International Development Assistance:

Policy Drivers and Performance Olav

Stokke
Visit to download the full and correct content document:
https://textbookfull.com/product/international-development-assistance-policy-drivers-a
nd-performance-olav-stokke/
More products digital (pdf, epub, mobi) instant
download maybe you interests ...

New Development Assistance: Emerging Economies and the

New Landscape of Development Assistance Yijia Jing

https://textbookfull.com/product/new-development-assistance-
emerging-economies-and-the-new-landscape-of-development-
assistance-yijia-jing/

International Development Assistance and the BRICS Jose

A. Puppim De Oliveira

https://textbookfull.com/product/international-development-
assistance-and-the-brics-jose-a-puppim-de-oliveira/

Beyond Official Development Assistance: Chinese

Development Cooperation and African Agriculture Lu
Jiang

https://textbookfull.com/product/beyond-official-development-
assistance-chinese-development-cooperation-and-african-
agriculture-lu-jiang/

Lying and Insincerity 1st Edition Andreas Stokke

https://textbookfull.com/product/lying-and-insincerity-1st-
edition-andreas-stokke/
Reusable Firmware Development: A Practical Approach to
APIs, HALs and Drivers 1st Edition Jacob Beningo

https://textbookfull.com/product/reusable-firmware-development-a-
practical-approach-to-apis-hals-and-drivers-1st-edition-jacob-
beningo/

Managing performance through training and development

Belcourt

https://textbookfull.com/product/managing-performance-through-
training-and-development-belcourt/

Responsibility in an Interconnected World International

Assistance Duty and Action 1st Edition Susan P. Murphy
(Auth.)

https://textbookfull.com/product/responsibility-in-an-
interconnected-world-international-assistance-duty-and-
action-1st-edition-susan-p-murphy-auth/

Random Measures Theory and Applications 1st Edition

Olav Kallenberg (Auth.)

https://textbookfull.com/product/random-measures-theory-and-
applications-1st-edition-olav-kallenberg-auth/

Foundations of Modern Probability 3rd Edition Olav

Kallenberg

https://textbookfull.com/product/foundations-of-modern-
probability-3rd-edition-olav-kallenberg/
INTERNATIONAL
DEVELOPMENT
ASSISTANCE
policy drivers
and performance
SERIES

OLAV STOKKE
 EADI Global Development Series

Series Editors
Maja Bučar
University of Ljubljana
Ljubljana, Slovenia

Andrew Mold
United Nations Economic Commission for Africa
Kigali, Rwanda

Isa Baud
University of Amsterdam
Amsterdam, The Netherlands
The EADI Global Development series seeks to broaden our understanding
of the processes that advance or impede human development, whether
from a political, economic, sociological or anthropological perspective.
Development Studies (also known as ‘International Development Studies’)
is a multi- and inter-disciplinary field of study. Its aims are to understand
the interplay between social, economic, political, technological, ecological,
cultural and gendered aspects of societal change at the local, national,
regional and global levels. Its interest is in a strong link between theory,
policy and practice.
The series invites book manuscripts across all disciplines which address
these questions. EADI as an association of over 150 development research
institutes and regular conferences reaches the most important institutes
and researchers in this field.

More information about this series at

http://www.palgrave.com/gp/series/14955
 Olav Stokke

International
Development
Assistance
Policy Drivers and Performance
Olav Stokke
Norwegian Institute of International Affairs
Oslo, Norway

EADI Global Development Series

ISBN 978-3-030-06218-7    ISBN 978-3-030-06219-4 (eBook)
https://doi.org/10.1007/978-3-030-06219-4

Library of Congress Control Number: 2019930045

© The Editor(s) (if applicable) and The Author(s), under exclusive licence to Springer
Nature Switzerland AG 2019
This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights of
translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on
microfilms or in any other physical way, and transmission or information storage and retrieval,
electronic adaptation, computer software, or by similar or dissimilar methodology now
known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information
in this book are believed to be true and accurate at the date of publication. Neither the
­publisher nor the authors or the editors give a warranty, express or implied, with respect to
the material contained herein or for any errors or omissions that may have been made. The
publisher remains neutral with regard to jurisdictional claims in published maps and
­institutional affiliations.

Cover design by Fatima Jamadar

This Palgrave Macmillan imprint is published by the registered company Springer Nature
Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
 Preface and Acknowledgements

This volume addresses a fundamental and complex issue within aid and
development policy, hard to come to grips with: what are the main drivers
of the policy? The drivers may vary from one political system to another
and within most political systems—and within these systems over time.
And what can these drivers tell about the future of official development
assistance (ODA) in the years ahead?
It is an easier task to describe and analyse the actual policy, its objec-
tives, orientation and forms, what it has achieved and not achieved over
time—the craftsmanship of development assistance—although that, too,
may be demanding enough. In this study, the stated and implemented
development policy of selected members of the Organization for Economic
Cooperation and Development (OECD) constitutes building blocks in
approaching the more complex questions involving the drivers.
In my research, I have for years worked on selected aspects of develop-
ment policy, involving country studies as well as more specific aspects of
the policy, relating—for example—to food aid, aid conditionality, the
coherence problematic, and evaluation policy and methods. In some
works, I have even dived into the subject matter of this volume.
It would hardly have been possible for me to write this volume without
the many years of research cooperation within the European Association
of Development Research and Training Institutes (EADI), where I had
the privilege of serving as convenor of the working group on aid policy
and performance (1979–2004). I am deeply indebted to many colleagues
and friends within this setting who have generously shared their insights
into and experiences with development and development cooperation in

v
vi PREFACE AND ACKNOWLEDGEMENTS

general, the policies and performances of the European Union and of

European governments, and within more specific policy areas involving
development cooperation as well.
More recently, I had the privilege of taking part in the United Nations
Intellectual History Project (2000–2009). The project produced more
than fifteen volumes on different dimensions of the ideas, dreams and
performance of the world organization during its lifetime, of which I con-
tributed the volume on The UN and Development. I am grateful and
deeply indebted to the participants of this project—and especially to its
co-directors, Louis Emmerij, Richard Jolly and Thomas G. Weiss—for
generously sharing their rich insights and networks with me.
I am grateful—and indebted—to those mentioned above and to many,
many more not mentioned by name—colleagues and friends, including
colleagues at the Norwegian Institute of International Affairs (NUPI). It
goes without saying that I am the only one responsible for the accounts
and analyses—including any misjudgements, misrepresentations and
omissions.
During the years working on this volume, I have enjoyed the hospitality
and services of the Norwegian Institute of International Affairs, which I
joined in 1961. I am indebted to the librarians at the institute, especially
to Tore Gustavsson, Special Librarian, knowing what I needed almost
before I knew it myself. Liv Høivik has been helpful in putting tables in
order, over and over again. Warm thanks go to Wendy Davies for language
editing.

