pols 373 foundations of politics pols 373 foundations of comparative politics what makes a...

POLS 373 POLS 373 Foundations of Foundations of Comparative PoliticsPolitics

POLS 373 POLS 373 Foundations of Foundations of Comparative PoliticsPolitics

What Makes a Democracy?

Professor Timothy Lim

California State University, Los Angeles

[email protected]


Professor Timothy Lim

California State University, Los Angeles

[email protected]

Do popular protests make democracy?Do popular protests make democracy?

Some Questions …Some Questions …

Do the political elite make democracy?Do the political elite make democracy?

Do “structures,” not people, make democracy?Do “structures,” not people, make democracy?

What, really, is democracy?What, really, is democracy?

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Explaining Transitions to Democracy



Let’s begin with a basic

observation …

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Explaining Transitions to Democracy… the world is seemingly becoming more democratic

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

http://members.aol.com/cspmgm/conflict.htm

http://members.aol.com/cspmgm/conflict.htm

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Explaining Transitions to DemocracyThe world is becoming more democratic

Another perspective: In 1900, zero (0.0) percent of the world’s population lived in democracies; by 1950, 31 percent of the world’s population was democratic

By 2000, according to another source, 58.2 percent of the world’s people lived in democracies; by 2006, this figure had grown to 63% (based on estimates by Freedom House)_______________________Source: R.J. Rummel, “Democratic Peace Clock”

http://www.hawaii.edu/powerkills/DP.CLOCK.HTM

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Explaining Transitions to DemocracyWhy Is Democracy Spreading?The global spread of democracy raises a number of important questions …

Is the expansion of democracy inevitable? Will it necessarily reach all countries in time?

Or, is democracy the product of particular forces and processes that will be forever resisted by some parts of the world, such as the Middle East and China?

Why did the 20th century witness the most major advances of democracy globally? Was there something unique about the 20th century?

What is the best method of promoting democracy? Should the United States be in the business of exporting democracies?

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Explaining Transitions to DemocracyDefining DemocracyThe definition of “democracy”is subject to great debate, but defining democracy is an essential first step …

What is democracy

? A discussion point

A discussion point

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Explaining Transitions to DemocracyDefining 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”

~ Anthony Giddens

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Explaining Transitions to DemocracyDefining Democracy: A Formal DefinitionGidden’s 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

To this list, we might add a fourth characteristic:

(Near) universal and equal suffrage (suffrage is simply the right or privilege of voting)

So, are these characteristics enough?

1.1.

2.2.

3.3.

4.4.

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Explaining Transitions to DemocracyDefining Democracy: A Formal Defining Democracy: A Formal DefinitionDefinitionTo many people, “formal democracy” is not To many people, “formal democracy” is not democracy at all: it may be a democracy in democracy at all: it may be a democracy in namename, but not in , but not in realityreality. . Instead, many Instead, many believe that democracy believe that democracy must be defined must be defined in in substantivesubstantive terms termsThis cartoon

illustrates the problem with

“formal democracies”:

people may have the right to vote in free and “fair”

elections, but the real power lies

with the corporate elite

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Explaining Transitions to DemocracyDefining Democracy: The Continuing Defining Democracy: The Continuing DebateDebate

Is a “formal” or narrow definition of Is a “formal” or narrow definition of democracy appropriate or meaningful?democracy appropriate or meaningful?

Does only a substantive definition Does only a substantive definition provide an adequate understanding of provide an adequate understanding of “real” democracy?“real” democracy?

What is the best way to operationalize What is the best way to operationalize the concept of democracy?the concept of democracy?

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionSubstantive definitions of democracy are important, but a formal definition are sometimes necessary …

To answer this question, let’s consider the importance of operationalization

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionAnalytically speaking, complex concepts such as “democracy” must be operationalized

Quick definition: Operationalization is the process of defining a concept so that it can be ______________ or otherwise identified as a distinct phenomenon

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

Consider the following example …

measured

What does this mean?What does this mean?

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Explaining Transitions to DemocracyThe Case for a Formal Definition

To appreciate the importance of

operationalization, consider the concept of

“intelligence” …

How can we study “intelligence” if we cannot measure it?

How can we study intelligence if we cannot distinguish it from other

phenomena?

