Democratisation Aid as a Challenge for Development Co-operation

Transcription

1 Democratisation Aid as a Challenge for Development Co-operation A Comparative Study of Overall Policies of Two Bilateral and Two Multilateral Development Agencies and How they are Implemented in Malawi Inauguraldissertation Zur Erlangung des akademischen Grades eines Doktors der Sozialwissenschaft der Ruhr-Universistät Bochum - Fakultät für Sozialwissenschaft - vorgelegt von Augustine Titani Magolowondo aus Nkhotakota, Malawi Bochum

2 Dedicated to Justina, Augustine Junior and Chimwemwe Francis 2

3 Foreword This dissertation was written within the framework of Systemdynamik und Systemeffizienz in Entwicklungsländern" (Systems Dynamics and Systems Efficiency in Developing Countries), a research theme being addressed at the Graduate School of the Institute for Development Research and Development Policy (IEE) at Ruhr University in Bochum, Germany. The dissertation was submitted at the Faculty of Social Sciences of this university on 2 nd February 2005 and was successfully defended on 28 th April 2005 I am indebted to a number of people whose invaluable assistance made it possible that the last three years I worked on this thesis should come to an end as a success story. Certainly, the list is long and it is practically not possible for me to mention each one of them. Only a few are mentioned here. I would like to first thank all those people I interviewed in the course of conducting research for this thesis. It is them who provided me with much of the empirical data used in this dissertation. Their readiness to be interviewed and their patience to survive those interviews is greatly appreciated. I am grateful to Professor Uwe Andersen, my Doctoral Father, who guided me throughout this process. His intellectual insights as manifested in his constant, critical but constructive reviews of my drafts were quite helpful in my work. His moral support in time when the going got tough made him to be more that just an academic supervisor. At the Institute for Development Research and Development Policy (IEE), Professors Christof Hartmann and Wilhelm Loewenstein deserve mention. They not only encouraged me to take on this lonely project but also supported me in the process. It was through Professor Loewenstein, as Executive Director of the IEE, that I got the much appreciated financial support from the German Research Foundation (DFG) that enabled me to work on this project. I also thank all my colleagues in the Graduate School who made various comments on my work. Andrea Kramer, who was my office mate in the last three years, became to be the greatest friend in the process, whose moral and material assistance made my stay in Germany a memorable one. I am also particularly grateful to her family, Mama Frauke and Oma Erika for their invaluable support rendered to me and my family. Through them, I got to know that extended families in Germany can still be established. 3

4 Finally, I am deeply grateful to Justina, my wife and our two sons: Augustine, Jnr and Chimwemwe Francis, who endured the loneliness that my studies created. In addition, Justina read all the drafts of my work and made very insightful comments. It is also Justina, together with Justice Kamakwa, my only Malawian friend in Bochum, who proof read this thesis. I thank them for that. Whilst I appreciate all the support that these people and several others rendered, I, alone, am personally responsible for all the views expressed in this thesis. Bochum, May 2005 Augustine Titani Magolowondo. 4

5 Table of Contents FOREWORD...3 LIST OF ABBREVIATIONS...11 LIST OF FIGURES AND TABLES...17 PART I: INTRODUCTION, THEORETICAL FRAMEWORK AND RESEARCH DESIGN...18 CHAPTER 1: SETTING THE CONTEXT DEMOCRATISATION AID WITH MULTIPLE ACTORS AND DIVERSE POLICIES, STRATEGIES AND PRIORITIES THE RESEARCH PROBLEM AND RESEARCH QUESTIONS ORGANISATION OF THE THESIS Part I- Chapters 1-4: Introduction and theoretical framework Part II- Chapters 5-9: Democratisation Aid and International Development Co-operation- A Policy Discourse Part III- Chapters 10-15: Translating Policies into Action Part IV Chapter 16: Conclusion SUMMARY...25 CHAPTER 2: DEMOCRACY AND DEMOCRATISATION AID: PRELIMINARY CONCEPTUAL CLARIFICATION ON THE QUESTION OF DEMOCRACY Procedural Democratic Conceptualisation Procedural Democratic Conceptualisation as Liberal and Universal? Lijphart s Democratic Conceptual Map Reconsidered Liberal Democracy Revisited: The critique Substantive Democracy as an Alternative DEMOCRATISATION AID DELIMITED SUMMARY...37 CHAPTER 3: DEMOCRATISATION AID AS A RESEARCH AGENDA: THE QUEST FOR AN ECLECTIC THEORETICAL APPROACH DEMOCRATISATION AID AND INTERNATIONAL POLITICS Political Realism and the Role of Interests Aiding Democracy and the Role of Interests Limitations of Political Realism Constructivism and the Role of Norms Democracy as an International Norm Societal Norms and Democratisation Aid Limitations of constructivism Bureaucratic Politics Bureaucratic Politics and Democratisation aid: The Caveats Application of the Bureaucratic Politics Approach to Democratisation Aid ON THE QUESTION OF MODE OF CO-OPERATION A Donor-Dominated Mode of Co-operation A Partnership Oriented Mode of Co-operation Mode of Co-operation and Democratisation Aid Policies and Strategies IN SUMMING UP: INTEGRATING THE VARIOUS THEORETICAL PERSPECTIVES...54 CHAPTER 4: RESEARCH DESIGN A BRIEF OVERVIEW OF RESEARCH PARADIGMS: QUANTITATIVE AND QUALITATIVE APPROACHES ADOPTING THE QUALITATIVE APPROACH: RATIONALE Nature of the Problem

