[ Development theory: Who's Who? Part 44 ]

Franz Nuscheler (*1938)
Empirical Research and Global Governance

I. Biographical outline

Born on April 11, 1938, at Kirchdorf near Bad Wörishofen, Franz Nuscheler studied political science, history and public law at Heidelberg. In 1967, under Dolf Sternberger, he was awarded his PhD for a thesis on Walter Bagehot and British constitutional theory. From 1969 to 1974, he held posts at Hamburg University, first as a research assistant to Winfried Steffani, political scientist and specialist on constitutional law, then as a senior lecturer. From 1974 onwards, he held the chair of international and comparative politics at Duisburg's Gerhard Mercator University (merged to Duisburg-Essen University, in 2003). From 1990, he was also director of the Institute for Development and Peace, which works with the Development and Peace Foundation (SEF) set up by Willy Brandt. He became an emeritus professor on July 31, 2003.

Nuscheler has conducted research in numerous developing countries in Africa, Latin America and Asia. He stayed several times in the United States and Japan, where he engaged in research, gave lectures and worked as a visiting professor (e.g. at Dokkya University in Tokyo).

Nuscheler plays a prominent role in numerous research and policy advisory bodies. Among other things, he is a member of the German government's consultative committee on global environmental change, a member of the Austrian foreign ministry's advisory body on development policy and deputy chairman of the executive board of the Development and Peace Foundation (SEF). In the German Bundestag enquete commission “Globalisation of the World Economy”, which was operative from 1999 till 2003, Nuscheler was a member of the commission's panel of experts and chaired the “Global Governance” working group.


II. Work and appraisal

Franz Nuscheler's publications have tracked the development policy and development theory debate since the late 1960s and provided a regular stock-take of events. The book which has had the greatest impact on development policy thinking in Germany is the “Handbuch der Dritten Welt” (HDW, Third World Handbook), which Nuscheler edited with Dieter Nohlen and which was first published in 1974 and subsequently revised and republished in 1982 and 1993. In this book, the two editors develop the conceptual and terminological basics of development theory (answering questions such as “What is underdevelopment?” and “What is development?”) and discuss the main points of development theory debates, the underlying problems, conditions and actors of development and the dynamics of the North-South relationship in the context of changing global politics. These theoretical observations are backed by detailed country studies.

Right from the outset, the HDW stood in counterpoint to the “grand theories” and universal explanations of the modernisation and dependence theorists and the (neo-) Marxist and neo-liberal camps. Instead of abstract models explaining the world from one idea, which were particularly in vogue in development research during the 1980s, what interested Franz Nuscheler were medium-range theories backed by empirical evidence. His approach as a researcher was based on four premises:
– There are no general economic or social laws determining development and underdevelopment. Development processes must always be seen in the relevant historical context (de-colonisation, East-West conflict, globalisation). Development problems and blockades are, on the other hand, often specific to a country or region.
– Development theory needs to be based on comprehensive empirical research. Concepts, explanations and strategies must constantly be checked against new empirical evidence and revised or discarded as necessary. This iterative process between empirical research and development of theory hallmarks the whole of Franz Nuscheler's work.
– Development research must be interdisciplinary and open to new research findings in neighbouring disciplines. Very early on, for example, Nuscheler factored into his own research strategies such things as ecological sustainability and New Growth Theory findings (key role of education).
– Advances in development theory result more often from interaction between different schools and concepts, than from schools insisting they are right and others are wrong. Nuscheler believes in productive theoretical eclecticism: “Whoever has decided to tread a particular path may fall into the trap of regarding it as the only true path and considering all others misguided. But he who has no bearings at all just goes round in circles” (Nuscheler, in: idem (ed.) 1986, IX). As a result, Nuscheler and Nohlen call, in the 3rd edition of the HDW, for a "critical modernisation theory (...) which makes neither dependencia nor the ominous ‘subjective factor’ an all-explaining passepartout to complex interrelations but tries instead to get to grips with the multi-dimensionality and multi-causality of underdevelopment".