Oslo, Norway Olav Stokke

July 2018
 Contents

Part I Searching for the Policy Drivers of ODA   1

1 Introduction  3
1 What the Study is About—The Main Questions Posed  4
2 Analytical Frameworks  9
3 Methods and Main Sources 15
4 Organization 16
References 21

Part II International ODA Targets, Their Follow-Up and

Real Value to Recipients  23

2 The Evolving International Volume Targets 25

1 The Origin and First Version of the 1% Target 25
2 OECD Takes Command 27
3 The Volume Targets of Subsequent UN Development
Decades 28
4 The Millennium Development Goals and the ODA Volume
Target 31
References 38

vii
viii CONTENTS

3 The Follow-Up on the 0.7% Target: A Bird’s-­Eye

Perspective 41
1 The First UN Development Decade 41
2 The Second UN Development Decade 42
3 The Third Development Decade 43
4 The Fourth Development Decade 44
5 Into the Present Century 46
6 Major Trends 49
References 52

4 What is the Real Value of ODA to Recipients? 53

1 The Definition of ODA 55
2 The Forms of Development Assistance: Multilateral
Assistance in Particular 56
3 Grants, Credits and the Grant Element of ODA 59
4 Tying of ODA 60
References 67

Part III ODA Targets and Policy Determinants: the

Frontrunners and the Western Hegemon  69

5 Denmark: The Pragmatic Frontrunner 71

1 The Beginning 72
2 Volume Targets and Their Follow-Up 75
3 Main Justifications for the Provision of ODA: Stated
Purposes, Objectives and Principles 80
4 Concern for Danish Economic Interests 84
5 Consensus-Seeking 87
6 Opinion Polls Impact on Policies—But Not Necessarily
Decisively 88
7 ODA as a Foreign Policy Instrument: Active
Internationalism in the 1990s and International Activism
in the New Century 89
8 Denmark’s Aid Policy: Mainly Driven by Values? Extracts
from the Discourse 91
9 Summing Up 93
References116
 CONTENTS ix

6 Norway: Altruism under Strain121

1 The Beginning—Foreign Policy Traditions and First Steps122
2 Volume Targets and Their Follow-Up128
3 Stated Purposes, Objectives and Guidelines—And Their
Follow-Up131
4 A Concern for Norwegian Interests—Business Interests in
Particular137
5 Human Rights and the Environment—International
Common Goods139
6 Public Education and Information on Development
Challenges143
7 Norwegian Aid Policy: Mainly Driven by Values—
Solidarity and Humanism? Extracts from the Discourse145
8 Summing Up149
References179

7 Sweden: Combining Domestic Values with Neutralism187

1 The Beginning—Foreign Policy Traditions and Early Steps189
2 Attaining and Maintaining the Volume Target194
3 The Stated Purpose, Objectives and Guidelines197
4 A Concern for Sweden’s Own Interests—Business Interests
in Particular206
5 Human Rights and the Environment—International
Common Goods211
6 Support for Domestic Education and Information—And
the Evolving Public Opinion213
7 Swedish Aid Policy: Mainly Driven by Values—Solidarity
and Humanism? Extracts from the Discourse216
8 Summing Up222
References247

8 The Netherlands: Merchant and Clergyman253

1 The Beginning—Foreign Policy Traditions and Early Aid
Policy254
2 Volume Targets and Follow-Up Action258
3 Main Justifications, Purposes, Objectives and Guidelines263
4 A Concern for Dutch Interests—Business Interests in
Particular269
x CONTENTS

5 Human Rights and the Environment272

6 Public Opinion, Public Education and Development
Assistance274
7 Dutch Aid Policy: Mainly Driven by the Values of
Solidarity and Humanism? Extracts from the Discourse276
8 Summing Up277
References298

9 The United States: The Realist303

1 Foreign Policy Traditions and the Heyday of US
Development Assistance Policy303
2 Volume Targets and Actual Performance308
3 ODA as a Foreign Policy Instrument309
4 The Compartmentalization of ODA: Fragmentation of the
“National Interest” as Well?311
5 ODA and Domestic Economic Interests: The Case of Food
Aid312
6 The Development Constituency317
7 The Legacies, Public Opinion and Political Leadership in
the Promotion of ODA318
8 Summing Up: The Main Determinants320
References336

Part IV Analysis and Conclusions 341

10 The Drivers of ODA: What Can They Tell About the

Future?343
1 The Colonial Legacy and the Aid Policy of European
Imperial Powers346
2 Prime Domestic Drivers of International Development
Assistance351
3 Foreign Policy and Security Concerns355
4 Global and Regional Cooperation357
5 Changes in the International and Domestic Political and
Economic Environments361
6 Intra-state Violent Conflicts, Refugees and Failed States361
7 The US—The Realist363
 CONTENTS xi

8 What Can Be Learned from the Frontrunners?365

9 Implications for the Theory of International Relations367
10 What of the Future?369
References380

Glossary385

Appendices391

 ome Major Works on Development and Development

S
Cooperation by the Present Author407

Index409
 List of Tables

Table 3.1 The ODA performance of the frontrunners as a share of the

DAC total and in USD millions, 1960–2011, 2013 and 2016
(current prices and exchange rates) 50
Table A1 Trends in the relative performance of DAC member
countries’ development assistance, 1960–2015 (ODA as a
percentage of GNP/GNI) 392
Table A2 GNP per capita for DAC countries, 1965–2010 (USD at
current prices and exchange rates) 394
Table A3 The relationship between the relative ODA performances of
DAC member countries and their relative economic strength,
1970–2010396
Table A4 The multilateral share of the DAC countries’ ODA, 1960–
2006 (percentages) 398
Table A5 Grants as a share of ODA commitments and the grant
element of total ODA commitments 400
Table A6 Multilateral ODA of DAC countries for selected years,
1980–2014, as a share of GNP/GNI and ranking 401
Table A7a Tying status of total ODA for selected years, 1975–1990
(percentages)403
Table A7b Tying status of the bilateral ODA of DAC and the individual
DAC members, 1995–2005 (percentages) 405

xiii
 PART I

Searching for the Policy Drivers

of ODA
 CHAPTER 1

Introduction

The idea of assisting the countries of “the South”1 in their development

efforts goes a long way back. Although colonial powers, as well as humani-
tarian and Christian missionary organizations and societies, were—for
varying reasons—the forerunners, development assistance in the evolving
form we know it as today remains associated with the early years after the
Second World War (WWII) and with the efforts of the United Nations
(UN). In the UN, governments—including an increasing number of gov-
ernments of the South—were the primary actors. During the early post-­
WWII years, the decolonization process came high up on the UN agenda.
Working in tandem with governments, the UN secretariats were inhabited
by people whose loyalty to the UN—and the ideal norms reflected in its
Charter—transcended the loyalty they felt towards their governments.
Central actors in the tiny UN secretariat that formed the UN development
policy in the late 1940s and the 1950s were moulded in a Keynesian
tradition that emphasized the crucial role of the state in economic
­
development.2
Basic international norms to guide international development assis-
tance were formed within the UN system in the late 1940s and early
1950s. In the process, the first UN development “agency” was estab-
lished—the Expanded Programme of Technical Assistance (EPTA), opera-
tive in 1950. Internationally, this process evolved further, particularly with
the declaration of the first UN development decade (DD1) (the 1960s)
and the three development decades that followed, each with formalized

© The Author(s) 2019 3

O. Stokke, International Development Assistance,
EADI Global Development Series,
https://doi.org/10.1007/978-3-030-06219-4_1
4 O. STOKKE

development strategies and targets set for the volume of aid and what
should be achieved.3
In 1960, an important development took place at a regional level. The
Western countries—organized within the Organization for Economic
Cooperation and Development (OECD)—established a Development
Assistance Committee (DAC) that operationalized the UN volume target.
It established a framework for what should be included in the concept and
counted as development assistance, as well as a system for regular report-
ing on and evaluating of the actual follow-up by its member countries on
commitments and norms. It even pushed its member governments to pro-
vide higher volumes on better conditions for the recipients of the
assistance.4
The processes in the late 1990s and the first years of the new century
that produced and formalized the Millennium Development Goals
(MDGs) once more brought the international target for official develop-
ment assistance (ODA) to the fore. Along with improved market access
and debt sustainability, meeting the target was identified as a decisive pre-
condition for developing a global partnership for development. To meet
the challenges set out in Transforming our World: The 2030 Agenda for
Sustainable Development, “the target of 0.7% of ODA/GNI to developing
countries and 0.15 to 0.2% of ODA/GNI to least developed countries”
was again put forward, this time as an instrument to meet the 17 sustain-
able development goals (SDGs) and the 169 targets set for more specified
sub-goals.

