POL 1000 – Lecture 13: Democracy & Democratization

Sean ClarkLecturer, Memorial University

Doctoral Fellow, CFPS

Fall Session, 2011

Lecture Arc

1. Democracy. 2. Origins. 3. The Three Pillars.

Participation. Competition. Liberty.

4. Democratization Theory. 5. Transition: Potential & Pitfalls.

Democracy Are different normative conclusions re democracy:

Good (permits personal freedom).

Bad (elites now have excuse; plus, danger of abuse by majority & popular-but-stupid policies). I.e. Athens voted for invasion of Syracuse, condemned Socrates to death, suffered successive coups by oligarchs, &

ultimately succumbed to undemocratic Macedonia—both Aristotle & Polybius feared democ led to mob rule..

Collectivists: is a danger to social equality.

Preference for democracy has changed over time. Pre-French Revolution: deeply skeptical.

Remember Athenians at Syracuse (415-413 BC)? Even Plato & Aristotle sympathized w Spartan

model.

Post: 3 ‘waves’ (Huntington). 1828-1926 (revolutions of 1848 crucial: great democ ambition put down by iron heel of

monarchies). Steady growth in democ #s, followed by inter-war collapse (seen as weak).

1945-’62: propelled by decolonization in Africa & Asia, though their collapse & rise of Latin Amer

military = end. Only 36 democs by ’75 (when Franco stepped down).

1974-today (peak in 1989). Collapsed autocracies, but democ now slowing.

Post-1989 euphoria on the decline? Russian democracy has retreated from ‘90s. Belrus arguably never achieved it at al. 2008 Recession & Chinese growth = again question its utility.

The Basic Concepts Fundamental precepts found in Greek roots: Demos &

kratia (rule by the people). Power to reside w the people. At heart, is ability to (peacefully)

throw a govt out of office (basic threshold is govts lose). Nie et al: democ reqs relatively little punitive or physical coercion for

legitimacy -majority is compliant (p124 Midlarksy).

Sen ‘81: major 20thC famines have occurred only in auth states (p125

Midlarsky). Demands of obedience means state needs to be everywhere.

Despotism = can squeeze subjects rather than increase factor productivity (in many ways, is easier

to do).

Direct (public governs itself) vs indirect (representative or

delegative). Either choose the policies ourselves (state & society become one),

or select someone to do so on our behalf.

Origins Development = pol struggles = need pol organization.

Ag Rev = move from small tribes (generally communal) to cities of thousands. First cities about 5000 BC. 1 st empires in Egypt 30000BC, China 2000 BC. 1500 bC: about 600k autonomous communities on earth, not exceeding 100 people. “Two men on a desert island can bargain or fight, but they cannot politik; when the waves wash up a third, however, politics begins.” (Huntington, in Betts p490).

Prob: consensus is not easy to achieve in large groups. More pop = can’t include everyone in decision-making.

Growing wealth only exacerbates.

Thus no longer easy to maintain political agreement.

Early (& most common response)? Force. Yet coercion is inefficient (who wants just orders?). Democracy: offers to give public a stake in politics.

Gain complicity, loyalty, adherence w/o resort to force.

Athens (direct). ‘Polis’ diff than monarchies & aristocs (citizens, not subjects) that came before. Ran from 550 BC to conquest by Philip in

338 BC. Athens is ~size of Hong Kong. 40,000 citizens (though rarely more than 50% attdn). Met ~40 times/yr. Juries also direct democ (i.e. one

that condemned Socrates was 1,000 strong). Direct democracy (& widespread franchise) = great fighting power (but also poor decisions—i.e. Syracuse debacle &

execution of Socrates). (though oligarchs would often keep final say).

Roman republicanism (indirect). Separation of powers. Delegates represent public’s wishes (though franchise severely ltd).

Madison & Hamilton: resps to dampen the “passions” of the public (Fedist Papers).

Athens votes itself into disastrous war, Roman Republic falls to Caesar. Democratic ideals disappear until 1200s England.

England & modern (liberal) democracy. Magna Carta (1215): all ‘freemen’ are = under the law.

Deserve due process (though ltd to aristocrats). Estabs supremacy of ‘rule of law’ (law has sovty, not an individual).

1642 Civil War settles balance. Charles I executed by Parliamentary forces. Followed by 1689 Bill of Rights.

Why England? Early unification & island geography = is a relatively calm

place. Pretenders not constantly fighting for the throne. Invaders have to cross the English Channel.

Island = intl trade = (easy) port taxes & tariffs, plus flourishing (commercial) middle class.. No need for stifling tax bureaucracy.

Avoids garrisoning a massive army & an intrusive state. Decentralization of power = notions of civil liberty flourish.

Process, however, was extremely incremental. From origins in 1200s, not widespread (male) franchise until 1800s;

women not until early 1900s.

Lesson: democracy is no historical accident. Is a political idea tied to specific circumstances.

Centrality of individual in politics first flourished when supported by strong middle class & opposed only by limited state.

