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Larry Diamond
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Among the growing number of recent cases where international actors have become engaged in trying to rebuild a shattered state and construct democracy after conflict, Iraq is somewhat unique. The state collapsed not as a result of a civil war or internal conflict, but as a result of external military action to overthrow it. We are still very much in the middle of an internationally assisted political reconstruction process in Iraq, and we will not know for a year or two, or maybe five or ten, the outcome of the postwar effort to rebuild the Iraqi state. Nevertheless, some important lessons can be identified.

Prepare For A Major Commitment

Rebuilding a failed state is an extremely expensive and difficult task under any circumstance, and even more so in the wake of violent conflict. Success requires a very substantial commitment of human and financial resources, delivered in a timely and effective fashion, and sustained over an extended period of time, lasting (not necessarily through occupation or trusteeship, but at least through intensive international engagement) for a minimum of five to ten years.

Commit Enough Troops

One of the major problems with the American engagement in Iraq is that there were not enough international troops on the ground in the wake of state collapse to secure the immediate postwar order. As a result, Iraq descended into lawless chaos once Saddam's regime fell. The United States Army wanted a much larger force on the ground in order to secure the postwar order, something like 400,000 troops rather than the total invasion force of less than 200,000 that was ultimately authorized. Of course, what is needed is not simply enough troops but the right kind of troops with the proper rules of engagement. It does no good to have troops on the ground if they simply stand by and watch what is left of the state being stolen and burned. One lesson of Iraq is that international post-conflict stabilization missions need to be able to deploy not just a conventional army but a muscular peace implementation force that is somewhere between a war-making army and a crime-fighting police, between a rapid reaction and riot control force.

Mobilize International Legitimacy and Cooperation

In the contemporary era, a successful effort at post-conflict reconstruction requires broad international legitimacy and cooperation, for at least two key reasons. First, the scope and duration of engagement is typically more than any one country-and public-is willing to bear on its own. The broader the international coalition, the greater the human and financial resources that can be mobilized, and the more likely that the engagement of any participating country can be sustained, as its public sees a sense of shared international commitment and sacrifice. Second, when there is broad international engagement and legitimacy, people within the post-conflict country are less likely to see the intervention as the imperial project of one country or set of countries. All other things being equal, international cooperation and legitimacy tends to generate greater domestic legitimacy-or at least acceptance-for the intervention.

Generate legitimacy and trust within the post-conflict country

No international reconstruction effort can succeed without some degree of acceptance and cooperation-and eventually support and positive engagement-from the people in the post-conflict country. Without some degree of trust in the initial international administration and its intentions, the international intervention can become the target of popular wrath, and will then need to spend most of its military (and administrative) energies defending itself rather than rebuilding the country and its political and social order. Unfortunately, these qualities were lacking in the occupation of Iraq, and the Iraqi people knew it. From the very beginning, the American occupation failed to earn the trust and respect of the Iraqi people. As noted above, it failed in its first and most important obligation as an occupying power-to establish order and public safety. Then it failed to convey early on any clear plan for post-conflict transition.

All international post-conflict interventions to reconstruct a failed state on more democratic foundations confront a fundamental contradiction. Their goal is, in large measure, democracy: popular, representative, and accountable government, in which "the people" are sovereign. But their means are undemocratic: in essence, some form of imperial domination, however temporary and transitional. This requires a balancing of international trusteeship or imperial functions with a distinctly non-imperial attitude and some clear and early specification of an acceptable timetable for the restoration of full sovereignty. As much as possible, the humiliating features of an extended, all-out occupation should be avoided.