6 4.2.2 Author s Own Experiences COLLECTION OF PRIMARY DATA SECONDARY DATA DATA ANALYSIS SELECTION OF DONOR AGENCIES CASE STUDIES Rationale Behind use of Case Studies Issues of Interest in the Case Studies Selected Selection of the Case Studies: The Criteria DRAWING CASE STUDIES FROM MALAWI: THE JUSTIFICATION SUMMARY...66 PART II: DEMOCRATISATION AID AND INTERNATIONAL DEVELOPMENT CO-OPERATION- POLICY DISCOURSE...67 CHAPTER 5: THE UNITED NATIONS DEVELOPMENT PROGRAMME UNDP AS AN ACTOR IN DEVELOPMENT CO-OPERATION EMERGENCE OF DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION Democracy in the UN General Assembly Resolutions Emergence of Democracy as Field of Action within UNDP: The Human Development Reports and the People-Centred Development Paradigm Aiding Democracy in the Contemporary UNDP Development Co-operation DEMOCRACY AND DEMOCRATISATION AID: UNEARTHING THE RATIONALE CONCEPTUALISATION OF DEMOCRACY Defining Democracy in UN System: The Question of Political Sensitivity UNDP s Democratic Conceptualisation: Defining Democracy Through Good Governance CATEGORISATION OF DEMOCRATISATION AID SUMMARY...79 CHAPTER 6: THE EUROPEAN UNION THE EU AS AN ACTOR IN INTERNATIONAL DEVELOPMENT CO-OPERATION EMERGENCE OF DEMOCRACY AND DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION: A REVIEW OF IMPORTANT DEVELOPMENTS Democracy in the EU s own Declarations and Communications Democracy in the EU/ACP Co-operation Framework The B7-70 Approach: The European Union Initiative for Democracy and Human Rights DEMOCRACY AND DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION: UNEARTHING THE RATIONALE Democracy as a Normative Good Worth Exporting in Itself More than just a Normative Good : Democracy and its other Instrumental Values DEMOCRATIC CONCEPTUALISATION WHAT CONSTITUTES THE EU S DEMOCRATISATION AID SUMMARY...94 CHAPTER 7: GERMANY/ GERMAN TECHNICAL CO-OPERATION GERMANY/ GTZ AS AN ACTOR IN DEVELOPMENT CO-OPERATION EMERGENCE OF DEMOCRACY AND DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION Democratisation Aid Outside Official Development Co-operation Democratisation Aid in Official Development Co-operation Before the End of Cold War Politicisation of Development Co-operation in the Post Cold War Era: Introduction of the Five Criteria Democratisation Aid in the Contemporary Development Co-operation GTZ as a New Entrant: The End of Apolitical Technical Co-operation?

7 7.3 DEMOCRACY AND DEMOCRACY AID IN GERMAN DEVELOPMENT CO-OPERATION: UNDERSTANDING THE RATIONALE CONCEPTUALISATION OF DEMOCRACY IN GERMAN DEVELOPMENT COOPERATION CORE COMPONENTS OF DEMOCRATISATION AID SUMMARY CHAPTER 8: USA/ UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT THE US/ USAID AS AN ACTOR IN DEVELOPMENT CO-OPERATION EMERGENCE OF DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION The Pre-World War II: Wilsonism and Democratic Optimism Enter Realpolitik: Democracy Promotion and the Inconsistencies The End of the Cold War and the Resurgence of Democracy Promotion as an Agenda of U.S. Foreign Policy The Bush Senior Administration and the Democracy Promotion Mission The Bill Clinton Administration and Democratic Enlargement Agenda: The Resurgence of Wilsonism? Bush Jr. Administration and the Millennium Challenge Account Beyond the Millennium Challenge Account: end of the road or a momentary lapse? WHY PROMOTE DEMOCRACY? THE TWO PERSPECTIVES Wilsonian Perspective: Democracy as an End in Itself Democracy and its Instrumental Value CONCEPTUALISATION OF DEMOCRACY IN THE US DEVELOPMENT CO-OPERATION DEMOCRATISATION AID: THE CORE COMPONENTS SUMMARY CHAPTER 9: EXPLAINING THE CONVERGENCES AND DIVERGENCES OF DEMOCRATISATION AID AT A POLICY FORMULATION LEVEL EMERGENCE OF DEMOCRATISATION AID IN DEVELOPMENT CO-OPERATION The Paradox: Aiding Democracy as a Policy Agenda in the Cold War Era? Explaining the Paradox: Political Realism and the Policy Inconsistencies THE RATIONALE BEHIND AIDING DEMOCRACY: WHEN POLITICAL REALISM AND CONSTRUCTIVISM MEET The Rationale for Democratisation Aid: The Difference Between UNDP and the Rest Explaining UNDP s Exceptionalism CONCEPTUALISATION OF DEMOCRACY The Common Orientation on Liberal Democracy The Divergences: The U.S. and the Rest Explaining the Divergences Ideological Triumph of Liberal Democracy Donor Countries Own Democratic Traditions and Practices Democratic Conceptualisation and the Unique Case of UNDP A COMPARATIVE PERSPECTIVE ON WHAT CONSTITUTES DEMOCRATISATION AID Diversities and Biases in Democratisation Aid Catalogues Constructivism and the Policy Biases in Democratisation Aid SUMMARY PART III: TRANSLATING POLICIES INTO ACTION IN MALAWI CHAPTER 10: MALAWI S DEMOCRATISATION PROCESS AND THE ROLE OF EXTERNAL ACTORS DEMOCRATIC TRANSITION UNDER DIFFICULT CONDITIONS TRANSITION TOWARDS DEMOCRACY: TRACING THE FORCES AT PLAY The Domestic Dimension The International Dimension The End of the Cold War and its Snowballing Effects The Policy Shift: Democracy as a Precondition for Development Assistance

