PSC150 Final Exam
Lipset's Modernization Theory 1959)
- Argument : Modernization caused democratization -Increasing education, equality, urbanization, experience in working in factories, the weakening traditional loyalties to tribe and village would result in citizens with more tolerant and participatory attitudes who would demand a say in government Traditional to Modern Society · Large agriculture to Small agriculture · Small industry to Large industry · Small service to Large service · Dictatorship to Democracy Argument: Modernization caused democratization Focus: Economic Dev. -As countries develop economically -They are more likely to become democratic and remain democratic -Ordinary citizens as the bases of democracy -Marxist Scholars: the middle class will grow as the economy develops and be the carrier of the demand for democracy
Second Wave of Democracy
-1940-1960 ish -Victory of the Allies in WWII -Italy, Germany, and Japan were democratized -1962 36 countries governed democratically Reverse Wave: -1960-1975 -the reversion to military rule in Latin America -Military coups in Indonesia, Pakistan, Greece, Nigeria, Turkey, and Latin American countries
unitary state system
-Centralized government o National government is sole authority, sovereignty is vested in the national government o Central government has sole authority over whole territory o Substate units are administrative in character -All decision making is not made by central gov. local government has some say but it can be taken away o One set of laws for entire territory -even though constitutional authority is vested in the central authority, this does not mean all decisions occur at the center or all money is raised and spent in center -power delegated to subnational units in a unitary state may be retrieved
Islam and Democracy
-Islamic doctrine rejects any distinction between the religious community and the political community, which may hamper democratization -No systemic evidence that islam hinders democratization -significant difference between Arab and non-arab countires with muslim populations in terms of different regime types
Institutions of Electoral Authoritarian Regimes
-Legislatures -Political Parties - Elections
Modernization and Authoritarian rule
-Modernization theory says that the development of the middle class is integral to building democracy; poor countries are much more likely to remain authoritarian -Disruptive shifts as an effect of modernization in economic institutions and social institutions can generate instability and have regimes slide back into authoritariansim Legitimacy is questioned State+Industry vs. Working Class+Peasantry = Political Conflict leading to Military Rule -Modernization (economic dev. and living standards improved) leads people to support authoritarian gov. middle class live improved = dependence on state
number and strength of relevant parties
-One-party dominant -Two-party -Moderate multi-party -Fragmented multi-party
Third Wave of Democracy
-began in Portugal and Spain (then Greece), traveled to South American and central American countries (Ecuador, peru, Bolivia, argentina, el salvador, Uruguay, Honduras, Brazil), moved on to the Philippines, doubled back to Mexico and chile between 1974 and 1989 -african countries were democratized too -Post Socialist Cases: Fourth Wave? -until recently there were no arab democracies (Israel)
Britain's Two-Party System
-considered majoritarian because it yields a single dominant party in the Parliament -Smaller parties in Britain would like a proportional representation (PR) system because it would allow them to gain seats in Parliament
Robert Dahl (1971)
-created the idea of Polyarchy Problems with debates about democracy Democracy means too many things -Can refer to too many cases, losing meaning -Democracy = ideal -As a society of complete equality and freedom -More narrowly, as a government fully responsive to its citizens -Ideal democracy does not exist anywhere 3 fundamental dimensions of Polyarchy -Competition -participation -CIVIL LIBERTIES 6 institutions of Polyarchy -Elected officials -Free, fair and regular elections -Freedom of expression -Access to alternative information -Associational autonomy (freedom of association) -Inclusive citizenship
What Causes Democratization?