1   What the Study is About—The Main Questions

Posed
A target for better-off countries’ assistance to development in economi-
cally poorer countries was first formulated in the strategy for the first
United Nations development decade, the 1960s. This was set at 1% of
their net national income (NNI) in private and public transfers. The more
specific target for ODA, 0.7% of the gross national product (GNP), with a
date set for its attainment, was included in the strategies for the following
three UN development decades.
A few member countries of the OECD have set specific targets for their
ODA at a more ambitious level—1% of GNP/gross national income
(GNI). In the mid-1970s, these were the Netherlands and the Scandinavian
 INTRODUCTION 5

countries. Towards the end of the century, Luxembourg joined this

“group”. A few other OECD countries have come close to the interna-
tional 0.7% target and have at times even attained it. Among these were
France—but its ODA included aid to its overseas dependencies and terri-
tories (départements et territories d’outre mer—the DOM-TOMs)—and,
in the new century, the UK and Germany. Some OECD member coun-
tries have referred to the target as a future aim, which they were presently
unable to fully meet. Certain other member countries have explicitly
refused to commit themselves to the target or to the date set for meeting
it—or both. Outside the OECD, the performance of a few oil-rich Arab
countries—especially Kuwait, Qatar, Saudi Arabia and the United Arab
Emirates—went far beyond the international 0.7% target in the 1970s and
1980s.
This study will focus on the performance of the OECD members of the
DAC—how they have responded to the international 0.7% target and why
their responses have differed so much.
An overall picture emerges from the answers to a simple first question:
(1) over the decades, to what extent have the DAC and its individual
members sought to meet the international 0.7% target—repeatedly con-
firmed by the UN system, although with various reservations on the part
of some DAC members? The overview will be based on OECD statistics.
The follow-up questions, however, are more demanding. The follow-
­up on the UN commitments on aid is voluntary, not obligatory. In the
absence of an international regime to govern and enforce decisions within
this policy area, the basic all-over question looms in the background: (2)
under what conditions may an international 0.7% target have a chance of
succeeding?
However, the focus here is narrowed down to the performance of the
OECD countries: (3) what can explain the differences among DAC mem-
ber nations in their commitments to and follow-up on the international
0.7% target?
This comparative study starts with the success stories—those countries
that have succeeded in meeting the targets, namely the Netherlands and
the Scandinavian countries. How have they succeeded in meeting the 0.7%
target in a sustainable way? The complex answer to this question is of fun-
damental interest, as it identifies opportunities for others. However, the
explanations that may be drawn from the success stories need to be com-
pared with those emerging from the other end of the performance spec-
trum. The US is selected for comparison. Again, what may explain the fact
6 O. STOKKE

that the US came to be among the countries with the weakest ODA per-
formance in relative terms? The answers to this question are of equally
fundamental importance, identifying constraints.
The selection of these five countries for scrutiny may also be interesting
because of their unequal starting positions. In the 1950s and early 1960s,
the US was a leading provider of development assistance both in absolute
and in relative terms, prompting the other DAC countries to increase their
aid contributions. The countries that later became frontrunners were, in
contrast, slow starters. In particular, Denmark and Norway were initially
right at the back, both in absolute and in relative terms. What explains the
subsequent reversal of positions?
In answering these questions, the net will be cast wide. The attention
of this comparative study will be directed towards the international align-
ments of the countries concerned—beyond their UN membership. It will
also focus on their relative economic ability to respond to the commit-
ment as measured by their GNP per capita and their balance-of-payments
situation over the years. The predominant worldviews, societal values,
norms and traditions within the individual DAC countries may also be
relevant, as may the political basis of the governments in the countries
concerned, along a right-left axis. This study will look into predominant
characteristics of this kind in the countries selected.
The policies and performance of the countries within the Nordic
region—Denmark, Finland, Norway and Sweden—call for special atten-
tion. During the formative years of their aid policies, these countries had
established a formal and informal regional cooperation in general, includ-
ing on aid policy. However, their security alignments differed: Denmark
and Norway (along with the Netherlands) were members of the North
Atlantic Treaty Organization (NATO), while Sweden took a neutral/non-­
aligned stand and Finland was linked to a “friendship treaty” with the
USSR. Their relations to the evolving European economic and political
integration varied as well. Denmark joined the European Economic
Community (EEC) in 1972 (the Netherlands was a founding member),
while the three other Nordic countries remained—for different reasons—
outside the EEC during the formative years of their aid policies. In the
1990s, however, Finland and Sweden joined the European Union (EU),
while Norway remained outside this inner circle.
This “special attention” calls for studies of selected aspects of the aid poli-
cies of the four frontrunners that have committed themselves to meeting the
international target set for ODA and from time to time have met even
 INTRODUCTION 7

higher volume targets set by themselves. Following up on (3) above: (4)

what can we learn from the experiences and performances of the Netherlands
and the Scandinavians? They are all “small powers”. For this reason, too,
their policies need to be contrasted with the aid policy of a major power.
The US offers itself for this purpose. (5) What are the main differences in
the stated and implemented aid policies of the so-called frontrunners and
the Western hegemon—and what can we learn from these differences? As
noted, the Nordic setting is likewise an appropriate choice for a comparative
study.
Although the formation of the four frontrunners’ aid policies is the
main focus, the robustness—sustainability—of these is also of crucial
importance. (6) To what extent were the targets, once met, maintained by
these countries? The follow-up on the targets during subsequent years will
be traced. Beyond the empirical answers, again (7): what may explain the
sustainability and eventual variations in this regard? The attention will
once more be on the political and economic indicators referred to above—
and on the main drivers of, and constraints on, the development coopera-
tion policies of the countries concerned.
This brings us to the most crucial questions—implicit in the above
questions. (8) What have been the major drivers of the policies? And (9):
what have been the major constraints?
Attention will be directed towards the reasons given for the provision
of development assistance by the governments of the frontrunners during
the formative years and for maintaining or increasing it—those explicitly
stated as well as the implicit ones, emerging from the objectives and norms
set for development cooperation. Naturally, the actual implementation of
the objectives and norms embedded in the stated policy will inform our
analysis as well.
Attention will also be directed towards the political, economic and
social environments of this policy field—internationally and domesti-
cally—during the formative years and later:

(10) To what extent did the various domestic and international envi-
ronments impact (or not impact) on the decision to set the
national targets and the deadline for attaining them?
(11) To what extent did changes in government and/or in the domes-
tic or international economic and political environments impact
on the sustainability of the policies focused on—the justifications
8 O. STOKKE

and objectives set for the provision of ODA as well as the

follow-up?

