation of illegal or hidden activities, using the International Monetary Funds Direction of Trade methodology.
The research points to declining trade mispricing in South Africa and Zambia for the period 2013-2015, and Nigeria for the period 2013-2014. Morocco and Egypt exhibit increasing trade mispricing from 2013 to 2014. The TBML model, which addresses the criticism regarding flows between two developing countries, points to increasing financial outflows for all five countries. These flows mean less revenue is available to the fiscus to invest in socio-economic infrastructure and pro-poor growth strategies, which would benefit women and the poor. Policy recommendations address commercial tax evasion as well as proposals to remedy the data anomalies.
Low-income countries (LICs) in sub-Saharan Africa face a substantial infrastructure-financing gap. multi-lateral development banks (MLDBs) have traditionally played an important role in mobilising finance for infrastructure in LIcs, but their funding alone cannot match demand. the african development Bank’s (AfDB) concessional window, the african development fund (ADF), is a key infrastructure financier for african LICs, and comprises 37 regional member countries (RMCs), including emerging markets and fragile states. however, in recent years the ADF has faced funding and technical constraints.
This policy brief, based on a discussion paper, outlines the ADF’s role in providing infrastructure financing to LIcs and the challenges that countries face in accessing these funds. It also examines the changing context confronting LIcs as they weigh their infrastructure demands against the requirement to maintain sustainable debt levels. Lastly, the brief explores the challenges and opportunities of mobilising additional finance for LICs.
Over the past few decades, Côte d’Ivoire has been a passive and often problematic actor within its region. This has been the case since the death of the first president of the Republic of Côte d’Ivoire, Félix Houphouët-Boigny, on 7 december 1993. under Houphouët-Boigny the country encouraged migration by opening up its borders to neighbouring countries and actively linking France to the region. However, after his death the country fell into a cycle of crises characterised by political and economic instability as a result of coups d’état and civil war. This saw the country’s influence decline in west africa and beyond.
Côte d’Ivoire’s diplomacy and foreign policy is embedded in key documents such as the country’s constitution, act 2007-669 and decree 2011-248. This is indicative of its aspirations as an influential political and economic actor in the region. since the election of President alassane Ouattara in 2011 Côte d’Ivoire has slowly re-emerged as a stable regional and international actor. The country has sought to improve relations with neighbouring states, focusing on the policy of ‘good neighbourliness’, which entails fostering regional stability and economic prosperity through dialogue. The country has re-established itself as a key player in regional forums such as ECOwas and the west african Economic and Monetary union.
On a continental level, critics had predicted that relations between Côte d’Ivoire and south africa would sour due to former president Thabo Mbeki’s support for laurent Gbagbo, Ouattara’s predecessor. However, relations between the countries have remained stable, indicating Côte d’Ivoire’s commitment to strengthening its regional and international diplomacy. However, the country also needs to strengthen its governance and economy, and improve the living standard of its people while more firmly establishing itself as an influential regional, continental and international actor.
As the mooted presidential election in the Democratic Republic of Congo (DRC) is postponed to December 2018, South Africa’s most significant engagement in post-conflict reconstruction and development (PCRD) since its return to African affairs in 1994 hangs in the balance. While South Africa has done a fairly decent job of supporting the DRC at various difficult intervals since the 1990s, the model it has pursued in that country appears to be falling short of the demands of strategic state and institution building. It is a model at the end of its resources.
This policy insights paper argues that these shortcomings are a result not only of South Africa’s inability to master the challenging political terrain in the DRC but also of Pretoria’s pushback from value-driven doctrines in its diplomacy. This severely impacts South Africa’s ideological and normative posture, particularly the manner in which it is inconsistently articulated in the political institution-building process in the DRC – a complex country with multi-layered issues and competing external and domestic stakeholders.
Inconsistent climate change policies increase the vulnerability of marginalised populations and lead to resource conflicts. A human rights-based approach can help protect the adaptive capacities of climate vulnerable populations.
Climate change raises critical issues about the linkages between human rights and the environment. With intensified natural hazards and increasingly uncertain weather conditions, more effort will be needed to safeguard the rights of vulnerable populations to be protected from hazards and to retain their capabilities to undertake their own adaptation strategies.
In order to assess how HRBA is applied to climate change it is essential to look at four specific human rights principles:
This policy brief draws on examples from Kenya and Cambodia to illustrate the opportunities and obstacles for putting HRBA into practice.
It can be difficult for subnational governments and cities to acquire a place at the negotiating table for international climate events, such as UN Framework Convention on Climate Change (UNFCCC) gatherings. This is despite the fact that subnational governments are often best placed to implement the outcomes of climate change negotiations. The role of cities in global geopolitical negotiations and agreements has been undervalued, with subnational governments dependent on national structures to carry their message forward, even as the city space gains ever greater prominence with rapid global urbanisation. Non-governmental organisations (NGOs) and local government associations (LGAs) have stepped into this often contested and politically charged space to represent the voices of subnational governments and cities on the world stage. They profile the need for co-ordinated, effective climate action at subnational level through improved vertical and horizontal co-operation with central governments and other role players in the climate action space.
