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Working Papers - 1988 (#103 - #116)

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Please also note, biographical information was current at publication date.

Torn Between Authoritarianism and Crisis-Prone Democracy: The Dominican Labor Movement

Rosario Espinal

Working Paper #116 - December 1988


This paper examines the role of labor in the transition to democracy in the Dominican Republic. The author begins with a brief overview of the problematic status of labor in recent transition studies. Labor has tended to play a secondary role in Latin America's recent transitions, and several factors have been suggested to account for this: the supremacy of powerholders in engineering and directing the transition; the ephemeral nature of popular upsurges against the authoritarian regime; reliance on pacts that undermine popular involvement. The author also emphasizes the general weakness of Latin American labor movements themselves and the pressures of economic conditions adverse to labor. She argues that the weakness of the Dominican labor movement in particular and its limited impact in shaping the new democracy is related to Dominican labor's high degree of dependence on political parties and its "victimization" by intra-party rivalries. Together with low levels of unionization and detrimental economic conditions, this subordination to parties has worked against labor's incorporation into bargaining structures. However, the argument concludes, in the Dominican Republic as elsewhere, even when the labor movement is relatively weak, an unresolved labor question tends to produce a crisis prone democracy.


Este trabajo analiza el papel que desempeñó la clase trabajadora en la transición a la democracia en la República Dominicana. La autora comienza con una breve consideración general del estado problemático de la clase trabajadora en estudios recientes de la transición. La clase trabajadora ha tendido a jugar un rol secundario en las recientes transiciones en Latinoamérica y ésto se ha atribuído a varios factores: la supremacía de los que sostienen el poder en el planeamiento y la dirección de la transición; la naturaleza efímera de las revueltas populares en contra del régimen autoritario; la dependencia en pactos que desaniman la participación popular. La autora enfatiza también la debilidad general de los movimientos laborales en Latinoamérica y las presiones de las condiciones económicas adversas a las clases populares. La autora arguye que la debilidad del movimiento laboral dominicano en particular y su limitado impacto en la formación de la nueva democracia está relacionado con el alto grado de dependencia de las clases laborales dominicanas en los partidos políticos y su "victimación" por rivalidades entre partidos. Sumado a los bajos niveles de sindicalización y a las condiciones económicas desventajosas, esta subordinación a los partidos ha dificultado la incorporación de la clase trabajadora dentro de las estructuras de negociación. Sin embargo, se concluye que en la República Dominicana como en todas partes una cuestión laboral no resuelta, aún cuando el movimiento laboral es relativamente débil, tiende a producir una democracia propensa a las crisis.

Rosario Espinal is Assistant Professor of Sociology at Temple University. She has been a guest researcher at the Swedish Institute for Social Research at the University of Stockholm, a faculty fellow at the Kellogg Institute (fall semester, 1986), and a visiting fellow at St. Antony's College, Oxford. She is co-author of Democracia y Proyecto Socialdemócrata en República Dominicana (Santo Domingo: Editora Taller, 1986) and author of Autoritarismo y Democracia en la Política Dominicana (San José: CAPEL, 1987).

The author wishes to acknowledge gratefully the hospitality of the Kellogg Institute during 1986-87 when she had the opportunity to participate in numerous discussions related to the topic of this paper. She thanks Guillermo O'Donnell, Samuel Valenzuela, Catherine Conaghan, and Frances Hagopian for their support and encouragement, and also wants to thank Sherri Grasmuck, her colleague at Temple University, for her comments and suggestions. This paper was first presented at the conference "Labor Movements in Transitions to Democracy," sponsored by the Kellogg Institute with support from the National Endowment for the Humanities, Arthur F. O'Neil, and the International Development and Research Centre, and held at the University of Notre Dame, April 26-28, 1988.

Toward an Institutional Analysis of State Socialism

David Stark and Victor Nee

Working Paper #115 - December 1988


Twenty years of experience with economic reforms in Hungary and a decade of experimentation with reforms in China provide a critical mass of evidence for analyzing the problems endemic to centrally planned economies and the dilemmas faced in efforts to transform them. This paper surveys recent theories of state socialism and argues that the paradigms of totalitarianism and modernization theory are being replaced by a new perspective that changes the focus from ideology and technology to economic institutions and social groups. Whereas the earlier state-centered political sociology of socialist societies was preoccupied with party-state elites, research findings from the new perspective point to the relative autonomy of society as the activities of subordinate social groups place limits on the power of state elites. In reflecting on the Chinese and East European experiences, the paper traces a shift from conceptions of reform as a mix of planning and markets within the state sector to a mix of public and private ownership forms.


Veinte años de experiencia con reformas económicas en Hungría y una década de experimentación con reformas en China proveen una masa crítica de evidencia para analizar los problemas endémicos de las economías centralizadas y los dilemas confrontados en los esfuerzos por transformarlas. Este trabajo considera las teorías recientes del socialismo de estado y arguye que los paradigmas del totalitarismo y de la teoría de la modernización están siendo reemplazados por una nueva perspectiva que enfatiza las instituciones económicas y los grupos sociales en vez de la tecnología y la ideología. Mientras que la anterior sociología política de las sociedades socialistas estaba preocupada con las elites del partido-estado, investigaciones basadas en la nueva perspectiva indican la relativa autonomía de la sociedad ya que las actividades de grupos sociales subordinados establece los límites sobre el poder de las elites del estado. Al reflexionar sobre las experiencias de China y de Europa del Este, el trabajo traza este cambio de concepciones: ya no la reforma considerada una mezcla de planeamiento y de mercados dentro del sector del estado sino una mezcla de formas de propiedad públicas y privadas.