Against this backdrop, the HDW stands as a remarkable mirror of international paradigm shifts and controversies that marked development policy and development theory in the 1970s, '80s and '90s, especially as it endeavours to highlight the heterogeneity of the debates by the numerous authors included. The importance attached to dependencia theory issues (unequal exchange, structural heterogeneity, colonialism) thus shifted in the 3rd edition to more contemporary issues (environment, structural adjustment, good governance). The “satisfaction of basic needs” propagated by Nuscheler as a model (Nuscheler 1985, 27) and the “magic pentagon” of development presented and updated by Nohlen/Nuscheler in the three editions of the HDW (1. growth, 2. labour, 3. equality/justice, 4. participation and 5. independence/autonomy; later supplemented by the goal of 6. ecological sustainability) have had a fundamental impact on the German debate on the concepts and objectives of development. The magic pentagon is, on the one hand, an attempt to reduce the complexity of development processes, identify central dimensions of development, record their dynamics and portray the interaction between the elements (HDW 1993, p. 64 ff.). It is at once a heuristic analytical tool and a development strategy model; as long ago as the 1970s, it anticipated some of what was described by UNDP in the '80s as “human development”.

On the other hand, the bridge-building by the pentagon of development between the “development of economic productive capacities” and the goal of “equal opportunities for all” (HDW 1993, 73) points to the normative core that characterises Franz Nuscheler's entire oeuvre: “Capitalism has demonstrated its superiority as an economic system but has not yet shown it can also curb the growth of impoverishment in large parts of the Third World. Nevertheless, in an international context – which is also a regulative context – a capitalism socially and ecologically controlled and an international social market economy remain guidance models for regulatory policy. ... Development could (therefore) be defined as the realisation of political and social human rights” (HDW 1993, pp. 74-75).

Aside from the theoretical work outlined above, Nuscheler has devoted himself in past decades to a large number of issues central to development research:

Political power and political systems. His early interest in constitutional theories and analysis of political systems (Nuscheler 1969) later fuelled projects such as research into political power in Black Africa (“Politische Herrschaft in Schwarzafrika”, Nuscheler/Ziemer 1980). His essay on the changing face and function of praetorianism in the Third World (“Erscheinungs- und Funktionswandel des Prätorianismus in der Dritten Welt“, Nuscheler 1979) has an enduring topicality which did not just originate with the new phenomenon of disintegrating states. In it, Nuscheler examines the lack of civic order common to all praetorian societies: “... the inefficiency, instability and lack of legitimacy of political institutions, … the lack of consensus about political values and objectives. ... Lack of legitimacy lies at the root of the critical weakness of civil political institutions; it legitimises, as it were, their destruction and helps the rebels disregard the illegality of their actions.” (p. 179).

Human rights. Nuscheler has focused in a great deal of his work on the relationship of political, social and cultural human rights. He champions, on the one hand, equality of status for the different generations of human rights as target systems for development processes. At the same time, instead of advocating an inflation of ever more rights which ultimately prove unenforceable, he calls for systematic implementation of the rules that already exist. He took a critical view of the "right to development", for example, when he asked whether it was "progress or a Greek gift" (Nuscheler 1996).

Individual donors' development policies. Whether development policy is a form of "partnership or exploitation" (in the sense of subordination to short-sighted interests) is a question which occupied Nuscheler as long ago as the 1970s. Later on, he conducted studies on the conservative development policy U-turns in the United States (Reagan) and United Kingdom (Thatcher) and regularly reviewed the strengths and weaknesses of Japanese development policy (Nuscheler 1990). Despite his appeal for beefier development policy, Nuscheler has repeatedly warned of the risk of that policy being overtaxed; instead he calls for a cooperation with developing countries that is conceived as part of a global structural policy finally responding to the long-seen need for coherence (Nuscheler 2002).

The East Asian Tiger economies. In the 1990s, Nuscheler looked at the factors contributing to the success of East Asian economies and the possibilities of exporting them to other regions. Despite his insistence on the significance of country-specific conditions, Nuscheler still believes there are general lessons to be learned (Nuscheler 2000: 490 f.): 1. development needs market dynamics but also a state which is capable of taking action; 2. the world market is not necessarily a "dead end" for development policy; it offers opportunities which should be taken intelligently; 3. "tradition" need not be an obstacle to development;
4. democracy comes into being only where socio-economic development produces institutions for it.