Recommendations: To ensure that the targets and action measures from international climate agreements are relevant and implementable at the local scale, an institutional architecture should:
A country well-endowed in terms of population, natural resources and
geographic size, Nigeria’s post-independence foreign policy has been
marked by a near-constant striving for influence within its region and beyond. This especially resonates in the articulations of Nigeria’s foreign policy, which places Africa at the centre of its foreign engagements, its commitment to global peacekeeping operations and its efforts at mediation and development co-operation in West Africa, in particular. However, since its return to an electoral democracy in 1999, Nigeria has struggled to duplicate its assertive and activist foreign policies of the 1970s and 1980s, and its status as ‘regional
hegemon’ or ‘pivotal state’ has been called into question. Critics list numerous factors that have led to this gridlock – from a chaotic post-1999 political economy due to fluctuating oil prices and economic difficulties to the failure to deal with the Boko Haram insurgency. Compounding these maladies, a corrupt elite and docile leadership have done little to accomplish the regional goals of ECOWAS and the AU.
On a broader scale, Nigeria’s election to the UN Security Council in January 2014 bought it little clout globally, especially in light of the Jonathan administration’s inability to adequately combat Boko Haram. Furthermore, on a continental level, the demographic and economic
giant has all but lost its pre-eminence to post-apartheid South Africa as ‘the voice of Africa’, as little has been done to further evolve the country’s foreign policy past its decolonisation and anti-apartheid agenda. There is a need for strong and legitimate leadership that will build a more diversified economy and stronger institutions to drive a clean government and safeguard the rule of law. It is thus crucial that the public policymaking process be democratised, including for foreign policy. It is only by doing so that Nigeria can close the gap between its domestic realities and its regional, continental and global ambitions, and foster an interest-driven foreign policy in line with the spirit of the 1999 constitution.
In the past 15 years, South-South development cooperation (SSDC)1 and triangular development cooperation (TrC) have been growing in prominence as a result of an increase in resources, geographical reach and
diversity of approaches to new forms of development partnerships. At the same time, demands for monitoring and evaluation (M&E) are also being made by citizens, taxpayers and civil society that are engaged in SSDC
Yet, the lack of a clear and common conceptual framework makes SSDC monitoring and evaluation challenging. This problem is compounded by the evidence gaps and the low quality of data on SSDC, which is generally incomplete and unreliable, owing to weak M&E systems and overall information management in Southern partners. Development agencies among Southern partners are relatively new and still lack the seasoned M&E experience of traditional donors. Moreover, Southern partners understand SSDC in different ways, compared with a more homogeneous understanding among traditional donors. Hence, Southern partners have no comparable conceptual and methodological framework to match the Organization for Economic Co-operation and Development’s Development Assistance Committee (DAC/OECD) to guide and standardise their development cooperation M&E.
This paper provides an overview of monitoring and evaluation (M&E) practices from different institutions engaged in South-South development cooperation (SSDC) and triangular development cooperation (TrC) in Brazil, based on a literature and document review and semi-structured interviews with 13 Brazilian and international institutions.
The findings corroborate the initial hypothesis that there is no unified M&E system for Brazilian development cooperation but heterogeneous M&E practices. These practices are mainly focused on outputs and shaped by the Brazilian Cooperation Agency’s parameters as well as those of the executing institutions.
The challenges and pitfalls identified by domestic and international institutions involved in Brazil’s SSDC/TrC showed the growing awareness of the need to prioritize M&E. However, heterogeneous concepts of evaluation and diversified institutional contexts suggest that a broad and cross-sectorial debate could
enhance construction of a unified framework for Brazilian development cooperation, working hand in hand with general discussions on South-South cooperation and international development governance.
International organizations have played a crucial role in this process by supporting the diffusion and transfer of social protection policies. However, the role of South-South Cooperation partners cannot be underestimated. Brazil’s development trajectory in the last decade has drawn the world’s attention to the country’s social protection and food and nutritional security policies.
This paper aims to analyse how can trilateral cooperation (TrC) initiatives sharing Brazilian experiences in social protection contribute to the 2030 agenda. In the last decade, social protection has gained the spotlight in development cooperation. The boundaries of social protection has expanded from a narrow understanding of safety nets to potentially encompassing a broader set of policies aimed at increasing social justice and as a redistributive measure that reaffirms the social contract of the state with its citizens. Countries across Africa, Asia and Latin America have introduced regular cash transfers and other programmes to assist poor and vulnerable citizens, with positive impacts on a range of well-being indicators for millions of people.
Since its inception in 2005, the annual index produced by the Washington DC-based Fund for Peace has ranked 178 countries based on measures of their stability and the pressures they face. The vast amount of information acquisition and interpretation involved in such a project is no small task and the commendable objective of the Fragile States Index (FSI), aimed at policymakers and the wider public, is to inform political risk assessment and better policy responses. Called the Failed States Index when the IPCS last issued a report on it, the FSI has generated lively debate in South Asia and further afield. While it has received some qualified praise, it has also faced wide-ranging arguments by numerous scholarly and policy critics. The term 'failed state' and the FSI more broadly have been variously regarded as excessively biased and politicised, overly simplistic, and lacking analytical precision and predictive utility.
