1. DEMOCRACY & DEMOCRATIZATION
Theories and Approaches

2. Theories of Democracy Structural theories Voluntarist theories
Posit a relationship between political characteristics and democracy (e.g., economic development, class, etc.).
Voluntarist theories
Posit a relationship between political characteristics and democracy (e.g., leadership, political institutions, etc.)

3. Structural vs. Voluntarist Theories
Modernization theory suggests that poor countries should modernize first, then democratize.
Voluntarist theories contend that a sole focus on economics overlooks political attributes such as the international system, public opinion, leadership, institutions, etc.

4. Structural Theories I Modernization theory (Lipset, 1959)
A strong relationship between modernization and democracy
Wealthier countries are more likely to be democracies due to four factors: wealth, industrialization, urbanization, and education
Where development occurs too rapidly, this can cause problems.
Countries should modernize first, democratize second

5. Modernization Diagram
MODERNIZATION THEORY

6. Path Dependency
MODERNIZATION THEORY
Major events can provide “momentum” for the continuation of democracy
Education increases support for democracy by increasing tolerance and political understanding
Development creates a middle class which moderates the political system
Democracy creates cross cutting cleavages that further reduce the likelihood for violence

7. Evaluating Modernization Theory
There is a strong correlation between wealth and democracy
Correlation does not equal causation
Theorists have struggled to explain the exact causal mechanism that underlines this relationship
Is it economic development that fosters democracy? Or are other factors associated with wealthy countries?
Difficult to explain backsliding countries
Difficult to explain why many wealthy countries are not democracies

8. Neo-Modernization Theory
Schumpeterian definition of democracy
Per capita income works well as a predictor of regime type
But, some wealthy countries are dictatorship, and some poor countries are democracies
Investigates whether or not development aids the emergence of democracy (endogenous), or sustains democracy (exogenous)

9. Structural Theories II
Marxist theories
Capitalist class structure more favorable to democracy than pre-capitalist class structure
Capitalist class structure: owners of capital vs. laborers
Pre-capitalist class structure: landowners vs. peasants
Pre-capitalist elites rely on coercion to get labor, capitalist elites rely on markets
Implication: democracy is (1) a violent process, (2) not an automatic function of economic development, (3) a function of big, structural forces, not individuals.

10. Structural Theories II
Class-based theories (Moore, 1969)
“No bourgeoisie no democracy” (UK & France)
Landed elite & bourgeoisie shared similar preferences
Where democratization did not threaten their position, democracy is adopted; Or where democracy threatens their position, their preference must be changed
Landed elite’s interests were changed to allow for liberalization
Where a strong bourgeoisie exists, democracy can take hold

11. Comparison: UK & France
United Kingdom
Landed elites could make more selling wool than keeping peasants
Alliances with the bourgeoisie on wool trade linked preferences of the landed elites with the bourgeoisie
This united the landed elites with the bourgeoisie against the monarch
Enclosures weakened the peasantry
Weak peasantry and weakened monarchy resulted in liberalization

12. Comparison: UK & France
Bourgeoisie was split between those who could be bought by the monarch and those who could not
Landed elites and ennobled bourgeoisie extracted rent from serfs
Ties to the monarch made reliance on state coercion to increase rents and necessity
Peasantry tied to the land, and increasingly angry revolted to overthrow the monarch and the feudal system
Liberalization occurs after the old system is disbanded

13. Voluntarist Theories
Countries with all the wrong structural conditions can still achieve democracy if certain political conditions are favorable
Two political factors in particular are important
Crafting of compromises
Leadership
Providing security to losers
There are various ways to democracy
Politics matters!

14. Di Palma: Is Democracy a Hot House Plant?
VOLUNTARIST THEORY
Democracy was founded in a unique environment
Debunks the “hothouse” idea, as different states make different choices
Certain political attributes (wealth, ethnic divisions, culture) may make the adoption of certain political institutions difficult
When democracy is seen not as a key to prosperity but as a way to protect against arbitrary rule, preferences for democracy change
Democracy has its faults, but is seen as superior in terms of reducing oppression
Desire for coexistence is key, rather than the structural attributes of a state

15. Evaluating Voluntarist Theories
Not all systems can reach agreement on the right institutions
Not every system has leaders who make the “right” decisions for democracy
Economic weakness may limit the ability of leaders to make the right decisions