Working Papers - 1996 (#216 - #234)

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Ethnicity and Identity in the Caribbean: Decentering a Myth

Ralph R. Premdas

Working Paper #234 - December 1996


This discussion of a Caribbean identity begins by embarking on a discourse about where and what is the Caribbean, followed by some brief remarks about the need for identity. The author presents an analytic scheme for understanding the construction of Caribbean identities. In the larger body of the paper that follows next, he examines individually the constituent elements that have featured in the formation of claims to a Caribbean identity at all levels of its expression and shows how difficult it is to maintain the arguments that are made for them. Finally, the paper offers a topology of identities that best describe the Caribbean situation.


Esta discusión acerca de una identidad caribeña comienza por embarcarse en un discurso sobre dónde está y qué es lo caribeño, al cual le siguen algunas breves observaciones acerca de lo necesario de la identidad. El autor presenta un esquema analítico para entender la construcción de las identidades del Caribe. En el cuerpo principal del trabajo se examinan individualmente los elementos constituyentes que más se han destacado en los alegatos de identidad caribeña en todos los niveles de su expresión, y se muestra qué difícil es sostener los argumentos que en ellos se formulan. Finalmente, se ofrece una topología de las identidades que mejor describen la situación del Caribe.

Ralph R. Premdas, a Visiting Scholar at the Kellogg Institute (spring 1996), teaches regularly at the University of the West Indies, St. Augustine, Trinidad and Tobago, in the Caribbean. Over the past two decades he has conducted extensive field work in Guyana and Fiji. Among his published works are Guyana: Ethnic Conflict and Development and Fiji: Ethnicity and Development, both published by the United Nations Research Institute for Social Development and by the University of Warwick's Research Series on Ethnic Relations. Other recent works by the author include Secessionist Movements in Comparative Perspective (Pinter, 1991), The Enigma of Ethnicity: Ethnic and Racial Relations in the Caribbean and the World (University of the West Indies, 1992), and Ethnic Identity in the Caribbean: Decentering a Myth (University of Toronto, 1995).

This paper was first delivered as a keynote address to the Association for the Study of Ethnicity and Nationalism at the London School of Economics and Political Science on 21 March 1995; the author wishes to thank several persons who have read and commented on it: Benedict Anderson (Cornell), Michael Banton (Bristol), Lloyd Best (Trinidad), Ken Bilby (Smithsonian), Gary Brana-Shute (Georgetown), Bridget Brereton (Trinidad), Joe Carens (Toronto), Michaeline Critchlow (Iowa), Ed Dew (Fairfield), Carlene Edie (Massachussetts), Cynthia Enloe (Clark), Steve Fenton (Bristol), Wsevolod Isajiw (Toronto), Richard Iton (Toronto), Michael Keating (Western Ontario), Abrahim Khan (Toronto), Franklin Knight (John Hopkins), Jerome McElroy (St. Mary's College), John McGarry (King's College), Martin Murphy (Notre Dame), Rex Nettleford (Jamaica), Guillermo O'Donnell (Notre Dame), Gert Oostindie (Leiden), John Rex (Warwick), Bonham Richardson (Virginia Polytechnic), Andrew Sanders (Ulster, Northern Ireland), John Simpson (Toronto), Steven Small (Berkeley), Jake Soderlund (Windsor), Jack Spence (Chatham House), and Crawford Young (Wisconsin).

This paper is now available in ed. Juan Manuel Carrion, Identity and Ethnicity in the Caribbean (University of Puerto Rico Press, 1997).

Accountability for Past Abuses

Juan E. Méndez

Working Paper #233 - September 1996


The transitions to democracy in the 1980s have yielded a wealth of experience regarding the way societies reckon with a recent past of massive human rights violations. This paper looks at the most influential literature produced contemporaneously with those experiences and analyzes its current validity in the light of new contexts in which the issue arises. The author places emphasis first and foremost on the duties that the State owes to the victims of human rights violations and to society and then looks at the objective limitations that most transitions place on governments' ability to satisfy demands for truth and justice. These duties are part of an emerging rule of international law that demands that certain crimes should not go unpunished. But the obligations of the State to the victims and to society are varied and not dependent on each other; even if prosecution and punishment are rendered legally or politically impossible, the duties to disclose all that can be established about each violation, to offer reparations, and to dismiss the culprits from the armed and security forces remain fully in force.


Las transiciones a la democracia en los ochentas dieron lugar a una significativa acumulación de experiencias en relación con la forma en que las sociedades ajustan cuentas con pasados recientes de masivas violaciones a los derechos humanos. Este artículo revisa la más influyente literatura producida contemporáneamente con esas experiencias y analiza su validez actual a la luz de los nuevos contextos en que este problema se plantea. Se propone observar, primera y principalmente, los deberes del Estado en relación con las víctimas de violaciones a los derechos humanos y con la sociedad y, en segundo lugar, las limitaciones objetivas que la mayoría de las transiciones plantean sobre la capacidad de los gobiernos para satisfacer demandas de verdad y justicia. Esos deberes son parte de un emergente regla de derecho internacional que demanda que ciertos crímenes no pasen sin recibir castigo. Pero las obligaciones del Estado hacia las víctimas y hacia la sociedad son variadas e independientes entre sí; aún cuando el enjuiciamiento y castigo resultaran legal o políticamente imposibles, los deberes de revelar todo lo que puede ser establecido acerca de cada violación, de ofrecer reparaciones y de expulsar a los culpables de las filas de las fuerzas armadas y de seguridad conservan plena vigencia.

Juan E. Méndez, former General Counsel for Human Rights Watch and Director of the Inter-American Institute on Human Rights in San José, Costa Rica, was a Visiting Fellow at the Kellogg Institute during spring 1996. His early law practice in Argentina focused on labor law and the defense of political prisoners, and he was held in administrative detention from August 1975 to February 1977 under the state of siege. In 1982 he became Director of the Washington office of Americas Watch and in 1989, Executive Director of Americas Watch. He is the author of many articles in books and academic journals and of numerous reports for Americas Watch on human rights in Argentina, Colombia, Nicaragua, Peru, El Salvador, Guatemala, and Honduras, including Truth and Partial Justice in Argentina (1987), The 'Drug War' in Colombia: The Neglected Tragedy of Political Violence (1990), and Political Murder and Reform in Colombia: The Violence Continues (1992).

This paper is now available in the February 1997 issue of Human Rights Quarterly.

Mexico's Auto Industry After Nafta: A Successful Experience in Restructuring?

Juan Carlos Moreno Brid

Working Paper #232 - August 1996


Mexico's motor vehicle sector is viewed as a most successful case in industrial restructuring. In the mid-70s it was an industry characterized by outdated machinery and incapable of competing in the international market. Today its manufacturing plants are competing worldwide in automotive production, exporting more than a million engines and 400,000 vehicles a year. This transformation is explained by changes in Mexico's positioning within the automobile global market as well as by the policies applied by the Mexican government to regulate vehicle production, imports, and sale in the country. The North American Free Trade Agreement (NAFTA) is changing the institutional framework of the Mexican economy and radically liberalizing its highly protected domestic automotive market. In this study we examine the evolution of Mexico's automotive sector in the last fifteen years and the various factors contributing to its transformation. The first section reviews Mexico's overall economic strategy and trade policy. The second focuses on the regulation of vehicle and auto parts production in Mexico. Clearly, trade restrictions have been very important for the development of Mexico's automotive sector. The third section deals with the performance of the Mexican automotive industry up to 1993, before NAFTA was put into effect. It is followed by some comments on the changes that NAFTA is already bringing about. In the final section, we present our view on the industry's outlook.


