2014 was a relatively friendless year for the Democratic Republic of Korea (DPRK or North Korea). It publicly lost its best friend and patron, China, to its erstwhile nemesis, the Republic of Korea (ROK or South Korea), when Presidents Park Geun-hye and Xi Jinping celebrated their growing friendship at the July summit in Seoul. Recently, retired PLA General Wang Hongguang wrote in the Chinese language site of Global Times, which is closely linked to the Chinese Communist Party, that China tired of cleaning up North Korea’s “mess” and would not step in to “save” North Korea if it collapses or starts a war.[1] And there is a vigorous debate in Beijing on whether the DPRK should be treated on a “normal” basis with China’s interests as the sole guide and purpose or be treated as a special case needing China’s indulgence and protection.[2] Since the Sony hack of November, North Korea has been under tighter scrutiny, both real and virtual, by Seoul, Beijing and Washington, accompanied by tighter sanctions in the new year. Bludgeoned by global condemnation of its atrocious human rights record, Pyongyang’s pariah status has intensified. Only Russia has been warming up to North Korea out of its own economic and political self-interest.

Is there any sizable country with good intentions for the region that is not giving up or beating up on North Korea? Is there any country Pyongyang likes and possibly even trusts? Mongolia stands out as the sole candidate, and it is friendly with both the East and the West.

Since the 2000s, Mongolia has played an increasingly constructive and steady role in in its bilateral ties with the DPRK and in its promotion of peace and cooperation in Northeast Asia. President Tsakhiagiin Elbegdorj, who visited Pyongyang in 2013, was the first head of state to reach out to the DPRK since Kim Jung Un assumed power and helped author the “Ulaanbaatar Dialogue on Northeast Asia Security,” which held its first meeting in June, 2014. It is a unique forum that combines official (track one) and unofficial academic/think tank/NGO (track two) participants, on a variety of important regional issues. The goals are to decrease distrust among nations and increase cooperation and peace. Both the DPRK and the ROK (Republic of Korea or South Korea) were represented at the inaugural meeting, as were the United States, China, Russia, Japan, and some European nations.

The UB Dialogue, as a consultative mechanism, has the potential to bring together policymakers, international organizations such as the United Nations Economic and Social Commission for Asia and the Pacific (ESCAP), and civil society entities and facilitate a range of initiatives related to economic cooperation; military transparency; environmental issues; non-traditional security threats; regional stability, cultural and educational exchange among the participants, including the two Koreas. These are official agenda items and goals of the UB Dialogue. With the Six-Party Talks nearly defunct and inter-Korean relations unable to address regional issues that affect the peninsula, Mongolia may be able to serve as a “Geneva or Helsinki of the East” as some observers have suggested.

Mongolia’s expanding global presence

Mongolia is uniquely positioned as the only country in Northeast Asia that enjoys good relations not only with North Korea but also South Korea, the United States, China, Russia, and Japan.

Mongolia’ relations with the United States, Canada, and Western Europe have steadily improved and deepened since the late 1980s. In recent decades, both Democratic and Republication administrations in Washington have enjoyed mutually warm and collaborative relations with Mongolia. President George W. Bush was the first sitting U.S. president to visit the country in 2005; he thanked the Mongolians for sending troops to join U.S.-led forces in Iraq and Afghanistan and for supporting anti-terrorism initiatives. Former Secretary of Defense Donald Rumsfeld also visited in the same year. In 2007, President Nambaryn Enkhbayar visited Washington to co-sign the Millennium Challenge Corporation Compact with President Bush. The next (and current) leader, President Elbegdorj, met U.S. President Barack Obama at the White House in 2011, as did the first civilian Minister of Defense, L. Bold. Vice President Joe Biden included Mongolia on a three-country Asia visit in August, 2011; China and Japan were the other two. A year later, Secretary of State Hilary Clinton took her turn in Ulaanbaatar. The most recent visit by top-level U.S. officials to Mongolia was by Secretary of Defense Chuck Hagel in April 2014.

Mongolia’s pursuit of the “third neighbor” policy allows the country to develop cooperative relations with the United States, Western Europe, ASEAN nations and others partly as “an air pocket” from its economic and security reliance on Beijing and Moscow. The softer side of this diplomatic push has been demonstrated by Ulaanbaatar’s membership in the Organization for Security and Cooperation in Europe and its previous chairmanship of the Community on Democracies.”[3]

Western experts on Mongolia applaud the way the country has developed a unique “peacekeeping niche” that facilitates participation in UN peacekeeping activities, international anti-terrorism measures, and humanitarian actions. For its small population of about three million, Mongolia takes on a heavy load of peacekeeping activities, ranking 26^th on the UN’s list of contributing nations.[4]

Since 2003, Mongolia annually hosts the “Khaan Quest” peacekeeping exercises for the purpose of tactical advancement and capacity building for its Mongolian Armed Forces (MAF) and for the improvement of regional confidence building. Although the United States and NATO play prominent roles, the Quest has attracted more diverse participants over the years so that by 2012, the number of interested parties expanded to include representatives from China and India as well as an array of developing nations such as Vietnam and Cambodia. These exercises are acknowledged as gatherings devoted to strengthening international cooperation and interoperability on peacekeeping initiatives around the world.[5]

On the economic side, Mongolia has been diversifying its external relations, with the maintenance of sovereignty and the related desire to reduce its overwhelming dependence on China as important goals. Expansion of economic relations is driven in part by a desire to participate in and benefit from global standards investment funds, and market access is a national priority. In that context, Mongolia’s relations with the West have been constructive and collaborative. For example, in 2013, the United States Trade Representative Michael Froman and Mongolia's Minister for Foreign Affairs, Luvsanvandan Bold, signed the Agreement on Transparency in Matters Related to International Trade and Investment between the United States of America and Mongolia. The Agreement commits the parties to provide opportunities for public comment on proposed laws and regulations and to publish final laws and regulations in Mongolian and English in order to facilitate access, openness, fairness, and procedural coherence in international trade and investment between Mongolia and other countries. “Additional commitments address the application of disciplines on bribery and corruption.” This type of administrative and legal modernization and the incorporation of measures to prevent and correct corruption are exemplary measures that could be helpful to the DPRK and other countries that are unfamiliar with or lagging in appropriate frameworks for doing business with diverse international actors.

Maintaining sovereignty between giants

China and Russia have vied for influence over Mongolia for many decades, from the time when Mongolia was in the Soviet sphere in influence to the present. Although 89 percent of foreign trade in 2013 was with China and Russia provides about 75 percent of Mongolia’s gasoline and diesel fuel and much of its electricity, Ulaanbaatar is assertively broadening and deepening its economic interests with the two big neighbors, especially greater transportation access and cheaper costs (vital to the landlocked nation), participation in the development of the New Silk Road corridor, and the construction of a Russian oil and gas pipeline through Mongolia that reaches China. All three countries have mutual interests and investments in developing Mongolia’s well-endowed mining industry.

But being sandwiched between two giants means Mongolia has to be prudent in preserving its sovereignty and independence, and Ulaanbaatar has done so in practical ways, balancing the two large powers’ interests with its own. The 2010 National Security Concept’s “One-Third Clause” sets a clear limit on the proportion of foreign direct investment from any one country: one-third. Legislation limits (foreign) state-owned companies from gaining control of strategic assets. And as numerous bilateral security and military cooperation agreements link Mongolia with China and Russia, UB has strategically and legally created elbow room for its autonomy. The government’s National Security and Foreign Policy Concepts outline a specific policy of not allowing foreign troops the use of its territory. Such preservationist measures to maintain sovereignty and independence in economic and security terms would be welcome examples to a North Korea which zealously prioritizes national sovereignty.

