pols 373 foundations of comparative politics

POLS 373 Foundations of

Comparative Politics

What Makes a Democracy?

February 27-March 1, 2007Professor Timothy Lim

California State University, Los Angeles

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What Makes a Democracy?Introduction

First off …

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… the world is 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 TrendsDemocracies Anocracies Autocracies

An autocracy is technically a form of governmentwhere power is held by one person; in this case,

it is used more generally to refer to non-democraticpolitical system

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

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The world is becoming more democraticAnother perspective: In 1910, 0 percent of the world’s population lived in democracies; by 1950, 31 percent of the world’s population is democratic

By 2000, according to one 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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Why 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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Defining Democracy The definition of “democracy”is subject to

great debate, but defining democracy is an essential first step, so …

What is democracy?


A discussion point

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What is Democracy? A Short Video


This short video from YouTube (click here) poses the question, “What is democracy” to a handful of AmericansNote: We will watch only a portion of the video in class.

Video removed

http://youtube.com/watch?v=QBU_AXPquZo

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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”

~ Anthony Giddens


Introduction

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Defining Democracy: A “Formal” Definition

Gidden’s definition includes three core characteristics of democracy:A competitive multiparty systemFree and non-corrupt electionsAn effective legal framework of civil liberties or humanrights

To this list, we might add a fourth characteristic:

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


Introduction

Are these characteristics enough?

A discussion point

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Defining Democracy: A Formal Defining Democracy: A Formal DefinitionDefinition

To many people, “formal democracy” is not democracy To many people, “formal democracy” is not democracy at all: it may be a democracy in at all: it may be a democracy in namename, but not in , but not in realityreality

Instead, manyInstead, manybelieve thatbelieve thatdemocracy mustdemocracy mustbe defined inbe defined insubstantivesubstantive termsterms


Introduction

This cartoon illustrates the problem with “formal

democracies”: people may have the right to vote in

free and non-corrupt elections, but the real

power lies with the corporate elite

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Defining Democracy: The DebateDefining Democracy: The Debate How should democracy be defined?How should democracy be defined? Is a “formal” or narrow definition Is a “formal” or narrow definition

adequate?adequate? Or, is a substantive or broad definitionOr, is a substantive or broad definition

necessary? necessary?


Introduction

Points ofdiscussion

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The Case for a Formal Definition Substantive definitions of democracy are important,

but a formal definition can be appropriateThe appropriateness of a formal definition: “Bare bones” definitions are important to distinguish between two distinct outcomes or phenomena; if the distinction can be justified and supported, it is appropriate

Consider this question:


Introduction

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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The Case for a Formal DefinitionSome Concrete Examples to Consider


Introduction

Nazi Germany under Adolf Hitler or Germany under Chancellor Angela Merkel

Chile under Chile under Pinochet (1974-Pinochet (1974-1990) or Chile 1990) or Chile under President under President Michelle Michelle BacheletBachelet

Japan under Prime Minister Hideki Tojo or Japan under Juniichiro Koizumi

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The Case for a Formal Definition

Key Point: If there is a significant difference between democracies and autocracies (or dictatorships or fascist regimes), then a formal definition of democracy is both appropriate and meaningful: even more, a formal democracy matters

… it matters because it signifies (in contrast to autocratic rule) a real and significant change in society • The establishment of formal democracy invariably supports (although does not guarantee) progress towards greater substantive social, political, and economic equality


Introduction

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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Analytically speaking, it is also critical that concepts such as “democracy” be operationalized

Quick definition: Operationalization is the process of defining a concept so that it can be ______________ through specific observations.

Operationalization is important in the sciences, for if it is not possible to measure (or quantify) a phenomenon, it is difficult if not impossible to evaluate its causes or consequences For example, how can we know that someone is

“intelligent” if we cannot measure intelligence?How can we study “intelligence” if we cannotadequately distinguish it from other aspectsof human consciousness?


Introduction

measured

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One last pointUsing a formal definition of democracy does not mean that we should ignore substantive definitionsIndeed, depending on the purpose of the research, a substantive definition is sometimes preferred Example. A study of why some democracies are

“strong” while others are weak or a study of how to “improve” democracy …… both would require a substantive definition


Introduction

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Explanations of Democracy

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Some 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 begin with some 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?


Competing Explanations

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Who 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 population



Historically, 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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Who 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 permanently—if not destroy—the position and privileges of the wealthy (or political and economic elite)?



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Who 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 Removed

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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)

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Democracy and PowerGiven the almost undeniable tension between democracy and social inequality, most analysts agree …

Democracy is above all a

matter of power

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Democracy and Power: Implications Democracy does not just happen through some automatic

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

Democratization requires some underlying shift in power (among or between different groups)

The transition to democracy marks a significant political change, but transitions to democracy are never guaranteed: indeed, given the nature of democratic change, opposition and attempts to re-impose a non-democratic system should be expected



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Democracy and Power: Implications Structuralists, 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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Democracy and Power: Structural View

To structuralists, transitions to democracy 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”?

Discussionquestion

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Democracy and Power: Structural View How 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 wheremembers of those classes can associate and organized more easily; it improves the means of communication and transportation …; in these and other ways, it strengthenscivil society and facilitates subordinateclass organization”

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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 your chains

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Democracy and Power: Structural View Having more power doesn’t automatically lead to democracy for

subordinate groups 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, e.g., during the Cold War, the US helped or abetted to overthrow democratically elected governments in Iran, Iraq, Chile, Guatemala, Dominican Republic, Indonesia, Greece, etc.; more recently, some argue that the US attempted to overthrow Hugo Chavez in Venezuela



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

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Democracy and Power: Structural ViewIn general, however, 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 100 years or so

In the postwar period, consider the cases of South Korea and Taiwan At the same time, (to structuralists) democracy is an essentially

unintended outcome of capitalism; that is, capitalism was not designed to promote capitalism



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Democracy and Power: Structural View Questions for consideration and discussion:

As a rapid 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? Why, for example, does the quality or substance of capitalism seem to be weakening today, even in well-established democracies, such as the United States?



Hint: Consider how globalizationis weakening subordinate classes,especially the working class

pols 373 foundations of comparative politics

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global spread of democracy

major advances of democracy

worlds people

worlds population

noncorrupt voting procedures

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