David Stark received his Ph.D. from Harvard University and is currently Assistant Professor of Sociology at the University of Wisconsin. His research in the field of economic sociology on problems of work and organization in capitalist and socialist economies has appeared in American Sociological Review, Politics and Society, and Theory and Society, with publications abroad in Actes de la recherche en sciences sociales, Soziale Welt, and Stato e mercato.

Victor Nee received his Ph.D. from Harvard University and is Professor of Sociology at Cornell University. He has written a book on Asian immigrants in the United States, Long Time Californin' (Stanford University Press), and several books on China, including The Politics of the Cultural Revolution (Monthly Review Press). He recently edited a book on party cadres in China, and is a frequent contributor to various journals, among them American Sociological Review. He completed an analysis of rural entrepreneurship in China, based on a random sample survey.

This paper is the lead essay in Remaking the Economic Institutions of Socialism: China and Eastern Europe, David Stark and Victor Nee, editors (Stanford University Press, 1989).

It is the product of the authors' joint and equal efforts. They thank Laszlo Bruszt, Paul Dimaggio, István Gábor, Daniel Kleinman, and Martin Whyte for their careful reading and criticism of an earlier draft, and give special thanks to Monique Djokic for critical suggestions at various stages of conceptualizing the paper.

The Church and the Abertura in Brazil, 1974-1985

Ralph Della Cava

Working Paper #114 - November 1988


This paper examines the Catholic Church's interaction with Brazilian society from the military coup of 1964 through the years of repression and the long process of the abertura up to the inauguration of the New Republic in 1985. The author emphasizes the changing nature of the Church's role in the abertura, and outlines the history of the "People's Church" during this period, in particular the proliferation of the Comunidades Eclesiais de Base. The concluding section analyzes the turn to a conservative restoration within the Church in relation to the question of the durability of the CEBs.


Este trabalho examina a iteração da Igreja Católica com a sociedade brasileira desde o golpe militar, passando pelos anos de repressão e pelo longo processo de "abertura", até a inauguração da Nova República em 1985. O autor enfatiza a natureza variável do papel da Igreja na "abertura" e traça um perfil da história da "Igreja do Povo" durante esse periodo e, em particular, da proliferação das Comunidades Eclesiais de Base (CEBs). Na conclusão, o autor analisa a restauração conservadora que se dá no interior da Igreja no que diz respeito à continuidade das CEBs.

Ralph Della Cava is Professor of History at Queens College, the City University of New York. With Dr. Paulo Montero of the University of São Paulo, he is Co-Director of a three-year research project on "Catholicism and Society in Post-War Brazil," sponsored by the Pontifical Catholic University of Brazil with grants from The Ford Foundation and the Tinker Foundation, Inc.

Issues in the Consolidation of Democracy in Latin America and Southern Europe in Comparative Perspective-A Rapporteurs' Report:

Timothy Power and Nancy Powers

Working Paper #113 - October 1988


On April 24 and 25, 1987, the Kellogg Institute and the Social Science Research Council sponsored a working meeting at the University of Notre Dame on "Issues in the Consolidation of Democracy in Latin America and Southern Europe in Comparative Perspective." Participants explored the possibilities for comparing developments in the new Latin American democracies with trends in Greece, Portugal, Spain, and Turkey. The meeting was co-chaired by Guillermo O'Donnell of the Kellogg Institute and Philippe C. Schmitter of Stanford University; this paper synthesizes the main discussions and debates of the Notre Dame meeting.


El 24 y 25 de abril de 1987, el Kellogg Institute y el Social Science Research Council auspiciaron el encuentro "Problemas de la consolidación de la democracia en Latinoamérica y en el sur de Europa: una perspectiva comparativa," que se llevó a cabo en la University of Notre Dame. Los participantes exploraron las posibilidades de comparar los desarrollos de las nuevas democracias en Latinoamérica con las tendencias en Grecia, Portugal, España y Turquía. El encuentro fue co-presidido por Guillermo O'Donnell del Kellogg Institute y por Philippe C. Schmitter de la Stanford University; este trabajo sintetiza las discusiones y los debates centrales del encuentro en Notre Dame.

The authors (no relation) are doctoral candidates in the Department of Government and International Studies at the University of Notre Dame. Timothy Power is a 1984 graduate of the University of Massachusetts at Amherst, and received an M.A. in Latin American Studies from the University of Florida in 1986. His dissertation at Notre Dame dealt with the role of the political right in the recent transition to democracy in Brazil. Nancy Powers graduated with honors from Kenyon College in 1983. Before entering graduate school, she was a legislative aide in the Ohio General Assembly for three years. She specializes in the fields of comparative and American politics.

The authors would like to thank Guillermo O'Donnell, Caroline Domingo, and Erika Valenzuela for their valuable assistance in this project. They are also grateful to various participants in the meeting for their constructive comments and criticisms.