How can we know the significance of

intelligence if there is no unequivocal way to even

say that it exists?

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionOne Problem. In the real world, substantive definitions of democracy tend to “set the bar very high” such that few, if any, countries actually meet the criteria. This might be acceptable if formal definitions do not, in fact, tell us something important about democracy

This leads to an obvious question: Are formal definitions of democracy meaningful?

One way to assess the meaningfulness of a formal definitionis to consider the following question …Is a political system that meets the

minimal requirements of a formal democracy significantly different from an autocracy or dictatorship--such as the one once ruled over by that evil-doer Saddam Hussein?

Is a political system that meets the minimal requirements of a formal democracy significantly different from an autocracy or dictatorship--such as the one once ruled over by that evil-doer Saddam Hussein?

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionTo see how a formal definition of democracy is meaningful it is useful toconsider concrete differences in

political regimes, between dictatorships and democracies …

Chile under Pinochet (1974-1990) or Chile

under President Michelle Bachelet

Chile under Pinochet (1974-1990) or Chile

under President Michelle Bachelet

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionTo see how a formal definition of democracy is meaningful it is useful toconsider concrete differences in


Nazi Germany under Adolf Hitler or Germany under

Chancellor Angela Merkel

Nazi Germany under Adolf Hitler or Germany under

Chancellor Angela Merkel

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QuickTime™ and aTIFF (Uncompressed) decompressor

are needed to see this picture.

The Case for a Formal DefinitionTo see how a formal definition of democracy is meaningful it is useful toconsider concrete differences in


Japan under Prime Minister Hideki Tojo

or Japan under Juniichiro Koizumi

Japan under Prime Minister Hideki Tojo

or Japan under Juniichiro Koizumi

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionKey Point: If there is a significant difference between democracies and autocracies, then a formal definition of democracy is both appropriate and meaningful

To Repeat: If it can be shown that the criteria of a formal democracy represent a real political change then we need not worry developing a “perfect” definition of democracy

Is a political system that meets the minimal requirements of a formal democracy significantly

different from an autocracy or dictatorship, such as the one once ruled over by that evil-doer Saddam Hussein?

Is a political system that meets the minimal requirements of a formal democracy significantly

different from an autocracy or dictatorship, such as the one once ruled over by that evil-doer Saddam Hussein?

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Explaining Transitions to DemocracyThe Case for a Formal DefinitionOne last point

Using a formal definition of democracy does not mean that we should ignore, still less abandon substantive definitions

Indeed, depending on the purpose of the research, a substantive definition is sometimes necessary

Example. A study of why some democracies are “strong” while others are “weak” or a study of how to “improve” democracy …

Example. A study of why some democracies are “strong” while others are “weak” or a study of how to “improve” democracy …

Explanations of Democracy

Explanations of Democracy

What Makes a Democracy?What Makes a Democracy?

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Explaining Transitions to DemocracySome QuestionsThere is a tendency--in the West at least--to assume that democracy benefits everyone. But this isn’t necessarily true. To begin a study of democracy, then, it is crucial to consider a few basic questions …

In general, who (or which groups) in society opposes democracy?

In general, who (or which groups) in society favor democracy?

Who benefits from democracy and whose interests are threatened?

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Explaining Transitions to DemocracyWho Opposes Democracy?For the dominant groups in 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 populationHistorically, the group most resistant to democracy has been the landowning class: this is because landowners, more than any other dominant class, depend on a subservient, oppressed labor class

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Explaining Transitions to DemocracyWho Opposes Democracy?Think of it this way: If the majority of people in a society are poor and exploited would they not be immediately tempted, in a democratic system, to use their new-found and overwhelming voting power to redistribute economic resources and, ultimately, to undermine—if not destroy—the position and privileges of the wealthy (or political and economic elite)?

The simple answer is YES

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Explaining Transitions to DemocracyWho Opposes Democracy?In the 20th century, opponents of democracy have also included states and/or state leaders, especially in poor or developing countries The 1989 Chinese

“democracy movement” in Tiananmen Square represents an example of state-opposition to democracy

______________________________

Leaders of modern states often oppose democracy because their own survival may be at stake once they are out of office; other state leaders believe that democracy will result in too many demands by labor, thus undermining the industrialization process

Video intentionally removedPlease see CourseSite to view video

Video intentionally removedPlease see CourseSite to view video

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Explaining Transitions to DemocracyWho Favors Democracy?Simple Answer: Any group or segment of society that would benefit from having a greater voice in the political processHistorically, 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)

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QuickTime™ and aTIFF (Uncompressed) decompressor

are needed to see this picture.