8 10.3 MALAWI S DEMOCRATISATION PROCESS: AN OVERVIEW OF FUNDAMENTAL UNDERPINNINGS The Malawi Constitution Emergence of a Democratic and Plural Society The Quest for Democracy as Reflected in Other Key Policy Documents The Inter-Ministerial Committee on Human Rights and Democracy National Plan of Action in the Field of Human Rights The National Democracy Consolidation Programme DEMOCRATIC CONCEPTUALISATION IN MALAWI TOWARDS DEMOCRATIC CONSOLIDATION: A SURVEY OF FUNDAMENTAL CHALLENGES The Legacy of a Democratic Deficit and Development of a Democratic Culture Democratising Under Worsening Socio-economic Conditions Sustaining Operations of Democratic Institutions IN SUMMING UP: MALAWI S DEMOCRACY AND EXTERNAL ACTORS CHAPTER 11: UNDP S DEMOCRACY AID AND DEVELOPMENT CO-OPERATION IN MALAWI MALAWI-UNDP DEVELOPMENT CO-OPERATION: AN OVERVIEW AIDING DEMOCRACY AS A FOCAL AREA OF UNDP S DEVELOPMENT CO-OPERATION IN MALAWI THE CASE STUDY: DEMOCRACY CONSOLIDATION PROGRAMME The Process of Programme Formulation Programme Objectives and Focal Areas The First Phase Programme Objectives and Focal Areas of the Second Phase Programme Setup and Other Institutional Arrangements Office of the President and Cabinet as the Executing Agency The Inter-Ministerial Committee on Human Rights and Democracy The Proposed Programme Steering Committee The Programme Office The Role on UNDP in the DCP The Roles and Responsibilities of the Partners: GoM Implementation Strategy SUMMARY CHAPTER 12: THE EU DEMOCRACY AID AND DEVELOPMENT CO-OPERATION IN MALAWI MALAWI-EU DEVELOPMENT CO-OPERATION: AN OVERVIEW AIDING DEMOCRACY: A NON-FOCAL AREA FOR THE EU S DEVELOPMENT CO-OPERATION IN MALAWI GENERAL SUPPORT AREAS AND TRENDS THE CASE STUDY: NATIONAL INITIATIVE FOR CIVIC EDUCATION The process of Programme Formulation Tracing the Origin of the NICE idea: MGPDD and its Quest for Continuity The 1999 Presidential and Parliamentary Elections as the Window of Opportunity Programme Objectives and Focal areas The First Phase: NICE as an Elections Project NICE After the Elections: The Search for Continuity? Programme Setup and Other Institutional Arrangements: Confused Identity? The Programme Steering Committee Programme Management Unit The De-linking of the PMU from GTZ-Malawi From PAC-NICE to NICE without PAC The Role of Government of Malawi Implementation Strategy SUMMARY CHAPTER 13: GERMANY S/ GTZ S DEMOCRACY AID AND DEVELOPMENT CO-OPERATION IN MALAWI MALAWI-GERMAN DEVELOPMENT CO-OPERATION: AN OVERVIEW AIDING DEMOCRACY AS A FOCAL AREA OF GERMAN DEVELOPMENT CO-OPERATION IN MALAWI

9 13.3 THE CASE STUDY MALAWI-GERMAN PROGRAMME FOR DEMOCRACY AND DECENTRALISATION The Process of Programme Formulation Execution of the Feasibility Studies Feasibility Study and the Complexity of Political Aid Programme Objectives and Focal Areas The first phase: MGPDD as a Political Foundation? Delayed Implementation of Decentralisation Policy MGPDD Co-ordinator s Own Experience MGPDD in the second Phase: Towards Some Concentration The Third Phase: Implementing Democratic Decentralisation Programme Setup and Other Institutional Arrangements MGPDD Desk Officer in MLGRD Proposal to Establish a Programme Steering Committee (PSC) The Programme Coordination Unit The Role of Governments of Malawi and Federal Republic of Germany Implementation Strategy SUMMARY CHAPTER 14: US/ USAID S DEMOCRACY AID AND DEVELOPMENT CO-OPERATION WITH MALAWI MALAWI-U.S./USAID DEVELOPMENT CO-OPERATION: AN OVERVIEW AIDING DEMOCRACY AS A FOCAL AREA OF USAID S DEVELOPMENT CO-OPERATION IN MALAWI : Democratic/Civic Institutions Development - DECIDE : Strengthening and Broadening the Institutional Base for Democratic Participation : Increased Civic Involvement in the Rule of Law THE CASE STUDY: STRENGTHENING THE INTERFACE BETWEEN THE PARLIAMENT OF MALAWI AND CIVIL SOCIETY The Process of Programme Formulation Programme Objectives and Focal Areas Programme Set-up and Other Institutional Arrangements NDI as the Programme Management Unit The Role of Malawi Government Implementation Strategy Support to Parliament Support to Civil Society Networks The Parliamentary Task Force: The Quest for Co-ordination SUMMARY CHAPTER 15 DEMOCRATISATION AID IN PRACTICE: A COMPARATIVE ANALYSIS AIDING DEMOCRACY AS A FOCAL AREA OF DEVELOPMENT CO-OPERATION IN MALAWI AREAS OF SUPPORT: THE BALANCE SHEET The Democratisation Aid Balance Sheet as Represented by the Four Actors Democratisation Aid Balance Sheet Consolidated: A Comprehensive Overview IDENTIFYING FOCAL AREAS: FACTORS AT PLAY Choices of Areas of Support and General Policy Directions of the Actor On Mode of Co-operation: Do institutional Arrangements Matter? Mode of Co-operation and the Question of Political Sensitivity On Bureaucratic Politics and Implementation of Democratisation Aid The Divergences and Convergences of Institutional and Personal Interests The Quest for Publicity Bureaucratic Politics as Reflected in the Quest for Visibility Reacting to Contextual Factors THE MULTILATERAL-BILATERAL DIVIDE RECONSIDERED SUMMARY PART IV: DEMOCRATISATION AID AS A CHALLENGE FOR DEVELOPMENT CO-OPERATION REVISITED