End of development theories? In the face of contentions that development policy and development theories were “bankrupt”, Nuscheler vigorously fielded arguments in their defence. Ulrich Menzel's provocative writings in the 1990s (about the “failure of the grand theory” and the “end of the Third World”) as well as Francis Fukuyama's “end of history” prompted Nuscheler to take up a contrary position: “Development policy needs development theories more than ever. They have by no means lost their object; indeed, with globalisation (...) they now have a complex new set of issues to address.” (Nuscheler 1998: 287).

Migration, flight and asylum. These are issues (Nuscheler 1995) which build bridges between developments in the South and in the North. In his contributions to the migration debate, Nuscheler has tried to show the interdependence of domestic, foreign and development policy strategies for curbing the numbers of people displaced and seeking refuge. One noteworthy publication here is his book “Nirgendwo zu Hause” (Nowhere to call a home) (1984), in which he sensitively and informatively describes the expulsions of the 20th century for young readers.


Global problems and global governance

Since the mid-1990s, Franz Nuscheler has applied his mind to one of the big questions for the future: how to tackle global problems on a cooperative basis and how to shape globalisation politically. This focus is reflected in his substantial contribution to “Globale Trends”, an annual publication since 1991, and his study of world conferences and world reports in the 1990s (Messner/Nuscheler 1996). Above all, Nuscheler (together with Dirk Messner) has had an enduring impact on the German “global governance” debate (Messner/Nuscheler 2003).

The picture he paints here is a differentiated one. He identifies opportunities and risks of globalisation, describes winners and losers at state level, within the societies of the North and in and between developing countries. But globalisation as he sees it will not just redistribute development opportunities and risks; it will change the fundamental political framework of every society: "The new quality of globalisation consists not only in compacting the interdependencies and mutual vulnerabilities of states but also in eroding internal sovereignty, i.e. in narrowing the scope for government action“ (Nuscheler 2000a, 472). He defines “building blocks for the edifice of global governance” (regional cooperation as the core of global governance, multi-level policies, cooperative multilateralism, cooperation between private and governmental actors), describes the “conditions required for global governance” (e.g. encouraging global rule of law, a global culture of cooperation, cultural dialogues), stresses the “contradictions between awareness and actions” on the rocky road to greater world political cooperation, and points to “blockades for global governance” (e.g. unilateralist power politics, the weakness of European foreign policy, North-South conflicts of interest) (Nuscheler 2000a, p. 475 ff.; Messner/Nuscheler 2003).

In his writings on global governance, Nuscheler seeks neither to present narrow-focus research on special problems nor to deliver a comprehensive theory (à la Immanuel Wallerstein); instead he seeks to document approaches to global governance in different areas of policy (development, global environmental, human rights and security policy) and to record changing constellations of actors and power in a globalising world, so that a puzzle of explanations finally turns (to use one of Nuscheler's favourite metaphors) into an ever-denser patchwork. It goes without saying that Nuscheler's sights as a researcher are set firmly on practical objectives. Especially given the crisis of multilateralism, he calls for far-sightedness: “Hegemonic visions of a world order have no future in a polycentric and turbulent world ... (so) global governance is not a romantic project for a rose-tinted 'global neighbourhood' but a realistic response to the challenges of globalisation and global risks. It is an evolutionary project which moves forward stage by stage” (Nuscheler 2000, 505).


III. Impact: A mediator between theory and practice

Nuscheler has been mentor and teacher to many who have made a name for themselves in the world of development policy theory and practice. The Nuscheler network extends into the Ministry of Development and the Foreign Office, the Friedrich Ebert Foundation and GTZ, the Center for Development Research (ZEF) and the German Development Institute (GDI) as well as the world of NGOs.

What is particularly remarkable is that Nuscheler's work does not only raise the attention of participants in the academic debate but also of those putting development policy into practice. Nuscheler attaches importance to a frank, critical, constructive and passionate exchange with practitioners. And what he says is assured of attention, not least because he has never been afraid to speak out clearly against a deplorable state of affairs or a shortsighted or ideological act. It helps that as a writer and speaker, he has a talent for explaining complex matters clearly – something which certainly cannot be said of all German academics. With his “Lern- und Arbeitsbuch Entwicklungspolitik”, a development policy textbook and manual first published in 1985 and now in its sixth edition, Nuscheler has shaped the way development is viewed by whole generations of teachers and students. Klaus Hänsch, a former President of the European Parliament, described Franz Nuscheler in a eulogy as a man “for whom profession and compassion are one and the same thing”.

