Working Papers - 1990 (#131 - #150)

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Democratic Consolidation in Post-Transitional Settings: Notion, Process, and Facilitating Conditions

J. Samuel Valenzuela

Working Paper #150 - December 1990


While a growing literature addresses the difficulties of achieving democratic consolidation, there has often been little clarity over the meaning of this notion, and over the process by which it is achieved. Therefore, building on a minimal formal definition of democracy, this paper presents a delimited conception of democratic consolidation and of the process for reaching it. It also discusses five broad conditions that facilitate (or hinder) consolidation. These have to do with the modalities through which the transitions to democratic governments took place, the influence of historical memories of alternative regimes, the moderation of political conflict, the management of social conflict, and the subordination of the military to the democratic government.


Aunque un creciente número de escritos se refieren a las dificultades de lograr la consolidación de la democracia, a menudo ha faltado claridad respecto tanto a lo que ello significa como al proceso mediante el cual se alcanzaría. Por esto, partiendo de una definición mínima y formal de la democracia, se presenta aquí una concepción delimitada de la consolidación y del proceso que conduce a ella. Se discuten además cinco grandes condicionantes que la facilitarían (o impedirían). Éstas se refieren a las modalidades de la transición hacia gobiernos democráticos, al impacto de la memoria histórica de regímenes alternativos, a la moderación del conflicto político, al encauzamiento del conflicto social, y a la subordinación militar al gobierno democrático.

J. Samuel Valenzuela is a Senior Fellow of the Kellogg Institute and Professor and Chair of Sociology at the University of Notre Dame. He is the author of Democratización vía reforma: La expansión del sufragio en Chile; coeditor of Military Rule in Chile: Dictatorships and Oppositions and of Chile: Politics and Society; and editor of Labor Movements in Transitions to Democracy (forthcoming). His articles on comparative labor, development theory, and political change have appeared in English, Spanish, Italian, and French publications.

This paper began as a "think piece" entitled "Some Thoughts on the Consolidation of Democracies" written for a workshop on processes of democratic consolidation in Western Europe and Latin America, organized by Guillermo O'Donnell and Philippe Schmitter and held at the Kellogg Institute in April 1987. The author wishes to thank both organizers of that workshop for their reactions, and Guillermo O'Donnell for the many conversations held over the course of two years that have helped to clarify his thinking on the topic. The paper also benefitted from comments on a second version by David Collier, Arend Lijphart, Guillermo O'Donnell, Philippe Schmitter, Alfred Stepan, and Carlos Waismann. The author's appreciation as well to Guillermo O'Donnell, Scott Mainwaring, and Timothy Scully for their encouragement and observations on this version, while he takes responsibility for the deficiencies that remain. The paper will appear in Scott Mainwaring, Guillermo O'Donnell, and J. Samuel Valenzuela, eds., Issues and Prospects of Democratic Consolidation: The New South American Democracies in Comparative Perspective (Kellogg Institute series with University of Notre Dame Press).

Trust, Cooperation, and Flexibility: International Comparisons

Edward H. Lorenz

Working Paper #149 - November 1990


This paper develops a hypothesis concerning the success of manufacturers in West Germany and Japan, in comparison with their counterparts in Britain and France, in achieving organizational flexibility at the level of the firm. The key dimensions of organizational flexibility are the use of workers with wider skills to achieve more flexible divisions of labor and the involvement of employees in task-related decisions to improve product quality and to increase the firm's capacity for process innovation. The paper argues that in the case of the European nations under consideration, perceptions of mutual dependency between labor and management stemming from labor's organizational strength at the plant level encourage management to involve workers in the determination of working conditions. Owing to labor's organizational strength, management recognizes that the condition for the exercise of its authority is workers' consent. In the case of Japan, the rational argument based on power is supplemented by reference to the way the widely espoused social norm of exercising power with benevolence encourages management to consult the work force. The purpose of the paper, however, is not to suggest that all the actions of management and labor in Japan are blindly motivated by social norms while those of their passionless counterparts in Europe are strictly instrumental in achieving egoistic aims. The paper proposes an eclectic explanation. Japanese managements consult their work force in part because they believe it to be in their best interest, but also because they believe it to be the right thing to do. Normative and rational motivations combine and reinforce each other. In Europe, where comparable norms are lacking, the rational argument concerning labor's strength and perceptions of mutual dependency carries the entire burden of explanation.


Este trabajo analiza la hipótesis sobre el éxito de los productores de manufacturas para alcanzar flexibilidad organizativa a nivel de las empresas, comparando los casos de la República Federal Alemana y el Japón con Gran Bretaña y Francia. Las dimensiones claves de la flexibilidad organizativa son el uso de trabajadores con un alto grado de especialización para alcanzar una flexibilidad mayor en la división del trabajo y la participación de éstos en decisiones relacionadas con el mejoramiento de la calidad de los productos y así aumentar la capacidad de los procesos innovadores de las empresas. En el caso de las naciones europeas consideradas el trabajo sostiene que el enfoque de dependencia mutua entre trabajadores y empresas, debido a la fuerza organizativa de los trabajadores a nivel de planta, alienta a las empresas a la participación de los trabajadores en la determinación de las condiciones de trabajo. Las empresas reconocen que, ante la fuerza organizativa de los trabajadores, la condición para ejercitar su autoridad es el consenso con los trabajadores. En el caso de Japón, el argumento racional basado en esta relación de poder se complementa haciendo referencia a la forma en que las extensas interrelaciones de las normas sociales de ejercer poder con benevolencia alienta a las empresas a consultar a la fuerza laboral. Sin embargo, la intención del trabajo no es la de sugerir que en Japón todas las acciones de las empresas y los trabajadores están ciegamente motivadas por normas sociales, mientras que las de su insensible contraparte en Europa son estrictamente instrumentales para alcanzar propósitos egoístas. El trabajo propone una explicación ecléctica. Las empresas japonesas consultan su fuerza laboral en parte debido a que creen que ésto las beneficiará, pero también porque creen que es lo correcto. Las motivaciones normativas y racionales se combinan y refuerzan entre sí. En Europa, a falta de normas comparables, la explicación se basa en el argumento racional sobre la fuerza de los trabajadores y el enfoque de mutua dependencia.

Edward H. Lorenz is Assistant Professor of Economics and a Fellow of the Kellogg Institute at the University of Notre Dame. He is the author of a number of articles on managerial strategies and industrial relations, including "Neither Friends nor Strangers: Informal Networks of Subcontracting in French Industry" in Trust: Making and Breaking Cooperative Relations, Diego Gambetta, ed. (1988).

His book, The Logic of Competitive Decline: The British Shipbuilding Industry 1890-1970 was published in 1991 by Oxford University Press.