El sector automotriz mexicano es visto como uno de los casos de reestructuración industrial más exitosos. A mediados de los setentas, era una industria caracterizada por la obsolecencia de su maquinaria e incapaz de competir en el mercado internacional. Hoy, sus plantas manufactureras compiten mundialmente en la producción de automóviles, exportando más de un millón de motores y cuatrocientos mil vehículos por año. Esta transformación se explica por los cambios en el posicionamiento de México en el mercado automotriz global, así como por las políticas aplicadas por el gobierno mexicano para regular la producción de vehículos, las importaciones y las ventas en el país. Hoy, el NAFTA está cambiando el marco institucional de la economía mexicana y liberalizando radicalmente su altamente protegido mercado automotriz. En este estudio examinamos la evolución del sector automotriz mexicano durante los últimos quince años y los varios factores que contribuyeron a su transformación. La primera sección reseña la estrategia económica general y la política comercial adoptadas por México. La segunda se concentra en la regulación de la producción de vehículos y auto-partes. Claramente, las restricciones al comercio han sido muy importantes para el desarrollo del sector automotriz mexicano. La tercera sección evalúa el rendimiento de la producción automotriz mexicana hasta 1993, antes que el NAFTA entrara en vigencia. Le siguen algunos comentarios acerca de los cambios que el NAFTA ya ha producido. En la sección final presentamos nuestro punto de vista sobre el panorama de esta industria.

Juan Carlos Moreno Brid has been a consultant to the Mexican Government, specifically to the Chief of Economic Advisers of Petróleos Mexicanos (PEMEX) and the Secretary of Industry. His publications include the article "Structural Change in Mexico's Motor Vehicle Industry: 1977-89" in G. Van Liemt, ed., Industry on the Move (International Labour Office, Geneva 1993), based on a study he undertook for the ILO. Moreno Brid is a Visiting Scholar at the Rockefeller Center for Latin American Studies at Harvard University. In spring 1992 he was a Visiting Fellow at the Kellogg Institute.

An earlier version of this paper was presented at the Conference "Liberalization and Competitiveness: The New Opportunities in Investment and Technology in Big Emerging Markets," 5-7 May 1994, Center for US-Mexican Studies, University of California, San Diego. This revised version was completed before the collapse of the Mexican economy in December 1994.

A New Discipline: Development Ethics

Denis Goulet

Working Paper #231 - August 1996


'Development' has long been equated with modernization and Westernization and studied as a straightforward economic issue. The discipline of economics has been the main source of policy prescription for development decisionmakers. This view is now widely criticized as ethnocentric and as economically reductionist. Change is occurring: economics itself is reintegrating ethics into its conceptualization, methodology, and analysis; a new paradigm of development is in gestation; and a new discipline, development ethics, has come into being. Development ethics centers its study of development on the value questions posed: What is the relation between having goods and being good in the pursuit of the good life; what are the foundations of a just society; and what stance should societies adopt toward nature? The new discipline emerges from two sources, which are now converging: from engagement in development action to the formulation of ethical theory, and from a critique of mainstream ethical theory to the crafting of normative strategies to guide development practice. Development ethics has a dual mission: to render the economy more human and to keep hope alive in the face of the seeming impossibility of achieving human development for all.


Por largo tiempo el desarrollo ha sido asimilado a la modernización y la occidentalización y estudiado como un tópico obviamente económico. La disciplina económica ha sido la principal fuente de prescripciones para quienes deciden políticas de desarrollo. Esta perspectiva es hoy ampliamente acusada de etnocentrismo y reduccionismo económico. Están ocurriendo cambios: la misma economía está reintegrando la ética a su conceptualización, sus métodos y análisis; un nuevo paradigma de desarrollo está en gestación; y una nueva disciplina se ha constituido: la ética del desarrollo. Esta centra su estudio del desarrollo en el valor de las siguientes preguntas: ¿Cuál es la relación entre tener bienes y ser bueno en procura de la buena vida? ¿Cuáles son los fundamentos de una sociedad justa y qué actitud hacia la naturaleza deberían adoptar las sociedades? Esta nueva disciplina emerge de dos fuentes, que ahora están convergiendo: desde el comprometerse en acciones de desarrollo hasta la formulación de teoría ética; y desde una crítica de las teoría ética dominante a la elaboración de guías normativas que guíen la práctica del desarrollo. La ética del desarrollo tiene una doble misión: hacer más humana la economía y mantener viva la esperanza frente a la aparente imposibilidad de alcanzar desarrollo humano para todos.

Denis Goulet, is O'Neill Professor in Education for Justice in the Department of Economics and Fellow of the Kellogg Institute and the Kroc Institute for International Peace Studies at the University of Notre Dame. A pioneer in the interdisciplinary study of development ethics, he has conducted field research in Algeria, Lebanon, Brazil, Guinea-Bissau, Sri Lanka, and Mexico. He has held visiting professorships in Canada (University of Saskatchewan), the USA (University of California-San Diego and Indiana University), France (IRFED), Brazil (University of Pernambuco), and Poland (Warsaw University). His publications include ten books and over 160 articles and monographs.

A version of this paper appeared in Socio-Economics of Community Development in World Perspectives (Festschrift in Honour of the Great Eighteenth-Century Philosopher, Immanuel Kant), Volume II, published by MCB University Press, West Yorkshire, England, as a special issue of The International Journal of Social Economics.

Democracy "With Adjectives": Conceptual Innovation in Comparative Research

David Collier and Steven Levitsky

Working Paper #230 - August 1996


The recent trend toward democratization in countries throughout the globe has challenged scholars to pursue two potentially contradictory goals: to develop a differentiated conceptualization of democracy that captures the diverse experiences of these countries; and to extend the analysis to this broad range of cases without 'stretching' the concept. This paper argues that this dual challenge has led to a proliferation of conceptual innovations, including hundreds of subtypes of democracy-i.e., democracy 'with adjectives.' The paper explores the strengths and weaknesses of three important strategies of innovation that have emerged: 'precising' the definition of democracy; shifting the overarching concept with which democracy is associated; and generating various forms of subtypes. Given the complex structure of meaning produced by these strategies for refining the concept of democracy, we conclude by offering an old piece of advice with renewed urgency: It is imperative that scholars situate themselves in relation to this structure of meaning by clearly defining and explicating the conception of democracy they are employing.