10 CHAPTER 16: DEMOCRATISATION AID AS A CHALLENGE FOR DEVELOPMENT CO- OPERATION REVISITED WHERE DO WE STAND? A SYNOPTIC OVERVIEW OF ISSUES ARISING DEMOCRATISATION AID AS CHALLENGE FOR DEVELOPMENT CO-OPERATION: THE POLICY LEVEL DISCOURSE RECONSIDERED Democratisation Aid and The Nomenclature Problem Aiding Democracy and the Past chequered Track-Record of The Actors Over Marketing of the Democratic Agenda Democratisation Aid and the Problem of Partnership DEMOCRATISATION AID AS CHALLENGE FOR DEVELOPMENT CO-OPERATION: REVISITING THE POLICY IMPLEMENTATION LEVEL Diversity of Partners and the Question of Conflicting Interests The Role of Government Reconsidered POLICY AND PRACTICAL RECOMMENDATIONS The Need for a Qualified Sector-Wide Approach to Democracy Aid Cautious Linkage Between Democracy Aid Initiatives and Interventions in Development Sectors RESEARCHING ON DEMOCRATISATION AID AND DEVELOPMENT CO-OPERATION REVISITED The Research Design and Research Methods The Theoretical Approach The Question of Generalisation Areas for Future Research APPENDICES A) SCHEDULE OF QUESTIONS ORGANISED ACCORDING TO KEY RESEARCH ISSUES B) LIST OF RESPONDENTS C) LIST OF POLICY/ PUBLIC/ PROJECT/PROGRAMME DOCUMENTS REVIEWED I) UN/ UNDP II) European Union III) Germany/GTZ IV) USA/ USAID V) Malawi Government D) BIBLIOGRAPHY E) WEBSITES CONSULTED F) NEWSPAPER ARTICLES ERKLÄRUNG LEBENSLAUF MIT ANGABE DES BILDUNGSWEGES

11 List of Abbreviations AA ACB ACP ADB ADR AFORD AGOA ALA AWZ BMZ BoP CABS CARDS CARER CCA CCAP CCF CCJP CDF CDU CEO CETS CfP CFSP CHRR CIDA CISANET COE Auswärtiges Amt Anti-Corruption Bureau African, Caribbean and Pacific Countries African Development Bank Alternative Dispute Resolution Alliance for Democracy African Growth and Opportunity Act External Assistance to Asia and Latin America Ausschuß für wirtschafliche Entwicklung Bundesminestrium für wirtschaftliche Zusammenarbeit und Entwicklung Balance of Payment Common Approach to Budgetary Support Community Assistance for Reconstruction, Development and Stabilisation in the Balkans Centre for Advice, Research and Education on Rights Common Country Assessment Church of Central Africa Presbyterian Country Cooperation Framework Catholic Commission for Justice and Peace Comprehensive Development Framework Christian Democratic Union Chief Executive Officer Council of Europe Treaty Series Call for Proposals Common Foreign and Security Policy Centre for Human Rights and Rehabilitation Canadian International Development Agency Civil Society Agriculture Network Council of Europe 11

12 CONGOMA Council for Non-Governmental Organisations in Malawi CP Country Programme CRS Credit Reporting System CSCQBE Civil Society Coalition for Quality Basic Education CSOs Civil Society Organisations CSP Country Strategic Plan CSS Country Support Strategy CSU Christian Social Union CWA Country Wide Approach D&G Democracy and Governance DA Development Assistance DAAD German Academic Exchange Service DAC Development Assistance Committee DANIDA Danish International Agency for International Development DCEO District Civic Education Officer DCP Democracy Consolidation Programme DECIDE Democratic and Civic Institutions Development DED Deutsche Entwicklungsdienst DFID Department for International Development DLGDA Department of District and Local Government Administration DS Decentralisation Secretariat DSCG Donors Sub-Committee on Governance DSE* German Foundation for International Development DSPC Deputy Secretary to the President and Cabinet EC European Community ECOSOC Economic and Social Council ECSC European Coal and Steel Community EDF European Development Fund EEC European Economic Community EIB European Investment Bank 12

13 EIDHR European Initiative for Democracy and Human Rights EP European Parliament ETAP Expanded Technical Programme EU European Union- EU EURATOM European Atomic Energy Community FA Foreign Assistance FAA Foreign Assistance Act FBO Faith Based Organisation FC Financial Co-operation FES Friedrich Erbert Stiftung FNS Friedrich-Naumann-Stiftung FRG Federal Republic of Germany FY Financial Year GCC Governance Coordinating Council GDP Gross Domestic Product GNI Gross National Income GoM Government of Malawi GTZ Gesellschaft für Technische Zusammen Arbeit HDI Human Development Index HDR Human Development Report HRC Human Rights Commission HRCC Human Rights Consultative Committee HSS Hanns Seidel Stiftung IASP International Affairs Strategic Plan ICC International Criminal Court IFES International Foundation for Electoral Systems IFI International Financial Institutions IMCHRD Inter-Ministerial Committee on Human Rights and Democracy IMD Institute for Multiparty Democracy IO International Organisations 13