The Magical State: History and Illusion in the Appearance of Venezuelan Democracy

Fernando Coronil

Working Paper #112 - October 1988


This paper offers an interpretation of the transition to democracy in Venezuela by examining the orchestration of several coups d'état which were instrumental in the consolidation of dictatorial rule between 1948 and 1957 and in its overthrow in 1958. A critique of the application of the concept of Bonapartism to Venezuela by social scientists and local actors is used to highlight the distinctive ideological forms and social relations that characterize politics in a neocolonial rentier society. By exploring the interplay between forms of representing political power and of organizing economic activity, the author develops the argument that the democratization of Venezuelan political life was intimately related to the transformation (Gómez period onwards) of Venezuela into an oil nation.


Este trabajo ofrece una interpretación de la transición hacia la democracia en Venezuela al examinar la orquestación de varios golpes de estado que fueron instrumentales en la consolidación del régimen dictatorial entre 1948 y 1957 y en su derrocamiento en 1958. Una crítica de la adaptación del concepto de Bonapartismo al caso venezolano por científicos sociales y actores locales es usada para destacar las formas ideológicas y las relaciones sociales distintivas que caracterizan la política en una sociedad neocolonial rentier. Al explorar la interacción entre las formas de representar el poder político y de organizar la actividad económica, el autor desarrolla el argumento de que la democratización de la vida política venezolana estuvo íntimamente relacionada a la transformación de Venezuela (del período de Gómez en adelante) en una nación petrolera.

Fernando Coronil earned his doctorate in Anthropology and was William Rainey Harper Instructor at the University of Chicago. He has recently been elected to the Michigan Society of Fellows and received a joint appointment as Assistant Professor in the History and Anthropology Departments at the University of Michigan. During the fall of 1987 semester he was a Residential Fellow at the Kellogg Institute.

He worked on a book on state formation in Venezuela and carried out research concerning presidential politics and popular religion in Venezuela.

What are the Newly Literate Reading in Cuba?
An "Individualist" Memoir

Anthony Kerrigan

Working Paper #111 - August 1988


This paper focuses on the availability of literature in present-day Cuba. The experience was gleaned in situ by the author, brought up in Cuba from the near in utero age of nine months (after conception in Panama) through adolescence, followed by later study at the University of Havana. He was soon a Communist Party member in his own right (pre-Castro). This piece was largely penned after a recent return visit to a Cuba declared (from the top down) to be Communist. The methodology (dictionary definition: "a particular procedure, or set of procedures") was based on the use of the five senses plus, perhaps, the use of a sixth sense based on having lived the life of the Left, first as a Stalinist, then as a Trotskyist (who volunteered for the POUM battalion in the Spanish Civil War), and finally with a youthful position akin to that of philosophical anarchism, doubtless based on a much berated "individualist" bent-Black rather than Red. Albeit reportage, the piece is based on lived experience, and is as "scientific" as any evidence adduced from seen and felt facts, a checking of the senses-the point of departure for all science. It is an idiosyncratic view, necessarily, but there is no element of fiction in this novella-of-oneself facing the somewhat hallucinatory phenomena of a closed society.


Este trabajo trata del acceso que tiene el ciudadano en la Cuba actual a obras literarias de calidad. La experiencia en que se basa fue recabada in situ por el autor, quien vivió y se educó en Cuba desde la edad casi in utero de nueve meses (después de su concepción en Panamá) hasta la adolescencia. El autor después siguió estudios superiores en la Universidad de Habana y muy pronto se hizo miembro del Partido Communista por cuenta propia (en la época pre-Castro). El trabajo fue compuesto después de un reciente viaje de regreso realizado por el autor a una Cuba declarada (desde arriba) comunista. La metodología (definición en el diccionario: "un procedimiento particular, o conjunto de procedimientos") se basa en el uso de los cinco sentidos más, quizás, el uso de un sexto sentido, producto de haber vivido el autor una vida de izquierda, primero como stalinista, después como trotskista (voluntario del batallón del POUM en la guerra civil española), llegando finalmente el autor a una juvenil posición cercana a la del anarquismo filosófico, derivada sin duda de una marcada tendencia "individualista" (negro antes que rojo) reprendida y calumniada según la voga de todo "progre." Si bien se trata de un reportaje, el trabajo se basa en la experiencia vivida y es tan "científico" como cualquier evidencia aducido de lo visto y lo sentido, de un registro de los sentidos, punto de partida éste de toda ciencia. Es, necesariamente, un punto de vista idiosincrático, pero no existe elemento de ficción en esta novela-de-uno-mismo (vease Unamuno) de un undividuo que confronta los fenómenos un tanto alucinatorios de un mundo social cerrado.