Mongolia and the Korean peninsula

Mongolia’s potential role as a non-nuclear peace broker in the region was further evidenced by its successful hosting of DPRK-Japan negotiations since 2012, which have yielded bilateral progress on longstanding abduction issues. In March 2014, Ulaanbaatar hosted the first-ever reunion between the parents of one of the abductees, Megumi Yokota (whom North Korea claims is dead), and her daughter, son-in-law, and their child who live in North Korea. Mongolia also served as a neutral venue for high-level talks on normalizing Japan-DPRK relations back in September 2007 as part of the Six-Party Talks framework. Asia Times reported that “arranging this recent meeting reflected Ulaanbaatar's ‘contribution to satisfy regional stability in Northeast Asia’ and how it could play a role in deepening understanding and normalizing DPRK-Japan relations.” President Elbegdorj's administration took particular care in staging the negotiations, including the use of the official state compound in Ikh Tenger as the meeting place. According to Alicia Campi, an American expert on Mongolia and the author of the AT article, Ikh Tenger was requested by the North Koreans.[6]

Mongolian President Elbegdorj is often described as an activist head of state, both for his focused efforts on developing Mongolia internally and advancing the country’s role and contributions internationally. One of his main foreign policy priorities is to promote regional economic integration and cooperation and peace and security. Dialogue and trust-building, two key components of his approach, coincide with ROK President Park Geun-hye’s emphasis on trustpolitik and the proposed Northeast Asia Peace and Cooperation Initiative (NAPCI). Both NAPCI and the UB Dialogue seek to chip away at distrust among Northeast Asian countries and increase collaboration and cooperation through multi-layered activities, including mutually reinforcing Track 1, 1.5 and 2 gatherings. Both emphasize multilateral cooperation on non-traditional security issues and people-to-people exchanges as ways to help build trust and resolve regional problems step by step. NAPCI held a track 1.5 forum in October 2014 in Seoul. In sharp contrast to its reaction to the first UB Dialogue of June that year, the DPRK flatly rejected the invitation to participate in the Seoul dialogue and criticized NAPCI as a cover for pressuring Pyongyang to relinquish its nuclear program and for reunification by absorption.[7]

There is no reason why the Ulaanbaatar Dialogue and NAPCI cannot be complementary and mutually reinforcing. Given that trust in inter-Korean relations is non-existent while Mongolia has gained deeper trust with both Koreas over the past two decades, NAPCI activities could benefit from Mongolia’s unique position in its relations with the DPRK. Ulaanbaatar potentially can serve as a neutral meeting ground, literally and metaphorically, for Pyongyang and Seoul. Moreover, given that the NAPCI seeks to maintain a cooperative relationship with other multilateral bodies and places emphasis on complementarity and inclusiveness, working with and supporting successful rounds of the UB Dialogues would be a principled move on the part of South Koreans. Moreover, engagement with North Korea through the UB Dialogue most likely represents an easier path to increasing inter-Korean trust than bilateral efforts and even easier than the NAPCI. South Korea’s domestic divisions and bitter left-right infighting tend to weaken the government’s position in approaches to the North. Seoul’s military standoff and competition with the North, its alliance with the United States, and participation in international sanctions regimes all cause suspicion in Pyongyang. In short, Seoul’s complex list of concerns and goals, some of which are contradictory to the spirit and practice of trust-building and cooperation with North Korea, create difficult conditions for progress through NAPCI alone.

In addition to lacking this baggage, Mongolia has unique standing with both North and South. It is a former Soviet satellite state that asserted full independence in 1990, and it is notable for successfully transitioning from a communist state to a vibrant democracy without civil war or bloodshed. President Elbegdorj’s 2013 speech in Pyongyang contained strong enunciation of the tenets of liberty. At the elite Kim Il Sung University in Pyongyang, he addressed students with these bold words: "No tyranny lasts forever. It is the desire of the people to live free that is the eternal power." And the Mongolian government has been keeping its border open to North Koreans who risk the arduous journey out of the DPRK and has permitted its airlines to transport them to South Korea.

Additionally, Mongolia has become a model of economic modernization and prosperous participation in the global economy. Although it faces some economic imbalances, its GDP rate was sky-high at 11.7 percent in 2013. There are good lessons to share with North Korea, and President Elberdorgj has made it clear that Mongolia would be very willing to work with the DPRK on economic development, IT, infrastructure, the management of mining precious earth resources and refineries. The two countries also engage in a worker exchange program, affording DPRK citizens the opportunity to breathe the air of freedom and to be exposed to South Korean television programming while they reside in Mongolia.

In recent years, Mongolia has pursued multiple types of people-to-people activities involving North Koreans, including academic exchanges, northeast Asian mayoral forums, and women’s parliamentary exchanges including female leaders from both Koreas. In June 2015, the second Track 2 conference of the UB Dialogue will convene in Ulaanbaatar with scholars from across the region and the United States with the theme of “Energy, Infrastructure, and Regional Connectivity.”

Sports and cultural initiatives in the past years have included international boxing matches in Ulaanbaatar with boxers from the DPRK, ROK, Mongolia, Russia and China. In 2013, Mongolia established an International Cooperation Fund which has supported children’s summer camps, basketball training and other exchanges with the DPRK in order to promote positive peace and people-to-people development in the region.

In the humanitarian arena, food aid to the DPRK has been channeled through international organizations, and the two countries have cooperated on physician exchanges. Prior research by Caprara and Ballen, conducted in cooperation with United Nations Special Envoy for Financing the Health Millennium Development Goals and for Malaria, has noted the additional soft power benefits of cooperative service development projects.

A recent global development forum hosted at the United Nations Asia-Pacific headquarters in Bangkok launched an Asia Pacific Peace Service Alliance which could build on these bilateral and regional exchanges in the critical area of humanitarian action and development in North Korea. An International Youth Leaders Assembly has been proposed in Ulaanbaatar for June, 2015, which would further the role of youth in fostering track two initiatives of service and dialogue.

Dr. Tsedendamba Batbayar, Mongolia’s Director of Policy Planning in the Ministry of Foreign Affairs and Trade, visited Washington in November, 2014 and noted the broad range of Mongolia-DPRK exchanges. Together with Mongolia Ambassador Bulgaa Altangerel, he emphasized his country’s desire to serve as a fair broker and mediator for the Northeast Asia region and to pursue prudent and practical measures to help build bridges of understanding between the people of North Korea and other parties.

But despite its uniquely constructive approach to dealing with the DPRK and other regional neighbors, Mongolia faces unique challenges in the mediator role it seeks to achieve. First, Ulaanbaatar has been able to gain Pyongyang’s trust because of the quiet diplomacy it has pursued, staying behind the scenes and out of the limelight. This has enabled a steady channel to the Pyongyang elite, and a focus on bilateral interests has been maintained. In short, drama has been avoided. But if Mongolia plays a more high-profile role with North Korea and multilateral actors, it will most likely be difficult to avoid some drama—posturing, rhetoric, and standoffs—emanating from various parties. Second, any increased or intensified involvement of China, Russia, and the United States in UB-led dialogue could come with the headache of big power arrogance and competition over leadership. The value of Mongolia’s role and activities for regional cooperation and peace stems from the fact that Ulaanbaatar does not assume airs or seek to dominate others. Whether China, Russia, and the United States would be able to refrain from seeking leadership and disproportionate influence in UB-led initiatives is highly questionable. Third, with respect to peninsular issues, for the UB Dialogues to gain more acceptance and credibility regionally and internationally requires that the DPRK become a consistent and collaborative presence at gatherings. Whether any nation or actor has the capacity to deliver consistent and collaborative participation by Pyongyang is an open question.

In addition, some observers believe that the impasse between North Korea and other nations is not simply the result of a trust deficit, but reflects mutually exclusive goals. While Mongolian mediation may not be able to solve the nuclear issue, it can be an effective channel – among others – for increasing communication, finding common ground, and beginning to ease tension.

Mongolia is the one Northeast Asian country that has kept its emotional cool and balanced policy interests with North Korea and other regional actors. It has not tripped over its own feet by politicizing historical grievances with its neighbors. Rather, it has exercised a calm can-do approach while its neighbors have engulfed themselves in hyper-nationalistic and ideological mire. And it has smartly used diplomacy and entrepreneurship to make friends and develop its own economy and people. These are significant assets that can be of benefit not only to UB but also to the region.

Recommendations

1. The Obama administration should actively support the Ulaanbaatar Dialogue process and encourage Seoul to find common cause in advancing greater regional dialogue and collaboration with the Mongolians through Track 2 and 1.5 processes. A precedent for this can be found in the case of Oman, which the current administration effectively tapped for back channel dialogue with Iran, kick-starting the present nuclear talks. Also, support by Washington would build on a prior exchange with Mongolia hosted by the Korea Institute for National Unification (KINU), where scholars noted potential benefits from three-way economic cooperation and the possibility of providing the North Koreans with a proven model of transformation from a closed statist system to a prosperous and more open system.

2. ROK President Park’s proposed regional cooperation mechanism should receive serious attention together with the Ulaanbaatar initiative. The two parallel efforts could benefit from being part of inter-connected strategies to defuse regional tension and forge greater trustpolitik.

3. The UN ESCAP headquarters can serve as an important multilateral bridge for humanitarian aid together with the multi-stakeholder Asia Pacific Peace Service Alliance (APPSA), which was launched at the UN headquarters in Bangkok last October. The U.S. Agency for International Development (USAID) could partner with UN ESCAP and the World Food Program to establish a verifiable humanitarian aid regime, building on prior food aid oversight protocols developed during the Bush administration. Mongolia also would be an excellent candidate for the training of an international volunteer corps for potential disaster and humanitarian relief and economic development projects concerning the DPRK and the broader Northeast Asia region. Mongolia has excellent working relations with the U.S. Peace Corps, which also helped facilitate the recent launch of the APPSA.

4. In the context of peninsula unification planning, regional economic cooperation on private and multi-stakeholder investment projects and the enabling of market-friendly policies could be further explored with Mongolia and other Northeast Asian partners in areas such as infrastructure, energy, and technology.5. Cultural and educational exchanges between Mongolia and the DPRK could be expanded on a multilateral basis over time to include the ROK, China, Russia, Japan and ASEAN nations together with UNESCO to further cultural bases and norms of peace.

