what makes a democracy?
foundations of comparative politics
professor timothy c. lim [email protected]who or what makes democracy?
does democracy have any cultural, institutional or structural preconditions or is democracy possible anywhere?
more specifically, can countries such as china democratize? what makes the arab middle east so resistant to democratization?
[we ‘ll return to a discussion of these questions later]
some questions to ponder …
what makes a democracy?
explaining transitions to democracy3
what makes a democracy?
explaining transitions to democracy4
… the world is becoming
more
democratic
what makes a democracy?
explaining transitions to democracy
5
more democracy
this graph shows the number of states with each of three general authority patterns: democracy, autocracy, and “anocracy” (an anocracy is defined as a regime type that has characteristics of both democratic and authoritarian rule). ____________________ source: global conflict trends democracies
anocracies autocracies
what makes a democracy?
explaining transitions to democracy
6
another
perspective
in 1900, according to one source,* zero (0.0) percent of the world’s population lived in democracies; by 1950, 31 percent of the world’s population was democraticby 2006, 63 percent of the world’s people lived in democracies (based on estimates by freedom house)
_______________________ source: r.j. rummel, “democratic peace clock”
what makes a democracy?
explaining transitions to democracy
7
why is democracy spreading?
the global spread of democracy raises another
important question
is the expansion of democracy inevitable?
will it necessarily reach all countries in time?
before going much further, we need to address an even more basic question … what is democracy?
what makes a democracy?
explaining transitions to democracy8
defining democracy
the definition of “democracy” is subject to great debate, but any substantive discussion of democracy must begin
with a basic definition …
the dictionary definition, unfortunately, is probably not the best source …here’s another one
what makes a democracy?
explaining transitions to democracy9
defining democracy: one definition
“I would say democracy exists where you have a multiparty system with political parties competing with one another, free and non-corrupt voting procedures to elect political leaders, and an effective legal framework of civil liberties or human rights that underlie the mechanisms of voting processes”
defining democracy: one definition
giddens’ definition includes three core characteristics of democracy:
a competitive multiparty system free and non-corrupt elections an effective legal framework of civil liberties or human rights
what makes a democracy?
defining democracy: one definition
to this list, we might add one more core element …
a competitive multiparty system
free and non-corrupt elections
an effective legal framework of civil liberties or human rights
near universal suffrage
what makes a democracy?
what makes a democracy?
explaining transitions to democracy
12
de
fi
ning
democracy: a problem?
to many people, “formal democracy” is not democracy at all: it may be a democracy in name, but not in reality
to such critics, democracy goes well beyond the ballot box to issues of social and economic equality such that all citizens have an equal effective input into making political decisions
is this a valid point?
many people believe that a democracy corrupted by money or power is no democracy at all
what makes a democracy?
explaining transitions to democracy
what makes a democracy?
explaining transitions to democracy15
de
fi
ning democracy: the continuing debate
to repeat: for researchers interested in explaining the transition
from a “non-democratic” to “democratic” political system, it is absolutely critical that they be able to distinguish between a
non-democracy and non-democracy
in other words, researchers studying democratic transition must
be able to operationalize the concept of democracy
what does it mean to operationalize a concept?
what makes a democracy?
explaining transitions to democracy16
defining democracy: the continuing debate
operationalization is the process of defining a concept so that it can be ______________ or otherwise identified as a distinct phenomenon
key point. operationalization is essential in scientific analysis, for if it is not possible to measure (or quantify) a phenomenon, it is essentially impossible to study it in a meaningful way
operationalization, therefore, is typically based on the most clear-cut and often minimal criteria measured
what makes a democracy?
explaining transitions to democracy17
the case for a formal definition
for critics, the question remains …
“does a formal definition of democracy have
explaining democracy
people lining up to vote in sierra leoneto begin this discussion, let’s consider (again!) some very basic questions …
what makes a democracy?
explaining transitions to democracy20
some
questions
to consider …
in general, who (or which groups) in society
opposes democracy? why do certain groups oppose democracy--what do they lose?
in general, who (or which groups) in society
favor democracy? why do these groups welcome democracy--what do they gain?
what makes a democracy?
explaining transitions to democracy21
who
opposes
democracy?
for the dominant groups in (a non-democratic) society, democracy generally represents a concrete threat to their own interests, since, by its very nature, democracy gives power to the “oppressed” or subordinate classes, who constitute the large majority of any society’s population
we expect, therefore, the “rich” to generally oppose democracy; we would also expect political leaders and their supporters to stand in opposition to democracy change
what makes a democracy?
explaining transitions to democracy22
who
opposes
democracy?
in addition to privileged individuals or groups, however, there is also another major opponent to democratic change: “states”
a good example of this occurred in China: in 1989, the Chinese state brutally repressed in a pro-democracy
what makes a democracy?