It follows that the overall development policies of the so-called front-

runners will not be presented or analysed—the study will be narrowed
down to the identified parts of their aid policy. The indicators selected take
stock of important parts of the aid and development policy of the front-
runners. Nevertheless, they do not provide the complete picture of a com-
plex policy field. The stated justifications do not necessarily give a full
account of the motives for the provision of development assistance—some
motives may even be unstated. This applies to the stated objectives and
guidelines as well.
To provide a fuller account of a complex policy area, it would be neces-
sary to track the money—scrutinizing, inter alia, the activities that have
been financed from the ODA budget, as well as those that have not
obtained such funding; the guidelines and principles governing the trans-
fers; the governments and institutions through which the aid has been
channelled, as well as those who have not been used for this purpose; and,
not least, the conditions attached to aid transfers. Such a detailed scrutiny
would have added to the stated justifications and objectives—and pro-
vided a fuller picture of what development assistance has been and is all
about. Nevertheless, in this study of the frontrunners, the stated policy has
been compared with the implemented policy involving the indicators
selected for scrutiny.
The volume of ODA constitutes an important part of the policy, in
most cases the most important one, establishing its material basis. The
stated justifications may also be real ones and will, in any case, constitute
the basis on which a government sells its policy domestically and to the
outside world. Perspectives from the political and academic discourse
will—in addition to providing increased insights—add critical scrutiny.
The selection of countries clearly reflects a primary interest in identify-
ing the drivers of development assistance. What can be learned from the
policies of the frontrunners? In my search for answers, I found the setting
more complex in the cases of Sweden and Norway than for the Netherlands
and Denmark—reflected in the space given to the individual frontrunners.
The primary drivers of—and constraints on—the aid policy of the hege-
mon appeared more readily available, which is also reflected in the space
given to the major provider of ODA in absolute terms.
 INTRODUCTION 9

2   Analytical Frameworks

The volume targets set for international development assistance resulted
from processes within the UN system. They were part of the development
strategies seeking to strengthen economic growth and social development
in the South—and eventually also political development. The actual oper-
ationalization of the targets was undertaken, in the first place, by another
international organization—namely the OECD’s development assistance
committee set up by the major Western aid-providing nations. The actual
ODA has, however, been provided by individual member countries of
these international organizations—decided on by their domestic political
authorities. The economic, political and cultural environments—even the
ideological norms and institutional frameworks—of these domestic politi-
cal authorities may vary over time and, accordingly, affect the values and
interests guiding the aid policy of the individual donor countries. However,
the more basic values and predominant interests seldom change funda-
mentally overnight.
In the formative years, ODA was channelled directly (bilaterally) to the
recipient governments or indirectly through major international organiza-
tions, such as the various components of the UN system, international
financial institutions (the Bretton Woods system and regional development
banks) and international and domestic non-governmental organizations
(INGOs/NGOs). The distribution patterns may signal important charac-
teristics of the aid policy of the individual aid-providing governments—
involving normative as well as interest-based aspects.
A multitude of actors within different arenas is involved in decision-­
making on ODA targets and their implementation. This invites a variety of
possible theoretical approaches to the research questions posed in Sect. 1
above. At the level of nation states—the actual providers of the develop-
ment assistance—theory on the foreign policy of nations comes to the
forefront. But foreign policy considerations are not the only concerns at
work. Policy on development assistance—or development cooperation—
became, almost from the beginning, part and parcel of domestic policy.
This applied, not least, to the frontrunners, involving foreign policy inter-
ests as well as domestic economic interests—in the first place related to
trade and services, but increasingly extended to other areas of domestic
policy. Predominant domestic worldviews, values and norms were also
involved.
10 O. STOKKE

At the level of international relations, international regime theory offers

relevant insights and provides a framework for assessing how far the evolv-
ing cooperation has been developed—creating a basis for realistic expecta-
tions. Organizational theory may provide additional insight into the
processes involved.
This study draws on all these theories, especially those on foreign policy
and international relations. Development assistance is part of a country’s
foreign policy, as the major policy documents of the four frontrunners
explicitly state. It is also reflected in the way aid policy and its implementa-
tion has been institutionalized and administered but not equally consis-
tently by all DAC countries, including the frontrunners. Institutionally,
the ministries of foreign affairs have—in most aid-providing countries (but
with important exceptions) and for most of the time—been administering
most of the development assistance.
It follows that aid policy may be examined within the analytical frame-
works of foreign policy and international relations. The realist paradigm
that dominated analyses of politics among nation states for years during
the post-WWII era brought power and power relations to the fore: gov-
ernments seek to increase their influence and promote their vested national
interests, particularly their security and economic interests. The roots of
the realist school in international relations can be traced back to Machiavelli
(1532). The classic work in this field is Hans Morgenthau’s seminal Politics
among Nations (Morgenthau 1948, 1962). The realist school emphasizes
security interests, but economic interests also rank high in the national
interest concept. However, the concept is not limited to material con-
cerns. The predominant ideology and basic norms of a government may
be part of the extended concept and may even stand out as the prime
national interest in its own right for its potential to steer actions of those
under its sway. Over the years, the paradigm has been developed from
Morgenthau’s classic core—via, inter alia, the neorealism of Waltz (Waltz
1959, 1979) and Keohane’s After Hegemony: Cooperation and Discord in
the World Political Economy (Keohane 1984)—remaining central in the
study of international relations.
Within this paradigm, development assistance becomes an instrument
to further the national interests of the aid-providing state (with a norma-
tive string attached—this should be its mission). This would especially
apply when foreign aid/development assistance is channelled bilaterally,
but arguably also when channelled multilaterally—through intergovern-
 INTRODUCTION 11

mental bodies and domestic and international non-governmental organi-

zations or institutions.
Since the core unit of classical realism is the nation state, the paradigm
tends to neglect actors at other levels. In complex societies—particularly
in multicultural states that embrace several “nations” with separate identi-
ties and history—the core concept (the national interest) may not be easily
captured. Interests may compete and conflict, but they may also coincide
and mutually reinforce each other. Whereas, in the past, foreign policy was
the almost exclusive domain of the ministries of foreign affairs, other sec-
tor ministries of a state have increasingly become actors on the interna-
tional arena within areas of their national responsibility, leaving the
ministries of foreign affairs with a coordinating role. In most systems—
particularly in a corporate state—this brings the full variety of interests,
public and private, into the business of foreign policy formulation and
execution. Nevertheless, within the paradigm, the foreign policy focus is
to ensure and promote vested national interests within this extended
framework.
From the outset, development assistance became an instrument in the
international interplay of the emerging superpowers in the post-WWII
bipolar world system. From the late 1940s to the early 1960s, Western
governments quite openly stated that the promotion of democracy and an
open market economy, and containment of communism in the South were
prime arguments for development assistance. At that time, the US stood
out as the most generous provider of development assistance in both abso-
lute and relative terms, urging other Western countries to increase their
aid. The Soviet Union and the East also used aid as a foreign policy instru-
ment targeted at strategically important governments and social struc-
tures. From this perspective, foreign aid—including development
assistance—may best be analysed within the paradigms of realpolitik.5
The perspective of realism, both classical and neoclassical, has been
challenged from other quarters. Political actors do not always act with the
sole intention of furthering their own individual or collective self-interest,
especially within the policy field of development cooperation. In the early
1960s, several new states became aid providers—most of them starting
from a low level in comparison with the aid volume of the US and the
major European nations with a past (and even a present) as imperial pow-
ers. Most of these small- and medium-sized Western countries entering
the stage were without a colonial past and, at that point in time, with few
established economic, cultural (except for Christian missionaries) or
12 O. STOKKE