Event Information

Around the world today, there are more than 15.5 million refugees and over 28.8 million internally displaced persons (IDPs) uprooted by conflict, in addition to some 32.4 million displaced in 2012 from their homes due to natural disasters. These displacement crises are not simply humanitarian concerns, but fundamental development challenges. Forced migration flows are rooted in development failures, and can undermine the pursuit of development goals at local, national and regional levels.

Linking humanitarian responses to displacement with longer-term development support and planning is not a new concern. Beginning in 1999, for example, the “Brookings Process” – under the leadership of Sadako Ogata and James Wolfensohn – sought to bridge humanitarian relief and development assistance in post-conflict situations. But the challenge remains unresolved, and has acquired new urgency as displacement situations are becoming more protracted, and situations such as the Syrian crisis show no signs of resolution.

The Brookings Global Economy and Development Program and the Brookings-LSE Project on Internal Displacement held a roundtable on these issues on May 14, 2013 with Sadako Ogata, former UN High Commissioner for Refugees, former Director of the Japanese International Cooperation Agency, and Distinguished Fellow at the Brookings Institution. Megan Bradley, Fellow with the Brookings-LSE Project on Internal Displacement, facilitated the roundtable, which followed Chatham House rules.

The roundtable addressed several key topics including:

• The relevance of the concept of human security to addressing displacement and development challenges
• Displacement as a development challenge in fragile states
• Protracted displacement
• Contrasts in the approaches and processes adopted by humanitarian and development actors

The event report provides a brief overview of the discussion.

Event Materials

• Brookings IDP Roundtable with Sadako Ogata May 14 2013

Abstract

Progress in closing differences in many objective outcomes for blacks relative to whites has slowed, and even worsened, over the past three decades. However, over this period the racial gap in wellbeing has shrunk. In the early 1970s data revealed much lower levels of subjective well-being among blacks relative to whites. Investigating various measures of well-being, we find that the well-being of blacks has increased both absolutely and relative to that of whites. While a racial gap in well-being remains, two-fifths of the gap has closed and these gains have occurred despite little progress in closing other racial gaps such as those in income, employment, and education. Much of the current racial gap in well-being can be explained by differences in the objective conditions of the lives of black and white Americans. Thus making further progress will likely require progress in closing racial gaps in objective circumstances.

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• Subjective and Objective Indicators of Racial Progress

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After being made aware of their racial biases in referee calls through widespread media exposure, individual National Basketball Association referees became unbiased, suggesting that raising awareness of even subtle forms of racism can bring about meaningful change.

The authors examined a real-world setting—professional sports referees who had big incentives to make unbiased decisions but were still exhibiting significant amounts of racial bias—and found that after learning of their bias via media coverage of a major academic study, their behaviors changed.

The original study, authored by Price and Wolfers and in 2007, looked at nearly two decades of NBA data (1991-2002) and found that personal fouls are more likely to be called against basketball players when they are officiated by an opposite-race refereeing crew than when officiated by an own-race refereeing crew. The results received widespread media attention at the time, with a front-page piece in the New York Times and many other newspapers, extensive coverage on the major news networks, ESPN, talk radio and in the sports media including comments from star players at the time such as LeBron James, Kobe Bryant and Charles Barkley, to then-NBA Commissioner David Stern.

The new paper compares the next time period after the first study (2003-2006) to the timeframe immediately after the study was publicized (2007-2010). The authors found the bias continued in the first 3-year period after the study but that no bias was apparent after the widespread publicity of the first study’s findings. The researchers found that the media exposure alone was apparently enough to bring about the attitude change: the NBA reported that it not take any specific action to eliminate referee discrimination, and in fact never spoke to the referees about the study, nor change referee incentives or training.

Abstract

Can raising awareness of racial bias subsequently reduce that bias? We address this question by exploiting the widespread media attention highlighting racial bias among professional basketball referees that occurred in May 2007 following the release of an academic study. Using new data, we confirm that racial bias persisted in the years after the study's original sample, but prior to the media coverage. Subsequent to the media coverage though, the bias completely disappeared. We examine potential mechanisms that may have produced this result and find that the most likely explanation is that upon becoming aware of their biases, individual referees changed their decision-making process. These results suggest that raising awareness of even subtle forms of bias can bring about meaningful change.

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• Table of Contents

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Event Information

Education systems in many of the world's poorest countries are now experiencing the aftershock of the global economic downturn and millions of children are still missing out on their right to a quality education. After a decade of advances, progress toward the Education for All goals may stall or be thrown into reverse. Presenting a new estimate of the global cost of reaching the goals by 2015, the report challenges governments and the international community to act urgently to adopt targeted policies and practices to prevent a generation of children from being left without a proper education.

On January 20, the Center for Universal Education at Brookings hosted the launch of UNESCO’s 2010 Education for All Global Monitoring Report (GMR) with Kevin Watkins, director of the GMR. The report introduces a new, innovative tool to identify the "education-poor" who are excluded from accessing a quality education. A panel discussion followed featuring Elizabeth King of the World Bank; Barbara Reynolds of UNICEF; and Brookings Fellow Rebecca Winthrop. Brookings Senior Fellow Jacques van der Gaag moderated the discussion.

Audio

• Reaching the Marginalized: Is a Quality Education Possible for All?

Transcript

• Transcript (.pdf)

Event Materials

• 20100120_education_access
• 20100120_education_access_watkins

Being able to read and write is the most basic foundation of knowledge accumulation and further skill development. Without literacy, there can be no quality education. Presently, 1 in 5 adults is illiterate, two-thirds of whom are women. At the current pace, over 700 million adults worldwide will still not be able to read in 2015. [1] In global education discussions, literacy rates are most often reported for adolescents and adults, an ex post facto measure of the failure of primary school systems to impart basic skills in the most formative schooling years. It is clear that much needs to be done to provide these adolescents and adults with access to successful literacy programs. But we must also ensure that children with access to schooling are not growing up to be illiterate.

Children enrolled and regularly attending school for the first three grades should be able to read basic text. Evidence shows that acquiring this ability to read sets students up for further learning, enabling them to read and comprehend progressively more advanced materials and acquire additional knowledge.

As explained in our earlier policy brief, data from numerous countries show that children in school are failing to acquire the most basic of skills, measured as the ability to read words of connected text. We called for a global paradigm shift that places learning at the center of the global education discourse. This shift requires the major bilateral and multilateral actors to refocus their own efforts on supporting learning in the classroom and measuring progress by increased learning outcomes. There has been some progress here, such as USAID’s goal to improve reading skills for primary school children in its new education strategy and the World Bank’s Education Strategy 2020, Learning for All: investing in people’s knowledge and skills to promote development.

This shift of focus also requires substantial changes on the ground, including encouraging and supporting a culture of literacy and learning at the community level. For example, Gove and Cvelich highlight some main factors contributing to low reading levels, including a lack of support for teachers, limited instructional time, poorly resourced schools, the absence of books in the home and policies regarding the language of instruction. [2] In Mali, a recent survey found that three-quarters of grade 2 students did not have a textbook and no student had supplementary reading books at school. [3] In The Gambia, the vast majority of students who demonstrated a level of reading fluency said that they had books at home. Globally, in both developed and developing economies, a relatively consistent proxy for “parental commitment to education” is the number of books in the home. A 20-year study of 27 countries found that children growing up in homes with many books get three years more schooling than their peers who come from homes without books. [4] There is no one-size-fits-all solution to improving the quality of education in developing countries. However, there is plenty of room for innovation to address some of the biggest barriers to improving reading levels, including availability of appropriate reading materials at school and at home. In disadvantaged communities, where there are relatively few books and even fewer books in local languages and that deal with culturally-relevant topics, innovation is needed to help develop a robust culture of literacy.

One such innovation is Worldreader.org’s iRead pilot in Ghana, which has put hundreds of e-readers into children’s hands. A lot has been written on similar classroom technology in developing countries, which cite examples of supplying hardware to schools without plans for its educational use, promoting technology from a single company, insufficient planning for sustainability, and inadequate investment in time to train teachers and administrators who will be the purveyors of the technology initiatives in the classrooms. [5]

However, the important difference between this e-reader program and similar projects focused on putting computers in classrooms is that e-readers usually operate on the mobile phone system, which has exploded in developing regions over the last few years. In Kenya, more than 80 percent of the population has mobile phone network coverage and more than half of the population has purchased a mobile phone subscription. The GSM compatibility of e-readers allows for downloading of new reading materials wherever there is mobile phone coverage and sufficient funds available to purchase new texts. E-readers also have relatively low levels of energy consumption (a one-hour charge can last more than a week). In addition to gaining the support of community leaders and teachers from the beginning, the pilot began with intense in-service training for teachers in how to use e-readers to complement their existing curricula. While Worldreader.org has not solved all of the challenges posed by technology initiatives in education, it has taken some important steps toward addressing the barriers to project success. [6]

The organization has also tackled specific challenges that are impeding reading success in the early primary grades:

• Additional support for emergent readers. E-readers provide additional support to teachers in teaching children how to read, an important supplement in primary school classrooms in low-income countries where there may be 40 or 50 students per teacher. In such cases, students are required to work independently or in small groups while the teacher is working with other students. The text-to-speech feature on e-readers can read books aloud to the student, exposing her to the written text as she hears it read aloud. Students can also use the downloaded dictionary while reading to look up unfamiliar words and continue to read without adult assistance.
  