14 IPU IRI IVP JIOG KAS KfW KIR LDC LGFC MALGA MASAF MCA MCC MCP MDGP MDGs MEC MEDA MEJN MGGN MGPDD MHEN MIDEA MIJ MK MLGRD MP MPP MPRSP MYFF Inter-Parliamentary Union International Republican Institute International Visitors Programme Joint International Observer Group Konrad Adernauer Stiftung Kreditanstalt für Wiederaufbau Key Immediate Result Least Developed Countries Local Government Finance Committee Malawi Local Government Association Malawi Social Action Fund Millennium Challenge Account Millennium Challenge Corporation Malawi Congress Party Malawi Decentralised Governance Programme Millennium Development Goals Malawi Electoral Commission Mediterranean and Middle East Countries Malawi Economic Justice Network Malawi-German Government Negotiations Malawi-German Programme for Democracy and Decentralisation Malawi Health and Equity Network Malawi Institute of Democratic and Economic Affairs^ Malawi Institute of Journalism Malawi Kwacha Ministry of Local Government and Rural Development Member of Parliament Mission Performance Plan Malawi Poverty Reduction Strategy Paper Multi-Year Funding Framework 14

15 NAC NAO NCC NCT NDCP NDI NDP NEC NEX NGO NICE NIP NORAD NSO ODA OECD OPC OSISA OUNHRT PAC PCD PCU PES PHARE PMU PPD PPE PSC PTF PVO Nyasaland African Congress National Authorising Officer National Consultative Council National Compensation Tribunal National Democracy Consolidation Programme National Democratic Institute for International Affairs National Decentralisation Programme National Executive Committee National Execution Non-Governmental Organisations National Initiative for Civic Education National Indicative Programmes Norwegian Agency for Development National Statistics Office Official Development Assistance Organisation of Economic Cooperation and Development Office of the President and Cabinet Open Society Institute for Southern Africa Office of the United Nations Human Rights Technical Cooperation Public Affairs Committee Presidential Commission on Dialogue Programme Coordination Unit Party of the European Socialists Pre-Accession Programme for Eastern European Countries Programme Management Unit Peace, Prosperity and Democracy Presidential and Parliamentary Elections Programme Steering Committee Parliamentary Task Force Private Voluntary Organisation 15

16 ROLP SAP SCDP SCF SHARED SHD SI SO SPAS SpIR TA TACIS TC TEU TRAC U.S. UDF UN UNDAF UNDHR UNDP UNEAD UNHCHR UNHRC USA USAID USG Promotion of Rule of Law and Improvement of Justice Programme Structural Adjustment Programmes Secondary Centres Development Programme Stakeholders Consultative Forum Services for Health, Agriculture, Rural and Enterprise Development Sustainable Human Development Socialist International Strategic Objective Social Policy Advisory Service Special Immediate Result Traditional Authority Technical Assistance Programme for Eastern Europe and Central Asia Technical Co-operation Treaty of the European Union Target for Resource Assignment from the Core United States United Democratic Front United Nations United Nations Development Assistant Framework Universal Declaration of Human Rights United Nations Development Programme United Nations Elections Assistance Division United Nations High Commissioner for Human Rights United Nations Human Rights Commission United States of America United States Agency for International Development United States Government 16

17 List of figures and tables Figure 1: Table 1: Table 2: Table 3: Table 4: Table 5: Table 6: Table 7: Table 8: Table 9: Table 10: Table 11: Table 12: Table 13: Table 14: Table 15: Table 16: Table 17: Table 18: Table 19: Table 20: Table 21: Table 22: Table 23: The Democratic Pyramid An integrated overview of the theoretical framework Overview of respondents Overview of selected case studies What constitutes UNDP s democratization aid What constitutes democratization aid in the EU s development co-operation An overview of German Political Foundations Good Governance as reflected in the Five Criteria of German Development Cooperation GTZ s Leistungsangebot in the area of Good Governance The Millennium Challenge Account: Eligibility criteria U.S. Conceptualisation of democracy Overview of U.S. categories for democracy aid Policy/ Legal basis for aiding democracy before the end of the cold war Rationale behind democracy support in comparative perspective What constitutes democratisation aid: a comparative perspective UNDP s Programme for Capacity Building for Governance and Development Management DCP II: Programme components and expected democratic contributions An overview of MGPDD s Areas of focus in the first phase Increased civic involvement in the rule of law Strengthening the interface between Parliament and civil society Democratisation aid balance sheet Comparative overview of institutional arrangements UN General Assembly Resolutions referred to An overview of EU s democracy support in Malawi through positive measures 17

