Data and Methods
Quantitative Data Sets
Research Project C9: Aid, Minds, Hearts: A Longitudinal Study of Governance Interventions in Afghanistan
Research project C9: Aid, Minds, Hearts: A Longitudinal Study of Governance Interventions in Afghanistan
Böhnke, Koehler, Zürcher (2017): State formation as it happens: insights from a repeated cross-sectional study in Afghanistan, 2007–2015, in: Conflict, Security & Development 17: 2.
Research Project D4: Sovereign Debt and Crisis Management in Areas of Limited Statehood: Bargaining vs. Creditor Litigation
Qualitative Data Sets
In its third funding phase (2014–2017), the research project B2 investigated, among other things, how (residual) statehood affects the effectiveness of external governance actors. This research focused on health governance, specifically on maternal and child health. In early 2016, 30 semi-structured expert interviews with relevant actors were carried out on site, such as with program managers at the British Department for International Development (DFID), the German Gesellschaft für Internationale Zusammenarbeit (GIZ), the United Nations Children’s Fund (UNICEF), Population Services International (PIS), and Save the Children. In these interviews, questions were asked about the exact description of the projects implemented by these actors between 2005 and 2015 and about the cooperation between these actors and the state bureaucracy – namely, at which points actors rely upon the state bureaucracy, how these processes evolve, what problems arise, and what workes well. The interviews are anonymized and were not recorded, but notes were taken.
In the past funding phase of this project, we investigated different normative primary sources from the Carolingian period, particularly the capitularies of the 9th century as well as texts from the early Peace and Truce of God movement (synodal acts, oath forms, historiography) of the 10th and 11th centuries. At this, we consulted mainly the available critical editions of the Monumenta Germaniae Historica or the Patroligia Latina. We also produced a Bibiliographie raisonée of the modern research literature on the Peace and Truce of God movement, which is available (password-protected) on the literature administration platform Zotero. Furthermore, various medieval manuscripts were examined and reproductions or digital versions were to some extent produced as part of this project. According to the governing conditions of the respective libraries for the reproduction of manuscripts, the reproductions are for research purposes only and not for general publication.
Manuscripts consulted as part of this research project (2010–2017):
- Berlin, Staatsbibliothek – Preußischer Kulturbesitz, MS Phill. 1736
- Berlin, Staatsbibliothek – Preußischer Kulturbesitz, MS Phill. 1743
- Cambridge, University Library, Pembroke 108
- Paris, Bibliothèque Nationale, Lat. 4404
- Paris, Bibliothèque Nationale, Lat. 4628
- Paris, Bibliothèque Nationale, Lat. 4628A
- Paris, Bibliothèque Nationale, Lat. 10753
Digitized manuscripts consulted as part of this research project (2010–2017):
- Barcelona, Archivo de la Corona de Aragón, Ripoll 40
- München, Bayerische Staatsbibliothek, Clm. 3519
- München, Bayerische Staatsbibliothek, Clm. 3853
- München, Bayerische Staatsbibliothek, Clm. 4115
- Paris, Bibliothèque Nationale, Lat. 4404
- Paris, Bibliothèque Nationale, Lat. 4614
- Paris, Bibliothèque Nationale, Lat. 4627
- Paris, Bibliothèque Nationale, Lat. 4628
- Paris, Bibliothèque Nationale, Lat. 4628A
- Paris, Bibliothèque Nationale, Lat. 4629
- Paris, Bibliothèque Nationale, Lat. 4632
- Paris, Bibliothèque Nationale, Lat. 4633
- Paris, Bibliothèque Nationale, Lat. 5278
- Paris, Bibliothèque Nationale, Lat. 10753
- Paris, Bibliothèque Nationale, Lat. 10758
- Paris, Bibliothèque Nationale, Lat. 18236
- Rom, Bibliotheca Apostolica Vaticana, Vat. lat. 1339
The archival basis of research project B13 includes material from the years 1949 to 1958. Crises and repressions, as faced by or as used by the Communist Party of China to consolidate its power in the initial years after the establishment of the People’s Republic, were the focus of the elapsed research period.
The major part of the project’s archival material comes from the city archives of Tianjin and Qingdao and includes records that provide insight into how local governments in these two cities dealt with the mass movement of migrants and refugees within the country, due to hunger or political persecution, at the beginning and end of the 1950s. Concretely, the project‘s collection includes, in addition to documents from each local government, documents concerning work units and resident committees that also provide a glimpse into the formal organization of economic ties and interactions in the early years of the People’s Republic. Due to the current political situation in the People’s Republic of China, these materials are of greatest significance. Since the new government came into office, it is trying to get control over China’s post-1949 narratives. In doing so, China’s leadership has intensified its crackdowns on academic freedom in order to safeguard its legitimacy. In this context, the country’s rulers suppress history of the 1950s in a particular way. This also means that accessibility of archive materials has now been reversed in contrast to President Xi Jinping’s predecessor Hu Jintao.