La reciente corriente de democratización en países de todo el mundo ha movido a los especialistas a perseguir dos metas potencialmente contradictorias: desarrollar una conceptualización diferenciada de la democracia que capture las diversas experiencias de estos países; y extender el análisis a este amplio rango de casos sin 'estirar' el concepto. Este texto sostiene que este doble desafío ha llevado a la proliferación de innovaciones conceptuales, incluyendo cientos de subtipos de democracia-esto es, democracia 'con adjetivos.' El texto explora las fortalezas y debilidades de tres importantes estrategias de innovación que han emergido: 'precisar' la definición de democracia; cambiar la noción abarcadora con la cual se asocia a la democracia; y generar varias formas de subtipos. Dada la compleja estructura de significado producida por estas estrategias de refinamiento del concepto de democracia, concluimos ofreciendo, con renovada urgencia, un viejo consejo: Es imperativo que los especialistas se sitúen en relación a esta estructura de significado a través de una definición y explicación claras de la concepción de democracia que están empleando.

David Collier is Professor of Political Science at the University of California, Berkeley. He is coauthor of Shaping the Political Arena: Critical Junctures, the Labor Movement, and Regime Dynamics in Latin America (1991), and his articles include "Trajectory of a Concept: 'Corporatism' in the Study of Latin American Politics" (1995) and "Insights and Pitfalls: Selection Bias in Qualitative Research" (coauthored, 1996).

Steven Levitsky is a doctoral candidate in Political Science at the University of California, Berkeley. He is coauthor of "Between a Shock and a Hard Place: The Dynamics of Labor-Backed Adjustment in Argentina and Poland" (Comparative Politics), and he has conducted research on the transformation of Peronism in the contemporary neoliberal era in Argentina.

In writing this paper, we have incurred a special intellectual debt to Guillermo O'Donnell, Giovanni Sartori, Philippe Schmitter, Terry Karl, and Larry Diamond, as well as to our cognitive science colleagues George Lakoff and Mark Turner. We can only mention a few of the many colleagues who have made valuable comments: Ruth Berins Collier, Andrew Gould, Marcus Kurtz, David Laitin, Arend Lijphart, James Mahoney, Scott Mainwaring, Carol Medlin, Gerardo Munck, Samuel Valenzuela, and participants in the Berkeley Working Group on Comparative Method. Steve Levitsky's participation in this research was supported by a National Science Foundation Graduate Fellowship, and David Collier's work on this project at the Center for Advanced Study in the Behavioral Sciences was supported by National Science Foundation Grant No. SBR-9022192.

Church-State Reciprocity in Contemporary Brazil: The Convening of the International Eucharistic Congress of 1955 in Rio De Janeiro

Kenneth P. Serbin

Working Paper #229 - August 1996


Focusing on government support for the 36th International Eucharistic Congress of 1955 in Rio de Janeiro, this paper explores the reciprocities between church and state in contemporary Brazil. It argues that economic considerations were central to the link between religion and politics. Under the crucial church-state pact fostered under President Getúlio Vargas and nurtured throughout the democratic-populist era (1930-64) public subsidies helped the church expand its social and religious works and created dependence on the state. The International Eucharistic Congress highlighted how finances and faith mingled in Brazil's complex mosaic of religion, politics, and society. The paper discusses the history of the Eucharistic congresses, analyzes the church-state pact in Brazil, and gives an account of the 1955 Congress and its economic ramifications.


Usando como enfoque o apoio governamental ao 36o Congresso Eucarístico Internacional no Rio de Janeiro, o presente artigo investiga as reciprocidades entre igreja e estado no Brasil contemporâneo. Argumenta que as considerações econômicas foram um ponto central no elo entre religião e política. Sob o crucial pacto igreja-estado criado pelo Presidente Getúlio Vargas e estimulado durante toda a época democrático-populista (1930-64), as subvenções públicas ajudaram a igreja a expandir suas obras sociais e religiosas e portanto fizeram com que ela dependesse do estado. O Congresso Eucarístico Internacional realça como se misturaram fé e finanças no complexo mosaico de religião, política, e sociedade no Brasil. Este artigo apresenta a história dos congressos eucarísticos, analisa o pacto igreja-estado no Brasil, e explica o Congresso de 1955 e suas implicações econômicas.

Kenneth P. Serbin, a Visiting Fellow at the Kellogg Institute (spring 1992), is Assistant Professor of History at the University of San Diego. He has researched the Roman Catholic Church in Brazil since 1986 and received his PhD in Latin American History in 1993 from the University of California, San Diego. His article, "Brazil: State Subsidization and the Church since 1930," was published in Organized Religion in the Political Transformation of Latin America, ed. Satya Pattnayak (New York: University Press of America, 1995). He is also the author of "Os seminários: crise, experiências, síntese" in Catolicismo: Modernidade e tradição, ed. Pierre Sanchis (São Paulo: Edições Loyola, 1992). During the 1992-93 academic year he had an appointment as Research Associate at the North-South Center at the University of Miami, where he published studies of the Latin American bishops and the Brazilian political crisis. He has also written two books on the Brazilian Church, including Secret Dialogues: Church-State Relations, Torture, and Social Justice in Authoritarian Brazil (Pitt, 2000).

The author wishes to thank Ralph Della Cava, Pedro A. Ribeiro de Oliveira, Elizabeth Cobbs Hoffman, Marina Bandeira, Dain Borges, Eric Van Young, and several anonymous readers for their excellent comments on earlier versions and also those who remarked on a presentation of these findings at the Second General Conference of the Commission for the Study of the History of the Church in Latin America, São Paulo, Brazil, 25-28 July 1995. He is further grateful to the agencies that funded the research and writing: the Fulbright Commission (Brasília), the Organization of American States, the Mellon Fellowships in the Humanities program, the History Department of the University of California, San Diego, the North-South Center of the University of Miami, and the History Department and Office of the Dean of Arts and Sciences at the University of San Diego. The author, of course, assumes full responsibility for the text.

A revised version of this paper was published in the November 1996 issue of the Hispanic American Historical Review.

Disaggregating Political Regime: Conceptual Issues in the Study of Democratization

Gerardo L. Munck

Working Paper #228 - August 1996


The increasingly global scope of democratization has challenged comparativists to engage in crossregional research as part of a collective enterprise. The response to such a challenge, however, hinges upon their ability to both base their research on a set of clear concepts, a prerequisite for theory-building, and clarify their method of case selection, a prerequisite for theory-testing. While these conceptual issues have yet to be fully resolved, I show how the work of a group of 'regime analysts' provides the best starting point for scholars interested in this enterprise. For this purpose, I show how the disaggregation of the concept of political regime provides the basis for a distinction among three analytically separable problems--the process of transition, the outcome of this process of transition, and the process of consolidation--and for more nuanced distinctions in terms of modes of transition, regime types and subtypes, and degrees of consolidation. I also show how the problem of conceptual stretching is avoided by regime analysts in the course of case selection through the vertical organization of their concepts along a ladder of generality and the application of a simple rule. Finally, I show how the study of political regimes on the basis of quantitative indices of democracy fails to avoid the problems of conceptual conflation and conceptual stretching.