18 Part I: Introduction, theoretical framework and research design As it is clarified hereunder in 1.3 Organisation of the thesis, this dissertation has been organised into four parts, each comprising of a number of related chapters. Chapters 1 to 4 constitute this first part, which presents and discusses preliminary aspects of this study. It starts with a general introduction which situates the study in a wider context of the scholarship on democratisation aid and development co-operation (1.1). Statement of the research problem and the key research questions are presented in 1.2, which also concludes the first chapter. Chapter 2 aims at clarifying the concepts of democracy and democracy aid, hence providing the basis for chapter 3, which discusses the core of the theoretical framework followed in this study. The chapter begins by arguing for the need to adopt what is referred to as an eclectic theoretical approach, meaning integration of various theoretical perspectives to address the research questions raised in chapter 1. Having done that, chapter 3 then presents and discusses the four theoretical approaches that are considered in this study to be crucial in shedding light on our research problem. These approaches are drawn from international relations (political realism, constructivism and bureaucratic politics) and the general policy debate on how best should development co-operation be conducted. Here, we discuss the question of mode of co-operation and how it can explain integration of recipients in democratisation aid. Concluding this chapter is a presentation of an integrated overview of the theoretical perspectives with the view to discuss how these theoretical approaches are related to the research problem. Chapter 4 winds up the discussion in this first part. Its aim is to present the research design and an explanation on the methods employed in conducting research for this study. 18

19 Chapter 1: Setting the Context 1.1 Democratisation Aid with Multiple Actors and Diverse Policies, Strategies and Priorities Even among some of the now established democracies, paths to democratisation have historically had an international dimension. 1 This has, inter alia, included direct imposition of democracy after military defeat (for instance Germany and Japan), or direct external military intervention with the view of (re)installing a democratic government (as was the case in Grenada and Panama) (Whitehead, 1996). However, democracy promotion was never as central in international development discourse as it is now. There appears to be an emerging international consensus and legitimisation of the (positive) role that the so-called international community can play in not only facilitating but also consolidating democratisation processes in other countries (Nolting, 2003; Burnell, 2000; Carothers, 1999; Hartmann, 1999). Today, three general approaches are commonly employed by aid donors in an effort to promote democracy (Santiso, 2001). One approach is through political conditionalities - the tying of aid to demands for specific political and institutional reforms deemed by the providers as fundamental to the attainment of a democratic system of governance (Sørensen, 1993). Democracy is also promoted indirectly through measures that aim at economic development. Beside these sanction-oriented and/or indirect approaches, donors also adopt positive measures by directly providing aid for democracy as part of their official development assistance (ODA). 2 In the recent past, there has been an increased preference towards providing this specific aid for democracy. 3 As Phillipe C. Schmitter and Imco Brouwer observe, it is the quantitative growth and qualitative diversification of democracy assistance that has been a major novelty of 1 For a historical record on this, see Whitehead, Laurence (1996): Three International Dimensions of Democratisation in same (ed.), The International Dimensions of Democratisation. Europe and the Americas, New York: Oxford University Press, pp On the question of paths to (re)democratisation, which also include a discussion on externally installed democracies, see:, Stephan, Alfred (1986): Paths Toward Redemocratisation: Theoretical and Comparative Considerations in Guillermo O Donnel, et al (eds.) Transition from Authoritarian Rule. Prospect for Democracy, Vol. III, Baltimore and London: The John Hopkins University Press pp The term Official Development Assistance (ODA) is used here in line with the OECD/DAC definition. In this case, ODA are all grants or loans to countries and all territories which are undertaken by the official sector with the promotion of economic development and welfare as the main objective and at concessional financial terms (if it is a loan, having a grant element of at least 25 percent. See OECD (1999): Development Co-operation 1998 Report, Paris: OECD). 3 Cf. DAC/OECD (1995): Participatory Development and Good Governance, Paris:OECD p

20 the 1990s. 4 It is, therefore, not uncommon in any emerging democracy to find that more than one international actor is actively involved in implementing these so-called positive measures. Indeed, aiding democracy has today become what Thomas Carothers (1999) describes as another growth industry in international development. 1.2 The Research Problem and Research Questions The increasing number of actors has resulted in diversity not only in the way democracy itself is conceptualised but also in a multiplicity of policies and implementation strategies that are adopted in democracy aid. In his seminal contribution on the subject, Gordon Crawford (1995) observes that despite some similarities in the factors that have influenced the evolution of democracy as an international policy agenda, marked differences do exist in what donors regard as the core elements of democracy in their respective policies. Furthermore, differences also exist in the way those core elements are conceived and prioritised. As he puts it, Different agencies tend to have addressed different aspects of the overall agenda with varying degrees of detail and clarity, indicating in part their own priorities. 5 Peter Burnell (1997) observes, for instance, that while the United States of America (USA) encourages formation of advocacy groups, the World Bank puts emphasis on public sector reform. In his study, Richard Youngs (2001) claims that the European approaches towards democracy promotion have, in contrast with those of the US, exhibited less geo-strategic dynamic while the European approaches appear to be more development oriented. However, while it appears to have been relatively easy to identify the differences, not much has been done to explore and explain those differences and what they may mean for the emerging democracies that are being supported by those international actors. Thus, as Carlos 4 Schmitter, Phillip C. and Imco Brouwer, Conceptualising, Researching and Evaluating Democracy Promotion and Protection, European University Institute Working Paper SPS No. 99/9 p.17. C.f. also Burnell, Peter, ed. (2000): Democracy Assistance. International Co-operation for Democratisation, London/ Portland: Frank Cass Co &Ltd. 5 Crawford, Gordon (1995): Promoting Democracy, Human Rights and Good Governance Through Development Aid: A Comparative Study of Four Northern Donors, Leeds: Centre for Democratisation Studies, University of Leeds, p. x. In his study, Crawford examined the policies of Britain, European Union, Sweden and United States. 20