The Hundred Flowers Movement and the Anti-Rightist Campaign (1957–58) was the focus of the second half of the final phase of this research. Work with archival materials on this particular piece of Chinese history, in which at least half a million intellectuals were politically persecuted and which has been described as a “historical mistake by the Communist Party,” proved to be particularly difficult due to censorship measures. For this reason, the project‘s collection of archival material on this particular topic included resources from different research institutions in the U.S. Among them: material from the private archive of the well-known dissident and former rightist Harry Wu and the research foundation (Laogai Foundation) led by Wu, such as eye witness accounts and official government documents on forced labor camps and the “self-criticism” of rightists. The remaining material was collected from the National Archives in Washington, D.C., made up mostly of reports from secret correspondents of the U.S. in China, and from the Hoover Archives at Stanford University (eye witness accounts, secret government documents, cadre files, as well as “rehabilitation” documents of so-called rightists).
The empirical material from research project C3 is comprised of over hundred qualitative interviews on the topic of security governance in Latin America with a focus on Argentina, El Salvador, Guatemala, and Mexico (in the twentieth and twenty-first centuries; most interviewees were guaranteed anonymity). The material provides a glimpse into the different constellations of actors on the local/city level and ways in which negotiation-oriented governance configurations in the field of public security are formed (research period 1). The first research period showed that in Argentina and Mexico, the state police force and other security actors do not guarantee security, but often present as a factor in insecurity. This is also the case for El Salvador and Guatemala, which were analyzed in research periods 2 and 3. Additionally, the material illustrates the complex interactions of local, national, and international actors in the area of security governance, particularly and especially the contingent results of transnational reform processes and international security programs, which are often subsumed by local political conflicts. Additionally, the interviews conducted offer a future outlook on the role of external governance actors and the formation and local adoption of international security expertise (research periods 2 and 3). The material also provides a glimpse into the effects of security governance transfers on the local and national level (research periods 2 and 2), as well as their (limited) effectiveness. Furthermore, the material shows the effects of the historical legacy of such transfers on present-day interventions (research period 3). If interested in the questionnaires used and the interview data collected, contact Prof. Dr. Marianne Braig.
In the final research period of the SFB 700 (2014–2017), research project C6 contributed to the analysis of the consequences of governance in areas of limited statehood to both the state and the international system. The project investigated the effects of local mechanisms of appropriation or contestation in international statebuilding and governance interventions in West Africa and the Middle East. In this context, the project reconstructed the various perceptions of both local and international actors of present-day state-building efforts.
Côte d’Ivoire and Lebanon served as case studies for the collection of qualitative research data. C6 research associates Sina Birkholz (for the Lebanon case) and Tilmann Scherf (for the case of Côte d’Ivoire) completed several months of field research between 2015 and 2016 for the conduct of semi-structured and problem-centered expert interviews. In total, over 100 face-to-face interviews were carried out in both countries with relevant actors on the local as well as the international side. On the local side, interviews were conducted with government representatives of national ministries; politicians; civil society representatives; national staff members/advisors in international organizations; staff members of national administration and security agencies; and with journalists and researchers. Interlocutors on the international side included representatives of the international donor community in foreign embassies, as well as delegations; staff members of international organizations and foundations for security, peace, and development; as well as international consultants within national ministries.
Problem-centered questionnaires were developed in advance of the interviews in order to provide a structured guideline in terms of content, which could be individually and flexibly adapted to each interview (see attachment). Data results were anonymized and treated confidentially.
The database includes guided interviews conducted from 2007 to 2017 every two years in 80 villages and four districts in Takhar and Kunduz with village and district representatives. These interviews accompanied household surveys that were held in parallel to the qualitative interviews.
Team members of the SFB700-C10 project conducted qualitative fieldwork in the Central African Republic, South Sudan, and Somaliland. The data from South Sudan was gathered in November and December 2014. Data in the CAR was gathered in early 2015, early 2016, and August 2017. Data in Somaliland dates to the spring of 2015, the spring of 2016, and November 2017. The researchers utilized the methods of semi-structured interviews, actor mapping focus groups, and monthly reports. For matters of confidentiality, which are particularly pressing in conflict contexts, no interview transcripts can be made public. However, you can access the questionnaire templates below and contact Tim Glawion for anonymized information on the data gathered.