El cada vez mayor alcance global de la democratización ha alentado a los comparativistas a participar en investigaciones interregionales como parte de un proyecto colectivo. Sin embargo, la respuesta a este reto depende, por un lado, de su capacidad de basar su investigación en un conjunto de conceptos claros, lo cual constituye un prerequisito para la formulación teórica y, por el otro, de aclarar su método de selección de casos, lo cual constituye un prerequisito para la comprobación de la teoría. Aunque estas cuestiones conceptuales están aún por resolverse completamente, me permito mostrar como el trabajo de un grupo de 'analistas de régimen' proporciona el mejor punto de partida para los estudiosos interesados en este proyecto. Para este propósito, muestro como la desagregación del concepto de régimen político proporciona la base para distinguir entre tres problemas analíticamente separables, el proceso de transición, el resultado de este proceso de transición y el proceso de consolidación, y para introducir matices en términos de modos de transición, tipos y subtipos de regímenes y grados de consolidación. También muestro como los analistas de régimen evitan el problema del alargamiento conceptual en el proceso de la selección de casos mediante la organización vertical de sus conceptos a lo largo de una escala de generalidad y la aplicación de una regla sencilla. Finalmente muestro como el estudio de los regímenes políticos a partir de índices cuantitativos de democracia no logra evitar los problemas de la combinación conceptual y del alargamiento conceptual.

Gerardo L. Munck is Assistant Professor of Political Science at the University of Illinois at Urbana-Champaign. He is author of "Actor Formation, Social Coordination, and Political Strategy: Some Conceptual Problems in the Study of Social Movements," Sociology (November 1995), as well as articles in Comparative Politics; the Review of International Studies; Third World Quarterly; and the Journal of Interamerican Studies and World Affairs. His book Authoritarianism and Democratization: Soldiers and Workers in Argentina 1976-1983 was published in 1998. His areas of interest include democratic transitions in Latin America and Eastern Europe, the linkage between democratization and economic reform, and social Eastern Europe, the linkage between democratization and economic reform, and social movements.

I would like to acknowledge the gracious support of the Kellogg Institute for giving me the time to write this article. I would also like to thank Andrew Gould, Robert Kaufman, Lisa Milligan, and Guillermo O'Donnell for their useful comments. While this article has been improved as a result of their suggestions, as always any errors are fully the author's responsibility.

A Spanish version of this paper is available in Agora, Cuademos de Estudios Políticos 5 (Winter 1996).

Changes in the International Distribution of Income

Herbert Stocker

Working Paper #227 - July 1996


This paper attempts to assess the extent of income inequality among nations and the development of international inequality over the last three decades. After a brief introductory discussion of changes in the economic policies of industrialized countries towards poor countries and corresponding changes in the attitudes of economists, the author goes on to give an impression of the actual state of the international income distribution and mention some general problems of such comparisons. In the third section he computes an inequality index to describe the development of the international income distribution over time and presents some decompositions. The fourth section investigates the robustness of the results, and the fifth section presents an extension to world-wide inequality and reflects briefly on the significance of the results.


Este texto evalúa la magnitud de la desigualdad en el ingreso entre las naciones y el desarrollo de la desigualdad internacional en las últimas tres décadas. Luego de una breve discusión introductoria de los cambios en las políticas de los países industrializados hacia los países pobres y de los correspondientes cambios en las actitudes de los economistas, el autor pasa a dar una impresión del estado actual de la distribución internacional del ingreso y a mencionar algunos de los problemas generales de tales comparaciones. En la tercera sección el autor calcula un índice de desigualdad para describir el desarrollo a través del tiempo de la distribución internacional del ingreso y presenta algunas descomposiciones. La cuarta sección investiga la robustez de los resultados. La quinta sección los extiende en términos de desigualdad mundial y reflexiona brevemente sobre su significación.

Herbert Stocker is Assistant Professor in the Department of Economics at the University of Innsbruck in Austria and specializes in development economics, foreign trade, and economic integration. He obtained his PhD from the University of Innsbruck in 1991, having written a doctoral thesis on foreign trade regimes and economic development.

This paper was prepared while he was a Guest Scholar at the Kellogg Institute and Visiting Scholar in the Department of Economics at the University of Notre Dame (fall 1994), and he gratefully acknowledges the hospitality of these institutions.

The Ecuadorean Participation in the Andean Pact: Macroeconomic and Sectoral Impact

Germán Creamer

Working Paper #226 - June 1996


Protection of Ecuadorean industry, even after the tariff reform of 1990, has continued to be important for the nonbasic needs industries, which have a very low level participation in the Andean group (GRAN), but little protection has been provided for the basic needs industries, which have extensive participation in the Andean group. In light of these facts, this paper uses a macro neostructuralist model to evaluate whether the opening of the Ecuadorean economy to the Andean group will generate development of the basic needs consumer sector, at least in the initial stage, with positive effects on growth, income distribution, and external adjustment of the Ecuadorean economy. However, it is important to recognize that Ecuador may need special trade conditions with respect to the rest of the Andean countries or else go through a significant technological change (substitution of imported inputs for domestic inputs) and/or institutional change to ensure the success of this process.


La protección de la industria ecuatoriana, aún después de la reforma tarifaria de 1990, ha seguido siendo importante para las industrias de necesidades no básicas; las cuales tienen un muy bajo nivel de participación en el Grupo Andino. Escasa protección ha sido provista, sin embargo, a las industrias de necesidades básicas, las que tienen significativa participación en el Grupo Andino. A la luz de estos hechos, este texto usa un macro-modelo neoestructuralista para evaluar si la apertura de la economía ecuatoriana al Grupo Andino, al menos en el estadío inicial, generará desarrollo en el sector de necesidades básicas, con efectos positivos en el crecimiento, la distribución del ingreso y el ajuste externo de la economía ecuatoriana. No obstante, es importante reconocer que Ecuador puede necesitar condiciones de comercio especiales con respecto al resto de los países andinos o, en su defecto, atravesar un importante cambio tecnológico (sustitución de insumos importados por insumos domésticos) y/o cambio institucional, para asegurar el éxito de este proceso.

Germán Creamer (PhD, University of Notre Dame) is Professor of Economics and Coordinator of the Economics Department at the Facultad Latinoamericana de Ciencias Sociales (FLACSO)-Sede Ecuador. He has worked as an advisor to the Presidency of Ecuador and as a consultant to the United Nations Development Programme (UNDP), the United Nations Department of Economic and Social Development (UNDESD), the United States Agency of International Development (USAID), and the Latin American Institute of Social Research (ILDIS). He has authored Redistribution, Inflation, and Adjustment Policies: A Macro Neostructuralist Model for Ecuador (ILDIS, 1992), coauthored Las economías andinas (Nueva Sociedad, 1993) and La desarticulación del mundo andino (Catholic University of Ecuador-Abya Yala, 1987), and published several articles, including "El programa de ajuste macroeconómico y las políticas sociales en el Ecuador: Alternativas de reactivación económica" (Democracia y Desarrollo), "La economía ecuatoriana frente al proceso de integración andina: Análisis del nivel de protección efectiva," "Integración del Ecuador en el mercado andino: Evaluación del impacto macroeconómico y sectorial" (Cuestiones Económicas, 1994), and "La apertura de la economía ecuatoriana al Grupo Andino: El rol de los bienes de consumo básico" (Políticas Agrícolas, 1994).