Democracy and PowerDemocracy and PowerGiven the almost undeniable social Given the almost undeniable social tension that democracy entails, most tension that democracy entails, most analysts agree … analysts agree …

Democracy is Democracy is above all a above all a

matter of powermatter of power

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Explaining Transitions to DemocracyDemocracy and Power: Implications Democracy does not just happen through some automatic

process, but is almost always a product of a political struggle among competing groups with competing interests

Democratization requires an underlying shift in power

The transition to democracy marks a significant political change, but transitions to democracy are never guaranteed:

Indeed, given the nature of democratic change--i.e., its impact of relations of power--opposition and attempts to re-impose a non-democratic system should be expected

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Explaining Transitions to DemocracyDemocracy and Power: ImplicationsStructuralists, rationalists, and culturalists generally agree on the significance of power, but they differ on several key questions …

Who are the key agents of change? Are they elites, subordinate actors, outside agents or some combination?

How does the struggle for power unfold? Is it the product of elite interaction? Is it a structural phenomenon, a cultural one, or something else?

Do certain “conditions” need to exist before democratization can happen? Or is democracy possible under any circumstances?

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewTo 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 …

How do subordinate classes “get power”? Discussion

question

Discussionquestion

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewHow do subordinate classes “get power”?

Basic Answer: The power of subordinate classes is a product of capitalist development, which brings unavoidable changes to any society. Specifically …

Capitalism creates subordinate classes with the capacity for _________________________

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

self-organization

SELF-ORGANIZATION: An Explanation

“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 subordinateclass organization”

SELF-ORGANIZATION: An Explanation

“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 subordinateclass organization”

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewThe 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

your chains

Workers of the world unite! You have nothing to lose but

your chains

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewHaving more power doesn’t automatically lead to democracy. There are several reasons for this …

Sometimes subordinate groups are co-opted by the elite

Sometimes subordinate groups, while more powerful, still lack enough power to topple the existing regime--in these cases, alliances with other groups may be necessary

In a similar vein, sometimes the state is “overdeveloped” (i.e., possesses excessive coercive capacity, often as a result of an alliance with major Western countries)

Sometimes “transnational forces” intervene

Co-option refers to the process of being incorporatedinto the mainstream or dominant power structure, but

always in a subservient role. Frequently, thosewho have been co-opted will embrace the interestsof the dominant power structure while neglecting

the interests of their original group

Co-option refers to the process of being incorporatedinto the mainstream or dominant power structure, but

always in a subservient role. Frequently, thosewho have been co-opted will embrace the interestsof the dominant power structure while neglecting

the interests of their original group

More on next slideMore on next slide

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Explaining Transitions to DemocracyDemocracy and Power: Structural View

These two videos illustrate both how “transnational forces” can work against democratization and also how outside powers can help to create overdeveloped state capacity with regard to coercive capacity

Video intentionally removedPlease see CourseSite

Video intentionally removedPlease see CourseSite

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewSumming Up: In general, structuralists assert that capitalist development is the underlying process through which democracy emerges

This helps explain why democracy is a primarily 20th century phenomenon: capitalist industrialization has made its greatest and most rapid strides in the last 100 years or so

At the same time, democracy is an essentially unintended outcome of capitalism; that is, capitalism is not designed to promote capitalism; indeed, it is, in many ways, antithetical to democracy

This helps explain why the globalization of capitalism is undermining democracy today instead of encouraging it

This helps explain why the globalization of capitalism is undermining democracy today instead of encouraging it

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Explaining Transitions to DemocracyDemocracy and Power: Structural ViewQuestions 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 culturalist respond? Consider these questions in depth.

They could be part of your final examination!

Consider these questions in depth. They could be part of your final

examination!

pols 373 foundations of politics pols 373 foundations of comparative politics what makes a...

Documents

global spread of democracy

major advances of democracy

democratic peace clock

basic observation slide

worlds population

worlds people

los angeles

political leaders