21 Santiso rightly observes, despite the fact that democracy aid has become a remarkably extensive field of activity, it remains opaque to outsiders and poorly understood. 6 This study contributes to this emerging debate and hopes that in the process, it will shed more light to that which remains opaque to outsiders and poorly understood. It seeks not only to identify the policy and strategy differences among democracy promoters but also explores explanations behind those differences and their possible implications on the very process of democratisation that is being supported. The study intends to address the following questions: a) What are the major similarities and/or differences in terms of policies, strategies and priorities of donors with regard to democratisation aid? b) How can these similarities and/or differences be explained? c) What are the implications of the multiplicity of these donor policies, strategies and priorities on: i) the very process of democratisation that is being supported in a particular country? ii) the partners on the recipient side who are co-operating with these international actors in this field? The necessity of raising these questions becomes apparent and the need to address them is imperative when one considers potential implications that these questions may have on today s international development debate. Furthermore, not only is aiding democracy a new entrant in contemporary development co-operation, it is, in relative terms, also the most politically sensitive area being dealt with within the framework of development co-operation in comparison to what one could consider as traditional areas such as infrastructural development, agriculture, water development, education among others. Would democratisation aid in the end entail re-conceptualisation of the way development co-operation is being conducted? If yes, in which way? 6 Santiso, Carlos, (2001): International Co-operation for Democracy and Good Governance: Moving Towards a Second Generation? The European Journal of Development Research, Vol.13. No.1. June 2001, pp

22 In an attempt to address these questions, the study compares policies and strategies - meaning specific project/programme interventions of four of the many international actors that are increasingly playing an active role in aiding democratisation processes in Southern countries. 7 Two of these are multilateral (European Union- EU and United Nations Development Programme- UNDP) and the other two are bilateral (Germany represented by the Deutsche Gesellschaft für Technische Zusammenarbeit - GTZ and the USA represented by United States Agency for International Development- USAID). With regard to actual strategies, the study analyses a selection of specific positive measures that these actors are taking in supporting the democratisation process in Malawi. Levels of analysis in this study, therefore, include both the macro a comparison of policies of the actors with regard to the question of aiding democracy, and micro - an analysis of the actual strategies in form of democracy projects or programmes that the different actors are implementing in Malawi. In so doing, this study makes a unique contribution to the current debate, for in addition to confining itself largely to identification of policy differences, research in this field has been characterised by two further deficiencies or biases. Either it has tended to focus on one single donor 8, or, where it tries to take a comparative approach, it has been limited to the supply side of the democratisation aid equation 9. 7 I use the term Southern to mean developing countries which belong to what is commonly conceived as the Third World. 8 For studies focusing exclusively on the United States, see for instance: Robinson, William I. (1996): Promoting Polyarchy. Globalisation, US Intervention, and Hegemony New York: Cambridge University Press; Carothers, Thomas (1999): Aiding Democracy Abroad. The Learning Curve, Washington D.C: Carnegie Endowment for International Peace; Cox, Michael et al (eds.) (2000): American Democracy Promotion. Impulses, Strategies and Impacts, New York: Oxford University Press. For EU oriented analyses, see: Nolting, Armin K. (2003): Die Demokratieförderung der EU: Eine Untersuchung am Beispiel von Positivmaßbahmen in Malawi und Simbabwe, Bochum: Ruhr Universitität Bochum; Youngs, Richard (2003): European approaches to democracy assistance: learning the right lessons? Third World Quarterly, Vol 24, No. 1, pp ; Crawford, Gordon (2000): European Union Development Co-operation and the Promotion of Democracy in Burnell, Peter, (ed.), Democracy Assistance. International Co-operation for Democratisation, London/ Portland/ Or: Frank Cass, pp ; For United Nations, see: White, Nigel D. (2000): The United Nations and Democracy Assistance: Developing Practice with a Constitutional Framework, in Burnell, Peter (ed.), Democracy Assistance. International Co-operation for Democratisation, London/ Portland/ Or: Frank Cass, pp.67-89; For Germany (limited to the role of German political foundations), see: Mair, Stefan (2000): Germany s Stiftungen and Democracy Assistance: Comparative Advantages, New Challenges, in Peter Burnell, (ed.), Democracy Assistance. International Co-operation for Democratisation, London/ Portland/ Or: Frank Cass, pp Examples are: Whitehead, Laurence (1986): International Aspects of Democratisation, in O Donnel et al (eds.) Transition from Authoritarian Rule. Prospect for Democracy, Vol. III, Baltimore and London: The John Hopkins University Press, pp.3-46 (comparing policies of the US and EC); Crawford, Gordon, (1995): Promoting Democracy, Human Rights and Good Governance Through Development Aid: A Comparative Study of Policies of Four Northern Donors, Leeds: Centre for Democratisation Studies, University of Leeds, 1995 (comparing policies of US, Britain, EU and Sweden); Youngs, R. (2001): Democracy Promotion: The Case of European Union Strategy, Centre For European Policy Studies, Working Document, No. 167 (although special focus is on the EU, Youngs attempts in the end to juxtapose EU democracy promotion policies to those of the US). 22

23 1.3 Organisation of the Thesis In terms of structure, this thesis has sixteen chapters that have been grouped into four parts as follows Part I- Chapters 1-4: Introduction and theoretical framework This part has started with the introduction to this study by stating the problem and raising the key research questions to be addressed (Chapter 1). It is also in this part that we discuss the two key concepts of democracy and democratisation aid (Chapter 2) that keep on resonating in this study. The core theoretical framework for this study is discussed in chapter 3. This chapter first makes a case for the need to adopt an eclectic theoretical approach, meaning integration of various theoretical perspectives to address the research questions raised in chapter 1. It then introduces and discusses the four theoretical perspectives proposed: political realism, constructivism, bureaucratic politics and mode of co-operation. Chapter 3 sums up with a presentation of an integrated overview of the theoretical perspectives with the view to discuss how these theoretical approaches are related to the research problem. Concluding the first part of this thesis is chapter 4, which presents the research design and research methods. 23