This paper was presented at the 1989 Annual Meeting of the Industrial Relations Research Association held in Atlanta, Georgia. The author wishes to express his appreciation to Frank Wilkinson, Michael McPherson, and David Hachen for their comments on earlier versions or on related work. Special thanks go to Gerald Berk. A number of the key ideas presented in this paper were worked out jointly while coteaching a course on comparative political economy during 1988-89. The author remains responsible for their presentation prior to all the difficulties being ironed out. The research for this work was funded in part by the Economic and Social Research Council (UK) under its Postdoctoral Research Fellowship Scheme. Its contents are the responsibility of the author and do not necessarily reflect the views of the Economic and Social Research Council.

Towards a Theory of British Economic Decline: The Case of Shipbuilding, 1890-1970

Edward H. Lorenz

Working Paper #148 - November 1990


A basic aim of this essay is to provide a persuasive explanation for the competitive decline of the British shipbuilding industry. Starting from a position of undisputed international preeminence at the turn of the century, Britain was reduced to a comparatively insignificant producer of ships by 1970. What accounts for the remarkable competitive reversal of this once great industry? In addition to providing an answer to this question, the author aims to indicate the directions of a theory of British economic decline. (The words "towards a theory" in the title are used advisedly: while the theoretical argument is presented in general terms, its relevance is only demonstrated with reference to the case of the shipbuilding industry.) The first section of the paper presents the basic facts concerning the decline of the British shipbuilding industry. The second section contrasts the assumptions and conditions of the argument developed here with those of the principal explanations in the literature for Britain's economic decline. The third section offers some reasons for the competitive success of British shipbuilding prior to the Second World War, and the penultimate section develops an explanation for the subsequent decline of the industry. The concluding section presents the more general argument about British economic decline.


Uno de los principales objetivos de este artículo es el de proporcionar una explicación persuasiva sobre la decreciente competitividad de la industria constructora de buques británica. Partiendo desde indisputable predominancia a nivel internacional hacia principios de este siglo, Gran Bretaña llegó a ser un productor de barcos relativamente insignificante en 1970. ¿A qué se debió este impresionante revés de esta otrora gran industria? Además de contestar esta pregunta, el autor intenta presentar una teoría sobre la declinación de la industria británica (las palabras del título, "hacia una teoría," son usadas con la intensión de presentar el argumento teórico en términos generales, mientras que su importancia sólo se demuestra en el contexto de la industria constructora de buques). La primera sección de este trabajo presenta los hechos básicos referentes a la declinación de la industria constructora de buques británica. La segunda parte discute los presupuestos y las condiciones sobre el argumento desarrollado aquí con las principales explicaciones de la literatura actual. La tercera sección plantea algunas de las causas del éxito competitivo de la industria constructora de buques británica anterior a la Segunda Guerra Mundial, mientras que la penúltima sección estudia su posterior declinación. La última sección presenta argumentos más generales sobre la declinación de la economía británica.

Edward H. Lorenz is Assistant Professor of Economics and a Fellow of the Kellogg Institute at the University of Notre Dame. He is the author of a number of articles on managerial strategies and industrial relations, including "Neither Friends nor Strangers: Informal Networks of Subcontracting in French Industry" in Trust: Making and Breaking Cooperative Relations, Diego Gambetta, ed. (1988).

His book, The Logic of Competitive Decline: The British Shipbuilding Industry 1890-1970 was published in 1991 by Oxford University Press.

A French translation of a modified version of this articlewas published in Revue Travail et Emploi N° 46, December 1990. The author is grateful to Gerald Berk, Amitava Dutt, Victor Goldberg, David Hachen, Ernesto Livacich, Donald McCloskey, Daniel Nelson, Patrick O'Brien, and Steven Tolliday for their comments on earlier versions of the text. Special thanks are due to Frank Wilkinson for allowing the author to refer to his unpublished work on shipbuilding industrial relations, and to Diego Gambetta whose suggestions have been invaluable in raising the level of the argument. The research on which this paper is based was funded in part by the Economic and Social Research Council (UK) under its Postdoctoral Research Fellowship Scheme. The contents are the responsibility of the author and do not necessarily reflect the views of the Economic and Social Research Council.

Television and the Elites in Postanthoritarian Brazil

Maria Helena de Magalhães Castro

Working Paper #147 - November 1990


Brazil has never before had political democracy along with mass television. This study deals with two ongoing processes related to this unprecedented combination: television's adjustment to competitive politics and the incorporation of television into the new political order by the power elites. On the one hand, television has immensely expanded its coverage of domestic politics, conquering publics (such as prestige press professionals) who used to despise it as a third-class news-maker. On the other hand, the power elites have come to perceive and employ television as a decisive political resource. The author has reconstructed the recent history (1979-88) of late-night interview and debate ("forum politics") programs, which have consolidated a sizeable space in commercial networks despite their numerically minuscule audience ratings (below one percent). The hypothesis that they are motivated by political interests, rather than commercial calculation, was fully verified. The findings also showed that a) the "forum politics" programs constitute an extension of the political arena and are at the intersection between the interests of the networks, the power elites, and major political journalists in using television as a political resource, and that b) these programs entirely violate the logic of regular television programming. In addition, the research revealed unexplored dimensions of political journalism, the new influence of television in the political agenda, the businesses of television programming and of audience measurements. Finally, this study found that none of the segments involved in maintaining "forum politics" programs (from producers to guests and sponsors) is interested in reaching a larger public. Indications are that these programs do have a wider audience than is assumed but it has been discouraged by the specialized language they employ.


Esse estudo trata de dois processos; a de ajustamento da televisão brasileira à democratização do país e o de incorporação da televisão, pelas elites dirigentes, à nova ordem política. De um lado, a televisão expandiu tremendamente sua cobertura sobre política interna, conquistando públicos e setores (como profissionais da grande imprensa escrita) que a discriminavam como fonte de informação de terceira categoria. De outro lado, a televisão passou a ser percebida e utilizada como recurso político decisivo pelas elites dirigentes. Essa pesquisa reconstitui a história recente (1979-88) de programas de debate e entrevistas ("fôros") que se consolidaram no horário noturno e em redes comerciais, apesar de não terem um volume de audiência que os justifique. A hipótese de que eles possuem uma lógica política, e não comercial, se verificou plenamente. Os resultados demonstram que os programas "foros" a) constituem uma interseção significativa entre os interesses das emissoras, das elites dirigentes e de grandes nomes da imprensa escrita, em se utilizar do veículo como recurso político e, b) fogem inteiramente à lógica da programação da televisão brasileira. Além disso, a pesquisa revelou dimensões inexploradas do jornalismo político, da pesquisa de audiências, da comercialização da programação de tarde da noite e da participação da televisão na formação da agenda política. Revelou, por fim, o desinteresse dos agentes envolvidos nos "foros" (de produtores a convidados e anunciantes) em atender ao público real desses programas; um público maior do que o pretendido e ávido de informação, mas que se vê discriminado pela linguagem qualificada adotam.