explaining transitions to democracy23
who
opposes
democracy?
it is important to understand, too, that state power is not limited to a state’s oppression of its own people: despite its rhetoric to the contrary, for example, the u.s. government has frequently used its power to subvert democracy throughout the world this point is made clear in the following excerpt from the
what makes a democracy?
explaining transitions to democracy
25
who
favors
democracy?
simple answer: any group or segment of society that would benefit from having a greater voice in the political process historically, this has included the “middle class,” the working class, the masses in general, the petty bourgeoisie (e.g., small merchants, craftsmen, and other self-employed groups), and the “intellectual class” (especially university students) in sum, any transition to democracy involves a serious “social tension”
given the undeniable tension between the forces that favor democracy and those that are opposed, most analysts agree on one basic point …
democracy is above all a matter of power
beyond this basic point, however, there is less agreement with this in mind, we will begin our theoretical examination of democracy with a focus on the structural perspective
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explaining transitions to democracy
28
democracy and power:
structural
view
to structuralists, transitions to democracy are shaped and even determined by broad structural changes that reorder the balance of power among different classes and class coalitions in society for democracy to emerge, subordinate classes must have sufficient power to challenge the dominant classes, but this raises an important question …
what makes a democracy?
explaining transitions to democracy
29
democracy and power: structural view
basic answer
in this view, capitalism is a unremitting process that necessarily
reshapes societies, destroying the “old” and implanting new institutions, practices, and relationships of power
capitalism changes everyone and everything in a society in
profound ways: it is a structural force par excellence the power of subordinate classes is a product of capitalist development
what makes a democracy?
explaining transitions to democracy30
democracy and power: structural view
capitalism creates subordinate classes with the capacity for _________________________ “capitalism brings the subordinate class or classes together in factories cities where members of those classes can associate and organized more easily; it improves the means of communication and transportation …; in these and other ways, it strengthens civil society and facilitates subordinate class organization”
self-organization
what makes a democracy?
explaining transitions to democracy
31
democracy and power: structural view
the importance of self-organization is underscored in marx and engel’s famous quote (from the communist manifesto) …
Workers of the
world unite! You have
nothing to lose but
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explaining transitions to democracy
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democracy and power: structural view
capitalism also entails greater dependence of elite groups on
subordinate classes: simply put, capitalists rely on workers to work
capitalism creates tensions between elite groups: landowners, in
particular, lose power at the expense of “industrialists,” which
weakens the cohesion of the elite
to repeat: these are both products of the capitalist structure
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democracy and power: structural view
key point capitalism gives workers the capacity to exercise power; yet, this
happens in spite of the clear desire by capitalists to keep workers powerless this is the “beauty” of capitalism as a structural force: it creates
unintended and unwanted outcomes, and it is itself highly
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explaining transitions to democracy
34
democracy and power:
structural
view
there is more to the structural argument than what we have covered here, but the basic logic should be clear enough to see: to
repeat, capitalism reshapes relations between the dominant and
subordinate classes; it changes the balance of class power
it is also important to recognize that the structural effects of
capitalism are complex and sometimes contradictory
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democracy and power: structural view
many scholars argue that global capitalism is weakening
democracy, and there is plenty of evidence to demonstrate the
accuracy of this argument
but does this not contradict our previous argument? is there a
way to reconcile the seeming contradiction between the positive
effects of (domestic) capitalism and the negative effects of global
capitalism on democracy? (hint: think about how global capitalism
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explaining transitions to democracy
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democracy and power: structural view
(repeat) questions for consideration and discussion
as a rapidly growing capitalist society, is the breakdown of
authoritarian, communist party rule in china inevitable?
can structuralists account for the longevity of authoritarianism
in the middle east, especially among arab islamic countries?
are there any inconsistencies in the structural account
that you can identify? how would a rationalist or a
37
explaining democracy
what makes a democracy?
explaining transitions to democracy
an alternative perspective
rationalists do not agree with structuralists that “inert,
invisible structures make democracies”
to put it very simply, believe that …
people may be political elite or …
what makes a democracy?