Interviews UN (2012–2016)
From 2012 to 2016, Dr. Marianne Beisheim and Dr. Nils Simon conducted a series of interviews, document analysis, and participatory observation to explore the extent to which relevant actors within the UN system are already providing meta-governance for partnerships or are calling for such endeavors. They conducted 38 in-depth interviews with relevant actors from UN agencies, civil society, business, and member states. These interviews were supplemented by participant observation during, among others, the following events: the 2012 Rio+20 Partnership Forum, UN negotiations on the 2030 Agenda/SDGs, UNDESA Expert Group Meetings, the 2016 ECOSOC Partnership Forum, and the UN High-Level Political Fora (HLPF) 2014–2017, including the HLPF Partnership Exchange.
|Interview Guideline UN|
Interviews Donors (August 2016 – April 2017)
Dr. Anne Ellersiek conducted interviews on the question if and how donors and funders support partnerships in becoming more effective and inclusive. The interviews focused on three perspectives: the perspective of (1) donor governments that (co-)finance and support partnerships through specific partnership programs and facilities, (2) multilateral donors and funders, e.g. the World Bank, and (3) private foundations. The interviews generated insights into the donors’ and funders’ perspectives on partnerships and their conditions for success. Additional document analyses, primarily of program evaluations, provided preliminary answers to the question to what extent donors and funders have already translated existing experiences into meta-governance frameworks for partnerships.
|Interview Guideline Donors|
Interviews Kenya (October 2015 – January 2016)
Lukas Goltermann and Pauline Kiamba conducted interviews in Kenya to explore if and how national-level meta-governance guides and supports water partnerships. To this effect, the empirical analysis targeted two water partnerships: Water and Sanitation for the Urban Poor (WSUP) and the Kenyan Water Partnership (KWP). The interviews were conducted with key actors in the selected partnerships and with government representatives as well as with local private actors who worked in collaboration with the given partnerships. The interviews yielded valuable insights into both actors’ perspectives on these partnerships, as well as relevant factors for success of the partnerships, and (non-)existent meta-governance and the rather fragmented nature of the institutional framework conditions provided for partnerships in the Kenyan context.
|Interview Guideline Kenya|
Interviews Private Governance (April 2013 – October 2015)
Lili Mundle investigated how a private meta-governance organization, the ISEAL Alliance, supports its members, i.e. standard-setting partnerships. In 2015, she and Dr. Lars Berger focused on the interaction between the ISEAL Alliance and the Alliance for Water Stewardship (AWS). Together, they conducted 16 interviews, supplemented by observations made, among others, during the 2015 ISEAL Global Sustainability Standards Conference. This material was complemented by observations made during the 2013 World Water Week, the 2014 World Water Congress, and the 2015 World Water Forum. The generated findings shed light on the added value of meta-governance and guidance on standard-setting as provided by ISEAL for the work of AWS.
|Interview Guideline ISEAL|
Interviews East Africa and South Asia (2011–2012)
Johanna Sarre carried out extensive field research on the activities of four select partnerships (GAIN, GAVI, WSUP, and REEEP) in Kenya and Uganda from January to May 2011 and January to April 2012. Apart from interviews with project staff, stakeholders, and beneficiaries, her research was informed by a series of field visits to project sites in and around Nairobi, Naivasha, Kajiado, Kibwezi, and Kisumu (Kenya), as well as Kampala, Jinja, Entebbe, Pakwach, Kinyara, and Kiira (Uganda).
In spring and autumn of 2011, Hannah Janetschek carried out field research on 18 select projects from four partnerships (GAIN, GAVI, REEEP, and WSUP) in South Asia and in the federal states of Kerala, Karnataka, Andhra Pradesh, Madhya Pradesh, Rajasthan, New Delhi, and West Bengal in India. Another round of research trips to Dhaka City gathered data on partnership operations in Bangladesh.
Contact: Andrea Liese, firstname.lastname@example.org
Interviews on 21 Transnational Partnerships (2007–2009)
In the first part of the project, we mapped 21 select partnerships in the areas of environment, health, and social rights, which strive to implement the Millennium Development Goals in areas of limited statehood. We conducted interviews with the various members of each partnership and with stakeholders and experts in the field. Systematic case studies allowed us to test hypotheses deduced from the International Relations literature, in particular from theories of international cooperation and compliance. For example, we assessed the degree of institutionalization of different partnerships. Moreover, in terms of effectiveness, we examined whether members complied with the rules of standard-setting partnerships and/or whether service partnerships attained their own objectives. The results of the case studies were then coded for further analysis.