Hold Local Elections First

One of the toughest issues on which to generalize concerns the timing of elections. Ill-timed and ill-prepared elections do not produce democracy, or even political stability, after conflict. Instead, they may only enhance the power of actors who mobilize coercion, fear, and prejudice, reviving autocracy and even precipitating large-scale violent strife. In Angola in 1992, in Bosnia in 1996, and in Liberia in 1997, rushed elections set back the prospects for democracy and, in Angola and Liberia, paved the way for renewed civil war. There are therefore compelling reasons, based in logic and in recent historical experience, for deferring national elections until militias have been demobilized, new moderate parties trained and assisted, electoral infrastructure created, and democratic media and ideas generated. International interventions that seek to construct democracy after conflict must balance the tension between domination for democracy and withdrawal through democracy. In these circumstances, two temptations compete: to transform the country, its institutions and values, through an extended and penetrating occupation (à la British colonial rule), and to hold elections and get out as soon as possible. The question is always, in part, how long can international rule be viable? In Iraq, for better or worse, the answer-readily apparent from history, and from the profound and widespread suspicion of American motives in the region and among Iraqis themselves-was: not long.

Disperse Economic Reconstruction Funds and Democratic Assistance As Widely As Possible

Both for the effectiveness and speed of economic revival, and in order to build up local trust and acceptance, there is a compelling need for the decentralization of relief and reconstruction efforts, as well as democratic civic assistance. The more that the international administration, as well as private donors, works with and through local partners, the more likely that their relief and reconstruction efforts will be directed toward the most urgent needs, and the better the prospect for the accumulation of political trust and cooperation with the overall transition project. In Iraq there was a particularly compelling need for the creation of jobs, which might have been done more rapidly by channeling repair and reconstruction contracts more extensively through a wide range of local Iraqi contractors, instead of through the big American mega-corporations.

Proceed With Some Humility

This encompasses perhaps the ultimate, overarching contradiction. It is hard to imagine a bolder, more assertive, and self-confident act than a nation, or a set of nations, or "the international community," intervening to seize effective sovereignty in another nation. There is nothing the least bit humble about it. But ultimately the intervention cannot succeed, and the institutions it establishes cannot be viable, unless there is some sense of participation and ultimately "ownership" on the part of the people in the failed and re-emerging state. This is why holding local elections as early as possible is so important. It is why it is so vital to engage local partners, as extensively as possible, in post-conflict relief and economic reconstruction. And it is why the process of constitution making must be democratic and broadly participatory.

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Jason M. Brownlee
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As the conflict in Iraq reminds us, nation building confounds its architects' designs with almost predictable regularity. Investments of time, resources, and specialized knowledge have not enabled large-scale political engineering. Instead, would-be nation builders have been frustrated by a proliferation of unintended consequences and their inability to elicit societal participation in their projects. Results depend more upon initial conditions prior to an intervention than the nation builder's exertions upon arrival.

Hence, the U.S. has performed most poorly when its mission required the most work (e.g., Somalia, Haiti, Iraq). Conversely, it has done best where it did less (Germany, Japan), deferring to old-regime civil servants and upgrading already functional institutions. Given the humbling record of Western powers at navigating the perils of macro-level political planning, the "how" of nation-building should be considered, in the formulation of Defense Secretary Donald Rumsfeld, a known unknown.

More likely, it is a known unknowable. The extent of unintended consequences and contingency in largescale political engineering makes disappointment certain and disaster likely.

Twentieth-century experiences belie the notion that nation-building successes will solve the problem of state failures. Forces trying to impose regime change and raise new state structures immediately grapple with societal inertia and their own deficit in understanding local politics.

This dilemma pushes would-be nation builders down one of two undesirable paths. Either they recognize their inability to restructure indigenous political arrangements or they attempt to do so in vain. Despite plans of change at the outset of nation building, those executing the project soon embrace a change of plans.

Thus, even the most committed states have been hampered by an inability to develop political capacity on the ground and improve upon the initial endowments of the country being occupied. Institutional value-added has been minimal, reflecting the problem of state instability back upon those who expected to solve it.

These patterns raise serious doubts about the chances of success in even the most well-intentioned of regimechange missions. They demarcate the limits of projecting state power abroad, whether for humanitarian or security purposes. The failures of imposed regime change lead to the conclusion that indigenous gradual political development-with all of its potential for authoritarianism and civil unrest-may be the optimal path for sustainable democratization and state building.

When comparing the uneven history of post-colonial development with the poor record of nation building we are left paraphrasing Churchill's endorsement of democracy as the worst kind of government except for the alternatives: Sovereign political development may be the worst form of government except for all those kinds of nation building that have been tried.