• Students and teachers get to choose. While paper books donated by schools, libraries, and individuals from around the world have helped to get written materials into low-resource schools in developing countries, e-books allow students and teachers in developing countries to choose which books they teach and read. Although choices now are restricted by the dominance of English in the e-book market, the potential for the expansion of the digital market represents a step toward greater agency for teachers and students.
  
• Working with local publishers to increase access to books for emergent readers. Children learning to read need access to the types of books that engage their imagination and spark their interest. For children learning to read, this means stories with simple sentences in their local language. Yet, traditionally children’s books are not a good economic bet for publishers, particularly in developing countries. The high cost of printing the books are not recouped since so many families cannot purchase copies for their own household use. However, distributing books in e-reader format will actually allow publishers to reach more customers at a lower cost. To bring more books to the developing world through e-readers and e-books, Worldreader.org seeks to support a self-sustaining reading and publishing culture by working with local publishers to digitize books and materials to support local language curricula.
  
• Portability can increase reading opportunities. Anecdotal reports from classroom teachers in the Ghanaian pilot frequently reference how students would not stop reading, pulling out their e-readers in between lessons, during recess and lunch, and after school with friends, parents and siblings. An International Association for the Evaluation of Educational Achievement study on reading literacy in 32 countries found that the amount of voluntary book reading that students did during out-of-school time was strongly positively related to students’ achievement levels. [7]

While the pilot is still in the early stages, the founders of the project are focused on the essential outcomes. Their USAID-funded impact study seeks to find out whether children are reading more than they were before the program and whether children read better than they were before the program. Measuring program success by understanding the impact on learning outcomes is a critical step for shifting the global education paradigm to one focused on learning.

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Financial Data as Driving Force Behind Improved Learning

During the past decade, school enrollments have increased dramatically, mostly thanks to UNESCO’s Education for All (EFA) movement and the UN Millennium Development Goals. From 1999 to 2008, an additional 52 million children around the world enrolled in primary schools, and the number of out-of-school children fell by 39 million. In Sub-Saharan Africa alone, enrollment rates rose by one-third during that time, even with large population increases in school-age children.

Yet enrollment is not the only indicator of success in education, and does not necessarily translate into learning. Even with these impressive gains in enrollment, many parts of the world, and particularly the poorest areas, now face a severe learning crisis. The latest data in the EFA Global Monitoring Report 2011 reveal poor literacy and numeracy skills for millions of students around the world. In Malawi and Zambia, more than one-third of sixth-grade students had not achieved the most basic literacy skills. In El Salvador, just 13 percent of third-grade students passed an international mathematics exam. Even in middle-income countries such as South Africa and Morocco, the majority of students had not acquired basic reading skills after four years of primary education. Although the focus on children out of school is fully justified, given that they certainly lack learning opportunities, the failure to focus on learning also does a disservice to the more than 600 million children in the developing world who are already in school but fail to learn very basic skills.

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ABSTRACT

The AIDS pandemic in sub-Saharan Africa puts increasing pressure on the buffer capacity of low- and middle-income households without access to health insurance. This paper examines the relationship between health shocks, insurance status and health-seeking behaviour. It also investigates the possible mitigating effects of insurance on income loss and out-of-pocket health expenditure. The study uses a unique dataset based on a random sample of 1769 households and 7343 individuals living in the Greater Windhoek area in Namibia. The survey includes medical testing for HIV infection which allows for the explicit analysis of HIV-related health shocks. We find that the economic consequences of health shocks can be severe for uninsured households even in a country with a relatively well-developed public health care system such as Namibia. The uninsured resort to a variety of coping strategies to deal with the high medical expenses and reductions in income, such as selling assets, taking up credit or receiving financial support from relatives and friends. As HIV-infected individuals increasingly develop AIDS, this will put substantial pressure on the public health care system as well as social support networks. Evidence suggests that private insurance, currently unaffordable to the poor, protects households from the most severe consequences of health shocks.

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On January 25, 2013, the Center for Universal Education at Brookings (CUE) and the UNESCO Institute for Statistics (UIS) hosted a technical workshop on national education accounts (NEAs). Participants discussed experiences and challenges related to developing various tools to track financial expenditures in education, with a focus on national education accounts. After discussing particular experiences with NEAs and the framework underlying them, participants worked to identify priorities for expanding their reach.

Jacques van der Gaag, from the Center for Universal Education opened the workshop by underlining its primary goals—to find out what different groups and individuals have been able to accomplish in relation to comprehensively tracking expenditures, connecting those expenditures with learning outcomes in education systems and collaborating where possible to advance the use of NEAs. Following this introduction, participants gave an overview of their experiences in using financial tracking tools and NEAs in particular. Igor Kheyfets of the World Bank presented BOOST, a tool that the World Bank has used over the past three years to bring together detailed data on public expenditures. Next, Jean Claude Ndabananiye, from UNESCO Pole de Dakar, discussed country status reports, which aggregate and analyze government data on expenditures. Afterward, Elise Legault of UIS described their collection of education statistics, which is completed through annual country questionnaires, of which one in particular has a finance focus. Quentin Wodon of the World Bank described other World Bank efforts aside from BOOST in capturing education finance data, including a cross-sector effort on public expenditure reviews (PERs).

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Download From Enrollment to Learning Outcomes: What Does the Shift in the Education Agenda Mean for NEAs? »
Download Thailand's National Education Accounts (NEA) »
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2016 Richard C. Holbrooke Forum

On February 5, the Foreign Policy program at Brookings hosted the American Academy in Berlin for the 2016 Richard C. Holbrooke Forum for a two-part public event focusing on the global refugee crisis. Brookings Isaiah Berlin Senior Fellow in Culture and Policy Leon Wieseltier delivered featured remarks on the moral dimensions of the refugee crisis. Wieseltier is currently completing an essay on certain moral, historical, and philosophical dimensions of the refugee crisis. Michael Ignatieff, Edward R. Murrow professor of practice at the Harvard Kennedy School, moderated a question and answer session following Wieseltier’s remarks.

The second panel featured experts addressing the first-step policies needed to ameliorate the crisis. Bruce Katz, Brookings centennial scholar, Tamara Wittes, director of Brookings’s Center for Middle East Policy, Elizabeth Ferris, research professor at Georgetown University and Brookings nonresident senior fellow, spoke to the multiple aspects of the refugee crisis. Brookings Executive Vice President Martin Indyk moderated the panel discussion.

Bruce Jones, vice president and director for the Foreign Policy program, provided introductory remarks.

Join the conversation on Twitter using #RefugeeCrisis

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• The global refugee crisis: Moral dimensions
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Politics follows geopolitics, or so it has often seemed throughout history. When the Athenian democracy’s empire rose in the fifth century B.C.E., the number of Greek city-states ruled by democrats proliferated; Sparta’s power was reflected in the spread of Spartan-style oligarchies. When the Soviet Union’s power rose in the early Cold War years, communism spread. In the later Cold War years, when the United States and Western Europe gained the advantage and ultimately triumphed, democracies proliferated and communism collapsed. Was this all just the outcome of the battle of ideas, as Francis Fukuyama and others argue, with the better idea of liberal capitalism triumphing over the worse ideas of communism and fascism? Or did liberal ideas triumph in part because of real battles and shifts that occurred less in the realm of thought than in the realm of power?

These are relevant questions again. We live in a time when democratic nations are in retreat in the realm of geopolitics, and when democracy itself is also in retreat. The latter phenomenon has been well documented by Freedom House, which has recorded declines in freedom in the world for nine straight years. At the level of geopolitics, the shifting tectonic plates have yet to produce a seismic rearrangement of power, but rumblings are audible. The United States has been in a state of retrenchment since President Barack Obama took office in 2009. The democratic nations of Europe, which some might have expected to pick up the slack, have instead turned inward and all but abandoned earlier dreams of reshaping the international system in their image. As for such rising democracies as Brazil, India, Turkey, and South Africa, they are neither rising as fast as once anticipated nor yet behaving as democracies in world affairs. Their focus remains narrow and regional. Their national identities remain shaped by postcolonial and nonaligned sensibilities—by old but carefully nursed resentments—which lead them, for instance, to shield rather than condemn autocratic Russia’s invasion of democratic Ukraine, or, in the case of Brazil, to prefer the company of Venezuelan dictators to that of North American democratic presidents.

