POL 1000 – Lecture 13:
Democracy & Democratization
Sean Clark
Lecturer, 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.
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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.
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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.
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Early (& most common response)? Force.

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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.

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Growing wealth only exacerbates.
  Thus no longer easy to maintain political agreement.
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).

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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.
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Magna Carta (1215): all ‘freemen’ are = under the law.

Deserve due process (though ltd to aristocrats).

Charles I executed by Parliamentary forces. Followed by 1689 Bill of Rights.
 Estabs supremacy of ‘rule of law’ (law has sovty, not an individual).
1642 Civil War settles balance.
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.
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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).

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Give structure (yet avoid unanimity). Make competition amongst clear platforms possible.
Permit evaluation of leaders (make accountable to promises).

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?).
 From unified sovereignty to separation of powers (one single actor has all powers, &
thus easy path to abuse).
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):
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Democracy.
Economics.
Freedom.
Political participation.
Freedom (capitalism) vs. Equality (redistribution).
 Gini.
 Sovereignty challenges.
 Supranational.
 Countervailing forces.