Anthony Kerrigan has spent a total of fourteen years in Cuba and thirty-five years in Europe, mostly in Spain and Ireland, and has published widely in the last two countries as a steady contributor to journals and as an editor of Goya (Spain's leading art magazine). His work has been translated into Spanish, French, Hebrew, and Hungarian, and his translations of Borges have been re-translated into Gaelic (Irish). He has published three books of poetry and translated over fifty books, winning the National Book Award for a seven-volume edited, annotated, and translated edition of Unamuno (The Tragic Sense of Life and six other volumes, Princeton). Inter alia he has taught at SUNY (Buffalo) and the University of Illinois (Chicago). He translated, annotated, and wrote the introduction to Ortega y Gasset's The Revolt of the Masses (Foreword by Saul Bellow) for the University of Notre Dame Press. His latest book is a translation of a novel by Arrabal, with a Foreword (Viking Penguin), and he has just been awarded an unsolicited National Endowment for the Arts Senior Fellowship in Literature "for an extraordinary contribution to American letters over a lifetime of creative work."

This paper was presented in part at a special assembly of the Kellogg Institute, and variants of the report have been presented at the Universities of Chicago and Virginia, Boston and Western Michigan Universities, and Macalaster College. The author thanks Caroline Domingo, Denis Goulet, Albert LeMay, and Rafael Tarragó for their helpful suggestions.

Macrotheories, Microcontexts, and the Informal Sector: Case Studies of Self-Employment in Three Brazilian Cities

Leo A. Despres

Working Paper #110 - September 1988


Economists as well as anthropologists have seriously questioned the empirical validity of the dual economy paradigm. Indeed, the evidence is overwhelming that while formal and informal sector enterprises may be differentiated in terms of their capitalization, organization, labor processes, market penetration, and the like, it is generally the case that these differentiated enterprises are structurally articulated within a centralized political economy. Accordingly, three macrotheories have been offered to explain the structural articulation of formal and informal sector developments. One theory, that of modernization, suggests that informal sector developments are a temporary by-product of migratory flows of unskilled labor that have been set in motion by rapid urban industrialization. The other two theories, both Marxist or neo-Marxist in conception, consider informal sector developments to be primarily the result of economizing production strategies. According to one of these theories, firms in the formal sector seek to depress wages by maintaining a reserve of surplus labor and, thus, they force into the informal sector large numbers of unemployed or underemployed workers. In the alternative view, firms in the formal sector seek to lower costs or free up capital by contracting out to the informal sector high risk or marginal processes. While one or more of these macrotheories may assume some degree of general validity in reference to the organization of global or national economies, none of them proved to be particularly illuminating with respect to the case studies discussed here, drawn from urban economies in three different regions of Brazil-specifically Manaus in Amazonas, Juiz de Fora in Minas Gerais, and Joinville in Santa Catarina.


Economistas e antropólogos têm questionado muito seriamente a validade empírica do paradígma da economia dualista. Realmente, existem provas avassaladoras de que enquanto as empresas dos setores formais e informais podem ser diferenciadas em têrmos de sua capitalização, organização, processos de trabalho, penetração no mercado, lucratividade, acumulação de capital, etc., o fato é que estas empresas diferenciadas estão estruturalmente articuladas dentro de uma economia políticamente centralizada. Assim sendo, três macroteorias tem sido propostas para explicar a articulação estrutural dos desenvolvimentos dos setores formal e informal. Uma delas, a da modernização, sugere que os desenvolvimentos do setor informal são o resultado temporário de fluxos de migração de trabalho não especializado que foi posto em movimento por um rápido processo de industrialização urbana. As outras duas teorias, a marxista e a de concepção neo-marxista, consideram os desenvolvimentos do setor informal como sendo o resultado primário de estratégias econômicas de produção. De um lado, firmas do setor formal buscam reduzir os salários pela manutenção de uma reserva de mão-de-obra e, assim, elas forçam para o setor informal um grande número de trabalhadores não-empregados ou sub-empregados. Ou, alternativamente, firmas no setor formal buscam baixar os custos ou liberar capital pela contratação no setor informal com altos riscos e processos marginais. Se uma ou mais destas macroteorias pode ter algum gráu de validade em referência a organização de economias globais ou nacionais, nenhuma delas é particularmente clara no que diz respeito aos estudos de caso derivados de economias urbanas de três diferentes regiões do Brasil, especificamente: Manaus no Amazonas; Juiz de Fora em Minas Gerais; e Joinville em Santa Catarina.

Leo A. Despres is a fellow of the Kellogg Institute and Professor of Anthropology at the University of Notre Dame. His research focuses mainly on social, economic, and political developments in Latin America and the West Indies. His major publications include Cultural Pluralism and Nationalistic Politics in British Guiana and Ethnicity and Resource Competition in Plural Societies. His research involves a study of urban industrialization and working-class culture in three Brazilian cities.

The data discussed in this paper were collected in the cities of Manaus (Amazonas), Juiz de Fora (Minas Gerais), and Joinville (Santa Catarina). Fieldwork in Manaus was conducted in 1984 in association with the Instituto Universitario de Pesquisas do Rio de Janeiro and with the support of a grant provided by the National Science Foundation. Fieldwork in Juiz de Fora and Joinville was done in 1986 under the terms of a Fulbright award made to the author and to the Centro de Estudos de Cultura Contemporânea (São Paulo) by the U.S. Council for International Exchange of Scholars and the Commisão para o Intercâmbio Educacional entre Os Estados Unidos da América e O Brasil. The author would like to thank Drs. Regis S. de Castro Andrade, Paulo J. Krischke, and other colleagues at CEDEC in São Paulo as well as colleagues at the Kellogg Institute for their helpful comments on various drafts of this paper.