Meanwhile, insofar as there is energy in the international system, it comes from the great-power autocracies, China and Russia, and from would-be theocrats pursuing their dream of a new caliphate in the Middle East. For all their many problems and weaknesses, it is still these autocracies and these aspiring religious totalitarians that push forward while the democracies draw back, that act while the democracies react, and that seem increasingly unleashed while the democracies feel increasingly constrained.

It should not be surprising that one of the side effects of these circumstances has been the weakening and in some cases collapse of democracy in those places where it was newest and weakest. Geopolitical shifts among the reigning great powers, often but not always the result of wars, can have significant effects on the domestic politics of the smaller and weaker nations of the world. Global democratizing trends have been stopped and reversed before.

Consider the interwar years. In 1920, when the number of democracies in the world had doubled in the aftermath of the First World War, contemporaries such as the British historian James Bryce believed that they were witnessing “a natural trend, due to a general law of social progress.”[1] Yet almost immediately the new democracies in Estonia, Latvia, Lithuania, and Poland began to fall. Europe’s democratic great powers, France and Britain, were suffering the effects of the recent devastating war, while the one rich and healthy democratic power, the United States, had retreated to the safety of its distant shores. In the vacuum came Mussolini’s rise to power in Italy in 1922, the crumbling of Germany’s Weimar Republic, and the broader triumph of European fascism. Greek democracy fell in 1936. Spanish democracy fell to Franco that same year. Military coups overthrew democratic governments in Portugal, Brazil, Uruguay, and Argentina. Japan’s shaky democracy succumbed to military rule and then to a form of fascism.

Across three continents, fragile democracies gave way to authoritarian forces exploiting the vulnerabilities of the democratic system, while other democracies fell prey to the worldwide economic depression. There was a ripple effect, too—the success of fascism in one country strengthened similar movements elsewhere, sometimes directly. Spanish fascists received military assistance from the fascist regimes in Germany and Italy. The result was that by 1939 the democratic gains of the previous forty years had been wiped out.

The period after the First World War showed not only that democratic gains could be reversed, but that democracy need not always triumph even in the competition of ideas. For it was not just that democracies had been overthrown. The very idea of democracy had been “discredited,” as John A. Hobson observed.[2] Democracy’s aura of inevitability vanished as great numbers of people rejected the idea that it was a better form of government. Human beings, after all, do not yearn only for freedom, autonomy, individuality, and recognition. Especially in times of difficulty, they yearn also for comfort, security, order, and, importantly, a sense of belonging to something larger than themselves, something that submerges autonomy and individuality—all of which autocracies can sometimes provide, or at least appear to provide, better than democracies. 

In the 1920s and 1930s, the fascist governments looked stronger, more energetic and efficient, and more capable of providing reassurance in troubled times. They appealed effectively to nationalist, ethnic, and tribal sentiments. The many weaknesses of Germany’s Weimar democracy, inadequately supported by the democratic great powers, and of the fragile and short-lived democracies of Italy and Spain made their people susceptible to the appeals of the Nazis, Mussolini, and Franco, just as the weaknesses of Russian democracy in the 1990s made a more authoritarian government under Vladimir Putin attractive to many Russians. People tend to follow winners, and between the wars the democratic-capitalist countries looked weak and in retreat compared with the apparently vigorous fascist regimes and with Stalin’s Soviet Union.

It took a second world war and another military victory by the Allied democracies (plus the Soviet Union) to reverse the trend again. The United States imposed democracy by force and through prolonged occupations in West Germany, Italy, Japan, Austria, and South Korea. With the victory of the democracies and the discrediting of fascism—chiefly on the battlefield—many other countries followed suit. Greece and Turkey both moved in a democratic direction, as did Brazil, Argentina, Peru, Ecuador, Venezuela, and Colombia. Some of the new nations born as Europe shed its colonies also experimented with democratic government, the most prominent example being India. By 1950, the number of democracies had grown to between twenty and thirty, and they governed close to 40 percent of the world’s population.

Was this the victory of an idea or the victory of arms? Was it the product of an inevitable human evolution or, as Samuel P. Huntington later observed, of “historically discrete events”?[3] We would prefer to believe the former, but evidence suggests the latter, for it turned out that even the great wave of democracy following World War II was not irreversible. Another “reverse wave” hit from the late 1950s through the early 1970s. Peru, Brazil, Argentina, Bolivia, Chile, Uruguay, Ecuador, South Korea, the Philippines, Pakistan, Indonesia, and Greece all fell back under authoritarian rule. In Africa, Nigeria was the most prominent of the newly decolonized nations where democracy failed. By 1975, more than three-dozen governments around the world had been installed by military coups.[4] Few spoke of democracy’s inevitability in the 1970s or even in the early 1980s. As late as 1984, Huntington himself believed that “the limits of democratic development in the world” had been reached, noting the “unreceptivity to democracy of several major cultural traditions,” as well as “the substantial power of antidemocratic governments (particularly the Soviet Union).”[5]

But then, unexpectedly, came the “third wave.” From the mid-1970s through the early 1990s, the number of democracies in the world rose to an astonishing 120, representing well over half the world’s population. What explained the prolonged success of democratization over the last quarter of the twentieth century? It could not have been merely the steady rise of the global economy and the general yearning for freedom, autonomy, and recognition. Neither economic growth nor human yearnings had prevented the democratic reversals of the 1960s and early 1970s. Until the third wave, many nations around the world careened back and forth between democracy and authoritarianism in a cyclical, almost predictable manner. What was most notable about the third wave was that this cyclical alternation between democracy and autocracy was interrupted. Nations moved into a democratic phase and stayed there. But why?

The International Climate Improves

The answer is related to the configuration of power and ideas in the world. The international climate from the mid-1970s onward was simply more hospitable to democracies and more challenging to autocratic governments than had been the case in past eras. In his study, Huntington emphasized the change, following the Second Vatican Council, in the Catholic Church’s doctrine regarding order and revolution, which tended to weaken the legitimacy of authoritarian governments in Catholic countries. The growing success and attractiveness of the European Community (EC), meanwhile, had an impact on the internal policies of nations such as Portugal, Greece, and Spain, which sought the economic benefits of membership in the EC and therefore felt pressure to conform to its democratic norms. These norms increasingly became international norms. But they did not appear out of nowhere or as the result of some natural evolution of the human species. As Huntington noted, “The pervasiveness of democratic norms rested in large part on the commitment to those norms of the most powerful country in the world.[6]

The United States, in fact, played a critical role in making the explosion of democracy possible. This was not because U.S. policy makers consistently promoted democracy around the world. They did not. At various times throughout the Cold War, U.S. policy often supported dictatorships as part of the battle against communism or simply out of indifference. It even permitted or was complicit in the overthrow of democratic regimes deemed unreliable—those of Mohammad Mossadegh in Iran in 1953, Jacobo Arbenz in Guatemala in 1954, and Salvador Allende in Chile in 1973. At times, U.S. foreign policy was almost hostile to democracy. President Richard Nixon regarded it as “not necessarily the best form of government for people in Asia, Africa, and Latin America.”[7] 

Nor, when the United States did support democracy, was it purely out of fealty to principle. Often it was for strategic reasons. Officials in President Ronald Reagan’s administration came to believe that democratic governments might actually be better than autocracies at fending off communist insurgencies, for instance. And often it was popular local demands that compelled the United States to make a choice that it would otherwise have preferred to avoid, between supporting an unpopular and possibly faltering dictatorship and “getting on the side of the people.” Reagan would have preferred to support the dictatorship of Ferdinand Marcos in the 1980s had he not been confronted by the moral challenge of Filipino “people power.” Rarely if ever did the United States seek a change of regime primarily out of devotion to democratic principles.

Beginning in the mid-1970s, however, the general inclination of the United States did begin to shift toward a more critical view of dictatorship. The U.S. Congress, led by human-rights advocates, began to condition or cut off U.S. aid to authoritarian allies, which weakened their hold on power. In the Helsinki Accords of 1975, a reference to human-rights issues drew greater attention to the cause of dissidents and other opponents of dictatorship in the Eastern bloc. President Jimmy Carter focused attention on the human-rights abuses of the Soviet Union as well as of right-wing governments in Latin America and elsewhere. The U.S. government’s international information services, including the Voice of America and Radio Free Europe/Radio Liberty, put greater emphasis on democracy and human rights in their programming. The Reagan administration, after first trying to roll back Carter’s human-rights agenda, eventually embraced it and made the promotion of democracy part of its stated (if not always its actual) policy. Even during this period, U.S. policy was far from consistent. Many allied dictatorships, especially in the Middle East, were not only tolerated but actively supported with U.S. economic and military aid. But the net effect of the shift in U.S. policy, joined with the efforts of Europe, was significant.