Infrastructural weakness is not a technical problem surmountable through systematic review of prior experiences. Indeed, the notion of "learning past lessons" deceptively implies that the current generation of academics and policymakers can succeed where their predecessors failed. The idea that nation building is a flawed but salvageable project prejudges its fundamental viability.

Once we have set our sights on rescuing an enterprise that has repeatedly frustrated its architects and their subjects, we screen out alternatives that more effectively serve the same development goals. We also risk funneling research down an intellectual cul-de-sac, at great cost in time, resources, and lives lost for those participating in failed regime-change missions. Therefore, a more productive direction for contemporary interest in nation building may mean backing up and reassessing the core problem of weak states, on one hand, and the limits of foreign intervention, on the other. Ensuring a positive impact on the country considered for intervention requires orienting the enterprise away from the takeover of state functions and toward the short-term provision of aid to local communities.

Apart from the futile pursuit of infrastructural power or the doomed deployment of despotic power (coercion), one can envision a third kind of influence, "regenerative power," which is exercised during relief efforts, such as emergency assistance following natural disasters.

Regenerative power involves neither the adoption of domestic state functions nor physical coercion. It denotes the ability of a state to develop infrastructure under the direction of the local population. For example, it means rebuilding a post office, but not delivering the mail. It is typified by the U.S. response to natural disaster relief within its own borders and abroad.

Regenerative power turns nation building on its head. Rather than imposing a blueprint from outside, participants respond to the needs of the affected community. It is restorative rather than transformative. There is no preexisting master plan for what the "final product" will be, but rather an organically evolving process in which the assisting group serves at the direction of the people being assisted.

The exercise of regenerative power is inherently limited in scale since it depends on local engagement rather than elite planning. It is inimical to macro-level ambitions but it also acquires a bounded effectiveness that imposed regime change lacks. Where nation building attempts to overwrite existing organization and only belatedly incorporates local understanding, disaster relief efforts and regenerative projects begin from the assumption that local communities know best their own needs. Existing social networks and patterns of authority are an asset, not a hindrance, and local know-how offers the principal tool for resolving local crises.

Rather than pursuing the often destructive delusion of interventionist state transformation, regenerative power starts from an interest in using state power for constructive purposes and a sober assessment of the limits of that aim. The assisting foreign groups serve under the direction of indigenous political leaders toward the achievement of physical reconstruction and emergency service provision.

With remarkable prescience Rumsfeld commented in October 2001, "I don't know people who are smart enough from other countries to tell other countries the kind of arrangements they ought to have to govern themselves."

The experience of twentieth century U.S. interventions and ongoing operations in Iraq supports his insight. Proponents of nation building or shared sovereignty arrangements have exaggerated the ability of powerful states to foster institutions in developing countries. The empirical record, from successful outcomes in Germany and Japan to dismal failures across the global south, shows the societies alleged to be most in need of strong institutions have proven the least tractable for foreign administration. Rather than transmitting new modes of organization, would-be nation builders have relied upon existing structures for governance.

This dependence on the very context that was intended for change reveals how little infrastructural power nation builders wield. They are consistently unable to implement political decisions through the local groups. Contrary to recent arguments that sustained effort and area expertise can enable success, nation building has foundered despite such investments.

Understanding that nation building is a "known unknowable" is crucial for redirecting intervention where it can be more effective. Advocates of humanitarian assistance should consider the merits of smaller, regenerative projects that can respond better to uncertainty and avoid the perils of large-scale political engineering.

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Kathryn Stoner
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Coit D. Blacker, director of the Freeman Spogli Institute for International Studies at Stanford University, recently named Professor Michael McFaul as the new director of the Center on Democracy, Development, and the Rule of Law (CDDRL). McFaul, a reknowned specialist on the former Soviet Union, is currently associate professor of political science at Stanford as well as the Peter and Helen Bing Senior Fellow at the Hoover Institution. He is also an alumnus of Stanford University.