political relations with countries of the South. During the early years,
neither the US call for burden sharing in the containment of communism
in parts of the South nor the timid start of UN development assistance—
EPTA—attracted more than lukewarm attention, as demonstrated by
their modest aid performances in the 1950s and early 1960s.
The change came with the declaration of the first UN development
decade in 1961 and the later merger of the first two aid programmes into
the United Nations Development Programme (UNDP). The newcomers
did not, basically, see the provision of development assistance as an instru-
ment to sustain their national security and economic interests. They did,
however, see it as a way of strengthening the UN as such and its ability to
promote international peace and security, law and order.
This was a time when many new nations in the South emerged as inde-
pendent states. The UN had played a crucial role in the decolonization
process—and the new states joined the UN and used it as a main arena in
their foreign policy. The several small- and medium-sized Western coun-
tries that substantially increased their provision of development assistance
during the 1960s and 1970s considered this assistance primarily as just
that—a means of helping the countries in the South to develop, in the first
place economically, and then in becoming able to improve the social con-
ditions of their people.
Subsequently, the first UN development decade was declared. A strat-
egy adopted for its follow-up, including a volume target for development
assistance—meeting this target, and the more elaborate target for the fol-
lowing decade—emerged as an international obligation for members of
the United Nations. Several of the “newcomers” as aid providers had
national traditions linked to the welfare state and to international humani-
tarian relief. For these newcomers, meeting international obligations—
combined with an ideology of solidarity—appeared to be the main drivers,
rather than immediate vested national economic interests.6
Paradigms of the realist tradition failed to capture such basically altruis-
tic features of the development assistance. Recognition of this led to an
alternative paradigm for studying the foreign policy of this group of coun-
tries, and their aid policies in particular—namely humane international-
ism. The core of humane internationalism is an acceptance of the principle
that citizens of industrial nations have moral obligations towards peoples
beyond their borders and that this, in turn, has a bearing on the duties of
governments. An ethical thrust is combined with, and considered to be
 INTRODUCTION 13

instrumental for, the promotion of the long-term overall interests of coun-

tries in the North.7
These paradigms—those of classical and neoclassical realpolitik and of
humane internationalism—offer frameworks for analysing development
assistance primarily as foreign policy cum international relations. The main
focus of the former is national interests, particularly security and economic
interests, while that of the latter is norms and values. This study explores
both perspectives.
As stated, however, the perspective of this study is explicitly extended
to the domestic politics of the donor countries concerned. In the 1960s
and beyond, development assistance became an issue in the domestic pol-
icy of several, if not most, industrial Western countries. This applied espe-
cially to the domestic politics of the frontrunners—involving national
interests, norms and values, in some cases even the self-identity of the
nation.
Predominant national interests, as defined by governments, vary from
one country to another. Likewise, within any one country, they may
change with changing political and economic environments. Predominant
norms and values are also subject to change over time, with changing
societal, economic and political environments, both international and
national—and with changing ideological winds.
In most political systems, societal values and norms—as well as pre-
dominant and not so predominant interests—are aggregated, adjusted
and harmonized by political parties, each with a tradition and identity of
its own when it comes to basic norms and interests. In multiparty (demo-
cratic) political systems, it is parliaments and governments that take this
process further. The parliamentary strength of the political parties (and
coalitions of parties) and the political composition of the government are
decisive for the outcomes.
However, political and administrative systems differ, and processes are
seldom linear or simple in any system. The administrative system—and the
location of aid administration within the system—affects not only the
implementation but also the formation of policy: it may have a strong grip
on the wheel, though this varies with the system of government. Ministries
of foreign affairs—although maintaining a coordinating role—no longer
have full control over the field: other ministries have a stake, too, and have
become increasingly involved in policies affecting their own sector
responsibility.
14 O. STOKKE

Furthermore, active and well-informed NGOs have entered the field, as

have the research community and mass media—all of them observing aid
policy either from a distance or from the inside, and all with their own
values, norms and vested interests. Core groups representing “the aid con-
stituency” are active in most DAC countries. They are particularly well
organized and articulate in the case of the so-called frontrunners and have
increasingly had a stake of their own.
As noted, international regime theory, too, constitutes part of the ana-
lytical framework. An international regime within a given system or policy
area implies a system of norms, objectives and rules formalized through
some sort of agreement between most of the actors—including the major
ones—involved in the policy area studied. It also implies procedures for the
implementation of these rules—including mediation and conflict resolu-
tion—and the establishment of institutions responsible for policymaking,
monitoring and enforcement of the rules set.8
International regimes that are meeting these criteria, however elasti-
cally formulated, are not in abundance. The enforcement criterion is often
missing or elusive. Within the UN system, regimes within most areas are
based on voluntary follow-up by member states, with a possible exception
for security policy—but then the effectiveness of the Security Council
within this policy area is constrained by the permanent members’ right of
veto in issues where they may hold conflicting positions. As an analytical
framework, regime theory may expose both the limitations and the possi-
bilities of meeting international commitments, by placing the focus on
what represents the main bottlenecks for realizing lofty ambitions of the
kind embedded in the international targets set for the ODA volume.
This study explores the extent to which an international or regional
development-assistance regime has been established so far—involving the
United Nations system and the OECD. The focus is, in the first place, on
the targets—the commitments made and the political foundation on which
they rest—and secondly on their sustainability. As noted, this s­crutiny
involves the international and regional systems but also the individual
Western member countries that inhabit these systems. The monitoring sys-
tems that have been established—internationally and regionally—are also
examined. On several indicators, some steps towards establishing an inter-
national development-assistance regime have been taken. In the regional
setting of DAC members focused on in this study, these elements have
been developed somewhat further than has been the case within the UN
system. Attention is also directed at dimensions where development
 INTRODUCTION 15

towards an international (or regional) aid regime, as defined, has pro-

gressed less—if at all.
In the studies of the four so-called frontrunners, attention is directed
beyond the actual follow-up vis-à-vis international and national ODA tar-
gets in quantitative terms. As noted, another area of scrutiny concerns the
justifications given for providing ODA—the aspirations and objectives set
for this policy area. Also scrutinized are the norms guiding the quality of
ODA—such as poverty orientation, including the share of ODA allocated
to the least developed countries (LDCs). The principles and conditions—
as stated and implemented—on which development assistance have been
provided, including the grant element of ODA, are among the indicators
chosen. So too is procurement tying of aid, along with other self-serving
interests. Scrutiny of such aspects of stated and implemented policy may
lead us closer to an understanding of motives, purposes and objectives.
Political and administrative settings affect the outcome, as do proce-
dures, particularly those related to planning and other mechanisms gov-
erning decision-making processes. The arena in which decisions are made
may influence the policy outcomes, according to administrative theory.
Cohen and colleagues argue that an organization may exert influence
beyond that of its separate members (Cohen et al. 1972). This applies to
national arenas and may be extended to the international ones as well.
Nevertheless, decisions reached in international arenas will ultimately be
confronted with the realities and attitudes prevailing within the decision-­
making arenas of nation states. Should they go substantially beyond what
had previously been agreed, they may need to be confirmed, before they
can be followed up effectively. This may also apply to decisions taken by
regional organizations where the degree of integration has been carried
quite far, as the present-day EU—though to a lesser degree.