This document was prepared as part of the Stanford University, USAID, and ILDIS research project "Andean Integration and Economic Liberalization." The institutional support of FLACSO, UNDP, and UNDESD and the comments made by José Samaniego and the team of Stanford University, USAID, and ILDIS are appreciated, as is the collaboration of María Herrera. The opinions presented are the exclusive responsibility of the author.

A Spanish version of this paper is now available as Chapter 3, "La Participación del Ecuad or dentro del Proceso de Integración Andina: Evaluación del Impacto Macroeconómico y Sectorial," in Ecuador en la Economía Mundial: El regionalismo abierto y la participación del Ecuador en el Grupo Andino, el Tratado Norteamericano de Libre Comercio y la Cuenca del Pacífico (Quito: Corporación Editora Nacional, 1997).

Poverty and Inequality in Latin America: Some Political Reflections

Guillermo O'Donnell

Working Paper #225 - July 1996


The paper begins with a brief overview of the present social situation of Latin America, arguing that during the 1980s the widespread poverty and deep social inequality already existing in the region further increased. After this the paper reviews several strategies that could be used by would-be reformers, pointing out the potentialities but also the limitations of these strategies. Consequently the present text examines the broad contours of political coalitions that might be able to deal reasonably effectively with poverty and inequality. The paper concludes by arguing that the only possible foundation for these strategies and coalitions is a morally and democratically inspired view of the respect due to the dignity of every human being. The likelihood of such an emergence is not assessed.


El texto comienza con una breve síntesis de la actual situación social de América Latina, argumentando que durante la década del 80 se agudizaron aun mas los problemas de extensa pobreza y de profunda desigualdad preexistentes. A continuación el texto analiza alguna de las estrategias que podrían ser utilizadas por actores empeñados en mejorar esta situación, señalando las potencialidades así como las limitaciones de estas estragegias. A partir de esto el texto examina el perfil de las alianzas políticas que podrían enfrentar con razonable efectividad la pobreza y la desigualdad existentes. La conclusión es que la única base posible para esas estrategias y alianzas es una visión, moral y democráticamente inspirada, del respeto debido a la dignidad intrínseca debida a todo ser humano. La probabilidad de los consiguientes procesos no es evaluada en este texto.

Guillermo O'Donnell, Helen Kellogg Professor of Government and International Studies, is Academic Director of the Kellogg Institute for International Studies at the University of Notre Dame.

This is a revised version of a paper prepared for the Workshop "Poverty in Latin America: Issues and New Responses" (Project Latin America 2000), University of Notre Dame, Helen Kellogg Institute for International Studies, 30 September-1 October 1995.

The author thanks Vilmar Faria, Gabriela Ippolito-O'Donnell, and Víctor Tokman for their useful commentaries on earlier versions of this paper.

This paper is now available in Poverty and Inequality in Latin America: Issues and New Challenges, eds. Victor Tokman and Guillermo O'Donnall (UND Press, 1998).

Ethnicity and Elections in the Caribbean: A Radical Realignment of Power in Trinidad and the Threat of Communal Strife

Ralph R. Premdas

Working Paper #224 - April 1996


The 1995 elections in the multiethnic Caribbean state, Trinidad and Tobago, were not an ordinary affair. They not only saw a change of regime but with it a change in the ethnic identity of the new political rulers. Control of the government by one ethnic party or the other poses a threat to the welfare of excluded and defeated parties. For many years one ethnic community controlled the government and entrenched its supporters at all levels of government as well as allocating most resources for the benefit of its own community. With the arrival of a new communally based party to power following the 1995 elections, vital interests are at stake. This paper examines how the change of government occurred through the electoral process.


Las elecciones de 1995 en el multi-étnico estado caribeño de Trinidad y Tobago no fueron asunto corriente. Ellas significaron no sólo un cambio de regimen, sino, con él, un cambio en la identidad étnica de los nuevos gobernantes. El contro del gobierno por uno u otro grupo étnico presenta una amenaza al bienestar de las partes vencidas y excluidas. Durante muchos años sólo una comunidad étnica controló el gobierno y estableciendo a sus seguidores en todos los niveles de gobierno al tiempo que distribuyendo la mayoría de los recursos para beneficio propio. Con la llegada al poder de un nuevo partido comunalmente basado luego de las elecciones de 1995, intereses vitales están en juego. Este artículo examina cómo ocurrió el cambio de gobierno a través del proceso electoral.

Ralph R. Premdas, a Visiting Scholar at the Kellogg Institute (spring 1996), teaches regularly at the University of the West Indies, St. Augustine, Trinidad and Tobago, in the Caribbean. Over the past two decades Professor Premdas has conducted extensive field work in Guyana and Fiji. Among his published works are Guyana: Ethnic Conflict and Development and Fiji: Ethnicity and Development, both published by the United Nations Research Institute for Social Development and by the University of Warwick's Research Series on Ethnic Relations. Other works by the author include Secessionist Movements in Comparative Perspective (Pinter, 1991), The Enigma of Ethnicity: Ethnic and Racial Relations in the Caribbean and the World (University of the West Indies, 1992), and Ethnic Identity in the Caribbean: Decentering a Myth (University of Toronto, 1995).

The author is grateful to all the friends and colleagues who generously contributed their assistance in putting this paper together, and he would like, in particular, to thank Mr. Henry Ramjass for his help.

A modified version of this paper is now available in The Journal of Commonwealth and Comparative Politics (December 1998).

Building Aspects of Democracy Before Democracy: Electoral Practices in Nineteenth Century Chile

J. Samuel Valenzuela

Working Paper # 223 - April 1996


The paper presents a detailed analysis of electoral practices in nineteenth-century Chile. It argues that such elections have been largely misunderstood in Chilean historiography, given the fact that the political system has been viewed simply as a tool in the hands of the rich. Indeed, the existence of income requirements in order to register to vote has even led analysts to assume that only wealthy males actually voted. By contrast, this paper shows that a majority of the voting public in the electoral processes that occurred every three years was drawn from the middle-lower to lower strata of society. The politicization of artisans and other working-class groups therefore began early in the nation's history. Moreover, the involvement of people in the electoral politics of the time greatly exceeded the numbers of men who actually voted. As such, the elections permitted the formation of a considerable degree of loyalty within the population at large for the emerging parties, which helps explain their strength in the Chilean case. The nineteenth century's electoral practices also created a competitive and highly militant electoral culture that affected the conduct of elections well into the twentieth century, i.e., even after crucial transformations in the early 1890s permitted them to become a vehicle for the realization of Chilean democracy.