Capitalists, Technocrats, and Politicians: Economic Policy-Making and Democracy in the Central Andes

Catherine M. Conaghan

Working Paper #109 - May 1988


This paper examines the interactions among business interests groups, political parties, and government economic teams in Bolivia, Ecuador, and Peru since their return to civilian rule. The central argument is that business interest groups favored the transition to democracy in order to reestablish their influence over macroeconomic policy-making. Yet, the push for economic orthodoxy in the 1980s has resulted in a "sealing off" of government economic teams from the pressures of domestic groups, including the business community. Thus capitalist classes continue to experience a crisis of representation even under democratic regimes.


Este ensayo examina las interacciones entre las asociaciones empresariales, los partidos políticos y los equipos económicos de los gobiernos de Bolivia, Perú y Ecuador desde sus respectivos retornos a regímenes democráticos. El argumento principal es que los grupos empresariales favorecieron la transición a la democracia con el fin de reestablecer su influencia sobre el diseño de la política macro-económica. Sin embargo, la tendencia a la ortodoxia económica en la década de los ochenta ha dado como resultado el que los equipos económicos de los gobiernos se cierren a las presiones de los grupos de interés, incluyendo a las asociaciones empresariales. Así los sectores capitalistas siguen sufriendo una crisis de representación, aún dentro de los regímenes democráticos.

Catherine M. Conaghan is a Queen's National Scholar and Assistant Professor in the Political Studies Department of Queen's University at Kingston, Canada. She received her Ph.D. from Yale University in 1983 and served as a faculty fellow at the Kellogg Institute in 1986. She is the author of Restructuring Domination: Industrialists and the State in Ecuador (University of Pittsburgh Press, 1988).

This essay is a summary of current findings from a comparative study of private sector associations and economic policy-making in Peru, Bolivia, and Ecuador undertaken by the author in collaboration with James Malloy (University of Pittsburgh) and Luis Abugattas (Universidad del Pacífico, Lima). The author gratefully acknowledges the comments made on an earlier version by Frances Hagopian, Ernest Bartell, Guillermo O'Donnell, and Caroline Domingo.

Foreign Trade and Income Distribution: The Case of Brazil

Benedict J. Clements and Kwan S. Kim

Working Paper #108 - March 1988


This paper uses a modified input-output model simulation to examine the effects of alternative trade strategies on income distribution in Brazil. The strategies under consideration are export expansion, import substitution, and expansion of the nontradable sector. The main results show that export expansion does produce a more equal income distribution than the alternative strategies, but only slightly more so. In particular, the income generated through production of industrial goods exports-the fastest growing segment of Brazilian exports-is not much more equally distributed than that generated by other strategies.


Este trabajo emplea una simulación de modelo de insumo/producto para examinar los efectos de estrategias alternativas del comercio exterior sobre la distribución de ingresos en Brasil. Las estrategias puestas a consideración son: la expansión de exportaciones, sustitución de importaciones y la expansión del sector no comerciable. Los resultados principales muestran que la expansión de exportaciones produce una distribución de ingresos más equitativa que las estrategias alternativas, pero solo ligeramente. En particular, el ingreso generado mediante la producción de productos industriales de exportación-el segmento de exportaciones brasileñas de más rápido crecimiento-no es mucho más equitativamente distribuido que aquellos generados por medio de otras estrategias.

Benedict J. Clements is Assistant Professor of Economics at Providence College, Providence, Rhode Island. Among his research interests are stabilization policy in Latin America and the impact of trade and development strategies on poverty and income distribution.

Kwan S. Kim is Professor of Economics and faculty fellow of the Kellogg Institute at the University of Notre Dame. He has served as an economic consultant for governments of developing countries and for international agencies. He has published extensively in the areas of trade and development, and planning and industrialization, with a special interest in East Africa, East Asia and, recently, Mexico. He is editor of Papers on the Political Economy of Tanzania and Debt and Development in Latin America, and his writings include Política industrial y desarrollo en Corea del Sur (Mexico City: NAFINSA and UNIDO, 1985).

The authors would like to acknowledge the financial and institutional support of the Zahm Travel Fund, the Kellogg Institute, and the Instituto Brasileiro de Pesquisas Sociais in Rio de Janeiro. Thanks are also due to Helson C. Braga for helpful comments on an earlier draft of this paper. These organizations, institutions, and individuals are not, of course, responsible for any errors or omissions in the text.

Political Parties and Democratization in Brazil and the Southern Cone
-A Review Essay-

Scott Mainwaring

Working Paper #107 - May 1988


This paper reviews some recent analyses of political parties in Brazil, Argentina, Chile, and Uruguay, noting that, for the first time ever, a substantial corpus of important works on this subject has emerged. The central theme is that parties have historically related to the state and civil society in markedly different ways in these four countries. Parties have been fundamental political actors in Chile and Uruguay, but have been less important in Argentina and Brazil. Because parties have not always been central actors in the Latin American political process, many accounts of politics in the region assumed that differences between parties and party systems were relatively unimportant. This paper argues, to the contrary, that parties and party systems are of fundamental importance in understanding the political processes of the four countries in question. The differences in the nature and function of parties help explain different patterns of authoritarian rule, as well as differences in the transitions to democracy and the dilemmas and opportunities facing the new democratic governments in Argentina, Brazil, and Uruguay.