In appointing McFaul to lead CDDRL, Blacker expressed his confidence that the center will continue to establish itself as one of the leading research units in the United States devoted to exploring the interactions between the establishment of democracies, promoting development, and the rule of law. The center's previous director was Stephen D. Krasner, who took Ppublic service leave from Stanford in the winter of 2004 to serve as the director for policy planning at the U.S. Department of State.

Before joining the Stanford faculty in 1995, McFaul worked for two years as a senior associate for the Carnegie Endowment for International Peace in residence at the Moscow Carnegie Center. McFaul is also a research associate at the Center for International Security and Arms Control (CISAC) and a senior adviser to the National Democratic Institute. He serves on the board of directors of the Eurasia Foundation, Firebird Fund, International Forum for Democratic Studies of the National Endowment for Democracy, Institute of Social and Political Studies, Center for Civil Society International, and Institute for Corporate Governance and Law; the steering committee for the Europe and Eurasia division of Human Rights Watch; and the editorial boards of Current History, Journal of Democracy, Demokratizatsiya, and Perspectives on European Politics and Society. He has served as a consultant for numerous companies and government agencies.

McFaul's current research interests include democratization in the post-communist world and Iran, U.S.-Russian relations, and American efforts at promoting democracy abroad. With Abbas Milani and Larry Diamond, he codirects the Hoover project on Iran.

McFaul is the author and editor of several monographs including one with Kathryn Stoner-Weiss, After the Collapse of Communism: Comparative Lessons of Transitions (Cambridge University Press, 2004). With Nikolai Petrov and Andrei Ryabov, Between Dictatorship and Democracy: Russian Post-Communist Political Reform (Carnegie Endowment for International Peace, 2004); with James Goldgeier, Power and Purpose: American Policy toward Russia after the Cold War (Brookings Institution Press, 2003); with Timothy Colton, Popular Choice and Managed Democracy: The Russian Elections of 1999 and 2000 (Brookings Institution Press, 2003); Russia's Unfinished Revolution: Political Change from Gorbachev to Putin (Cornell University Press, 2001); Russia's 1996 Presidential Election: The End of Bi-Polar Politics, (Hoover Institution Press, 1997); with Tova Perlmutter, Privatization, Conversion and Enterprise Reform in Russia (Westview Press, 1995); Post-Communist Politics: Democratic Prospects in Russia and Eastern Europe (CSIS, 1993); and, with Sergei Markov, The Troubled Birth of Russian Democracy: Political Parties, Programs and Profiles (Hoover Institution Press, 1993). His articles have appeared in Constitutional Political Economy, Foreign Affairs, Foreign Policy, International Organization, International Security, Journal of Democracy, Political Science Quarterly, Post-Soviet Affairs, and World Politics.

McFaul also comments on current Russian and U.S.-Russian affairs, including articles in the Chicago Tribune, Los Angeles Times, Moscow Times, New Republic, New York Times, San Jose Mercury News, Washington Post, Washington Times, and the Weekly Standard, as well as television appearances on ABC, BBC, CBS, CNN, Fox News, NBC, and PBS. During the 1995 parliamentary elections in Russia, he worked as senior consultant and commentator for CBS News. During the 1996 presidential election, 1999 parliamentary election, and 2000 presidential election in Russia, he served as a commentator and adviser for CNN. While in Moscow in 1994-95, he also coproduced and appeared in his own television program on democracy for the Russian Television Network (RTR).

McFaul was born and raised in Montana. He received his BA in international relations and Slavic languages and his MA in Slavic and East European Studies from Stanford University in 1986. He was awarded a Rhodes Scholarship to Oxford where he completed his PhD in international relations in 1991.

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Michael A. McFaul
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It remains painfully true, more than three years after Sept. 11, that even highly educated Americans know little about the Arab Middle East. And it is embarrassing how little our universities have changed to educate our nation and train experts on the wider Middle East.

For believers in a good liberal arts education, it has long been a source of consternation that faculties in political science, history, economics and sociology lack scholars who know Arabic or Persian and understand Islam. Since Sept. 11 it has become clear that this abdication of responsibility is more than an educational problem: It also poses a threat to our national security.