Maria Helena de Magalhães Castro was a residential fellow at the Institute during the fall semester, 1988, and is currently completing her doctoral studies in political science at Duke University. She is coauthor of Regionalismo e Centralização Política: Partidos e Constituinte no Pós-30 (1980) and of an article entitled "Iniciativa Privada, Tecnologia e Industrialização: Os primordios de um debate" (Dados 1985). Previously she worked as a reporter for the Correio da Manhã and the Jornal do Brasil.

Monopoly Profits and the Law of One Price: The Cost of Misapplied Theory

Jaime Mezzera

Working Paper #146 - October 1990


This paper discusses why the neoliberal policy package used in Uruguay during the period 1978-82 was doomed to failure, the main reason being that the underlying theoretical model assumes perfectly competitive markets whereas the crucial markets remained oligopolistic or even monopolistic during a significantly long period. The paper contends that this led to incumbent firms being able to price imported goods at prices higher than those of the domestic imperfect substitutes; in other words, the law of one price failed. The argument is modeled on the basis of assuming imperfect markets and the model is shown to correctly "predict the past."


Este trabajo analiza las causas por las cuales el paquete de las políticas neoliberales no tuvieron éxito en Uruguay durante el período 1978-82, principalmente debido a que el modelo teórico tratado presupone mercados competitivos perfectos, mientras que los mercados cruciales se caracterizaron por ser oligopólicos e incluso monopólicos durante un período significante. El trabajo afirma que ésto indujo a las respectivas compañías a fijar precios de bienes importados más altos que los precios de los sustitutos imperfectos domésticos, es decir, la ley de un precio fracasó. El argumento es desarrollado mediante un modelo basado en el supuesto de mercados imperfectos que trata de "predecir el pasado" correctamente.

Jaime Mezzera is an official of the Regional Employment Programme for Latin America and the Caribbean (PREALC) of the International Labour Office (ILO). This paper was prepared during the spring 1990 semester while he was a Residential Fellow at the Kellogg Institute. Opinions and views set forth in this paper are not the official position of any of the institutions with which he is affiliated.

Los Partidos Politicos Uruguayos en el Proceso de Transicion Hacia la Democracia

Juan Rial

Working Paper #145 - October 1990


During the military rule in Uruguay 1973-84, the political parties of the Marxist left were disbanded. The others were frozen. The military regime failed the test of legitimacy that it set for itself in 1980 by trying to establish a new constitution. The plebiscite was won by the opposition and this was a turning point in the political process. A very negotiated transition of regime followed and the principal actors of the transition were the traditional parties, the Colorado and the National. The left was represented by social movements that operated as political actors. The pact between the armed forces and the political parties ended with the de facto legalization of the parties of the left and an election with a "safe result" for the military. The result was a restauration of the liberal regimen that existed in Uruguay in 1973.


Durante el régimen militar en Uruguay en 1973-84 los partidos políticos de la izquierda marxista fueron desbandados. Los demás quedaron congelados. El régimen militar fracasó ante la prueba de legitimación que se había propuesto a sí mismo en 1980, tratando de establecer una nueva constitución. La oposición ganó el plebiscito y éste fue un punto decisivo en el proceso político. Continuó una transición muy negociada por el régimen y los principales actores de la transición fueron los partidos tradicionales, el Colorado y el Nacional. La izquierda estaba representada por movimientos sociales que operaban como actores políticos. El pacto entre las fuerzas armadas y los partidos políticos concluyó con la de facto legalización de los partidos de izquierda y las elecciones con un "resultado seguro" para los militares. El resultado fue la restauración del régimen liberal que existió en Uruguay desde 1973.

Juan Rial, historian and political scientist, is a researcher at PEITHO, Sociedad de Análisis Político, in Montevideo. He recently coedited The Military and Democracy: The Future of Civil-Military Relations in Latin America (Lexington Books, 1990). During the 1986-87 academic year he was a Residential Fellow at the Kellogg Institute.

Presidentialism, Multiparty Systems, and Democracy: The Difficult Equation

Scott Mainwaring

Working Paper #144 - September 1990


This paper argues that the combination of a multiparty system and a presidential system is inimical to stable democracy. The paper presents empirical evidence that shows that few (4 of 25) stable democracies have presidential systems. Several features of presidential systems contribute to explaining why so few have become stable democracies; this paper focuses particularly on the possibility that presidential systems are more prone to immobilism, weak executive power, and destabilizing executive/legislative conflict than parliamentary systems. The paper then shows that among all of the cases (past or present) of stable presidential democracy, only one-the Chilean-had a multiparty system. In presidential democracies, two-party systems are more capable of avoiding immobilism and intense legislative/executive conflict because they facilitate the formation of a government with a majority (or close to it) in congress, and also because ideological polarization is less likely with only two parties.


Este trabajo argumenta que la combinación de un sistema de partidos multipartidario y un sistema presidencialista es adversa a la democracia estable. El trabajo presenta evidencia empírica que muestra que pocas democracias estables (4 de 25) tienen sistemas presidencialistas. Varias características del presidencialismo contribuyen a explicar por qué tales democracias no suelen ser estables; este trabajo se concentra particularmente en la posibilidad de que los sistemas presidencialistas están más propensos al inmovilismo, a un poder ejecutivo débil, y a un conflicto desestabilizador entre los poderes ejecutivo y legislativo que los sistemas parlamentaristas. Entre todos los casos (pasados o presentes) de democracias presidencialistas estables, solamente uno-el de Chile-tuvo un sistema multipartidario. En las democracias presidencialistas, los sistemas de dos partidos tienen más capacidad para evitar el inmovilismo y el intenso conflicto entre los poderes legislativo y ejecutivo porque ellos facilitan la formación de un gobierno con una mayoría (o casi una mayoría) en el congreso, y también porque la polarización ideológica es menos probable con sólo dos partidos.

Scott Mainwaring is Associate Professor of Government and Senior Fellow 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), and coeditor of and contributor to The Progressive Church in Latin America (Kellogg Institute/University of Notre Dame Press, 1989). He has published articles on political parties, social movements, and transitions to democracy in Latin America.

The author is grateful to Ron Archer, Caroline Domingo, Manuel Antonio Garretón, Arend Lijphart, and Matthew Shugart for helpful comments on earlier drafts of this paper. He is also grateful to several colleagues for providing electoral data without which he could not have written the paper: Ron Archer for Colombia; Charlie Gillespie for Uruguay; John Roos for the United States; Tim Scully for Chile; and Daniel Levine and Matthew Shugart for Venezuela.

Reappraising the Role of the Center: The Case of the Chilean Party System

Timothy R. Scully

Working Paper #143 - September 1990


With the return of competitive party politics in Chile, and the reemergence of its characteristic tripartite party system, the problematic of the role played by the center in a multiparty system takes on added importance. First, the paper provides a critical review of previous interpretations of the role of center parties. Next, it briefly explores efforts to constitute and reconstitute the center over a period of twelve decades of party competition. After examining the emergence and behavior of the Liberals in the 19th century, the Radicals in the first-half of the 20th century, and later the Christian Democrats, the analysis returns to theoretical considerations and proposes an alternative understanding of the center, based on the Chilean experience. The paper concludes with a broad overview of the post-Pinochet party system and, again focusing on the role of the center, points out major elements of continuity and change within the party system.