3   Methods and Main Sources

The methods and main sources used in this study have already been briefly
presented as an integral part of Sect. 1, on the main questions posed. The
study will combine quantitative and qualitative methods. Answers to the
first research question posed are sought through a comparative analysis of
the actual performances of the DAC countries, based on statistics pro-
vided by the DAC. When it comes to the four frontrunners, the stated and
implemented policies of each country will be scrutinized, focusing espe-
cially on the justifications and objectives provided (by the governments
16 O. STOKKE

and parliaments) for the provision of ODA and their follow-up. As noted,
an equally important source that is exploited—beyond the official dis-
course of governments and parliaments, including political parties—is the
academic discourse on these issues in the countries concerned. Naturally,
when it comes to the implementation of the stated policy, statistical evi-
dence is drawn upon as well. The five country studies of the four European
frontrunners and of the US constitute a basis for drawing conclusions on
a comparative basis—with an eye also on the policies and performance of
other DAC members.

4   Organization
Part Two provides the overall setting. Chapter 2 is the point of departure
for this study, outlining the evolving international aid targets. I trace the
roots of the volume target back to the early 1950s, as well as the process
leading to the UN’s first symbolic decision on the 1% target. This process
is described and analysed. The targets set for the subsequent UN develop-
ment decades are outlined and discussed, as are the processes leading to
the MDGs and the ODA volume target that was eventually set for the
attainment of these goals.
Chapter 3 provides a bird’s-eye perspective on the follow-up of these
volume targets by the members of DAC, decade by decade, with a focus
on trends.
However, ODA transfers, recorded by the DAC as development assis-
tance, have not been channelled only to poor countries of the “South”.
And countries of the South have not always been poor countries in relative
terms—their GNP/GNI per capita has varied quite extensively. Nor has
ODA always been channelled to improve the condition of poor people.
Over the years, it has served so many other purposes, varying from one
aid-providing country to another and—for the individual donor coun-
try—also over time. The “generosity” of the ODA provided to recipients
varies, too—at times quite extensively. Assistance has been provided in the
form of credits and/or grants, influencing the actual value to recipients. A
variety of conditions have been attached—from commercial conditions
such as procurement tying, to political conditions of different types, as
reflected in the first- and second-generation aid conditionality of the
1980s and 1990s, respectively, and beyond.
 INTRODUCTION 17

Chapter 4 takes a quick look at some of these issues, informed by the

title given to the chapter—what is the real value to the recipients of various
forms of development assistance? Some of the various conditions set
impact on the value to recipients of the ODA provided. Some may reduce
the real value of aid (grants vs. credits; tied aid vs. untied aid) and may, in
the worst cases of tied aid, even influence development negatively. In this
way, they also serve as indicators of the generosity or otherwise of aid-­
providing countries, especially in terms of the proportion of ODA chan-
nelled bilaterally, the grant/credit dimension and the procurement tying
of aid. These forms of ODA may also serve as indicators of the purpose of
the provision of development assistance.
The chapter starts out with a description of the aid profile of individual
DAC countries with regard to the division between bilateral and multilat-
eral ODA. A large component of multilaterally channelled ODA may serve
as an indicator of altruistic aid since the national “flag” is removed. But
this is not necessarily the case, depending, inter alia, on the ODA volume
of the donor countries concerned and the international aid agency through
which ODA is channelled. ODA channelled through international aid
agencies is normally not that easily tied to procurement in the aid-­
providing country (and other mechanisms established to ensure a high
return flow of ODA to the aid-providing country) as bilateral aid. Again,
this is not always necessary so.
These aspects will be drawn upon and further explored and discussed in
the five country studies (Part Three) as well as in the concluding Chap. 10.
In Part Three, the focus is on the aid policy and performance of the
so-called frontrunners—the Netherlands and the three Scandinavian
countries, Denmark, Norway and Sweden. We follow their individual
journeys towards implementing the international 0.7% target or going
beyond it—each based on their own target-setting for ODA. The empha-
sis is on the formative years—the late 1960s and the 1970s—but with an
eye also on developments during the following decades. A fifth country
study—on the aid policy of the US, with a variety of global ambitions,
interests and responsibilities—is added for comparative purposes and to
widen the perspective (Chap. 9).
The first four of these chapters—on Denmark, Norway, Sweden and
the Netherlands (Chaps. 5, 6, 7 and 8, respectively)—go beyond the over-
views presented in Part Two. The political and administrative processes
leading towards the targets are described against the background of chang-
ing international and domestic economic and political environments. So
Another random document with
no related content on Scribd:
as in the original. Some translations are poor or incorrect but have been retained as in the
original, except as noted in the list below.
The corrections listed in the Errata have been made except where the Errata entry is itself
incorrect. Other obvious printer or spelling errors have been corrected without note.
Archaic English and Scottish spellings have been retained as in the original.
The following substantive errors have been retained as in the original:
p. 13, maxim 7 - "not valid" should be "valid."
p. 18, maxim 5 - "Catella" should be "Catalla"; "A little whelp, (perhaps cattle)" should be
"Chattels."
p. 21, maxim 7 - "Condictio" should be "Conditio"; "The appointment of an action for a
certain day" should be "A condition."
p. 22, maxim 2 - "Condictio præcedens" should be "Conditio præcedens"; "The
appointment of an action preceding" should be "The fulfillment of a condition precedent."
p. 29, maxim 8 - "lex volentes" should be "lex nolentes"; "law draws those who are willing"
should be "law draws those who are unwilling."
p. 54, maxim 5 - The Errata indicate that "three witnesses may be brought" should be in
the translation, but that is not supported by the Latin, which is correct as is and says
nothing about witnesses.
p. 62, maxim 7 - "est alleganda" should be "non est allegenda"; "to be alleged" should be
"not to be alleged."
p. 80, maxim 3 - "casis" should be "cassis"; the translation should be "Law is the safest
helmet."
p. 139, maxim 2 - The Latin maxim should read, "Quemadmodum ad quæstionem facti
non respondent judices, ita ad quæstionem juris non respondent juratores"; the
translation should read, "As judges do not answer to questions of fact, jurors do not
answer to questions of law."
p. 151, maxim 3 - The Errata entry, "consensus," does not appear in the text of this
maxim.
*** END OF THE PROJECT GUTENBERG EBOOK A COLLECTION
OF LATIN MAXIMS & RULES, IN LAW AND EQUITY ***

Updated editions will replace the previous one—the old editions will
be renamed.

Creating the works from print editions not protected by U.S.

copyright law means that no one owns a United States copyright in
these works, so the Foundation (and you!) can copy and distribute it
in the United States without permission and without paying copyright
royalties. Special rules, set forth in the General Terms of Use part of
this license, apply to copying and distributing Project Gutenberg™
electronic works to protect the PROJECT GUTENBERG™ concept
and trademark. Project Gutenberg is a registered trademark, and
may not be used if you charge for an eBook, except by following the
terms of the trademark license, including paying royalties for use of
the Project Gutenberg trademark. If you do not charge anything for
copies of this eBook, complying with the trademark license is very
easy. You may use this eBook for nearly any purpose such as
creation of derivative works, reports, performances and research.
Project Gutenberg eBooks may be modified and printed and given
away—you may do practically ANYTHING in the United States with
eBooks not protected by U.S. copyright law. Redistribution is subject
to the trademark license, especially commercial redistribution.