The case for bolstering faculty and curriculum resources devoted to the Muslim Middle East is, of course, obvious from an educational perspective. The region is vast. Islam represents one of the world's great religions and provides not only an intellectual feast for comparative study in the social sciences and humanities but also an indispensable comparison and contrast for more familiar religions and ways of life. Particularly in the era of globalization and the information revolution, there is little excuse for universities' continuing to betray the liberal ideal of educating students in the ways of all people.

Our national security interest in this area should also be obvious. As in the Cold War, the war against Islamic extremism will not be won in months or years but in decades. And as in the Cold War, the non-military components of the war will play a crucial role.

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Dr. Hilton Root, an academic and policy specialist in international political economy and development joined the Faculty of Pitzer, a member of Claremont Colleges, as Freeman Fellow from June 2003 to June 2005. Before joining, he served the current administration as US Executive Director Designate of the Asian Development Bank, and as senior advisor on development finance to the Department of the Treasury. Dr. Root was Director and Senior Fellow of Global Studies at the Milken Institute and was a Senior Research Fellow and Director of the Initiative on Economic Growth and Democracy at the Hoover Institution. His areas of expertise are international economics, economic development and policy reform, and Asian affairs.

As a policy expert, Dr. Root advises the Asian Development Bank, the IMF, the World Bank, the UNDP, the OECD, the US State Department, the US Treasury Department and USAID. He has completed projects in 23 countries. The analytical framework he contributed to the World Bank's Asian Miracle study, 1993, was part of the effort to put institutions on the development agenda. While at the ADB as chief advisor on governance, he was the principal author of the ADB's Board-approved governance policy. He presided over a committee on governance indicators at the OECD and initiated the restructuring of the Sri Lanka civil service as an advisor to President Chandrika Bandaranaike Kumaratunga. He was one of the principal contributors to the design of the Millenium Challenge Account of the Bush administration.

As an academic, he has taught at the University of Michigan, California Institute of Technology, the University of Pennsylvania and Stanford University. Dr. Root has written and lectured extensively, publishing six books and more than 100 articles. He is a frequent contributor to the Wall Street Journal Asia, the International Herald Tribune, Los Angeles Times and the Washington Post. He has published and presented in both the English and the French languages and has been translated into many languages including Chinese, Korean and Japanese.

He has been awarded honors for The Key to the East Asian Miracle: Making Shared Growth Credible (with J. Edgardo Campos), which won the 1997 Charles H. Levine Award for best book of the year by the International Political Science Association. The Social Sciences History Association awarded him the 1995 best book prize of its Economic History Section for The Fountain of Privilege: Political Foundations of Markets in Old Regime France and England. From the American Historical Association he received the Chester Higby Prize, 1986, for the best article among those published during the previous two years. He is on the board of a number of organizations and journals including the Open Society Institute, Center for Public Integrity and Review of Pacific Basin Markets and Policies. Dr. Root received his doctorate from the University of Michigan in 1983.

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Hilton Root Professor or Economics Claremont Colleges, Claremont, CA
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Avner Greif, noted Stanford Economic historian, will speak on his current research. Avner Greif received his Ph.D. from Northwestern University and his B.A. from Tel Aviv University. His research interests include European economic history, the historical development of economic institutions, their interrelations with political, social and cultural factors and their impact on economic growth. His current research focuses on institutional development and economic growth in pre-modern Europe, as well as coercion and markets.

Greif's recent publications include "A Theory of Endogenous Institutional Change," (with David Laitin) American Political Science Review, 2004; "Cultural Beliefs and the Organization of Society: Historical and Theoretical Reflection on Collectivist and Individualist Societies," The Journal of Political Economy, (October 1994); and "Coordination, Commitment and Enforcement: The Case of the Merchant Gild" (with Paul Milgrom and Barry Weingast), The Journal of Political Economy, (August 1994).

Avner Greif is a faculty associate at CDDRL.