Con la vuelta de la competencia política en Chile, y la reaparición de sus características tripartitas, el problema del papel del centro político dentro del sistema multipartidista cobra renovada importancia. Este ensayo examina, primero, previas interpretaciones sobre el tema. Enseguida, se exploran los multiples esfuerzos para constituir, y reconstituir, el centro político durante un período de doce décadas de competencia política. Después de haber examinado la emergencia y comportamiento de los Liberales en el siglo 19, de los Radicales en la primera mitad del siglo 20, y de los Demócratas Cristianos más recientemente, el análisis vuelve a algunas consideraciones teóricas y propone una perspectiva alternativa sobre el centro político, basada en la experiencia de Chile. El ensayo concluye con una visión más generalizada del sistema de partídos post-Pinochet y, de nuevo enfocado en el centro político, señala los elementos principales de continuidad y cambio dentro del sistema de partidos.

Timothy R. Scully, CSC, is a Senior Fellow of the Kellogg Institute and Assistant Professor of Government and International Studies at the University of Notre Dame. He has written extensively on political parties, including a book, Rethinking the Center: Cleavages, Critical Junctures, and Party Evolution in Chile (Stanford University Press: 1992), and he is coeditor of a volume with Scott Mainwaring, Building Democratic Institutions: Parties and Party Systems in Latin America (Stanford University Press: 1995).

The author wishes to acknowledge the helpful comments and criticisms of Scott Mainwaring, Ronald P. Archer, and David Collier, and other colleagues at the Kellogg Institute.

Las Condiciones Socio-Politicas de la Inauguracion Democratica en Chile

Manuel Antonio Garretón M.

Working Paper #142 - June 1990


This paper looks at the sociopolitical conditions surrounding the March 1990 inauguration of Chile's first democratic government after sixteen years of dictatorship. The first section puts the Chilean situation in the conceptual framework of recent debates about democratization and political transitions. The author describes the principal stages of the Chilean transition, and goes on to analyze the following conditions affecting Chile's democratic prospects: the "authoritarian enclaves" left behind by the dictatorship; the links between the problem of democratic consolidation and the need for social democratization; and the particular nature of this first democratic government, which is a Center-Left coalition formed by the groups that joined together in opposition to the military regime.


Este artículo examina las condiciones socio-políticas en las que se inaugurará el primer gobierno democrático en Chile, después de dieciséis años de dictadura militar, en marzo de 1990. En la primera parte se expone un marco conceptual para ubicar la transición chilena en el debate de los últimos años sobre democratizaciones y transiciones políticas. Luego se examinan los principales pasos de la transición en Chile. Las condiciones de inauguración son estudiadas desde la perspectiva de los "enclaves autoritarios" dejados por el régimen militar, de los requerimientos de consolidación ligados a procesos de democratización social y de la naturaleza del primer gobierno democrático que presenta la particularidad de ser una coalición de Centro e Izquierda, uniendo el conjunto de la Oposición al régimen militar.

Manuel Antonio Garretón, a Chilean sociologist, is Senior Researcher and Professor at the Facultad Latinoamericana de Ciencias Sociales (FLACSO) and Dean of Sociology at the Universidad Academia de Humanismo Cristiano, Santiago, Chile. He has published several books and articles on democratization processes, political parties, and the evolution of social sciences in Latin America, including The Chilean Political Process (Unwin and Hyman, 1989). From 1987 to 1990 he was a Senior Fellow of the Kellogg Institute and Visiting Professor of Sociology at the University of Notre Dame.

The author is grateful for comments from Samuel Valenzuela, Scott Mainwaring, Tim Scully, and Kathryn Sikkink.

Politicians, Parties and Electoral Systems: Brazil in Comparative Perspective

Scott Mainwaring

Working Paper #141 - June 1990


This paper looks at the political consequences and the political origins of the Brazilian electoral system. This system has several unusual features that grant politicians nonpareil autonomy with respect to their parties. These features include a system of proportional representation that uses an open list and a mechanism known as the candidato nato, which allows politicians to get on the ticket despite the opposition of the party leadership. As a result, the electoral system reinforces the individualistic behavior of politicians and has contributed to undermining efforts to build more effective parties. Notwithstanding their frequent laments about the weakness of parties, Brazilian politicians have consistently opted for electoral systems that undermine parties. They have done so because they perceived measures that could strengthen parties as authoritarian, and also in response to their fears that executives would otherwise be able to control them ruthlessly. The extreme party weakness and individualistic patterns of representation that are reinforced by this electoral system have sustained an elitist polity.


Este trabajo examina las consecuencias políticas y los orígenes políticos del sistema electoral brasileño. Este sistema posee varias características singulares que otorgan a los políticos muchísima autonomía con respecto a sus partidos. Entre estas características se incluye un sistema de representación proporcional que usa una lista abierta y un mecanismo conocido como "candidato nato" que permite a los políticos lanzarse a la candidatura a pesar de la oposición de la dirección del partido. Como resultado, el sistema electoral refuerza el comportamiento individualista de los políticos y ha contribuido a minar los esfuerzos para construir partidos más efectivos. A pesar de sus frecuentes lamentos acerca de la debilidad de los partidos, los políticos brasileños han optado consistentemente por sistemas electorales que los debilitan. Perciben como autoritarias las medidas que pudieran fortalecer a los partidos, y también temen que el ejecutivo de otra manera podría controlarlos despiadadamente. La extrema debilidad de los partidos y los patrones individualistas de representación reforzados por las leyes electorales han sostenido un sistema político elitista.

Scott Mainwaring is Associate Professor of Government and Senior Fellow 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) and coeditor of and contributor to The Progressive Church in Latin America (Kellogg Institute/University of Notre Dame Press, 1989). He has published numerous articles on political parties, social movements, and transitions to democracy in Latin America.

The author acknowledges the helpful comments and criticisms of Ron Archer, Tom Bruneau, Michael Coppedge, Caroline Domingo, Ken Erickson, Richard Katz, Arend Lijphart, Guillermo O'Donnell, Matthew Shugart, and Samuel Valenzuela. This paper also appeared in Comparative Politics.

The Transition from Traditional to Broker Clientism in Colombia: Political Stability and Social Unrest

Ronald P. Archer

Working Paper #140 - July 1990


The principle argument of this paper is that the transition from traditional to broker styles of clientelism in Colombia has weakened the capacity of Colombian political elites to deal with increasingly serious problems of social conflict and political violence. The paper describes traditional clientelism as it operated in early twentieth-century Colombia and explains the transition from traditional to broker clientelism. The author also analyzes current broker clientele networks in Colombia and compares the features of the two types of clientelism. The paper concludes that the erosion of traditional sources of authority and legitimacy and their replacement by a broker clientelism based on personal influence led to political immobilism and placed severe constraints on the actions of potential reformers and institution builders.