START: FULL LICENSE

THE FULL PROJECT GUTENBERG LICENSE
 PLEASE READ THIS BEFORE YOU DISTRIBUTE OR USE THIS WORK

To protect the Project Gutenberg™ mission of promoting the free

distribution of electronic works, by using or distributing this work (or
any other work associated in any way with the phrase “Project
Gutenberg”), you agree to comply with all the terms of the Full
Project Gutenberg™ License available with this file or online at
www.gutenberg.org/license.

Section 1. General Terms of Use and

Redistributing Project Gutenberg™
electronic works
1.A. By reading or using any part of this Project Gutenberg™
electronic work, you indicate that you have read, understand, agree
to and accept all the terms of this license and intellectual property
(trademark/copyright) agreement. If you do not agree to abide by all
the terms of this agreement, you must cease using and return or
destroy all copies of Project Gutenberg™ electronic works in your
possession. If you paid a fee for obtaining a copy of or access to a
Project Gutenberg™ electronic work and you do not agree to be
bound by the terms of this agreement, you may obtain a refund from
the person or entity to whom you paid the fee as set forth in
paragraph 1.E.8.

1.B. “Project Gutenberg” is a registered trademark. It may only be

used on or associated in any way with an electronic work by people
who agree to be bound by the terms of this agreement. There are a
few things that you can do with most Project Gutenberg™ electronic
works even without complying with the full terms of this agreement.
See paragraph 1.C below. There are a lot of things you can do with
Project Gutenberg™ electronic works if you follow the terms of this
agreement and help preserve free future access to Project
Gutenberg™ electronic works. See paragraph 1.E below.
1.C. The Project Gutenberg Literary Archive Foundation (“the
Foundation” or PGLAF), owns a compilation copyright in the
collection of Project Gutenberg™ electronic works. Nearly all the
individual works in the collection are in the public domain in the
United States. If an individual work is unprotected by copyright law in
the United States and you are located in the United States, we do
not claim a right to prevent you from copying, distributing,
performing, displaying or creating derivative works based on the
work as long as all references to Project Gutenberg are removed. Of
course, we hope that you will support the Project Gutenberg™
mission of promoting free access to electronic works by freely
sharing Project Gutenberg™ works in compliance with the terms of
this agreement for keeping the Project Gutenberg™ name
associated with the work. You can easily comply with the terms of
this agreement by keeping this work in the same format with its
attached full Project Gutenberg™ License when you share it without
charge with others.

1.D. The copyright laws of the place where you are located also
govern what you can do with this work. Copyright laws in most
countries are in a constant state of change. If you are outside the
United States, check the laws of your country in addition to the terms
of this agreement before downloading, copying, displaying,
performing, distributing or creating derivative works based on this
work or any other Project Gutenberg™ work. The Foundation makes
no representations concerning the copyright status of any work in
any country other than the United States.

1.E. Unless you have removed all references to Project Gutenberg:

1.E.1. The following sentence, with active links to, or other

immediate access to, the full Project Gutenberg™ License must
appear prominently whenever any copy of a Project Gutenberg™
work (any work on which the phrase “Project Gutenberg” appears, or
with which the phrase “Project Gutenberg” is associated) is
accessed, displayed, performed, viewed, copied or distributed:
 This eBook is for the use of anyone anywhere in the United
States and most other parts of the world at no cost and with
almost no restrictions whatsoever. You may copy it, give it away
or re-use it under the terms of the Project Gutenberg License
included with this eBook or online at www.gutenberg.org. If you
are not located in the United States, you will have to check the
laws of the country where you are located before using this
eBook.

1.E.2. If an individual Project Gutenberg™ electronic work is derived

from texts not protected by U.S. copyright law (does not contain a
notice indicating that it is posted with permission of the copyright
holder), the work can be copied and distributed to anyone in the
United States without paying any fees or charges. If you are
redistributing or providing access to a work with the phrase “Project
Gutenberg” associated with or appearing on the work, you must
comply either with the requirements of paragraphs 1.E.1 through
1.E.7 or obtain permission for the use of the work and the Project
Gutenberg™ trademark as set forth in paragraphs 1.E.8 or 1.E.9.

1.E.3. If an individual Project Gutenberg™ electronic work is posted

with the permission of the copyright holder, your use and distribution
must comply with both paragraphs 1.E.1 through 1.E.7 and any
additional terms imposed by the copyright holder. Additional terms
will be linked to the Project Gutenberg™ License for all works posted
with the permission of the copyright holder found at the beginning of
this work.

1.E.4. Do not unlink or detach or remove the full Project

Gutenberg™ License terms from this work, or any files containing a
part of this work or any other work associated with Project
Gutenberg™.

1.E.5. Do not copy, display, perform, distribute or redistribute this

electronic work, or any part of this electronic work, without
prominently displaying the sentence set forth in paragraph 1.E.1 with
active links or immediate access to the full terms of the Project
Gutenberg™ License.
1.E.6. You may convert to and distribute this work in any binary,
compressed, marked up, nonproprietary or proprietary form,
including any word processing or hypertext form. However, if you
provide access to or distribute copies of a Project Gutenberg™ work
in a format other than “Plain Vanilla ASCII” or other format used in
the official version posted on the official Project Gutenberg™ website
(www.gutenberg.org), you must, at no additional cost, fee or expense
to the user, provide a copy, a means of exporting a copy, or a means
of obtaining a copy upon request, of the work in its original “Plain
Vanilla ASCII” or other form. Any alternate format must include the
full Project Gutenberg™ License as specified in paragraph 1.E.1.

1.E.7. Do not charge a fee for access to, viewing, displaying,

performing, copying or distributing any Project Gutenberg™ works
unless you comply with paragraph 1.E.8 or 1.E.9.

1.E.8. You may charge a reasonable fee for copies of or providing

access to or distributing Project Gutenberg™ electronic works
provided that:

• You pay a royalty fee of 20% of the gross profits you derive from
the use of Project Gutenberg™ works calculated using the
method you already use to calculate your applicable taxes. The
fee is owed to the owner of the Project Gutenberg™ trademark,
but he has agreed to donate royalties under this paragraph to
the Project Gutenberg Literary Archive Foundation. Royalty
payments must be paid within 60 days following each date on
which you prepare (or are legally required to prepare) your
periodic tax returns. Royalty payments should be clearly marked
as such and sent to the Project Gutenberg Literary Archive
Foundation at the address specified in Section 4, “Information
about donations to the Project Gutenberg Literary Archive
Foundation.”

• You provide a full refund of any money paid by a user who

notifies you in writing (or by e-mail) within 30 days of receipt that
s/he does not agree to the terms of the full Project Gutenberg™
License. You must require such a user to return or destroy all
 copies of the works possessed in a physical medium and
discontinue all use of and all access to other copies of Project
Gutenberg™ works.

• You provide, in accordance with paragraph 1.F.3, a full refund of

any money paid for a work or a replacement copy, if a defect in
the electronic work is discovered and reported to you within 90
days of receipt of the work.

• You comply with all other terms of this agreement for free
distribution of Project Gutenberg™ works.

1.E.9. If you wish to charge a fee or distribute a Project Gutenberg™

electronic work or group of works on different terms than are set
forth in this agreement, you must obtain permission in writing from
the Project Gutenberg Literary Archive Foundation, the manager of
the Project Gutenberg™ trademark. Contact the Foundation as set
forth in Section 3 below.