Este trabajo reseña análisis recientes de los partidos políticos en Brasil, Argentina, Chile y Uruguay, señalando que, por primera vez, ha emergido un corpus sustancial de obras importantes sobre este tema. Su tema central indica que los partidos se han relacionado con el estado y la sociedad civil en formas marcadamente diferentes en estos cuatro países. Los partidos han sido actores políticos fundamentales en Chile y Uruguay, pero han tenido menos importancia en Argentina y Brasil. Como los partidos no han sido siempre actores centrales en el proceso político latinoamericano, muchos estudios sobre éste han asumido que las diferencias entre los partidos y los sistemas de partidos son relativamente poco importantes. Este ensayo argumenta, sin embargo, que los partidos y sus sistemas son de una importancia fundamental para entender los procesos políticos de los cuatro países en cuestión. Las diferencias en la naturaleza y función de los partidos ayudan a explicar las características diferentes de los regímenes autoritarios, las diferencias en las transiciones hacia la democracia, y los dilemas y oportunidades que confrontan los nuevos gobiernos democráticos en Argentina, Brasil y Uruguay.

Scott Mainwaring is Assistant Professor of Government and member of the Kellogg Institute at the University of Notre Dame. He is the author of The Catholic Church and Politics in Brazil, 1916-1985 (Stanford University Press, 1986), as well as many articles on the Catholic Church, social movements, and transitions to democracy in Latin America. He wishes to acknowledge the helpful suggestions of Caroline Domingo, Kenneth Erickson, Margaret Keck, Karen Remmer, Juan Rial, Timothy Scully, Ezra Suleiman, Samuel Valenzuela, and Alexander Wilde.

This paper was published in the October 1988 issue of Comparative Politics, Volume 21, No. 1.

Tasks and Methods in Development Ethics

Denis Goulet

Working Paper #106 - February 1988


Growth paradigms of development are now widely criticized as anti-developmental because they bring benefits to few while keeping the masses poor, and destroy valuable cultures. Some critics repudiate development altogether. Most international institutions and national planning agencies still follow old models, however, although they modify them under the rubric of "structural adjustment." Yet a new model is in gestation, which raises basic value questions about the good life, the just society, and the right stance toward nature. Modern conditions, characterized by large scale, complex interdependencies among all social systems, and the extreme rapidity of change, render ancient answers to these normative questions obsolete. The ancient answers were framed in static environments marked by slow change, high degrees of isolation of one system from another, and small scale. Clearly, what is now needed to create a modern development ethic is critical dialogue between ancient wisdoms and modern sciences. In the past, ethics has not successfully answered normative questions posed by economics. A new approach is needed: an ethic as "means of the means," that is, a strategy in which ethics formulates its norms from within the constraints faced by those who wield economic policy instruments. Ethics is to lay bare value gains and losses attendant upon diverse policy choices, and establish criteria for determining which value sacrifices an affected population will tolerate. Four areas of ethical discourse are analyzed to show where ethics may engage politics, economics, and other technological rationalities to forge working strategies for problem-solving. The tasks of ethics are to devise value strategies in development, and to keep hope alive in a world where rational calculations of probable developmental success would lead to despair.


Los paradigmas de crecimiento en la teoría del desarrollo son ahora ampliamente criticados como anti-desarrollistas a causa de conllevar beneficios a unos pocos mientras dejan a las masas probres, y destruyen culturas valiosas. Algunos críticos repudian totalmente el desarrollo. La mayoria de las instituciones internacionales y de las agencias de planeación nacional todavía siguen viejos modelos, aunque sin embargo los han modificado etiquetándolos como "ajuste estructural." Con todo, un nuevo modelo está en gestación, cuestionando los valores básicos acerca de la calidad de la vida, la sociedad justa y la postura apropiada respecto la naturaleza. Dándose condiciones modernas, las viejas soluciones ya no sirven, son obsoletas a tales cuestiones normativas, de ahí la necesidad de una ética moderna del desarrollo y por lo tanto la necesidad de un diálogo entre viejas sabidurias y ciencias modernas. En el pasado, la ética no ha sabido responder a cuestiones normativas planteadas por la economía. Se requiere un nuevo enfoque: una ética como "medio de los medios," esto es, como estrategia para entrar dentro de los límites y dinamismos propios a los instrumentos de política económica. La ética deberá encargarse en poner de manifiesto ganancias y pérdidas de valores derivadas de cada opción política escogida, y establecer los critérios para determinar qué sacrificios de dichos valores tolerará una población afectada. Se analizan cuatro campos de discurso ético para mostrar dónde la ética podría tomar parte en política, economía y otras racionalidades tecnológicas para forjar estrategias de trabajo en la solución de problemas. Las tareas de la ética son idear estrategias de valor en la teoría del desarrollo, y mantener la esperanza viva en un mundo dónde los cálculos racionales de un probable éxito en el desarrollo llevarían a la desesperanza.