The third wave began in 1974 in Portugal, where the Carnation Revolution put an end to a half-century of dictatorship. As Larry Diamond notes, this revolution did not just happen. The United States and the European democracies played a key role, making a “heavy investment . . . in support of the democratic parties.”[8] Over the next decade and a half, the United States used a variety of tools, including direct military intervention, to aid democratic transitions and prevent the undermining of existing fragile democracies all across the globe. In 1978, Carter threatened military action in the Dominican Republic when long-serving president Joaquín Balaguer refused to give up power after losing an election. In 1983, Reagan’s invasion of Grenada restored a democratic government after a military coup. In 1986, the United States threatened military action to prevent Marcos from forcibly annulling an election that he had lost. In 1989, President George H.W. Bush invaded Panama to help install democracy after military strongman Manuel Noriega had annulled his nation’s elections. 

Throughout this period, too, the United States used its influence to block military coups in Honduras, Bolivia, El Salvador, Peru, and South Korea. Elsewhere it urged presidents not to try staying in office beyond constitutional limits. Huntington estimated that over the course of about a decade and a half, U.S. support had been “critical to democratization in the Dominican Republic, Grenada, El Salvador, Guatemala, Honduras, Uruguay, Peru, Ecuador, Panama, and the Philippines” and was “a contributing factor to democratization in Portugal, Chile, Poland, Korea, Bolivia, and Taiwan.”[9]

Many developments both global and local helped to produce the democratizing trend of the late 1970s and the 1980s, and there might have been a democratic wave even if the United States had not been so influential. The question is whether the wave would have been as large and as lasting. The stable zones of democracy in Europe and Japan proved to be powerful magnets. The liberal free-market and free-trade system increasingly outperformed the stagnating economies of the socialist bloc, especially at the dawn of the information revolution. The greater activism of the United States, together with that of other successful democracies, helped to build a broad, if not universal, consensus that was more sympathetic to democratic forms of government and less sympathetic to authoritarian forms.

Diamond and others have noted how important it was that these “global democratic norms” came to be “reflected in regional and international institutions and agreements as never before.”[10] Those norms had an impact on the internal political processes of countries, making it harder for authoritarians to weather political and economic storms and easier for democratic movements to gain legitimacy. But “norms” are transient as well. In the 1930s, the trendsetting nations were fascist dictatorships. In the 1950s and 1960s, variants of socialism were in vogue. But from the 1970s until recently, the United States and a handful of other democratic powers set the fashion trend. They pushed—some might even say imposed—democratic principles and embedded them in international institutions and agreements.

Equally important was the role that the United States played in preventing backsliding away from democracy where it had barely taken root. Perhaps the most significant U.S. contribution was simply to prevent military coups against fledgling democratic governments. In a sense, the United States was interfering in what might have been a natural cycle, preventing nations that ordinarily would have been “due” for an authoritarian phase from following the usual pattern. It was not that the United States was exporting democracy everywhere. More often, it played the role of “catcher in the rye”—preventing young democracies from falling off the cliff—in places such as the Philippines, Colombia, and Panama. This helped to give the third wave unprecedented breadth and durability.

Finally, there was the collapse of the Soviet Union and with it the fall of Central and Eastern Europe’s communist regimes and their replacement by democracies. What role the United States played in hastening the Soviet downfall may be in dispute, but surely it played some part, both by containing the Soviet empire militarily and by outperforming it economically and technologically. And at the heart of the struggle were the peoples of the former Warsaw Pact countries themselves. They had long yearned to achieve the liberation of their respective nations from the Soviet Union, which also meant liberation from communism. These peoples wanted to join the rest of Europe, which offered an economic and social model that was even more attractive than that of the United States. 

That Central and East Europeans uniformly chose democratic forms of government, however, was not simply the fruit of aspirations for freedom or comfort. It also reflected the desires of these peoples to place themselves under the U.S. security umbrella. The strategic, the economic, the political, and the ideological were thus inseparable. Those nations that wanted to be part of NATO, and later of the European Union, knew that they would stand no chance of admission without democratic credentials. These democratic transitions, which turned the third wave into a democratic tsunami, need not have occurred had the world been configured differently. That a democratic, united, and prosperous Western Europe was even there to exert a powerful magnetic pull on its eastern neighbors was due to U.S. actions after World War II.

The Lost Future of 1848

Contrast the fate of democratic movements in the late twentieth century with that of the liberal revolutions that swept Europe in 1848. Beginning in France, the “Springtime of the Peoples,” as it was known, included liberal reformers and constitutionalists, nationalists, and representatives of the rising middle class as well as radical workers and socialists. In a matter of weeks, they toppled kings and princes and shook thrones in France, Poland, Austria, and Romania, as well as the Italian peninsula and the German principalities. In the end, however, the liberal movements failed, partly because they lacked cohesion, but also because the autocratic powers forcibly crushed them. The Prussian army helped to defeat liberal movements in the German lands, while the Russian czar sent his troops into Romania and Hungary. Tens of thousands of protesters were killed in the streets of Europe. The sword proved mightier than the pen.

It mattered that the more liberal powers, Britain and France, adopted a neutral posture throughout the liberal ferment, even though France’s own revolution had sparked and inspired the pan-European movement. The British monarchy and aristocracy were afraid of radicalism at home. Both France and Britain were more concerned with preserving peace among the great powers than with providing assistance to fellow liberals. The preservation of the European balance among the five great powers benefited the forces of counterrevolution everywhere, and the Springtime of the Peoples was suppressed.[11] As a result, for several decades the forces of reaction in Europe were strengthened against the forces of liberalism.

Scholars have speculated about how differently Europe and the world might have evolved had the liberal revolutions of 1848 succeeded: How might German history have unfolded had national unification been achieved under a liberal parliamentary system rather than under the leadership of Otto von Bismarck? The “Iron Chancellor” unified the nation not through elections and debates, but through military victories won by the great power of the conservative Prussian army under the Hohenzollern dynasty. As the historian A.J.P. Taylor observed, history reached a turning point in 1848, but Germany “failed to turn.”[12] Might Germans have learned a different lesson from the one that Bismarck taught—namely, that “the great questions of the age are not decided by speeches and majority decisions . . . but by blood and iron”?[13] Yet the international system of the day was not configured in such a way as to encourage liberal and democratic change. The European balance of power in the mid-nineteenth century did not favor democracy, and so it is not surprising that democracy failed to triumph anywhere.[14] 

We can also speculate about how differently today’s world might have evolved without the U.S. role in shaping an international environment favorable to democracy, and how it might evolve should the United States find itself no longer strong enough to play that role. Democratic transitions are not inevitable, even where the conditions may be ripe. Nations may enter a transition zone—economically, socially, and politically—where the probability of moving in a democratic direction increases or decreases. But foreign influences, usually exerted by the reigning great powers, often determine which direction change takes. Strong authoritarian powers willing to support conservative forces against liberal movements can undo what might otherwise have been a “natural” evolution to democracy, just as powerful democratic nations can help liberal forces that, left to their own devices, might otherwise fail. 

In the 1980s as in the 1840s, liberal movements arose for their own reasons in different countries, but their success or failure was influenced by the balance of power at the international level. In the era of U.S. predominance, the balance was generally favorable to democracy, which helps to explain why the liberal revolutions of that later era succeeded. Had the United States not been so powerful, there would have been fewer transitions to democracy, and those that occurred might have been short-lived. It might have meant a shallower and more easily reversed third wave.[15] 

Democracy, Autocracy, and Power

What about today? With the democratic superpower curtailing its global influence, regional powers are setting the tone in their respective regions. Not surprisingly, dictatorships are more common in the environs of Russia, along the borders of China (North Korea, Burma, and Thailand), and in the Middle East, where long dictatorial traditions have so far mostly withstood the challenge of popular uprisings.

But even in regions where democracies remain strong, authoritarians have been able to make a determined stand while their democratic neighbors passively stand by. Thus Hungary’s leaders, in the heart of an indifferent Europe, proclaim their love of illiberalism and crack down on press and political freedoms while the rest of the European Union, supposedly a club for democracies only, looks away. In South America, democracy is engaged in a contest with dictatorship, but an indifferent Brazil looks on, thinking only of trade and of North American imperialism. Meanwhile in Central America, next door to an indifferent Mexico, democracy collapses under the weight of drugs and crime and the resurgence of the caudillos. Yet it may be unfair to blame regional powers for not doing what they have never done. Insofar as the shift in the geopolitical equation has affected the fate of democracies worldwide, it is probably the change in the democratic superpower’s behavior that bears most of the responsibility.

If that superpower does not change its course, we are likely to see democracy around the world rolled back further. There is nothing inevitable about democracy. The liberal world order we have been living in these past decades was not bequeathed by “the Laws of Nature and of Nature’s God.” It is not the endpoint of human progress.

There are those who would prefer a world order different from the liberal one. Until now, however, they have not been able to have their way, but not because their ideas of governance are impossible to enact. Who is to say that Putinism in Russia or China’s particular brand of authoritarianism will not survive as far into the future as European democracy, which, after all, is less than a century old on most of the continent? Autocracy in Russia and China has certainly been around longer than any Western democracy. Indeed, it is autocracy, not democracy, that has been the norm in human history—only in recent decades have the democracies, led by the United States, had the power to shape the world.