Publications by Franz Nuscheler

1969: Theorien zur politischen Entwicklung [Theories on political development], in: CIVITAS, Jahrbuch für Sozialwissenschaften, vol. 8, pp. 67-103
1974-1978 (ed., with Dieter Nohlen): Handbuch der Dritten Welt [Third World Handbook]. Hamburg. Re-editions 1982, 1993, last edition 8 volumes
1979: Erscheinungs- und Funktionswandel des Prätorianismus in der Dritten Welt [Changing face and function of praetorianism in the Third World], in: CIVITAS, vol. 16, pp. 171-213
1980 (with Klaus Ziemer): Politische Herrschaft in Schwarzafrika: Geschichte und Gegenwart [Political power in Black Africa: past and present]. Munich
1984: Nirgendwo zu Hause, Menschen auf der Flucht [Nowhere to call a home – People on the run]. Baden-Baden
1985a: Lern- und Arbeitsbuch Entwicklungspolitik [Development policy textbook and manual]. Bonn, 6 re-editions
1985b (ed.): Dritte-Welt-Forschung, Entwicklungstheorie und Entwicklungspolitik [Third world research, development theory and development policy], in: Politische Vierteljahresschrift, special issue 16, Opladen
1986 (ed.): Politikwissenschaftliche Entwicklungsländerforschung [Studying developing countries from a political angle]. Darmstadt
1990: Japans Entwicklungspolitik [Japan's development policy]. Hamburg
1995: Internationale Migration – Flucht und Asyl [International migration – flight and asylum]. Opladen
1996a: Das Recht auf Entwicklung. Fortschritt oder Danaergeschenk in der Entwicklung der Menschenrechte [The right to development. Progress or a Greek gift in the development of human rights]. Bonn
1996b (with Dirk Messner): Weltkonferenzen und Weltberichte [World conferences and world reports]. Bonn
1997 (ed., with Ingomar Hauchler, Dirk Messner): Globale Trends. Fakten – Analysen – Prognosen [Global trends. Facts – studies – forecasts]. Frankfurt/Main, annual
1998: Warum brauchen wir Entwicklungstheorien? [Why do we need development theories?], in: E+Z, vol. 39, no. 11, pp. 284-287
2000a (ed.): Entwicklung und Frieden im 21. Jahrhundert. Zur Wirkungsgeschichte des Brandt-Berichts [Development and peace in the 21st century – The impact of the Brandt Report]. Bonn
2000b: Vom (großen) Nutzen und (kleinen) Elend der Komparatistik in der Entwicklungstheorie [The (major) pros and (minor) cons of comparativism in development theory], in: Ulrich Menzel (ed.) 2000: Vom Ewigen Frieden und vom Wohlstand der Nationen. Frankfurt/Main, pp. 467-492
2002a: Überforderte Entwicklungspolitik. Veränderungen nach dem 11. September [Too much for development policy – Spotlight on change since September 11], in: Internationale Politik, vol. 57, no. 11, pp. 1-8
2002b (with Paul Kennedy, Dirk Messner): Global Trends and Global Governance. London
2003 (withDirk Messner): Das Konzept Global Governance. Stand und Perspektiven [The concept of global governance – Status and prospects]. INEF-Report 67/2003. Duisburg


Publications on Franz Nuscheler

Thomas Fues, Jochen Hippler (ed.) 2003:
Globale Politik, Entwicklung und Frieden in der Weltgesellschaft. Festschrift für Franz Nuscheler [Global politics, development and peace in global society. Festschrift for Franz Nuscheler]. Bonn

Dr. Dirk Messner was academic director of INEF from 1995 till September 2003; in October 2003, he was appointed director of the German Development Institute (GDI).
dirk.messner@die-gdi.de dirk.messner@die-gdi.de