El principal argumento de este trabajo es que la transición en el tipo de clientelismo en Colombia, de uno tradicional a uno de intermediarios, ha tenido un profundo impacto sobre la capacidad de las elites políticas colombianas para enfrentar problemas cada vez más serios de conflicto social y de violencia política. El trabajo describe el clientelismo tradicional según operaba al principio del siglo XX en Colombia, y explica la transición del clientelismo tradicional al de intermediarios. Proporciona también un análisis de los nexos actuales entre clientelas e intermediarios en Colombia, y compara las características de los dos tipos de clientelismo. El trabajo concluye que el desgaste de las fuentes tradicionales de autoridad y legitimidad y su substitución por un clientelismo de intermediarios basado en la influencia personal, han llevado a un inmovilismo político y han constreñido las acciones de quienes podrían hacer reformas y crear nuevas instituciones.

Ronald P. Archer received his Ph.D. in political science from the University of California at Berkeley in 1990 and is currently Assistant Professor of Political Science at Duke University, North Carolina. During the 1989-90 academic year he was a Residential Fellow at the Kellogg Institute.

The author would like to give special thanks to Scott Mainwaring, Timothy Scully, Roberto DaMatta, Julio Cotler, and Guillermo O'Donnell for their fruitful suggestions and comments on this paper.

Unlikely Transitions to Uncertain Regimes?
Democracy without Compromises in the Domincan Republic and Ecuador

Catherine M. Conaghan and Rosario Espinal

Working Paper #139 - May 1990


In this paper, the authors undertake a comparative analysis of democratic development in the Dominican Republic and Ecuador. They argue that the socioeconomic structures and the political legacy of the previous authoritarian period have produced hybrid "democratic-authoritarian" regimes in both countries. Electoral rotation and open political competition are combined with episodic breaches in democratic procedures and only limited commitment to democratic norms among economic and political elites. In neither case has socioeconomic development in the twentieth century created any basis for cross-class consensus on democracy and capitalism. The normalization of democratic practices is vulnerable to economic crisis and there is a political and economic gulf between capital and labor. Lack of accountability is widespread and political parties suffer extremes of clientelism and personalism. Nonetheless, though breakdown of democracy remains a real possibility, both regimes have shown surprising durability for over a decade. The authors suggest that we may be witnessing a new regime variant, "crisis-prone democracy."


En este trabajo, las autoras emprenden un análisis comparativo del desarrollo democrático en la República Dominicana y en Ecuador. Ellas arguyen que las estructuras socio-económicas y el legado político del período autoritario anterior han producido regímenes híbridos, "democrático-autoritarios", en ambos países. La rotación electoral y la abierta rivalidad política se combinan con rupturas episódicas de las prácticas democráticas y un apego limitado a las normas democráticas de parte de las elites económicas y políticas. En los dos casos el desarrollo socio-económico del siglo XX no ha creado bases para un consenso intraclasista sobre la democracia y el capitalismo. La normalización de las prácticas democráticas es vulnerable a la crisis económica y existe un abismo político y económico entre el capital y la mano de obra. La falta de accountability es general y los partidos políticos sufren en grado extremo de clientelismo y personalismo. Sin embargo, aunque el rompimiento con la democracia sigue siendo una posibilidad real, ambos regímenes han mostrado una durabilidad sorprendente por más de una década. Las autoras sugieren que podríamos estar presenciando una nueva variante del régimen, "democracia propensa a la crisis".

Catherine M. Conaghan is a Queen's National Scholar and Associate Professor in the Political Studies Department of Queen's University at Kingston, Canada. She received her Ph.D. from Yale University in 1983 and was 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).

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 coauthor 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 authors wish to thank the Institute for the support that led to this work and especially Guillermo O'Donnell who fueled their original discussions.

Los Partidos Politicos Chilenos en la Perspectiva de la Transicion y Consolidacion Democraticas

Manuel Antonio Garretón M.

Working Paper #138 - May 1990


This paper examines the changes that occurred in the Chilean party system under the military regime and their prospects for the process of political democratization. The paper begins by noting changes at different points on the political spectrum-the Right, the Center, and the Left. It then discusses the process of legalization of Chilean parties, which has led to the creation of "legal" parties that do not always coincide with the original "real" ones. The next section shows how party alliances became more flexible as the opposition coalition turned into a democratic governing coalition of the Center and the Left. The final section discusses the transformation of relations between parties and society. There is a certain distrust of parties among sectors of society that, having developed greater autonomy from them, seek new channels of expression and participation. Yet at the same time, social groups show respect for the parties as agents of political representation.


Este artículo examina los cambios ocurridos en el sistema partidario chileno bajo el régimen militar y sus perspectivas para el proceso de democratización política. Los aspectos más significativos a este respecto son: a) Los cambios en los diversos puntos del espectro político: Derecha, Centro e Izquierda. b) El surgimiento de una institucionalidad de los partidos que ha llevado a la creación de partidos "legales" que no siempre coinciden con los partidos "de origen" o "legales". c) La flexibilización del sistema de alianzas a través de la constitución de la coalición de oposición como coalición de gobierno democrático de Centro e Izquierda. d) La transformación de las relaciones entre partido y sociedad, donde se combinan la desconfianza hacia los partidos y la búsqueda de nuevos canales de expresión y participación, con el respeto al papel específico de los partidos como agentes de representación política, y con una mayor autonomía de los sectores sociales respecto de los partidos.

Manuel Antonio Garretón, a Chilean sociologist, is Senior Researcher and Professor at the Facultad Latinoamericana de Ciencias Sociales (FLACSO) and Dean of Sociology at the Universidad Academia de Humanismo Cristiano, Santiago, Chile. He has published several books and articles on democratization processes, political parties, and the evolution of social sciences in Latin America, including The Chilean Political Process (Unwin and Hyman, 1989). From 1987 to 1990 he was a Senior Fellow of the Kellogg Institute and Visiting Professor of Sociology at the University of Notre Dame.

This paper is a revised and expanded version of part of the article "La oposición política y el sistema partidario en el régimen militar chileno. Un proceso de aprendizaje para la transición," which originally appeared in Muerte y Resurrección. Los partidos políticos en el autoritarismo y democratización del Cono Sur, M. Cavarozzi and M.A. Garretón, eds. (Santiago: FLACSO, 1989).