Colonies can be roughly differentiated into directly ruled or “settler” colonies that often reproduced systems of governance used in Europe and were administered in a highly centralized and bureaucratic form, and indirectly ruled colonies that outsourced local governance to “traditional” indigenous authorities.
This paper identifies indirect colonial rule as an important determinant of whether ethnicity becomes politically salient in the post-colonial context. First it demonstrates the existence of a cross-national relationship between indirect colonial rule and the salience of ethnicity in sub-Saharan Africa. It then identifies the effect of indirect colonial rule through a within-country natural experiment in Namibia.
Northern Namibia was indirectly ruled by German and later South African authorities, whereas southern Namibia experienced direct rule. Whether a locality in the border zone was directly or indirectly ruled was shaped by the spatial extent of direct German colonial rule at the time of an 1897 rinderpest epidemic.
Exploiting this plausibly exogenous assignment to treatment in the border zone, this paper shows that in indirectly ruled areas, today’s party system is more ethnically divided, ethnic parties do substantially better than non-ethnic parties at securing electoral support, and individuals are more likely to identify with their ethnic group than in directly ruled areas. The paper then explores potential causal mechanisms and find evidence for the importance of the legacy of institutionalized ethnic divisions in indirectly ruled areas of Namibia.
More than half of all Africans today live in functioning multi-party electoral democracies that are demonstrably freer than the military or one-party regimes that previously dominated the continent. At the same time, the post-1990 gains that African countries registered in terms of civil liberties and political rights peaked in 2006, at least according to expert judgments offered by Freedom House.
Trends of this sort around the world have led some analysts to conclude that Africa is currently part of a global democratic recession In other words, multiple things may be true. That is, democracy may seem to be declining when measured with a near-term yardstick. At the same time, democracy may be alive and well, since the continent is still far more democratic than it used to be when viewed from a longer-term perspective.
With these mixed possibilities in mind, this report emphasizes what ordinary citizens in 36 African countries think. Do they desire a democratic form of government, or what we call “demand for democracy”? By tracking 16 African countries that have had been surveyed over more than a decade, Afrobarometer has previously demonstrated a steady rise in popular demand for democracy. Yet large proportions of Africans remain skeptical that they are being “supplied” with democracy by their current political leaders. Under these conditions, do Africans continue to consider democracy to be the best available form of government? Or have global trends questioning the desirability of democracy begun to diffuse within Africa?
The topic of elites has always been controversial in Latin American social sciences. Elites have been studied indirectly as landowners, capitalists, business-leaders or politicians, and have also been approached directly using concepts and theory from elite studies. Although there is a significant amount of literature on the role of elites in democratic transformations, elites have often been considered to be an obstacle to the formation of more democratic, prosperous and egalitarian societies. This is also the case in the literature on environmental governance, in which elite groups are often considered to be an obstacle to sustainable development and an obstacle to establishing more equitable influence over the use and benefits of natural resources. Therefore, although an elitist conservation movement has long existed in Latin America, struggles to protect the environment from overexploitation and contamination have commonly been related to struggles against local, national and transnational elites by subaltern groups.
As the global development landscape continues to evolve, new and emerging actors – countries transitioning from being aid recipients to aid providers – are becoming increasingly visible on the global scene. Although the approaches, interests and resources of emerging donors are far from uniform, their increasing presence in global development – particularly in fragile and conflict-affected settings – could create new ways of thinking about foreign aid and contribute to more horizontal, equitable and efficient practices. The rise of these donors also poses challenges: their compliance with international standards in development assistance, the effectiveness of their aid and the inclusivity of their efforts have often been questioned.
Turkey’s presence in Somalia is an important example of emerging donor engagement in a conflict setting. Its involvement in Somalia intensified in response to the devastating 2010–2012 famine, but has since gone well beyond delivering aid and assistance to famine survivors. It has hosted international and regional conferences, mediated among various parties, engaged in capacity-building efforts, encouraged bilateral trade and delivered development assistance. Turkey’s engagement in Somalia has been remarkably multifaceted; it has included the Turkish government, religious institutions, nongovernmental organisations, the private sector and local municipalities. It is too early to accurately assess the impact of Turkey’s involvement on Somali institutions or to understand whether it has attenuated the conflict. Instead, this report draws on dozens of interviews in Turkey and Somalia to examine trends and challenges.
Turkey’s engagement in Somalia has distinguished itself by a readiness to deploy staff in the field despite the security risks, deference to the Somali government and a push for national ownership, as well as its involvement in the security and private sectors. However, its experience has also brought to the fore critical tensions: Will its respect for sovereignty and support to security institutions clash with norms of human rights and the inclusion of other parts of society in peacebuilding? Can this multi-pronged approach to aid be channelled toward a coherent and comprehensive peacebuilding strategy? And will these nascent aid institutions be able to weather domestic pressures in Turkey? [Authors' summary]