POLS 373 Foundations of Comparative Politics What Makes a Democracy? February 27-March 1, 2007 Professor Timothy Lim California State University, Los Angeles What Makes a Democracy? February 27-March 1, 2007 Professor Timothy Lim California State University, Los Angeles

2 What Makes a Democracy? Introduction First off …

3 What Makes a Democracy? Introduction … 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 TrendsGlobal Conflict Trends DemocraciesAnocraciesAutocracies An autocracy is technically a form of government where power is held by one person; in this case, it is used more generally to refer to non- democraticpolitical system

4 What Makes a Democracy? Introduction The world is becoming more democratic Another 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” “Democratic Peace Clock”

5 What Makes a Democracy? Introduction  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?

6 Defining Democracy  The definition of “democracy”is subject to great debate, but defining democracy is an essential first step, so … What is democracy ? What Makes a Democracy? Introduction A discussion point

7 What is Democracy? A Short Video What Makes a Democracy? Introduction This short video from YouTube (click here) poses the question, “What is democracy” to a handful of Americansclick here Note: We will watch only a portion of the video in class. Video removed

8 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 What Makes a Democracy? Introduction

9 Defining Democracy: A “Formal” Definition  Gidden’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) What Makes a Democracy? Introduction Are these characteristics enough? A discussion point

10 Defining Democracy: A Formal Definition  To many people, “formal democracy” is not democracy at all: it may be a democracy in name, but not in reality Instead, many believe that democracy must be defined in substantive terms What Makes a Democracy? 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

11 Defining Democracy: The Debate  How should democracy be defined?  Is a “formal” or narrow definition adequate?  Or, is a substantive or broad definition necessary? What Makes a Democracy? Introduction Points of discussion

12 The Case for a Formal Definition  Substantive definitions of democracy are important, but a formal definition can be appropriate The 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: What Makes a Democracy? 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?

13 The Case for a Formal Definition Some Concrete Examples to Consider What Makes a Democracy? Introduction Nazi Germany under Adolf Hitler or Germany under Chancellor Angela Merkel Chile under Pinochet ( ) or Chile under President Michelle Bachelet Japan under Prime Minister Hideki Tojo or Japan under Juniichiro Koizumi

14 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 What Makes a Democracy? 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?

15 The Case for a Formal Definition  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 cannot adequately distinguish it from other aspects of human consciousness? What Makes a Democracy? Introduction measure d

16 The Case for a Formal Definition  One last point Using a formal definition of democracy does not mean that we should ignore substantive definitions Indeed, 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 What Makes a Democracy? Introduction

17 Explanations of Democracy

18 Some Questions There 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 ? What Makes a Democracy? Competing Explanations

19 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 What Makes a Democracy? Competing Explanations 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

20 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)? What Makes a Democracy? Competing Explanations

21 Who Opposes Democracy?  In the 20th century, opponents of democracy have also included states and/or state leaders, especially in poor or developing countries What Makes a Democracy? Competing Explanations 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

22 Who Favors Democracy?  Simple Answer: Any group or segment of society that would benefit from having a greater voice in the political process What Makes a Democracy? Competing Explanations 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)

23 Democracy and Power Given the almost undeniable tension between democracy and social inequality, most analysts agree … Democracy is above all a matter of power

24 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 What Makes a Democracy? Competing Explanations

25 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? What Makes a Democracy? Competing Explanations

26 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 … What Makes a Democracy? Competing Explanations How do subordinate classes “get power”? Discussion question

27 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 What Makes a Democracy? Competing Explanations 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 subordinate class 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 subordinate class organization”

28 The importance of self-organization is underscored in Marx and Engel’s famous quote (from the Communist Manifesto) … What Makes a Democracy? Competing Explanations Workers of the world unite! You have nothing to lose but your chains

29 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 What Makes a Democracy? Competing Explanations Co-option refers to the process of being incorporated into the mainstream or dominant power structure, but always in a subservient role. Frequently, those who have been co-opted will embrace the interests of the dominant power structure while neglecting the interests of their original group

30 Democracy and Power: Structural View In 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 What Makes a Democracy? Competing Explanations

31 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? What Makes a Democracy? Competing Explanations Hint: Consider how globalization is weakening subordinate classes, especially the working class