The State of Industry in the Third World in the 1980s: Analytical and Policy Issues

Ajit Singh

Working Paper #137 - April 1990


This paper examines the state of industry in the Third World during the 1980s in a longer term perspective and comments on a range of analytical and policy issues connected with its future development. Two main questions are addressed: In what ways and to what extent has Third World industrialization been affected by the post-1979 world economic crisis? What factors account for the widely divergent industrial performances in the developing countries in the 1980s? Specifically, why has Asian industry done so much better than industry in either Latin America or Sub-Saharan Africa? It is argued here that the industrial crisis in the Third World has been overwhelmingly caused by international market forces. The superior performance of the Asian countries in the 1980s is not due to their greater openness; it was made possible because they were less subject to interest rate, demand, and capital supply shocks. The paper points to serious flaws in the industrial policy proposals of the IMF and the World Bank-privatization, deregulation, liberalization, and closer integration with the world economy. In place of these the author gives an alternative perspective on industrial policy for the developing countries in the 1990s.


Este artículo examina la situación de la industria en los países del Tercer Mundo durante los años ochenta desde una perspectiva de largo plazo y discute una serie de cuestiones analíticas y políticas relacionadas con su desarrollo futuro. Dos problemas centrales son tratados: ¿De qué manera y en qué medida la industrialización del Tercer Mundo ha sido afectada por la crisis económica mundial posterior a 1979? ¿Cuales son los factores que explican la gran divergencia de los desempeños industriales en los países en vías de desarrollo durante los años ochenta? Específicamente, por qué la industria asiática se ha desempeñado mejor que la industria en América Latina o en la región Sub-Sahariana del Africa? Se argumenta que la crisis industrial del Tercer Mundo ha sido preponderantemente causada por las fuerzas del mercado internacional. El desempeño superior de los países asiáticos en los años ochenta no se debe a su mayor apertura, sino a su menor exposición a shocks en las tasas de interés, y en la demanda y la oferta del capital. El artículo señala serios defectos en las políticas de industrialización propuestas por el Fondo Monetario Internacional y el Banco Mundial-privatización, desregulación, liberalización y estrecha integración con la economía mundial. En su lugar, el autor propone una perspectiva alternativa de políticas de industrialización para los países en vías de desarrollo en la década de los noventa.

Ajit Singh, an Indian economist who graduated from Punjab University and obtained his Ph.D. at the University of California, Berkeley, is currently Fellow and Director of Studies in Economics at Queens' College, University of Cambridge. He is a Visiting Departmental Fellow of the Kellogg Institute and holds the Dr. William M. Scholl Visiting Chair in the Department of Economics at Notre Dame. He has been a senior economic advisor to the governments of Mexico and Tanzania and a consultant to the ILO, FAO, UNCTAD, and UNIDO. He is the author of Takeovers: Their Relevance to the Stockmarket and the Theory of the Firm and coauthor of Growth, Profitability and Valuation, both published by Cambridge University Press. His research has been concerned with North-South interactions and problems of the long-term growth of the world economy.

"Useful Fools" as Diplomatic Tools: Organized Labor as an Instrument of US Foreign Policy in Latin America

Paul G. Buchanan

Working Paper #136 - April 1990


This paper analyzes the role played by organized labor in the formulation and conduct of US foreign policy in Latin America, with particular reference to the field of labor relations and the promotion of democracy in the region. It first traces the historical presence of US labor in Latin America, then moves to a disaggregated analysis of the ideological and economic bases of its foreign policy approach towards the region, an examination of the primary vehicles and instruments used in pursuit of its regional objectives, and brief case summaries as illustrative examples. The paper argues that for both ideological and economic reasons US labor has historically played a negative role in promoting democracy in the region, and in fact has actively engaged in subverting democratic regimes when these did not adhere to the type of economic and ideological guidelines advocated by the US government or the AFL-CIO. However, as a result of the adverse consequences of this traditional stance and of a changing international economic and political climate since the mid-1970s, organized labor has shifted towards a more consistent support for democracy for pragmatic rather than activist reasons. Consequently it now has the potential to be a major promoter of open government and democratic labor relations in Latin America.


Este artículo analiza el rol desempeñado por los sindicatos norteamericanos en la formulación e implementación de la política exterior de los Estados Unidos hacia América Latina, haciendo especial referencia al ámbito de las relaciones laborales y la promoción de la democracia en la región. El análisis delinea primero la presencia histórica de los sindicatos norteamericanos en América Latina. Luego, se analizan las bases económicas y sociales de su política exterior hacia la región, examinando los principales vehículos e instrumentos usados para la obtención de sus objetivos, ilustrados a través de breves estudios de casos. El artículo concluye que, debido a razones económicas y sociales, los sindicatos norteamericanos han jugado históricamente un papel negativo en la promoción de la democracia en la región, habiéndose empeñado activamente en subvertir regímenes democráticos cuando éstos no se adherían a la línea ideológica y política definida por el gobierno norteamericano o la AFL-CIO. Sin embargo, como consecuencia de los resultados adversos de esta postura tradicional y del cambio del clima político-económico internacional, desde mediados de los años setenta, los sindicatos han apoyado consistentemente la democracia, aunque por razones más bien pragmáticas que activistas. El autor concluye que este cambio de actitud hace del sindicalismo norteamericano promotor potencial de un gobierno abierto y de relaciones laborales democráticas en América Latina.

Paul G. Buchanan is Assistant Professor of Political Science at the University of Arizona and previously served as Western Hemisphere Area Coordinator and Assistant Professor of National Security Affairs at the Naval Postgraduate School. He has held visiting appointments at CEDES (Argentina), IUPERJ (Brazil), the Center for the Study of Foreign Affairs, the Foreign Service Institute, the Department of State, and the Kellogg Institute (spring semester, 1989). He has written articles on labor administration, labor relations, regime change, state terror, corporatism, and authoritarianism in the Southern Cone, and completed a book titled State, Labor, Capital: Institutionalizing Democratic Class Compromise in the Southern Cone (University of Pittsburgh Press: 1995).

This is a revised version of a paper prepared for presentation at the conference on "The United States and Latin American Democracy," University of Southern California, April 6-9, 1989. The author is indebted to William Bollinger and other conference participants for their comments. Additional logistical assistance was provided by Paul Chase, whose support is gratefully acknowledged.

El Fondo de la Forma: Actos Publicos de la Campaña Presidencial del Partido Revolucionario Institucional, Mexico, 1988

Larissa Adler Lomnitz, Claudio Lomnitz-Adler and Ilya Adler

Working Paper #135 - March 1990


The Mexican political system seeks to confine political change within a continuing one-party framework through the principle of not re-electing its presidents. Every six years the party divides over the selection of a new presidential candidate and regroups and reorganizes itself around the presidential campaign. This paper describes the public events of the PRI's 1988 presidential campaign, offering an overview of these events as political rituals. Starting with a description of the general structure of the campaign, the authors discuss the significance of ambiguity, interpretation, negotiation, and the campaign's vertical orientation. They go on to analyze the conflicting roles of the "president's people" and state bureaucrats, the contradictions between the legal principles of democracy and the hierarchical culture of the politicians, and the relation between the campaign and Mexican nationalism.