Skeptics of U.S. “democracy promotion” have long argued that many of the places where the democratic experiment has been tried over the past few decades are not a natural fit for that form of government, and that the United States has tried to plant democracy in some very infertile soils. Given that democratic governments have taken deep root in widely varying circumstances, from impoverished India to “Confucian” East Asia to Islamic Indonesia, we ought to have some modesty about asserting where the soil is right or not right for democracy. Yet it should be clear that the prospects for democracy have been much better under the protection of a liberal world order, supported and defended by a democratic superpower or by a collection of democratic great powers. Today, as always, democracy is a fragile flower. It requires constant support, constant tending, and the plucking of weeds and fencing-off of the jungle that threaten it both from within and without. In the absence of such efforts, the jungle and the weeds may sooner or later come back to reclaim the land.

[1] Quoted in Samuel P. Huntington, The Third Wave: Democratization in the Late Twentieth Century (Norman: University of Oklahoma Press, 1991), 17.

[2] Quoted in John Keane, The Life and Death of Democracy (New York: W.W. Norton, 2009), 573.

[3] Huntington, Third Wave, 40.

[4] Huntington, Third Wave, 21.

[5] Samuel P. Huntington, “Will More Countries Become Democratic?” Political Science Quarterly 99 (Summer 1984): 193–218; quoted in Larry Diamond, The Spirit of Democracy: The Struggle to Build Free Societies Throughout the World (New York: Times Books, 2008), 10.

[6] Huntington, Third Wave, 47.

[7] Odd Arne Westad, The Global Cold War: Third World Interventions and the Making of Our Times (Cambridge: Cambridge University Press, 2005), 196.

[8] Diamond, Spirit of Democracy, 5.

[9] Huntington, Third Wave, 98.

[10] Diamond, Spirit of Democracy, 13.

[11] Mike Rapport, 1848: Year of Revolution (New York: Basic Books, 2009), 409.

[12] A.J.P. Taylor, The Course of German History: A Survey of the Development of German History Since 1815 (London: Routledge, 2001; orig. publ. 1945), 71.

[13] Rapport, 1848, 401–402.

[14] As Huntington paraphrased the findings of Jonathan Sunshine: “External influences in Europe before 1830 were fundamentally antidemocratic and hence held up democratization. Between 1830 and 1930 . . . the external environment was neutral . . . hence democratization proceeded in different countries more or less at the pace set by economic and social development.” Huntington, Third Wave, 86.

[15] As Huntington observed, “The absence of the United States from the process would have meant fewer and later transitions to democracy.” Huntington, Third Wave, 98.

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• Is Democracy in Decline? The Weight of Geopolitics

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On May 5, the Brookings Project on International Order and Strategy (IOS) hosted a discussion on America’s global role and the release of the newest edition of Pew Research Center’s series, “America’s Place in the World.” This survey explores American views of U.S. foreign policy today and the role of U.S. leadership abroad. The study also looks at which national security threats concern Americans the most.

Carroll Doherty, director of political research at Pew Research Center, opened the discussion by explaining the survey’s findings. Senior Fellow Robert Kagan, author of “The World America Made” (Vintage Books, 2013), talked about the implications of the survey for U.S. support of the international order. Derek Chollet, former assistant secretary of defense for international security affairs and author of the forthcoming book “The Long Game” (Public Affairs, 2016), offered insight into how these findings fit with President Obama’s worldview. Laure Mandeville, U.S. bureau chief for Le Figaro, contributed an international perspective on American politics and U.S. power abroad.

Margaret Brennan, CBS foreign affairs correspondent, moderated the discussion. Senior Fellow Thomas Wright, director of IOS, provided brief opening remarks.

After the program, the speakers took questions from the audience.

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Innovative activity and innovation districts are not evenly distributed across cities. Some metropolitan areas may have two or three districts scattered about, while other cities are lucky to have the critical mass to support even one strong district. London, however, a global city with nearly unparalleled assets, can best be understood as not just a collection of innovation districts but as a contiguous “city of innovation.” 

Our understanding of that innovative activity has taken a leap forward with the publication of a new report by the Centre for London called "Spaces to Think". Even for a paragon of innovation, a critique such as this is imperative if the city desires to maximize its assets while continuing to grow in a sustainable and inclusive manner. Much as we have recommended that urban leaders across the United States undertake an asset audit of their districts to identify key priorities, "Spaces to Think" focuses on 17 distinct districts, mapping their assets, classifying their typologies, and identifying governance structures.

The 17 study areas in "Spaces to Think"

The report provides lessons applicable to many cities.

Having identified, across all 17 districts, the three major drivers of innovative activity—talent, space, and financing—it becomes clear that the main hurdle for London, as a global magnet of talent and capital, is affordable physical space: “Increasing pressure for land…risks constraining London’s potential as a leading global city for innovation.” Similar to hot-market cities across the United States, many of the study areas of greatest promise are older industrial areas, such as Here East, Canary Wharf, and Kings Cross, where large plots of underutilized land have been reimagined as innovation districts. 

But who is prepared to undertake new regeneration projects? The report places significant responsibility on London’s many universities—whose expansions already account for much of the large-scale development opportunities in the city—for a “third mission” of local economic development. It is universities, the report notes, that are “devoting increasing amounts of money, resources, and planning to building new or redesigned facilities…pitched as part of a wider regeneration strategy, or the creation of an innovation district.” 

A second concern is the democratization of the innovation economy. Already a victim of rising inequality, London’s future growth must reach down the ladder. As we’ve argued, with intentionality and purpose, innovation districts can advance a more inclusive knowledge economy, especially given that they are often abut neighborhoods of above-average poverty and unemployment. Spaces to Think expands upon four key strategies: local hiring and sourcing practices for innovation institutions; upskilling of local residents through vocational and technical programs within local firms; increased tax yield, especially given recent reforms in which “local authorities retain 100 percent of business rates”; and shared assets and rejuvenation of place. This final lever requires inclusive governance that encourages neighborhood ownership of the public realm.

Finally, the report notes that, while there is much diversity of leadership in the study areas—some are university-led, some are entrepreneurial, some are industry-led—“good governance and good relations between institutions, are at the heart of what makes innovation districts tick.” This issue is at the heart of our work moving forward: identifying and spreading effective governance models that encourage collaboration and coordination between the public, private, and civic actors within innovation districts.

We are pleased that this future work will be strengthened by a new partnership between the Bass Initiative on Innovation and Placemaking and the Centre for London. The ambition of this Transatlantic Innovation Districts Partnership is to increase our mutual understanding of innovation districts found in Europe through additional qualitative and quantitative analysis and to integrate European leaders into a global network, all to accelerate the transfer of lessons and best practices from districts across the world.

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A decade into the 21st century, the role of manufacturing in global and metropolitan economies continues to evolve. After 20 years of rapid globalization in which manufacturing production shifted to emerging markets, demand for consumption is growing there, too. Emerging market demand, in fact, has unprecedented momentum as 1.8 billion people enter the global consuming class. At the same time, a robust pipeline of product innovation and manufacturing processes has opened new ways for U.S. manufacturing companies to compete.

On November 19, the Metropolitan Policy Program at Brookings hosted a forum to release a report from the McKinsey Global Institute that examines the role of manufacturing in advanced and developing economies and the choices that manufacturers grapple with in this new era of global competition. Following presentations by the authors, an expert panel discussed the key trends shaping manufacturing competitiveness, global strategies, the next era of manufacturing innovation, and what these changes imply for growth and employment in manufacturing across the globe.

Video

• Bruce Katz: A Region Has to Know What It Can Do Well
• Martin Baily: Manufacturing Creates Jobs
• Katy George: Manufacturing Is an Entity That Is Constantly Shifting
• James Manyika: Manufacturing Matters a Great Deal
• Gardner Carrick: Education Is Key
• James W. Griffith: Closing Remarks

Audio

• Global Manufacturing: Entering a New Era

Transcript

• Uncorrected Transcript (.pdf)

Event Materials

• 20121119_global_manufacturing

Once upon a time, ambitious young people with a knack for math and science went to work in manufacturing. They designed planes, computers, and furniture, figured out how to lay out an assembly line, helped to make new cars faster and refrigerators more efficient, pushed the limits of computer chips, and invented new medicines. But, as the role of manufacturing diminished in advanced economies, the brightest talents tended to gravitate to finance and other service fields that were growing rapidly – and paying well.

But here’s some news: global manufacturing has the potential to stage a renaissance and once again become a career of choice for the most talented.

Of course, any manufacturing rebound in the advanced economies will not generate mass employment; but it will create many high-quality jobs. There will be more demand for software programmers, engineers, designers, robotics experts, data analytics specialists, and myriad other professional and service-type positions. In some manufacturing sectors, more such people may be hired than will be added on the factory floor.

Exploding demand in developing economies and a wave of innovation in materials, manufacturing processes, and information technology are driving today’s new possibilities for manufacturing. Even as the share of manufacturing in global GDP has fallen – from about 20% in 1990 to 16% in 2010 – manufacturing companies have made outsize contributions to innovation, funding as much as 70% of private-sector R&D in some countries. From nanotechnologies that make possible new types of microelectronics and medical treatments to additive manufacturing systems (better known as 3D printing), emerging new materials and methods are set to revolutionize how products are designed and made.