Este artículo presenta un análisis detallado de las prácticas electorales en Chile durante el siglo diecinueve. En él se sostiene que tales elecciones han sido largamente malinterpretadas en la historiografía chilena, dado que el sistema político ha sido visto simplemente como una herramienta en manos de los ricos. En efecto, la existencia de requisitos de ingreso para registrarse para votar ha llevado a los analistas aún a suponer que sólo las personas ricas del sexo masculino realmente votaban. En contraste, este artículo muestra que la mayoría del público votante en los procesos electorales que ocurrían cada tres años provenía de estratos medio-bajos a bajos de la sociedad. En consecuencia, la politización de los artesanos y otros grupos de la clase trabajadora comenzó temprano en la historia nacional. Más aún, la participación de la gente en la política electoral de la época excedía grandemente el número de hombres que de hecho votaban. Las elecciones, como tales, permitieron la formación de un considerable grado de lealtad en la población en general hacia los partidos emergentes; lo cual ayuda a explicar la fuerza de éstos últimos en el caso chileno. Las prácticas electorales del siglo diecinueve también crearon una cultura electoral competitiva y altamente militante que afectó la conducta de las elecciones bien entrado el siglo veinte; esto es, aún después de las cruciales transformaciones de los primeros 1890s esta cultura permitió que las elecciones devinieran en vehículo de realización de la democracia chilena.

J. Samuel Valenzuela is a Fellow of the Kellogg Institute and Professor of Sociology at the University of Notre Dame. He is the author of Democratización vía reforma: La expansión del sufragio en Chile (IDES, 1985) and editor of Labor Movements in Transitions to Democracy, now available in Comparative Politics 21 (4, 1989). He coedited and contributed to Issues in Democratic Consolidation: The New South American Democracies in Comparative Perspective (Kellogg Series with Notre Dame Press, 1992), Military Rule in Chile: Dictatorships and Oppositions (Johns Hopkins, 1986), and Chile: Politics and Society (Transaction Books, 1976). His articles on comparative labor, development theory, and political change have appeared in English, Spanish, Italian, and French publications.

The author gratefully acknowledges the advice and assistance of Erika Maza Valenzuela in preparing this paper. My appreciation as well to Iván Jaksic for steering me to some important primary sources, namely the substantial accounts of elections in James M. Gilliss, Ignacio Domeyko, and Pedro Félix Vicuña, and to Scott Mainwaring for his comments.

This paper is now available in Elections before Democracy: The History of Elections in Europe and Latin America, ed. Eduardo Posada-Carbó (London: Macmillan, 1996).

Another Institutionalization: Latin America and Elsewhere

Guillermo O'Donnell

Working Paper #222 - March 1996


The paper expresses skepticism about concepts current in the contemporary literature on democratization, such as 'democratic consolidation' and/or the 'lack of institutionalization' from which most of the new democracies supposedly suffer. The further claim is made that these democracies-or 'polyarchies', to use the term preferred here-have, in fact, two very important institutions, elections and particularism/clientelism, which are not generally recognized as such due to the narrow way in which political scientists usually conceptualize institutions. Finally, the paper traces some correlates and elective affinities resulting from what it labels 'informal institutionalization.' The main argument is that, in order to contribute to improving the quality of many of the new polyarchies, analysts must describe their main features realistically, which requires moving well beyond merely negative characterizations limited to what these countries seem to lack in comparison with older polyarchies.


El texto expresa escepticismo en relación con conceptos, corrientes en la literatura contemporánea sobre democratización, tales como "consolidación de la democracia" y/o la aparente "falta de institutionalización que aparentemente padecen muchas de las nuevas democracias. El texto argumenta, además, que estas democracias-o poliarquías-tienen dos instituciones sumamente importante, las elecciones y un difundido particularismo/clientelismo. El problema es que estas instituciones no suelen ser reconocidas como tales, debido a la estrecha manera con que la ciencia política suele conceptualizar las instituciones. Finalmente, el texto traza algunas correlaciones y afinidades electivas resultantes de lo que llama la "institucionalización informal" de esas poliarquías. El principal argumento es que, para contribuir a mejorar la calidad de muchas de esas poliarquías, es necesario comenzar por describir realistamente sus principales características. Esto requiere superar caracterizaciones puramente negativas, basadas en los atributos de que aquellas parecen carecer cuando comparadas con las viejas poliarquías.

Guillermo O'Donnell, Helen Kellogg Professor of Government and International Studies, is Academic Director of the Kellogg Institute for International Studies at the University of Notre Dame.

This is a revised version of a paper presented to the conference on "Consolidating Third Wave Democracies: Trends and Challenges," organized by the National Policy Research Institute and the International Forum for Democratic Studies, Taipei, 26-30 August 1995. For their comments on a previous draft, the author is grateful to Michael Coppedge, Larry Diamond, Gabriela Ippolito-O'Donnell, Scott Mainwaring, Sebastián Mazzuca, Peter Moody, Gerardo Munck, and Adam Przeworski.

An abridged version of this paper is now available in the Journal of Democracy (April 1996).

Ethnicity and Development: The Caribbean and Oceania

Ralph R. Premdas

Working Paper #221 - March 1996


The environment of cultural pluralism and ethnic diversity is now grudgingly but generally acknowledged as a critical variable that must be incorporated in designing new strategies for development. There is urgent need to discuss the relationship between ethnicity and development in all its manifold political, economic, and social dimensions. The task is daunting; on its outcome may rest the fruitfulness of many designs of development involving billions of dollars and the fate of millions of poor people. The aim of this paper is to offer some empirical evidence and to generate some theoretical insights into the behavior of the ethnic factor in the development experience of two Third World countries, one in the Caribbean and the other in the Pacific Islands. I believe that systematic data derived from individual case histories can offer important building blocks towards constructing a wider theory on the connection between ethnicity and development.


El pluralismo cultural y la diversidad étnica son generalmente considerados, aunque de mala gana, como variables críticas que deben ser incorporadas en el diseño de nuevas estrategias para el desarrollo. Hay una necesidad urgente de discutir la relación existente entre la etnicidad y el desarrollo en sus múltiples dimensiones políticas, económicas y sociales. La tarea es aterradora; de sus resultados depende la utilidad de muchos programas de desarrollo, que involucran miles de millones de dólares, así como el destino de millones de gente pobre. El objetivo de este trabajo es ofrecer evidencia empírica y generar algunas observaciones teóricas sobre el papel del factor étnico en la experiencia de desarrollo de dos países del tercer mundo, uno en el Caribe y el otro en las islas del Pacífico. Creo que la existencia de información sistemática sobre estudios de caso particulares puede ofrecer pilares importantes para la construcción de una teoría más general sobre la relación entre etnicidad y desarrollo.

Ralph R. Premdas, a Visiting Scholar at the Kellogg Institute (spring 1996), teaches regularly at the University of the West Indies, St. Augustine, Trinidad and Tobago, in the Caribbean. Over the past two decades Professor Premdas has conducted extensive field work in Guyana and Fiji. Among his published works are Guyana: Ethnic Conflict and Development and Fiji: Ethnicity and Development, both published by the United Nations Research Institute for Social Development and by the University of Warwick's Research Series on Ethnic Relations. Other recent works by the author include Secessionist Movements in Comparative Perspective (Pinter, 1991), The Enigma of Ethnicity: Ethnic and Racial Relations in the Caribbean and the World (University of the West Indies, 1992), and Ethnic Identity in the Caribbean: Decentering a Myth (University of Toronto, 1995).