El sistema político mexicano busca canalizar el cambio político dentro de la continuidad del uni-partidismo a través del principio de la no-reelección de sus presidentes. Cada seis años, el partido se divide en torno a la selección de un nuevo candidato presidencial y se reordena y recompone a través de la campaña presidencial. En este estudio describimos los actos públicos de la campaña presidencial del PRI de 1988, y los analizamos como rituales políticos. El artículo ofrece una visión global de lo que ocurre en esos rituales; a partir de una descripción de la estructura general de la campaña, se analiza el papel y la importancia de la ambigüedad, la interpretación y la negociación, así como la orientación vertical de la campaña, la contradicción entre los hombres del presidente y los hombres del sistema, la contradicción entre los principios legales de la democracia y la cultura jerárquica de los políticos, y la relación entre la campaña y el nacionalismo mexicano.

Larissa Adler Lomnitz, anthropologist and researcher at the Universidad Nacional Autónoma de México, is the author of numerous books and articles. Her works have focused on the reproduction of social classes in Latin America, concentrating especially on the "informal sector," the middle classes, and Mexico's bourgeoisie. Her books include Networks and Marginality (Academic Press) and A Mexican Elite Family (Princeton University Press).

Claudio Lomnitz-Adler teaches in the Department of Anthropology at New York University. He is the author of Evolución de una sociedad rural (SEP/Fondo de Cultura Económica) and various articles on Mexican culture, politics, and anthropology. His work on regional and national culture was completed for publication.

Ilya Adler teaches communications at the University of Illinois in Chicago. He wrote his thesis on the relation between the government and the press in Mexico and has published a number of articles on this subject.

This study was supported by the Universidad Nacional Autónoma de México, El Colegio de México, and the Tinker Foundation. The authors are grateful for helpful comments from Roberto DaMatta, Ilán Semo, Guillermo de la Peña, and Karen Kovacs. They also gratefully acknowledge the valuable contributions of Grisel Castro and María del Carmen Hernández Beltrán to the field work and bibliographic research. Finally, they thank the Partido Revolucionario Institucional without whose cooperation the field work for this study would have not been possible. However, the authors are completely responsible for the project and the ideas presented herein.

Brazilian Party Underdevelopment in Comparative Perspective

Scott Mainwaring

Working Paper #134 - January 1990


The first half of this paper argues that Brazilian political parties are uniquely underdeveloped. In contrast to the situation in the other more developed countries of Latin America, Brazilian parties have appeared and disappeared with remarkable frequency. The catch-all parties have limited autonomy with respect to the state, and parties have comparatively weak penetration in civil society. In these parties, the attachment of politicians to their parties is exceptionally weak. Politicians often change parties, and party discipline and cohesion in congress are very low. The second half of the paper examines some systemic causes of party underdevelopment. Because of the country's extreme social and economic inequalities, the masses do not participate effectively in the political system, and most of the electorate is relatively indifferent to issues and parties. The state bureaucracy, rather than parties and the legislature, has been the major focal point of Brazilian politics; this situation is inimical to party development. In response to the complex demands created by the combination of a presidential system, a fragmented multiparty system, and federalism, presidents have consistently attempted to undermine parties. Finally, Brazilian politicians have attempted to prevent more effective parties from emerging, believing that party loyalty and more disciplined parties would limit their ability to attend to their clienteles.


La primera parte de este artículo argumenta que los partidos políticos brasileños son singularmente subdesarrollados. A diferencia de la situación en otros paises más desarrollados de América Latina, los partidos brasileños han surgido y desaparecido con notable frecuencia. Los partidos "catch-all" poseen autonomía limitada con respecto al Estado, y tienen débil penetración en la sociedad civil. Los lazos de lealtad de los políticos a sus partidos son excepcionalmente débiles. Los políticos cambian con frecuencia de partido, siendo la disciplina partidaria y la cohesión en el Congreso bastante bajas. La segunda parte del artículo examina algunas de las causas sistémicas del subdesarrollo partidario. Debido a las extremas desigualdades económicas y sociales del país, las masas no participan efectivamente en el sistema político, en tanto que la mayoría del electorado permanece relativamente indiferente a los debates políticos y los partidos. La burocracia estatal, más que los partidos y la legislatura, ha sido el eje central de la política brasileña; esta situación inhibe el desarrollo partidario. En respuesta a las exigencias complejas creadas por la combinación de un sistema presidencial, de un sistema de partidos fragmentado, y del federalismo, los presidentes han tratado consistentemente de socavar los partidos. Finalmente, los políticos brasileños han intentado prevenir el surgimiento de partidos políticos más efectivos, ya que partidos más disciplinados y la lealtad partidaria podrían limitar su capacidad para atender a las clientelas.

Scott Mainwaring is Associate Professor of Government and Senior Fellow 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), and coeditor of and contributor to The Progressive Church in Latin America (Kellogg Institute/University of Notre Dame Press, 1989). He has published articles on political parties, social movements, and transitions to democracy in Latin America.

An earlier version of this paper was given at the XIV World Congress of the International Political Science Association, August 28 to September 1, 1988. The author presented some of the ideas at seminars at CEDEC, the Federal University of Minas Gerais, IDESP, and IUPERJ. He is grateful to his colleagues at these institutions for their stimulating comments. He is also grateful to Datafolha, IBOPE, and IDESP for providing information from surveys; and to Caroline Domingo, Margaret Keck, Guillermo O'Donnell, Timothy Power, Timothy Scully, J. Samuel Valenzuela, and an anonymous reader of Political Science Quarterly for helpful criticisms. This paper was published in Political Science Quarterly.

Women, Industrialization and State Policy in Cuba

Helen Icken Safa with the Federation of Cuban Women

Working Paper #133 - December 1989


This paper evaluates the impact of paid employment on Cuban women in the post-revolutionary period. The increase in women's labor force participation during this period has been substantial, and is considered a key element of Cuba's revolutionary policy. The study was conducted on a small sample of women textile workers in 1986 in collaboration with the Federation of Cuban Women, and examined changes at the level of the household, the workplace, and participation in mass organizations. The study concludes that, while there have been important gains for Cuban women at all three levels as a result of paid employment, they still face ideological and material obstacles to full equality. These obstacles stem from women's strong identification with their domestic role, which is reinforced by policies at the workplace and at the state level that do not respond adequately to the needs of women workers and continue to treat them as secondary workers in comparison to men.