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avner_greif.jpg PhD

Avner Greif is Professor of Economics and Bowman Family Endowed Professor in Humanities and Sciences at Stanford. His research interests include European economic history: the historical development of economic institutions, their interrelations with political, social and cultural factors and their impact on economic growth. Some of his publications are: Institutions and the Path to the Modern Economy: Lessons from Medieval Trade, Cambridge University Press (March 2006); Impersonal Exchange without Impartial Law: The Community Responsibility System, Chicago Journal of International Law (2004); How Do Self-enforcing Institutions Endogenously Change? Institutional Reinforcement and Quasi-Parameters (with David Laitin), the American Political Science Review (2003); Analytic Narratives, Oxford University Press, 1998. Avner Greif received his Ph. D. in economics from Northwestern University, and his B.A. in economics and history - from Tel Aviv University.

Affiliated faculty at the Center on Democracy, Development, and the Rule of Law
Avner Greif The Bowman Family Endowed Professor in Humanities and Sciences and Professor, by courtesy of History, and Senior Fellow, by courtesy at SIEPR Speaker
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Alex Thier
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In an op ed for the San Francisco Chronicle, CDDRL Fellow J Alexander Thier notes the important decisions that will have to be embodied in the new Iraqi constitution if it is to be more than just a worthless piece of paper. Thier argues that the constitution will need to take into account Iraq's unique multi-ethnic and diverse religious character as well as enshrine democratic principles and freedoms for Iraq to move forward.
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Since the September 11 attacks, President George W. Bush has rhetorically pledged to make the promotion of democracy abroad a primary objective of U.S. foreign policy, emphasizing the moral and strategic imperatives for advancing freedom around the world. At the same time, the United States has become both less liked and less admired by governments and societies around the world. Although its roots are deep, this latest spike in anti-Americanism comes largely as the result of Bushs most significant foreign policy initiative, the invasion of Iraq, which has been extremely unpopular both in democratic and nondemocratic states. In its history, the United States has probably never before suffered such a low international standing.

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The Washington Quarterly
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Michael A. McFaul
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Although interest among sociologists in the consolidation and expansion of an international human rights regime has grown in recent years, little attention is accorded the formal procedures that allow individuals aggrieved by states to appeal directly to an international audience. Using data for 82 countries between 1976 and 1999, this article examines the political and cultural factors that affect the number and rate of individual human rights abuse claims filed with Human Rights Committee. Negative binomial and event history analyses indicate that a country's favorable human rights practices, political democracy, and membership in most non-Western civilizations significantly reduce the number and rate of claims emanating from a country. Conversely, extensive participation in international non-governmental organizations, membership in Western civilization, and intra-state diffusion processes increase the number and rate of claims filed against a country. Other factors, including post-communist regime changes, state participation in international governmental organizations, the World Human Rights Conference, and GDP per capita, have no impact. Results suggest that claims alleging state abuse of human rights

  1. increase as a country's human rights practices worsen;
  2. decline as effective means of recourse become available domestically; and
  3. increase with the cultural empowerment of individuals.
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Why does Nigeria have a history of failed republics, failed governance as well as false starts and dead-ends on the path to economic development, social coherence, and peace? Is the Fourth Republic condemned to the fate of previous ones, or can it rise above the heavy weight ofthe past and chart a different path for itself? In this volume of 26 chapters, put together to honour one of Nigeria's foremost political scientists, four generations of political scientists, economists, political economists, sociologists, psychologists, international relations experts, lawyers, historians and specialists in literature from Africa and North America provide fresh and succinct insights on these and other posers in original essays that range from the theoretical to the analytical, from those that are historical and comparative to those that focus on the current situation in that important African country.

The essays focus on. four cardinal points that sin post Nigeria's perennial struggle for democracy and good governance as cause, effect and terrain. These are the structure, history, processes and dynamics of the country's putative federal system; governance issues; the formation and transformation of identities; and the global contexts of the production and reproduction of the Nigerian state, economy and society.

The book will be of great value to Nigerians, friends of Nigeria, and all those interested in understanding the path that has led Nigeria to its present, state and in finding alternative pathways to a future that is more democratic, better governed, and more developed.

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Ibadan University Press
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Larry Diamond
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