The Political Economy of Regional Development ond Cooperation in the Pacific Basin, with Special Reference to APEC
A Rapporteurs' Report

William Barnes and Joseph Stevano

Working Paper #220 - June 1996

The Political Economy of Regional Development and Cooperation in the Pacific Basin, with Special Reference to APEC

Session I: The Political Economy of Pacific Basin Integration
Chair: Amitava Dutt, University of Notre Dame
Paper: APEC: Beyond Economics
Brian L. Job, University of British Colombia
Discussant: Raimo Väyrynen, University of Notre Dame

Session II: Multilateralism vs. Regionalism
Chair: George Minamiki, University of Notre Dame
Papers: Multilateralism and Regionalism: Conflicts and Cooperation
Yorizumi Watanabe, Nanzan University
Emerging Multilateralism in Asia and the Pacific
Tsutomu Kikuchi, Nanzan University
Discussants: Denis Goulet, University of Notre Dame
James Rakowski, University of Notre Dame

Session III: Regional Development and Integration from Asian Perspectives
Chair: Charles Craypo, University of Notre Dame
Papers: An ASEAN Perspective on APEC
Yoji Akashi, Nanzan University
APEC and the Japanese Economy
Satoshi Hanai, Nanzan University
Human Resource Development in Asia"
Shozo Inouye, Nanzan University
Discussants: Yusaku Furuhashi, University of Notre Dame
Kwan S. Kim, University of Notre Dame
Juan M. Rivera, University of Notre Dame

Session IV: Cooperation and Integration from US and Latin American Perspectives
Chair: Kwan S. Kim, University of Notre Dame
Papers: Open Regionalism: Lessons from Latin America for East Asia
Clark W. Reynolds, Stanford University
APEC from a US Perspective
Michael G. Plummer, Brandeis University
Discussants: Jaime Ros, University of Notre Dame
Jeffrey Bergstrand, University of Notre Dame

Session V: Conference Wrap-Up
Moderator: Robert Riemer, SVD, Nanzan University

William F. Barnes and Joseph A. Stevano are doctoral candidates in the Department of Economics at the University of Notre Dame.

Poverty in Latin America: Issues and New Responses
A Rapporteur's Report

Gabriela Ippolito-O'Donnell and Brenda Markovitz

Working Paper #219 - March 1996

Poverty in Latin America: Issues and New Responses

I. General Trends in Poverty, Equity, and Employment in Latin America
Chair: Vilmar Faria, UNICAMP, CEBRAP; Special Advisor to the President, Brazil

1. Inequality, Employment, and Poverty in Latin America: An Overview
Oscar Altimir, CEPAL, Chile
2. The Demographics of Poverty and Welfare in Latin America: Challenges and Opportunities
José Alberto Magno de Carvalho, CEDEPLAR, Brazil
3. Poverty and Inequality in Latin America: Some Political Reflection
Guillermo O'Donnell, Kellogg Institute
4. Issues and Policy Experiences In Various Countries
Chair: Paulo Sérgio Pinheiro, USP, Brazil
Discussants: José Márcio Camargo, PUC-Rio de Janeiro
Ulpiano Ayala, Former Deputy Minister of Finance, Colombia
William W. Goldsmith, Cornell University

II. Globalization, Economic Restructuring, and Job Creation

1. Globalization and Job Creation
Chair: Kwan Kim, University of Notre Dame
Paper by: René Cortázar, CIEPLAN, Chile
Discussants: Azizur Rahman Khan, University of California, Riverside
Albert Berry, University of Toronto
Rolando Cordera Campos, Revista NEXOS, Mexico
2. Restructuring, Education, and Training
Chair: Jaime Ros, University of Notre Dame
Paper by: María Antonia Gallart, CENEP, Argentina
Discussants: Juan Antonio Aguirre Roca, Confederación Nacional de Instituciones Empresariales, Peru
Norma González Esteva, Secretaría del Trabajo y Previsión Social, Mexico
Anthony D. Tillett, International Research Development Center, Uruguay

III. Alternatives for Facing Poverty and Vulnerability
Chair: Atilio Borón, EURAL, Argentina

1. Welfare and Citizenship: Old and New Vulnerabilities
Carlos Filgueira, CIESU, Uruguay
2. The Crisis of Old Models of Social Protection and New Alternatives for Dealing with Poverty and Vulnerability
Dagmar Raczynski, CIEPLAN, Chile
3. Balancing State, Market, and Civil Society: NGOs for a New Development Consensus
Chair: Ernest Bartell, CSC, Kellogg Institute
Paper by: Charles Reilly, Inter-American Bank
Discussants: Luis Fernando Cruz, Fundación Carvajal, Colombia
Renato Poblete, SJ, Hogar de Cristo, Chile
James Joseph, Centro Alternativa, Peru

IV. Wrap-up: Conclusions and On-Going Questions
An Emerging System? New Roles for Social Actors;
New Boundaries and Mixes for Governmental, Public, and Private Actions
Presenters: Víctor Tokman, International Labor Organization, Peru
Vilmar Faria, UNICAMP, CEBRAP; Special Advisor to the President, Brazil

Gabriela Ippolito-O'Donnell wrote her doctoral dissertation in the Department of Government and International Studies at the University of Notre Dame, and Brenda Markovitz received her PhD from the same department in May 1996.

German Capitalism: Does it Exist? Can it Survive?

Wolfgang Streeck

Working Paper #218 - March 1996


In the roughly four decades between the end of the Second World War and German unification, West German society gave rise to a distinctive kind of capitalist economy, governed by nationally specific social institutions that made for high international competitiveness at high wages and, at the same time, low inequality of incomes and living standards. Already by the late 1980s, when the differences in performance and social organization between the West German economy and its main competitors came to be widely noticed, the continued economic viability of the 'German model' began to appear doubtful to many. Shortly thereafter, the survival of the German version of advanced capitalism became tied to its successful extension to the former East Germany. With the 1992 completion of the European Internal Market, it became in addition dependent on the compatibility of German economic institutions with the emerging regime of the integrated European economy.


En las aproximadamente cuatro décadas transcurridas entre el fin de la Segunda Guerra Mundial y la unificación alemana, la sociedad germano-occidental dio origen a un tipo distintivo de economía capitalista, gobernado por instituciones sociales nacionalmente específicas que produjeron alta competitividad internacional con salarios altos y, al mismo tiempo, baja desigualdad de ingresos y niveles de vida. Ya alrededor de fines de los '80, cuando las diferencias en performance y organización social entre la economía germano-occidental y sus principales competidores comenzaron a ser ampliamente percibidas, la sostenida viabilidad económica del 'Modelo Alemán' empezo a aparecer dudosa a los ojos de muchos. Poco tiempo después, la supervivencia de la versión alemana de capitalismo avanzado quedaba sujeta a su exitosa extensión a la ex Alemania del Este. Con el completo establecimiento del Mercado Común Europeo esta supervivencia devino, además, dependiente de la compatibilidad de las instituciones económicas alemanas con el emergente régimen de la economía europea integrada.