… they may “the people,” the masses
what makes a democracy?
what makes a democracy?
explaining transitions to democracy
elite or the people?
it is important to understand that rationalist don’t all agree on
who is most important in the democratization process,
the elite or the people (more on this in a bit)
what makes a democracy?
explaining transitions to democracy
elite
or
the people?
individual interests and preferences are, as usual, key (the issue
is whose interests or preferences matter most)
rationalists also believe that democracy is possible in
virtually any socio-economic context-i.e., there are no
preconditions to democracy
thus, rationalists don’t consider capitalism to be the key
what makes a democracy?
explaining transitions to democracy
elite
or
the people? back to
differences
a focus on the elite versus a focus on the masses has important
what makes a democracy?
explaining transitions to democracy
elite or the people? back to differences
a focus on elite suggests that democratization is a largely
negotiated and cooperative process (consider
the notion of pacting)
a focus on the masses suggests that democratization is a
what makes a democracy?
explaining transitions to democracy
elite
or
the people? back to
differences
cooperative explanations
epitomized by samuel huntington’s observation on an ironic
feature of contemporary democratization in certain countries, primarily in latin america
he argued that it was a process that could be characterized as …
what makes a democracy?
explaining transitions to democracy
elite or the people? back to differences
non-cooperative explanations
suggests that democracy is product of people who want it and are
willing to risk their lives to “get it”
in this view, one might argue that the push for democracy changes
the strategic environment for political leaders; when
mass-movements are strong enough, leaders can see the writing on the
what makes a democracy?
explaining transitions to democracy
elite
or
the people?
empirical
issues
both cooperative (elite-centered) and non-cooperative approaches
(mass-based) have empirical support …
in latin america, there is a great deal of evidence for
cooperative approaches
in africa, the post-communist states, and in asia,
what makes a democracy?
explaining transitions to democracy
elite
or
the people?
questions
so where does this leave us? are
both views right? does it even matter?
is there a way to come up with a
coherent and empirically comprehensive
what makes a democracy?
explaining transitions to democracy
elite
or
the people? a
coherent
explanation
a coherent and empirically comprehensive explanation may be
possible, although for our purposes it’s more important to
understand the basic logic and principles of how we can use a
rationalist framework to construct a comprehensive
what makes a democracy?
explaining transitions to democracy
a comprehensive explanation?
first off, a little comparative checking will tell us that not all
authoritarian regimes are alike …
some are dominated by military leaders, who may have taken
power through a coup d'état
some are dominated by “personalist” or charismatic leaders:
single individuals who dominate the political process
some are dominated by a highly cohesive, tightly disciplined party
what makes a democracy?
explaining transitions to democracy
a
comprehensive
explanation?
while outwardly similar, these dictators presided over different types of authoritarian regimes
what makes a democracy?
explaining transitions to democracy
a
comprehensive
explanation?
for a long time, many scholars took these differences for granted;
they did not assign any particular causal significance to the
different varieties of authoritarianism one scholar, however, asked the question …
what makes a democracy?
explaining transitions to democracy
the answer by barbara geddes is an emphatic “yes”
answering yes, of course, raises a number of other critical questions … fortunately, for rationalists, there is a relatively simple
model to follow (and one with which you should all
be quite familiar)
what makes a democracy?
explaining transitions to democracy
rational choice model:
key
questions (a reprise)
who are the main actors?
how are their interests or preferences defined?
what is the nature of the interaction between
or among actors?
what information is available to them?
what type of constraints do they face?
how do constraints influence their actions?
what are other elements of the strategic
what makes a democracy?
explaining transitions to democracy
who are the main actors?
how are their interests or preferences defined?
what makes a democracy?
explaining transitions to democracy
what is the nature of the interaction between
or among actors?
what makes a democracy?
explaining transitions to democracy
rational choice model: different
authoritarianisms
basic argument
different types of regimes arise for different reasons, but, once created, the major types (military, personalist, and single-party) tend
to exhibit similar characteristics regardless of political,
social, cultural or geographic context
what makes a democracy?
explaining transitions to democracy
rational choice model: different
authoritarianisms
military regimes are the most likely to breakdown because the leaders are not interested in political power per se
moreover, if any internal splits threaten the cohesion and power of the military, their preference is to “save the military” rather than to hold on to political power
key implication: military authoritarian regimes not only tend to have the shortest life spans, but the transition to democracy is generally negotiated and “cooperative”
what makes a democracy?
explaining transitions to democracy
rational choice model: different
authoritarianisms
single-party and personalist regimes are more resistant to
breakdown because the political leaders have more to lose:
leaders will fight tooth-and-nail to hold on to power
this means that transitions are often violent and almost
always non-cooperative
but why would a transition happen at all? what is the key mechanism or trigger for political change?
what makes a democracy?
explaining transitions to democracy
the short answer …exogenous shocks
these might include an economic crisis, a natural disaster, war or
invasion, sudden loss of outside support (e.g., the
collapse of the soviet union)
what makes a democracy?
explaining transitions to democracy
rational choice model: different
authoritarianisms
exogenous shocks can destabilize the system: they might, for
example, undermine elite control of economic or coercize
resources or otherwise de-legitimize the regime
they might provide opportunities for opponents of the regime to
increase their power relative to the regime, which can