Este artículo evalúa el impacto del trabajo asalariado sobre las mujeres cubanas durante el período post-revolucionario. La participación femenina en la fuerza de trabajo se ha incrementado en gran medida; tal incremento ha sido un elemento clave de la política revolucionaria cubana. La presente investigación se llevó a cabo sobre una muestra reducida de trabajadores textiles durante 1986 en colaboración con la Federación de mujeres cubanas, examinándose los cambios ocurridos a nivel doméstico, en el lugar de trabajo, y con respecto a la participación en organizaciones de masa. La investigación arroja como conclusión que si bien han habido logros importantes para las mujeres cubanas en los tres niveles mencionados como consecuencia del trabajo asalariado, todavía enfrentan obstáculos ideológicos y estructurales para lograr una igualdad más plena. Estos obstáculos surgen de la fuerte identificación que las mujeres tienen con su rol doméstico, el cual es reforzado por políticas en las fábricas y políticas del estado que no responden adecuadamente a las necesidades de las mujeres trabajadoras, y que continúan tratándolas como trabajadores secundarios en comparación a la mano de obra masculina.

Helen I. Safa is the author of The Urban Poor of Puerto Rico and the editor of Migration and Development, Women and Change in Latin America, Towards a Political Economy of Urbanization in Third World Countries, and other books. Her articles and reviews on migration, housing, race, ethnicity, education, and women and national development have appeared in a variety of scholarly journals and periodicals. She has served as a consultant in the United States and abroad, particularly Latin America, on immigration and urban planning and women and development. She has taught at Syracuse and Rutgers Universities and was former Director of the Center for Latin American Studies at the University of Florida, where she is currently Professor of Anthropology and Latin American Studies. She is past President of the Latin American Studies Association. During the fall semester 1989 she was a residential fellow at the Kellogg Institute.

This study was prepared in collaboration with the Federation of Cuban Women, and in particular with the assistance of Marta Nuñez, Rosa María Cartaya, Margarita Flores, Rita María Pereira, and Raul Ramos. The author wishes to thank the Federation of Cuban Women for their initiative in undertaking, for the first time, a study in collaboration with a North American researcher, and for their enormous investment of time and resources in data collection and analysis. However, this paper represents her own interpretation. The funding for her expenses in conjunction with this research was provided by the Wenner-Gren Foundation for Anthropological Research and the author is particularly grateful to Lita Osmundsen, its former director, for her support and encouragement.

Labor Supply and the Employment Strategies of French and British Shipbuilders, 1890 to 1970

Edward H. Lorenz

Working Paper #132 - January 1990


The employment strategies of French and British shipbuilding employers are contrasted for the period 1890 to 1970. The focus is on the differences in their recruitment, training, and job tenure policies. The paper begins by considering the political determinants of labor supply conditions in each country. The aim is to show how differences in the balance of power among peasants, workers, and industrialists in each country and differences in the relations of these groups to the state structured the labor markets in nationally specific ways. This discussion is followed by an analysis of the impact of these labor supply conditions on the yards' employment policies and consideration is given to the influence of collective bargaining institutions in each country. The study shows that strikingly different employment practices were established in the French and British shipbuilding industries despite the firms sharing a common technology and often competing in the same international markets.


Este artículo compara las estrategias de empleo implementadas por los empleadores de la construcción naval en Francia y Gran Bretaña durante el período 1890-1970, analizando las diferencias en materia de políticas de selección, entrenamiento y estabilidad en el empleo. En primer lugar, se consideran los determinantes políticos que condicionan la oferta de mano de obra en cada país. El objetivo es mostrar cómo diferencias en el balance del poder entre campesinos, obreros e industriales, y diferencias en la relación de estos sectores con el Estado estructuraron el mercado laboral de diversas formas en cada país. Luego, se discute el impacto de las condiciones de la oferta de trabajo sobre las políticas de empleo a nivel de planta, considerándose también la influencia de la acción sindical. El estudio muestra que si bien las firmas comparten tecnologías similares y a veces compiten en los mismos mercados internacionales, las políticas de empleo han sido substancialmente diferentes.

Edward H. Lorenz is Assistant Professor of Economics and a Fellow of the Kellogg Institute at the University of Notre Dame. He is the author of a number of articles on managerial strategies and industrial relations, including "Neither Friends nor Strangers: Informal Networks of Subcontracting in French Industry" in Trust: Making and Breaking Cooperative Relations, Diego Gambetta, ed. (1988). He has completed a book on the decline of the British shipbuilding industry.

This essay is a revised version of a paper presented at the Sixth Conference of the International Working Party on Labor Market Segmentation, Karl Marx University of Economics, Budapest, Hungary. The author is grateful to Jill Rubery and Paul Ryan who made some useful suggestions for revising the original draft. He would also like to thank Paolla Villa, Frank Wilkinson, and Jonathan Zeitlin for their comments on directly related research. A French version was published in Le Mouvement Sociale, no. 138, January - March 1987.

Industrialization Process, Employment, and Income Distribution in Mexico: Issues and Strategies

Kwan S. Kim

Working Paper # 131 January 1990


This paper evaluates Mexico's past and present development strategies in terms of their equity and employment implications. It concludes that the current neoliberal stabilization efforts are likely to result in increased income concentration, also leading to the dampening of aggregate demand and economic activities. Given the gravity of the current crisis in Mexico, the paper argues for the urgency of an alternative revitalization strategy with a human face. Such a strategy should include three elements as the cornerstones of future development: the structural shift within the modern sector toward more competitive, higher-value added, more labor-intensive, and diversified activities; the development of the lagging sectors based on the principle of collective self-reliance; and the articulation of linkages in productive and marketing structures between the leading and lagging sectors.


Este artículo evalúa las estrategias mexicanas de desarrollo, tanto pasadas como presentes, considerando sus implicaciones en términos de equidad y empleo. Se concluye que los esfuerzos de estabilización neoliberales actuales tienden a provocar una creciente concentración del ingreso, causando también el desaliento en la demanda agregada y en el nivel de actividades económicas. Dada la relevancia de la crisis presente en México, el artículo plantea la urgencia de una estrategia de revitalización alternativa más humanitaria. Tal estrategia debería incluir tres elementos como claves para el desarrollo futuro: el cambio estructural dentro del sector moderno hacia actividades más competitivas, de mayor valor agregado, trabajo intensivo y actividades diversificadas; el desarrollo de los sectores rezagados de la economía bajo el principio de autonomía colectiva; y la articulación de lazos en las estructuras productivas y de comercialización entre los sectores más adelantados y los más rezagados.

Kwan S. Kim is Professor of Economics and departmental 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 written numerous books and articles on trade and development and planning and industrialization, with special interests in East Asia, East Africa, and Latin America. Recent publications include Mexico: Development Strategies for the Future (with Denis Goulet) and Política industrial y desarrollo en Corea del Sur, and he is editor of Papers on the Political Economy of Tanzania and Debt and Development in Latin America.

An earlier version of this paper was presented at a symposium sponsored by La Academia de Economía de la SECOFI in Mexico and at a seminar in Argentina organized by the Raúl Prebisch Foundation and the Harvard Institute for International Development. This paper benefitted from many valuable comments and suggestions raised during the seminars, and in particular from the comments of Felipe Jiménez and Pilar Romaguera.