Denis Goulet is O'Neill Professor in Education for Justice, the Department of Economics, and a fellow of the Kellogg Institute, University of Notre Dame. He holds master's degrees in Philosophy (1956) and Social Planning (1960), and a doctorate in Political Science from the University of São Paulo (1963). He is the author of numerous books and professional articles, including Etica do Desenvolvimento, The Cruel Choice, and Mexico: Development Strategies for the Future.

His book, Incentives: The Key to Equitable Development, appears with New Horizons Press (New York: 1989).

An earlier version of this paper was presented at the First International Conference on Ethics and Development, University of Costa Rica, June 1987.

"The Rich Have Already Eaten"* Roots of Catastrophe in Central America

Solon L. Barraclough and Michael F. Scott

Working Paper # 105 - January 1988


Central America's profound political and military convulsion is largely the result of a boom and currently severely bust agro-export economy built upon an outmoded social order. Focusing upon food security issues and their implications for the poor majority, this report analyzes major factors contributing to the current crisis within and beyond this small sub-region of Latin America. The major emphasis is upon Nicaragua and El Salvador, but the the authors also discuss conditions in neighboring Guatemala, Honduras, Costa Rica, and Panama. Socioeconomic structures and government strategies are critically assessed in the context of growing food insecurity, and particular attention is given to agrarian reform experiences. Since the United States is the determining outside actor, U.S. policies and interests are analyzed in depth as obstacles and potential opportunities for broad-based popular development and food security.


La profunda convulsión política y militar de América Central se debe en gran parte al crecimiento repentino y al severo fracaso actual de una economía dependiente de la agroexportación y a la vez basada en un orden social anticuado. Enfocando en la seguridad alimentaria y sus implicaciones para la población pobre mayoritaria, este informe analiza los principales factores que contribuyen a la crisis actual de esta pequeña sub-región de Latinoamérica. El énfasis principal se pone en Nicaragua y El Salvador, pero los autores también tratan las condiciones en países vecinos, es decir Guatemala, Honduras, Costa Rica y Panamá. Las estructuras socioeconómicas y las estrategias del gobierno son evaluadas de manera crítica en el contexto de la creciente inseguridad alimentaria, y se pone particular atención a las experiencias de reforma agraria. Puesto que los Estados Unidos es el actor externo determinante, las políticas y los intereses estadosunidenses son analizados a fondo como obstáculos y oportunidades para el desarrollo democrático.

Solon L. Barraclough worked on agrarian reform and agrarian policy for the United nations Food and Agriculture Organization from 1959 to 1977. During this time he directed the Interamerican Committee for Agricultural Development studies on land tenure and development in nine Latin American countries. He was the director of agrarian reform research and training programs in Chile and Mexico, and is the author of Agrarian Structure in Latin America. Barraclough was the Director of the United Nations Research Institute for Social Development until he retired in 1984, since when he has continued to work as a consultant. In the spring semester of 1987 he was an invited fellow at the Kellogg Institute.

Michael F. Scott is a consultant, author, and photographer concerned with international development issues and has traveled widely in Latin America, Africa, and Asia. Among other organizations he has worked for the United Nations Food and Agriculture Organization, the Mexican government, and Oxfam America, where he was the Overseas Director for nine years. Scott has been particularly concerned with agrarian issues in Latin America and the Caribbean over the course of the last twenty years. He is the author of No Free Lunch: Food and Revolution in Cuba Today, as well as other papers and articles regarding food and development issues.

* The main title is a phrase from Father Andrés Girón, a Guatemalan parish priest, who leads the National Association of Campesinos for Land, an organization made up of 75,000 landless Guatemalan peasants. Father Girón is a fearless advocate of agrarian reform (OSGUA Newsletter, No. 4, Feb. 1987).

This enterprise is indebted to many individuals and several institutions, none of whom share the authors' responsibility for the writing, but all of whom contributed in diverse ways to whatever virtues it may have. Thanks go to Oxfam America, who commissioned an earlier version of this work as part of a Central America program assessment and who helped support the subsequent transformation of the document, and in particular to Katherine Fix, John Hammock, Sandy Isaacs, Rolando López, Jethro Pettit, Bob Snow, and Lee Warren. Elsewhere thanks are also due to John Cavanagh, Saul Landau, Jorge Sol, Jacquelynn Craw, Ariane van Buren, Jim Tucker, Medea Benjamin, Kevin Danaher, Peter Marchetti, Peter Utting, Cynthia Hewitt de Alcantara, and Enrique Oteiza, among others. Special thanks to the Helen Kellogg Institute for International Studies at the University of Notre Dame and in particular to Caroline Domingo for her excellent editorial work and to David Ruccio and Alexander Wilde. We are most indebted to the many Central Americans who shared with us their understanding, their grief, and their hope for peace and justice.

Labor Movements in Transitions to Democracy: A Framework for Analysis

J. Samuel Valenzuela

Working Paper #104 - June 1988


This paper presents a general framework to analyze the relationships between labor movements and redemocratizations. This relationship has two components: the influence of labor movements on the overall process of political change, and the effect of the latter on the internal reorganization of the labor movements themselves. Although virtually all labor movements respond to situations of breakdown of authoritarian regimes and possible transitions to democracy by increasing their mobilization in strikes and demonstrations and by restructuring their organizations and links to parties, there is considerable variation in the degree to which these changes occur, and in their ultimate political and internal organizational effects. After discussing the relationship between labor and redemocratizations in general terms, the paper presents a series of dimensions which should be heuristically useful to help account for the variations.