Liberal Democracy Hallmarks of liberal (vs illiberal) democracy: participation, competition,

& liberty. All 3 must be institutionalized to meet modern standard.

Govt must feel bound. Public must demand.

Illiberal democracy: when constitution is ‘democratic’ but practical commitment is lacking.

Both govt & public can be apathetic towards the 3 pillars. 1. Participation (‘popular sovty’: authority flows from the ruled to the rulers).

Open participation in elections is key. Electoral choice needs to be genuine. Express popular will & check authorities. Right to vote secretly & be free from coercion is essential.

Liberal democracies let all citizens get involved in the process.

2. Competition. Desire open competition btn alternatives for leadership.

Remember, losing is good. Demonstrates that power is not monopolized. Parties are handy in this process (are found virtually everywhere).

Give structure (yet avoid unanimity). Make competition amongst clear platforms possible. Permit evaluation of leaders (make accountable to promises).

From unified sovereignty to separation of powers (one single actor has all powers, & thus easy path to abuse).

Thus divide, to varying degrees, between: Executive (does PM or Pres have strength to keep the trains running?). Legislature (is leg indp? Able to voice concerns of those even outside govt?).

Even Westminster parliamentary system supporters want parliament to stand up to PM & cab. Judiciary (power of courts able to strike down the laws most basic constitutions & beliefs determine as

unjust?).

Hallmarks, Cont. 3. Liberty.

Civil rights & liberties must be both enshrined in law & upheld. Common examples:

Free speech & movement, Right to religious beliefs, Right of public assembly & organization, Equal treatment under law, Prevention of inhumane punishment, Right to privacy, Right to choose one’s own government.

Is significant variance from country to country. Ie Germany’s anti-democracy restrictions. UK: illegal to broadcast statements from Irish terrorists. ‘93 Northern Ireland Act: empowered UK mil to take warrantless searches of civ

homes, temporarily detain people w/o charge, & question suspects. Martin ‘06 p512-3: nearly 250k warrantless searches conducted.

Moreover, these rights are not generally seen as absolute. They have always been subject to restrictions on time & place.

I.e. Canada: foreigners can live here, but not vote w/o citizenship. ’11 Occupy Wall Street movt: can assemble, but only for so long.

Coyne: “No defensible interpretation of freedom of assembly allows you to occupy any property you like, whenever you like, for as long as you like.”

Civil Society. Again, private association is fuel of democracy (can be no liberty w/o public vibrancy).

Democratization Theory 1. Modernization Theory (i.e. Lipset ‘59).

Argmt: it’s a matter of wealth. Evidence: West is rich & democ, while Latin

America is poor & autocratic. Thus boost development & democ will spring up in

response.

2. Structural Theory (i.e. Moore ‘66). Argmt: democracy is only possible if there is a

strong & well-organized middle class. Structures in society must permit democ to take

hold, or else autocracy will remain. If powerful elites can block, or do not rely on bourgeoise’s

commercial success, democ will fail.

Transitions It is not easy changing a political system.

Actors in a transition: W/in the old regime: hardliners (‘standpatters’) who oppose reform, & softliners (willing

to negotiate). W/in the opposition: radicals (favour a clean break, no compromise), & moderates

(respect difficulties facing old rulers, & willing to compromise). Takes place w either reform (i.e. Mexico) or rupture (i.e. East

Germany). Reduction vs. elimination of state power.

Need some rule of law to permit stability & growth, lest there be chaos (i.e. post USSR).

Economic reform. Marketization (replace management boards w forces of demand & supply) Privatization of state property.

Problem of inequitable distribution. Uncertainty surrounds how to transition.

Mechanics. Give property to everyone, or sell to highest bidder?

Pace. Sachs & ‘shock therapy’?

Considerable turmoil followed. Inflation, unemployment, poverty rife.

Transitions, II Identity.

Reassertion of traditional identities. Greek Orthodox & Islam make strong comebacks in post

USSR. Ethnic & national identities.

Can bring a country together--but also tear it apart.

Reversal of gender equality. Communists included women in workforce & provided social

benefits (ie daycare & medical access). Economic reforms = cut back on social safety net. Conservative elements attack communist-era practices (ie

abortions).

Results have been varied. Czech & Poland on track. Where is Russia headed to today? Belarus?

Art of Democratization Nigerian elections notoriously corrupt.

I.e. ‘Marvin Gaye’ on voter lists & rampant ballot stuffing.

‘11: spent $580mil (incl aid) to fingerprint all 73.5mil voters. Ltd polling booths to 1hr (to limit multiple voting). Officials tallied votes in front of public. Indp monitors tabulated results instantly w cell

phones.

Post-Industrial Democracies Service & high-end manufacturing sectors. Integration vs. devolution. Metrics (civil & political rights are correlated):

Democracy. Economics. Freedom. Political participation. Freedom (capitalism) vs. Equality (redistribution).

Gini. Sovereignty challenges.

Supranational. Countervailing forces.