NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Frank Press is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Robert M.White is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the service of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I.Shine is president of the Institute of Medicine.
The National Research Council was established by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and of advising the federal government. Functioning in accordance with the general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Frank Press and Dr. Robert M.White are chairman and vice chairman, respectively, of the National Research Council.
The work that provided the basis for this volume was supported by the U.S. Agency for International Development.
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Panel on Issues in Democratization
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National Research Council
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WORKSHOP PARTICIPANTS
NICOLE BALL,
Overseas Development Council, Washington, D.C.
HARRY BLAIR,
Center for Development Information and Evaluation, U.S. Agency for International Development
IAN BUDGE,
Department of Government, University of Essex
JOHN BLACKTON, Executive Assistant to the Administrator,
U.S. Agency for International Development
RICHARD CAREY,
Organization for Economic Cooperation and Development, Paris
ROBERT CHARLICK,
Africa Bureau, U.S. Agency for International Development
ERIC CHETWYND,
Research and Development Bureau, U.S. Agency for International Development
BILL COLE,
Near East Bureau, U.S. Agency for International Development
MICHAEL COPPEDGE,
School of Advanced International Studies, Johns Hopkins University
HELENE CORNEAU,
Canadian International Development Agency
ROBERT DAHL,
Department of Political Science (emeritus), Yale University
CINNAMON DORNSIFE,
The Asia Foundation, Washington, D.C.
DANIEL DRUCKMAN,
Panel on Issues in Democratization, National Research Council
RAYMOND GASTIL, Independent Consultant,
Cos Cob, Connecticut
JEAN GAUTHIER,
Department of External Affairs, Canada
MICHAEL GREEN,
The European Community, Brussels
AXEL HADENIUS,
Department of Government, University of Uppsala
BILL HAMMINK,
Africa Bureau, U.S. Agency for International Development
GARY HANSEN,
Center for Development, U.S. Agency for International Development
BERNARD HAUSNER,
United Nations Development Programme, New York
JO HUSBANDS,
Panel on Issues in Democratization, National Research Council
STEPHEN KENTWELL, Australian Embassy, Washington, D.C.
GEORGE LOPEZ,
The Joan B.Kroc Institute for International Peace Studies, University of Notre Dame
THOMAS MEHEN,
Research and Development Bureau, U.S. Agency for International Development
MIKE MORFIT,
Strategic Planning, U.S. Agency for International Development
THERESA NELSON,
National Endowment for Democracy, Washington, D.C.
MARK PRECIOUS,
Policy Development and Review, International Monetary Fund, Washington, D.C.
LARS RONNAIS, Swedish Ministry for Foreign Affairs
CHRIS SABATINI,
Research and Development, U.S. Agency for International Development
SABRI SAYARI,
Panel on Issues in Democratization, National Research Council
MARK SCHACTER,
Country Economics Division, World Bank, Washington, D.C.
PETER SELLAR,
Latin America and Caribbean Bureau, U.S. Agency for International Development
MICHAEL STOHL,
International Programs, Purdue University
NOBOYOKI SUGIMATO,
Ministry of Foreign Affairs, Japan
GAIL TYERMAN, Embassy of Canada,
Washington, D.C.
RICHARD WHITAKER,
Asia Bureau, U.S. Agency for International Development
JENNIFER WINDSOR,
Africa Bureau, U.S. Agency for International Development
GEORGE ZARYCKY,
Freedom House, New York
PANEL ON ISSUES IN DEMOCRATIZATION
PHILIP CONVERSE (Chair),
Center for Advanced Study in the Behavioral Sciences, Stanford, California
ROBERT DAHL,
Department of Political Science (emeritus), Yale University
ALBERT FISHLOW,
Department of Economics, University of California, Berkeley
JAMES LOWELL
GIBBS, Department of Anthropology, Stanford University
ALEX INKELES,
Hoover Institution and Department of Sociology (emeritus), Stanford University
ADAM PRZEWORSKI,
Department of Political Science, University of Chicago
PHILIPPE C.SCHMITTER,
Department of Political Science, Stanford University
ALFRED STEPAN,
Department of Political Science, Columbia University
IVAN SZELENYI,
Department of Sociology, University of California at Los Angeles
SIDNEY VERBA,
Department of Political Science, Harvard University
DAVID M.TRUBEK,
Department of International Studies and Programs and School of Law, University of Wisconsin
JO HUSBANDS, Project Director (through March 1992)
SABRI SAYARI, Project Director
SAHR J.KPUNDEH, Senior Research Associate
MARY E.THOMAS, Senior Program Associate
PREFACE
The workshop summarized in this volume grew out of the success of a meeting held at the National Research Council in May 1991 to explore the problem of developing indicators of progress toward democracy that could be used by the U.S. Agency for International Development (A.I.D.). This problem had arisen after the “Democracy Initiative” released by A.I.D. in December 1990 added “progress toward democracy” to the factors that A.I.D. will take into account in making its aid allocation decisions: various A.I.D. regional bureaus had been working on the problem of developing indicators to measure “progress,” while the intraagency “Tuesday Group” had been trying to develop common understandings of concepts such as “democracy” and “governance.” The workshop brought together scholars and senior A.I.D. policy analysts for two days of intensive discussions about what existing and potential indicator systems could offer policy makers. The results of those discussions, summarized in the workshop report “Assessing Progress Toward Democracy,” summarized some of the strengths and weaknesses of current systems and informed A.I.D.’s process of deciding how best to assess progress.
Over the past several years, the Development Assistance Committee (DAC) of the Organization for Economic Cooperation and Development has shown increasing interest in the democratization phenomenon. Some donor countries have consistently provided assistance for political development or conditioned their aid on adherence to democratic practices, but the extent of interest in the donor community is new and reflects the remarkable changes of the last few years. The DAC has now committed itself to supporting “participatory development,” which includes democratization, human rights, and improved governance. DAC working groups are exploring such issues as the development of common concepts and the problems of evaluating democratization projects. Staff of A.I.D.’s policy directorate believed that a workshop for staff from the DAC and aid agencies in the DAC member countries, including A.I.D., on problems of assessing progress could develop common understanding of the issues and provide ideas for the DAC.
Many people contributed to the success of the workshop. A.I.D. staff members Michael Morfit and Travis Horel initiated the idea for the workshop and provided advice and counsel throughout the process. Jo Husbands, former staff director of the National Research Council’s (NRC) Panel on Issues in Democratization, and NRC senior staff officer Daniel Druckman organized the workshop, with invaluable support from research assistants Patricia Loo and Lois Peterson. Members of the DAC secretariat, including chair Alexander Love and his staff, offered advice on how to make the workshop meaningful to the DAC representatives and the donor community. Above all, Martin Dagata, the U.S. representative to DAC and the panel’s chief guide to the DAC process, showed endless patience in the course of the workshop’s development. Finally, panel member Robert Dahl deserves special thanks for taking on the task of chairing the workshop and seeking common ground among an international group of scholars and practitioners.
Philip Converse, Chair
Panel on Issues in Democratization