Este artículo presenta un marco general para analizar la relación entre movimientos obreros y procesos de redemocratización. Esta relación tiene dos aspectos: el impacto de los movimientos obreros sobre el curso del cambio político en general, y los efectos de éste sobre la reorganización de los propios movimientos laborales. Aunque prácticamente todos los movimientos obreros aumentan las huelgas y manifestaciones y reestructuran sus organizaciones y sus vínculos partidarios al producirse una quiebra del régimen autoritario y una posible transición a la democracia, hay bastante variación tanto en la intensidad de dichas movilizaciones como en sus efectos políticos y organizacionales internos. Después de discutir la relación entre movimientos laborales y redemocratizaciones en términos generales, el artículo presenta una serie de dimensiones analíticas que debieran ser de utilidad heurística para tratar de explicar las variaciones.

J. Samuel Valenzuela is a senior fellow of the Kellogg Institute. Before coming to Notre Dame, he taught at Yale and Harvard Universities. His research interests lie in comparative labor movements and social and political change. He is the author of Democratización vía reforma: La expansión del sufragio en Chile (IDES, 1985), and coeditor and author of Military Rule in Chile: Dictatorships and Oppositions (Johns Hopkins, 1986) and Chile: Politics and Society (Transaction Books, 1976). His numerous articles have appeared in English, Spanish, Italian, and French publications.

This paper was prepared for a conference on labor movements in transitions to democracy at the Kellogg Institute, University of Notre Dame. The author would like to thank the National Endowment for the Humanities, Mr. Arthur F. O'Neil, and IDRC for the grants that made that conference possible. He also wishes to express his appreciation to Alessandro Pizzorno for contributing to his understanding of this topic during discussions in 1982, and to Guillermo O'Donnell, John Stephens, Evelyne Stephens, Juan Rial, René Cortázar, Antonio Kandir, Robert Fishman, Rosario Espinal, and an anonymous reviewer for Comparative Politics for their comments on earlier versions of this paper.

Popular Mobilization and the Military Regime in Chile: The Complexities of the Invisible Transaction

Manuel Antonio Garretón

Working Paper #103 - February 1988


This paper attempts an analysis of the popular mobilizations in Chile from the perspective of the problem of transition from a military regime to democracy. It begins with some general reflections on the role of social mobilizations under military regimes, distinguishing among various regime phases and types of mobilizations, and goes on to outline changing state/societal relations in Chile in the pre-1973 period to provide the historical context for an extended discussion of popular protest in Chile under the military regime. In this next section the author describes the mobilizations of the 1973-1983 decade and the cycle of protests and strikes after 1983, and gives an analysis of the principal sectors involved. The concluding section presents some interpretative hypotheses about the paradoxical role of mobilizations: their fundamental importance in reconstituting civil society and transforming dictatorial regimes, and their limits with respect to bringing about an end to dictatorship and the restoration of full democracy.


Este trabajo intenta un análisis de las movilizaciones populares en Chile, desde la perspectiva del problema de transición de régimen militar a la democracia. En la primera parte se desarrollan algunas consideraciones analíticas sobre el papel de las movilizaciones sociales en los regímenes militares, distinguiendo diversas fases y diversos tipos de movilizaciones. El autor destaca las relaciones estatales-sociales cambiantes en Chile durante el período anterior a 1973, proporcionando un contexto histórico para una discusión extensa de las protestas populares bajo el régimen militar. En la próxima parte se analizan las movilizaciones en el decenio 1973-1983, el ciclo de protestas y paros después de 1983 y las movilizaciones de los sectores principales. En la última parte se intentan algunas hipótesis interpretativas respecto de la paradoja de las movilizaciones, que juegan un rol fundamental en la recomposición de la sociedad y en la transformación de la dictadura, pero tienen límites respecto de provocar su término.

Manuel Antonio Garretón is Visiting Professor of Sociology and a departmental fellow of the Kellogg Institute at the University of Notre Dame. His recent publications include Reconstruir la Política: Transición y consolidación democrática en Chile (Editorial Andante), and he has updated and revised the translation of his book The Chilean Political Process (El proceso político chileno, FLACSO 1983).

He completed his contribution on Chilean political parties for a book on political parties under authoritarian regimes and transitions to democracy, which he coedited with Marcelo Cavarozzi: Muerte y Resurrección los Partidos en el Autoritarismo y las transiciones del cono Sur (FLACSO: 1989).

This paper was prepared at the Latin American Faculty of Social Sciences (FLACSO) in Santiago, Chile, and completed during the author's stay as Visiting Professor at the Ecole des Hautes Etudes en Sciences Sociales and the Centre d'Analyse et d'Intervention Sociologiques, Paris, in winter of 1987. The author wishes to thank Federico Joannon for his bibliographical assistance.

The paper was translated by Philip Oxhorn and Susan Eckstein, and was published in Power and Popular Protest: Latin American Social Movements, Susan Eckstein, ed. (University of California Press, updated expanded edition, 2001).




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