Research project D8 conducted 150 semi-structured expert interviews with staff members from the following seven international and regional organizations: European Civil Protection and Humanitarian Aid Operations (ECHO), the Food and Agriculture Organization of the United Nations (FAO), the Inter-American Development Bank (IDB), the Inter-American Institute for Cooperation on Agriculture (IICA), New Partnership for Africa’s Development (NEPAD), the World Food Programme (WFP), and the World Bank (WB). In 2015, we then conducted interviews at the headquarters of international organizations (approx. 80 interviews). As a second step in 2016, we conducted approx. 70 interviews with staff members from international organizations in five select countries (Côte d’Ivoire, Haiti, Colombia, Niger, and Sierra Leone). The interviews were held in English, French, and Spanish.
We spoke with staff members of international organizations (IOs) about their experiences in areas experiencing different degrees and types of limited statehood. Our primary research interest was in determining how different organizations saw their own role and which opportunities and challenges they perceived in their work in areas of limited statehood. In particular, we asked about perceptions of different contexts of statehood. We were also interested in the form and way in which international organizations implemented projects (for example, with which partners they worked; which factors influenced partner selection etc.). The following made up the different thematic blocks in the interview guidelines: statehood, governance, organizational environment (role of IOs compared to other governance actors), transnational guidelines, the interaction between headquarters and country offices, as well as processes of organizational learning. From a total of six thematic blocks, we focused primarily on statehood and governance.
All conversation partners were assured that the interviews would be treated with the upmost care and confidentiality, and that attribution of statements made in the interview to individual respondents would be prevented as much as possible.
Research project D9 conducted a comparative study of the inclusion of indigenous groups in state governance in Sonora (Mexico) and Araucanía (Chile) from approx. 1750 to 1900. The documents were largely photographed on site or copies were made. This work was performed by researchers Mónika Contreras Saiz and Lasse Hölck. The archival material is quite heterogenous and contains hand-written missionary reports, military informational sources, maps, letters from colonial officials, census results, and illustrations.
The following archives were visited for the Sonora case study:
- Archivo General de las Indas (Sevilla)
- Archive General de la Nación (Mexico D.F.)
- Archivo General del Estado de Sonora (Hermosillo)
- Archivo Parroquial de Hermosillo
- Bancroft Library (Berkeley)
- University of Arizona Special Collection
The following archives were visited for the Araucanía case study:
- Archivo General de Indias
- Archivo Franciscano de Chile, Chillán
- Archivo Nacional de Chile
- Archivo General de la Nación (Argentina)
- Archivo Regional de la Araucanía
Empirical research was conducted on external actors’ approaches to national ownership in the context of Security Sector Reform (SSR) interventions in Mali. From June 2015 to December 2016, qualitative interviews were conducted with respondents from international organizations, national ministries, and civil society organizations in Mali’s capital Bamako, where most international field headquarters were located. In late 2016, visits were also made to headquarters in Geneva (Geneva Centre for the Democratic Control of Armed Forces, DCAF) and Brussels (EUCAP Sahel Mali/EUTM Mali), and a Skype interview was conducted with a representative of the United Nations Department for Peacekeeping Operations (DPKO) in New York. Additionally, interviews with representatives of regional research institutions were conducted in Accra, Ghana. In total, ca. 100 interviews and background discussions were held. On average, interviews lasted ca. 1-1.5 hours, with only a small number of interviews limited to 30-45 minutes, others lasting as long as 2.5 hours. Most interview partners in Bamako were in office for the entire duration of the research period and could be interviewed repeatedly. During the interviews, open-ended guiding questions were asked about the role of each respective organization in the SSR process, about organizational working routines and practices, about modes of engagement with national counterparts, about perceptions of the organizational environment, and about developments and events that were perceived as important for organizational prioritization of actions. Research participants provided narrative accounts of their project experience and of their approaches to the conceptual principles of the SSR policy framework in day-to-day implementation. All data generated from the interviews has been anonymized, in order to guarantee the privacy of all research participants.
The data contains verbatim transcripts from expert interviews conducted as part of the PhD thesis project entitled “The Effects of International Peace Missions on Corruption.” The interviews were conducted during field research in Kosovo, Croatia, Côte D’Ivoire, and Sierra Leone. The names and identifying details of interviewees were anonymized.
Research Project C2: Variances and Consequences of Territorial Control by Non-State Actors