1.F.

1.F.1. Project Gutenberg volunteers and employees expend

considerable effort to identify, do copyright research on, transcribe
and proofread works not protected by U.S. copyright law in creating
the Project Gutenberg™ collection. Despite these efforts, Project
Gutenberg™ electronic works, and the medium on which they may
be stored, may contain “Defects,” such as, but not limited to,
incomplete, inaccurate or corrupt data, transcription errors, a
copyright or other intellectual property infringement, a defective or
damaged disk or other medium, a computer virus, or computer
codes that damage or cannot be read by your equipment.

1.F.2. LIMITED WARRANTY, DISCLAIMER OF DAMAGES - Except

for the “Right of Replacement or Refund” described in paragraph
1.F.3, the Project Gutenberg Literary Archive Foundation, the owner
of the Project Gutenberg™ trademark, and any other party
distributing a Project Gutenberg™ electronic work under this
agreement, disclaim all liability to you for damages, costs and
expenses, including legal fees. YOU AGREE THAT YOU HAVE NO
REMEDIES FOR NEGLIGENCE, STRICT LIABILITY, BREACH OF
WARRANTY OR BREACH OF CONTRACT EXCEPT THOSE
PROVIDED IN PARAGRAPH 1.F.3. YOU AGREE THAT THE
FOUNDATION, THE TRADEMARK OWNER, AND ANY
DISTRIBUTOR UNDER THIS AGREEMENT WILL NOT BE LIABLE
TO YOU FOR ACTUAL, DIRECT, INDIRECT, CONSEQUENTIAL,
PUNITIVE OR INCIDENTAL DAMAGES EVEN IF YOU GIVE
NOTICE OF THE POSSIBILITY OF SUCH DAMAGE.

1.F.3. LIMITED RIGHT OF REPLACEMENT OR REFUND - If you

discover a defect in this electronic work within 90 days of receiving it,
you can receive a refund of the money (if any) you paid for it by
sending a written explanation to the person you received the work
from. If you received the work on a physical medium, you must
return the medium with your written explanation. The person or entity
that provided you with the defective work may elect to provide a
replacement copy in lieu of a refund. If you received the work
electronically, the person or entity providing it to you may choose to
give you a second opportunity to receive the work electronically in
lieu of a refund. If the second copy is also defective, you may
demand a refund in writing without further opportunities to fix the
problem.

1.F.4. Except for the limited right of replacement or refund set forth in
paragraph 1.F.3, this work is provided to you ‘AS-IS’, WITH NO
OTHER WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED,
INCLUDING BUT NOT LIMITED TO WARRANTIES OF
MERCHANTABILITY OR FITNESS FOR ANY PURPOSE.

1.F.5. Some states do not allow disclaimers of certain implied

warranties or the exclusion or limitation of certain types of damages.
If any disclaimer or limitation set forth in this agreement violates the
law of the state applicable to this agreement, the agreement shall be
interpreted to make the maximum disclaimer or limitation permitted
by the applicable state law. The invalidity or unenforceability of any
provision of this agreement shall not void the remaining provisions.
1.F.6. INDEMNITY - You agree to indemnify and hold the
Foundation, the trademark owner, any agent or employee of the
Foundation, anyone providing copies of Project Gutenberg™
electronic works in accordance with this agreement, and any
volunteers associated with the production, promotion and distribution
of Project Gutenberg™ electronic works, harmless from all liability,
costs and expenses, including legal fees, that arise directly or
indirectly from any of the following which you do or cause to occur:
(a) distribution of this or any Project Gutenberg™ work, (b)
alteration, modification, or additions or deletions to any Project
Gutenberg™ work, and (c) any Defect you cause.

Section 2. Information about the Mission of

Project Gutenberg™
Project Gutenberg™ is synonymous with the free distribution of
electronic works in formats readable by the widest variety of
computers including obsolete, old, middle-aged and new computers.
It exists because of the efforts of hundreds of volunteers and
donations from people in all walks of life.

Volunteers and financial support to provide volunteers with the

assistance they need are critical to reaching Project Gutenberg™’s
goals and ensuring that the Project Gutenberg™ collection will
remain freely available for generations to come. In 2001, the Project
Gutenberg Literary Archive Foundation was created to provide a
secure and permanent future for Project Gutenberg™ and future
generations. To learn more about the Project Gutenberg Literary
Archive Foundation and how your efforts and donations can help,
see Sections 3 and 4 and the Foundation information page at
www.gutenberg.org.

Section 3. Information about the Project

Gutenberg Literary Archive Foundation
The Project Gutenberg Literary Archive Foundation is a non-profit
501(c)(3) educational corporation organized under the laws of the
state of Mississippi and granted tax exempt status by the Internal
Revenue Service. The Foundation’s EIN or federal tax identification
number is 64-6221541. Contributions to the Project Gutenberg
Literary Archive Foundation are tax deductible to the full extent
permitted by U.S. federal laws and your state’s laws.

The Foundation’s business office is located at 809 North 1500 West,

Salt Lake City, UT 84116, (801) 596-1887. Email contact links and up
to date contact information can be found at the Foundation’s website
and official page at www.gutenberg.org/contact

Section 4. Information about Donations to

the Project Gutenberg Literary Archive
Foundation
Project Gutenberg™ depends upon and cannot survive without
widespread public support and donations to carry out its mission of
increasing the number of public domain and licensed works that can
be freely distributed in machine-readable form accessible by the
widest array of equipment including outdated equipment. Many small
donations ($1 to $5,000) are particularly important to maintaining tax
exempt status with the IRS.

The Foundation is committed to complying with the laws regulating

charities and charitable donations in all 50 states of the United
States. Compliance requirements are not uniform and it takes a
considerable effort, much paperwork and many fees to meet and
keep up with these requirements. We do not solicit donations in
locations where we have not received written confirmation of
compliance. To SEND DONATIONS or determine the status of
compliance for any particular state visit www.gutenberg.org/donate.

While we cannot and do not solicit contributions from states where

we have not met the solicitation requirements, we know of no
prohibition against accepting unsolicited donations from donors in
such states who approach us with offers to donate.

International donations are gratefully accepted, but we cannot make

any statements concerning tax treatment of donations received from
outside the United States. U.S. laws alone swamp our small staff.

Please check the Project Gutenberg web pages for current donation
methods and addresses. Donations are accepted in a number of
other ways including checks, online payments and credit card
donations. To donate, please visit: www.gutenberg.org/donate.

Section 5. General Information About Project

Gutenberg™ electronic works
Professor Michael S. Hart was the originator of the Project
Gutenberg™ concept of a library of electronic works that could be
freely shared with anyone. For forty years, he produced and
distributed Project Gutenberg™ eBooks with only a loose network of
volunteer support.

Project Gutenberg™ eBooks are often created from several printed

editions, all of which are confirmed as not protected by copyright in
the U.S. unless a copyright notice is included. Thus, we do not
necessarily keep eBooks in compliance with any particular paper
edition.

Most people start at our website which has the main PG search
facility: www.gutenberg.org.

This website includes information about Project Gutenberg™,

including how to make donations to the Project Gutenberg Literary
Archive Foundation, how to help produce our new eBooks, and how
to subscribe to our email newsletter to hear about new eBooks.