24 1.3.2 Part II- Chapters 5-9: Democratisation Aid and International Development Cooperation- A Policy Discourse In this part, the discussion dwells on the general and specific policies of the four actors with regard to democracy and democratisation in their respective development co-operation frameworks. Thus, in the context of this study, this second part constitutes the first empirical part where we present, discuss and analyse the research findings at a policy or macro level. For analytical convenience, each donor is discussed under a separate chapter (Chapters 5 to 8) but following the same order. Thus, a brief discussion of the organisation/ institution as an actor in international development co-operation is done first. This is followed by a discussion on evolution of aiding democracy as a field of action in development co-operation of the respective actor. Having traced the emergence of aiding democracy as a policy issue, we then survey the major reasons that have been advanced by each of the four actors in question to justify that emergence. This is followed by a presentation on how democracy and democratisation aid has been conceptualised. Following these largely descriptive presentations is chapter 9, which first presents a comparative overview of the discernible similarities and differences in the policies reviewed and then explains them. The theoretical perspectives introduced and discussed in chapter 3 are brought into action here but as it transpires (and also as expected), not all of them are proving useful at all times. Thus, the most important theoretical approaches that are employed at this policy level are political realism and constructivism Part III- Chapters 10-15: Translating Policies into Action This part brings the discussion to a particular country context (Malawi). Here the policies of the actors as reviewed in chapters 5-8, and comparatively analysed in chapter 9, are translated into specific measures to support the democratisation process in a particular country (Malawi). Opening up this part is chapter 10, which reviews the democratisation process in Malawi, particularly with the view of situating the discussion that follows in context. Chapters 11 to 14 then discuss the specific democracy aid programmes of the four actors. Like in the case of the preceding part, the actors respective strategies and/ or measures to aid democracy by means of providing official development assistance are discussed in separate chapters based on a 24

25 standardised outline. An overview of the actor s development co-operation with and in Malawi is presented first. This is a brief overview of a historical background to and a discussion of the contemporary key focal areas of the co-operation. This is followed by a detailed discussion of the selected case study. Our interest in the case study is mainly centred on the process of formulation of the programme / project, objectives, programme setup, other institutional arrangements, and the strategy for implementation. Like in the case of the discussion done in the previous part, chapters 11 to 14 are also largely descriptive. A comparative analysis is done in chapter Part IV Chapter 16: Conclusion In this part, which comprises of only chapter 16, the research questions are reconsidered in the light of the findings as presented and discussed in the previous chapters and against the background of the theoretical perspectives that were employed. As part of the conclusion, (democratic) theoretical and (development co-operation) policy implications arising from this study are discussed in this chapter. 1.4 Summary This chapter has demonstrated that although aiding democracy appears to have come of age in contemporary international development co-operation, a number of key questions remain unclarified. Such questions include not only the differences in policies and strategies, but also explanations behind those differences and their implications on both the democratisation process intended to be supported and the recipient co-operating partners. As it has been pointed out, these are the central questions that are being addressed in this study. In addition to presenting the research questions, we have, in this chapter, also outlined the overall organisational structure of this dissertation. In the chapter that follows, a conceptual discussion on democracy and democratisation aid is done as a prelude to the theoretical framework that is presented in chapter 3. 25

26 Chapter 2: Democracy and Democratisation Aid: Preliminary Conceptual Clarification Democratisation aid and development co-operation are areas of study whose theoretical framework is yet to be established. In the subsequent chapter (3), an attempt is made in that direction. Prior to that, it is necessary that a conceptual clarification be made on democracy and democracy aid, the two concepts that resonate in this study. The importance of doing so at this point needs not be overemphasised. First, in discussing democratisation aid, one has to lay bare the theoretical underpinnings and the contours of the political system that is intended to be realised through that aid. It is therefore a worthwhile undertaking to present not only an array of conceptual perspectives on democracy, but also to provide a working definition that one adopts in his/her study. 10 The same holds true for democratisation aid. As aid for democracy is but one form of ODA, it is imperative that we clearly distinguish this type of aid from the other different forms On the Question of Democracy Etymologically speaking, democracy draws its origin from the Greek concept: demokratia, a term whose root meanings are demos (people) and kratia (rule). Thus, democracy essentially connotes a form of governance in which the people rule (Held, 1987). Taken as it is, democracy may be a concept that evokes no controversies. However, theoretical and conceptual differences arise when this seemingly simple notion is dissected and disintegrated. Questions such as who are the people? who should rule and how? among others, are not easy to resolve (Sartori, 1962; Held, 1987). That this debate has gained currency in the academic discourse is manifested in the variety of (sometimes competing) definitions which has led some scholars to subscribe to the notion first mooted by W.B. Gallie that democracy belongs to the category of essentially contested concepts (Nwokedi, 1995; Bratton and Nicolas van de Walle, 1997; Robinson, 1996). 10 This is also in cognisance of an old peace of advice offered with a renewed urgency by Collier and Levitsky who, having established that there exist well over 550 democracy related concepts, observe that Given this complexity [of definitions], it is imperative that scholars situate themselves in relation to this structure [of complexity] by clearly defining and explicating the concept of democracy that they are employing (Collier, David and Steven Levitsky (1996): Democracy with Adjectives : Conceptual Innovation in Comparative Research, The Hellen Kellog Institute for International Affairs, University of Notre Dame, Working Paper Series No.230, August, p.35). 26