But, to become a genuine driver of growth, the new wave of manufacturing technology needs a broad skills base. For example, it will take many highly-trained and creative workers to move 3D printing from an astounding possibility to a practical production tool.

Consider, too, the challenges of the auto industry, which is shifting from conventional, steel-bodied cars with traditional drive trains to lighter, more fuel-efficient vehicles in which electronics are as important as mechanical parts. The Chevrolet Volt has more lines of software code than the Boeing 787. So the car industry needs people fluent in mechanical engineering, battery chemistry, and electronics.

Manufacturing is already an intensive user of “big data” – the use of massive data sets to discover new patterns, perform simulations, and manage complex systems in real-time. Manufacturing stores more data than any other sector – an estimated two exabytes (two quintillion bytes) in 2010. By enabling more sophisticated simulations that discover glitches at an early stage, big data has helped Toyota, Fiat and Nissan cut the time needed to develop new models by 30-50%.

Manufacturers in many other branches are using big data to monitor the performance of machinery and equipment, fine-tune maintenance routines, and ferret out consumer insights from social-media chatter. But there aren’t enough people with big-data skills. In the United States alone, there is a potential shortfall of 1.5 million data-savvy managers and analysts needed to drive the emerging data revolution in manufacturing.

The shift of manufacturing demand to developing economies also requires new skills. A recent McKinsey survey of multinationals based in the U.S. and Europe found that, on average, these companies derive only 18% of sales from developing economies. But these economies are projected to account for 70% of global sales of manufactured goods (both consumer and industrial products) by 2025. To develop these markets, companies will need talented people, from ethnographers (to understand consumers’ customs and preferences) to engineers (to design products that fit a new definition of value).

Perhaps most important, manufacturing is becoming more “democratic,” and thus more appealing to bright young people with an entrepreneurial bent. Not only has design technology become more accessible, but an extensive virtual infrastructure exists that enables small and medium-size companies to outsource design, manufacturing, and logistics. Large and small companies alike are crowd-sourcing ideas online for new products and actual designs. “Maker spaces” – shared production facilities built around a spirit of open innovation – are proliferating.

And yet, across the board, manufacturing is vulnerable to a potential shortage of high-skill workers. Research by the McKinsey Global Institute finds that the number of college graduates in 2020 will fall 40 million short of what employers around the world need, largely owing to rapidly aging workforces, particularly in Europe, Japan, and China. In some manufacturing sectors, the gaps could be dauntingly large. In the U.S., workers over the age of 55 make up 40% of the workforce in agricultural chemicals manufacturing and more than one-third of the workforce in ceramics. Some 8% of the members of the National Association of Manufacturers report having trouble filling positions vacated by retirees.

Indeed, when the NAM conducted a survey of high-school students in Indianapolis, Indiana (which is already experiencing a manufacturing revival), the results were alarming: only 3% of students said that they were interested in careers in manufacturing. In response, the NAM launched a program to change students’ attitudes. But not only young people need persuading: surveys of engineers who leave manufacturing for other fields indicate that a lack of career paths and slow advancement cause some to abandon the sector.

Manufacturing superstars such as Germany and South Korea have always attracted the brightest and the best to the sector. But now manufacturers in economies that do not have these countries’ superior track record must figure out how to be talent magnets. Manufacturing’s rising coolness quotient should prove useful, but turning it into a highly sought-after career requires that companies in the sector back up the shiny new image with the right opportunities – and the right rewards.

Event Information

Productivity growth in the United States slowed sharply around 2005, which has contributed to slow growth in wages and downward revisions to estimates of long run economic growth. The global economy has grown incredibly fast since 1950, with global GDP expanding six-fold and average per capita income nearly tripling. A larger workforce and increased productivity spurred this growth. However, the global workforce is expected to grow more slowly over the coming years, and peak in size around 2050. If strong economic growth is to be achieved, in both the United States and globally, productivity must increase strongly.

On Wednesday, April 8, the Initiative on Business and Public Policy hosted an event exploring these and related issues. The event featured keynote remarks by Jason Furman, Chairman of the Council of Economic Advisers, and Alan Greenspan, former Chairman of the Federal Reserve Board. James Manyika and Jaana Remes of the McKinsey Global Institute considered the potential for faster global productivity growth. Marco Annunziata of General Electric will gave his perspective, and Martin Baily looked at explanations for slow growth in the U.S. economy.

Download a McKinsey report on global productivity trends »

Video

• Opening keynote by Jason Furman
• Global growth: Can productivity save the day in an aging world?
• Closing keynote by Alan Greenspan

Audio

• Achieving strong economic growth

Transcript

• Uncorrected Transcript (.pdf)

Event Materials

• MGI_Global_growth_Full_report_February_2015pdf (3)
• 20150408_strong_economic_growth_transcript
• BAILY_slides
• GREENSPAN_slides
• REMES_MANYIKA_slides

Critics of the nation's retirement system regularly complain that the system is in crisis. Too many private companies fail to offer their employees a retirement plan. Many employees who are covered by a plan fail to make contributions to it. Those who do make contributions may contribute too little or invest their savings unwisely. The end result: Many of us will reach retirement age with miniscule pensions or too little savings to enjoy a comfortable old age.

The argument that our retirement system has gaping holes is well founded. The notion that it faces an imminent "crisis" is nonsense. If the system currently faces a crisis, it has faced the same one for the past 40 years. While elderly Americans have seen their incomes and living standards improve in recent decades, the median working-age family has experienced little improvement in its real income. Nonelderly families that depend solely on the earnings of breadwinners who have below-average schooling saw a drop in their incomes.

In recent research with Brookings colleagues, I tracked the real incomes of families headed by aged and nonaged Americans. In the 34 years ending in 2012, the median real income of working-age families climbed a little more than 2 percent (in other words, by less than one-tenth of a percentage point per year). The median real income of families headed by someone past 62 increased a little more than 40 percent. The numbers suggest our retirement system is doing a decent job improving the living standards of the aged. Unfortunately, the labor market is doing a much worse job boosting the living standards of middle-class wage earners.

Critics of the retirement system might worry that it succeeds in protecting the incomes of the middle class elderly but fails to protect the incomes of the poor -- a concern not supported by the evidence. Income inequality has gone up among the elderly as it has among the nonelderly. But older low-income Americans have fared much better than low-income working-age adults. In the late 1950s, by far the highest poverty rate of any age group was that for people over 65. Even in the late 1980s, the elderly had a higher poverty rate than adults between 18-64. Since the middle of the last decade, however, the elderly have had the lowest poverty rate of any age group.

People who warn us of a retirement "crisis" are nonetheless correct in pointing to sizeable holes in the current system. Too few companies, especially small ones, offer their workers a retirement plan. According to recent government estimates, only about half of workers in companies with fewer than 100 employees are offered a retirement plan. Offer rates are higher in bigger companies and in government agencies, but about 30 percent of all employees are not offered any pension or retirement savings plan where they work. When retirement plans are offered, however, workers are very likely to participate in them -- even if they must make a voluntary contribution out of their pretax wages.

What is crucial for a retirement savings plan's success is automatic payroll withholding. Dollars that are withheld from workers' paychecks are harder for workers to spend on something other than retirement savings. A crucial improvement in our current system would be to require all employers to establish automatic payroll withholding for voluntary retirement savings in an IRA (individual retirement account). Companies that already offer a qualified pension or retirement savings plan should be exempt from any extra obligation.

The harshest critics of the current retirement system would go much further than this. Many want to bring back traditional retirement plans that guaranteed workers a specific monthly pension linked to their job tenure, final pay, and age at retirement. The advantages of such a plan for workers are that their employer is typically responsible for funding the plan and for ensuring that pensions are paid, regardless of the ups and downs of financial markets. A big disadvantage is that the promised benefits are not worth much if the worker's career with a company is cut short, either because of a layoff or quitting.

People who are nostalgic for old-fashioned pensions may be right that workers would prefer to be covered by such a plan, despite their disadvantages for short-tenure workers. I'm less persuaded that traditional pensions offer better protection to typical workers than modern 401(k)-type plans. Regardless of the pros and cons of the two kinds of plan, it is wildly unrealistic to think small employers or new employers will want to take on the risks and administrative burdens connected with an old-fashioned pension plan.

All U.S. workers are covered by a traditional, defined-benefit pension: it's called Social Security. It has worked well over the past four decades in protecting and even lifting the incomes of the retired elderly. It may not work as well in the future if benefits are cut substantially to keep the program solvent. Boosting workplace retirement savings is a sensible way to insure future retirees will have adequate incomes, even if Social Security benefits have to be trimmed. An essential first step to boosting savings is to require companies to put a retirement savings plan in every workplace.

Editor's note: This piece originally appeared in Real Clear Markets.