Wolfgang Streeck is Professor of Sociology and Industrial Relations at the University of Wisconsin-Madison. He was Senior Research Fellow at the Wissenschaftszentrum, Berlin, and held visiting appointments at the European University Institute, Florence, the University of Warwick, and the Center for Advanced Studies in the Social Sciences, Madrid. In 1993-94 he was a Fellow at the Institute for Advanced Study, Berlin. His fields of interest are trade unions, business associations, industrial relations, industrial change, and European integration. His recent books include Social Institutions and Economic Performance: Studies in Industrial Relations in Advanced Capitalist Economies (Sage, 1992); Governing Capitalist Economies: Performance and Control of Economic Sectors (coedited with J. Rogers Hollingsworth and Philippe C. Schmitter, Oxford, 1994); Public Interest and Market Pressures: Problems Posed by Europe 1992 (with David G. Mayes and Wolfgang Hager, MacMillan, 1992); Beyond Keynesianism: The Socio-Economics of Production and Employment (coedited with Egon Matzner, Elgar, 1991, paperback edition, 1994); and New Technology and Industrial Relations (coedited with Richard Hyman, Blackwell, 1988).

The author is indebted to Jonathan Zeitlin for critical comments. Most of the tables draw on data assembled by Greg Jackson, under the auspices of joint work with Ronald Dore. This paper is a contribution to Modern Capitalism or Modern Capitalisms? ed. Colin Crouch and Wolfgang Streeck (London: Francis Pinter; French edition Y a-t-il plusieurs formes de capitalisme? Éditions La Découverte).

The Political Economy of Distributional Equity in Comparative Perspective

Kwan S. Kim

Working Paper #217 - March 1996


Growing income inequality within a country is caused by socioeconomic factors and inadequate government policies and ultimately leads to social and political instabilities. The ideology of supply-side economics in the United States and the United Kingdom during the 1980s, for instance, induced policies of inequality which were then perceived as a way to stimulate economic growth. The demise of East European socialism since the late 1980s also led many developing countries to pursue market reforms as a way to resuscitate their moribund economies. There is evidence, however, to indicate that the distribution of income in these countries is becoming more unequal with attendant and frequently grave social and political consequences.


La creciente desigualdad en la distribución del ingreso en un país es causada por factores socioeconómicos y por políticas gubernamentales inadecuadas y, finalmente, conduce a la inestabilidad política y social. La ideología de la economía de la oferta en los Estados Unidos y Gran Bretaña durante la década de los años ochenta, por ejemplo, produjo políticas que propiciaron una mayor desigualdad, políticas que fueron percibidas en ese entonces como una manera de estimular el crecimiento económico. La desaparición del socialismo en Europa oriental a partir de finales de los años ochenta, también condujo a muchos países en desarrollo a buscar con afán reformas de mercado como una manera de resucitar sus economías moribundas. Sin embargo, hay evidencia que indica que la distribución del ingreso en estos países se está haciendo cada vez más desigual, trayendo consigo graves consecuencias políticas y sociales.

Kwan S. Kim is Professor of Economics and Fellow of the Kellogg Institute at the University of Notre Dame. He is a development economist, occasionally serving as an economic consultant for governments of developing countries and for international agencies. His career includes four years as a Rockefeller Foundation scholar in East Africa, two years as a senior economist with the United States Agency for International Development, a year as a visiting professor at the Hitotsubashi Institute of Economic Research in Tokyo, and short stints as an economic researcher at such institutions as the Hudson Institute, UNIDO, and the Nacional Financiera in Mexico. He has published extensively in over fifty professional journals in the areas of development studies, international economics, and quantitative analysis. His books include Papers on the Political Economy of Tanzania (Heinemann), Debt and Development in Latin America (Notre Dame), Industrial Policy and Development in South Korea (Nacional Financiera), Development Strategies for the Future of Mexico (ITESO, Mexico), Korean Agricultural Research: The Integration of Research and Extension (USAID), The State, Markets and Development (Edward Elgar), Acquiring, Adapting, and Developing Technologies: Lessons from the Japanese Experience (St. Martin's), and Trade and Industrialization (The Netherlands Institute for International Management).

An earlier version of this paper was presented at the joint Notre Dame-Innsbruck conference on "Income Inequality: Perspectives from Europe and America," held at the University of Notre Dame, 12 September 1995. The author is grateful to the conference participants, in particular to Teresa Ghilarducci and Johnren Chen, for many constructive comments.

This paper is now available in International Contributions to Labour Studies 6 (1996).

The Honecker Trial: The East German Past and the German Future

A. James McAdams

Working paper #216 - January 1996


Fifty years after the Nuremberg tribunals, Germany is once again caught up in a series of controversial trials involving former dictators. This time officials of the former German Democratic Republic (GDR) sit in the dock. Some observers have criticized these proceedings, maintaining that they will result in the imposition of an arbitrary form of 'victor's justice.' Others have claimed, in contrast, that the cumbersome German Rechtsstaat ('state under the law') will prove incapable of responding to public demands for retribution. In this paper the author maintains that Germany's courts have not been at a loss to answer these complaints. By grounding their judgments in preexisting East German law, the courts have managed to bring some of the GDR's former leaders to justice while at the same time guaranteeing most defendants the full protections of the rule of law. In the process the courts have even conveyed an important message about the terms under which both German populations will be brought back together again.


Cincuenta años después de los tribunales de Nuremberg, Alemania se encuentra, una vez más, atrapada en una serie de juicios controvertidos que involucran a ex-dictadores. Esta vez, las autoridades de la ex-República Democrática Alemana (GDR), se encuentran en el banquillo de los acusados. Algunos observadores han criticado estos procedimientos, arguyendo que traerán como resultado la imposición de una forma arbitraria de 'justicia del vencedor.' Otros, en contraste, sostienen que el Rechtsstaat alemán ('estado bajo la ley'), difícil de manejar, será incapaz de responder a las demandas públicas de retribución. En este artículo, el autor sostiene que las cortes alemanas no han sido inefectivas al responder a estas quejas. Al asentar sus juicios en la ley preexistente de Alemania del Este, las cortes han logrado enjuiciar a algunos de los ex-líderes de la República Democrática Alemana, garantizando, al mismo tiempo, a la mayoría de los acusados, la protección completa del estado de derecho. Incluso, a lo largo del proceso, las cortes han transmitido un mensaje importante acerca de los términos bajo los cuales ambas poblaciones alemanas quedarán unidas nuevamente.

A. James McAdams is Associate Professor of Government and International Studies at the University of Notre Dame. He is the author of East Germany and Detente (Cambridge, 1985) and Germany Divided: From the Wall to Reunification (Princeton, 1993) and coauthor of Rebirth: A History of Europe since World War II (Boulder, 1993).

The author has greatly benefited from the generous assistance of numerous individuals in writing this essay: Alex Hahn, Donald Kommers, Hans-Heinrich Mahnke, Walter Nicgorski, Patti Ogden, Peter Quint, John Roos, Brad Roth, Gunnar Schuster, John Yoder, and José Zalaquett, as well as the participants in the 1995 Notre Dame symposium on "Political Justice and the Transition to Democracy" and three anonymous referees. He is grateful to the Institute for Scholarship in the Liberal Arts and the Helen Kellogg Institute for International Studies, both at Notre Dame, for supporting the larger project of which this paper is a part.

The paper is also published in the Review of Politics 58 (1).