-democratic genesis -democratic survival -Modernization Theory
Communist Manifesto Idea
-history is driven by class struggle between the proletariat and bourgeoisie -bourgeoisie oppresses the proletariat by owning means of production -capital = power -the immediate aim of the Communists is the formation of the proletariat into a class and conquest of political power by the proletariat -the first step in the revolution by the working class is to raise the proletariat to the position of ruling class to win the battle of democracy Communists take control of state: -abolition of private property + taken into state ownership -heavy progressive income tax -centralisation of credit in the hands of the state in the means of a national bank w state monopoly -centralization of communication and transport to state -Extension of factories, instruments of production owned by the State; the bringing into cultivation of waste-lands, and the improvement of the soil generally in accordance with a common plan. -equal liability of all to work. Establishment of industrial armies, especially for agriculture. -Combination of agriculture with manufacturing industries; gradual abolition of all the distinction between town and country by a more equable distribution of the populace over the country. -Free education for all children in public schools. Abolition of children's factory labour in its present form. Combination of education with industrial production
First Wave of Democracy
-longest wave of democratization -1820s to 1920s -started with the widening of male suffrage in the US -29 countries democratized Reverse Wave - 1922: Mussolini coming to power in Italy -through the 40s
mixed electoral systems
-plurality or majority rules for some seats: single mandate districts -proportional rules for some seats: multi-mandate districts -sometimes combined to favor PR, sometimes both plurality and PR have equal weight
political institutions
-regularized pattern of interaction -that is known, practiced, and accepted (if not necessarily approved) by actors -who expect to continue interacting under the rules sanctioned and backed by that pattern -shape probability of outcomes
Problems with Elites (Modernization critique)
-when do those in power step down? -why would those in power respond to the demand for democracy? Military positon -is internal security loyal to regime? -military more likely to remain loyal due to patronage, ethnic, religious, and revolutionary ties
Misconceptions of Presidentialism and Parliamentarism
ALL OF THESE ARE FALSE ◦Parliamentarism involves coalition governments, presidentialism does not. ◦Parliamentary systems have lots of parties, presidential have two. ◦In parliamentary government a group governs, in presidentialism one person governs. ◦Presidents are more powerful than prime ministers.
free, fair, frequent elections (Polyarchy)
Elected officials are chosen in frequent and fairly conducted elections in which coercion is comparatively uncommon
Marx on Dictatorship and Democracy
Capitalism: -State content: Dictatorship of the bourgeoisie; social oligarchy -State form: Republic or monarchy; Political tyranny or oligarchy; only in the US was suffrage widespread Transition to Communism: -State content: Dictatorship of the proletariat, social democracy -State form: Dictatorship of the vanguard party, political aristocracy Communism: -State content: classes and class oppression will disappear, freedom for all State form: politics and the state will disappear, freedom for all
current communist countries
China, Cuba, Laos, Vietnam, and North Korea India: some states are governed by the communist party
Access to alternative sources of information (Polyarchy)
Citizens have a right to seek out alternative and independent sources of information.... Moreover, alternative sources of information actually exist that are not under the control of the government or any other single political group...and these alternative sources are effectively protected by law.
Semi-Presidentialism
France dual executive: president is the head of state and PM is the head of government -head of state is elected according to presidential rules -head of government is elected according to parliamentary rules -when president and PM come from same party, the president leads policy making in all areas -when the president and PM come from different parties, the PM leads policy making in most areas
Split Electoral System
Germany's Mixed Member System: -Combines FPTP and PR (mixed-member system) -Each voter gets 2 votes · One vote for a single representative in one of the 299 districts (plurality) · One vote for a party from a party list: Each party presents a list of candidates in each of Germany's 16 federal states. The number of seats is determined by the population of each state - Electoral Threshold of 5% -Experts deem it most desirable for proportion of distribution of votes into distribution of seats ·-Creates a proportional parliament with strong coalition governments and sufficient partisan choice for voters
presidential government
HoG is elected through popularity and has a fixed term
Confucianism and Democracy
Huntington argues: Confucianism emphasizes the group over the individual, authority over liberty, and responsibilities over rights. Harmony and cooperation were preferred over disagreement and competition.
Stepan and Skach
Main argument: -Presidential regimes are less durable than parliamentary regimes at all income levels -Democracy is more likely to survive in a parliamentary system than a presidential system What are the logics of parliamentarism and presidentialism 1. mutual dependence vs. mutual independence Presidential systems: Presidents and legislatures have their own fixed mandates Political impasse: no constitutionally available mechanism to break the impasse Parliamentary systems: The PM and their government can not survive without the support of the parliament. Political impasse: PM's right to dissolve the government and the legislature's right to pass a vote of no confidence 2. minority and coalition governments Presidential systems: In the absence of constitutionally defined mechanisms to remove deadlocks, a government without a majority will rule by decree 3. threat of military coups Presidential systems: it is extremely difficult to remove a president who has no support and who is acting unconstitutionally Parliamentary systems: a government can not form without sufficient support in the legislature and can be voted out when it loses the support -Negotiation and bargaining are critical features of the system
communism vs. socialism
Marx: communism is the end state of historical materialism and socialism is an intermediate step on the way to communism Socialism refers to a redistributive system in which the state plays an important role in the economy · Socialists existed before Marx who were not Marxists -The following democracies have had socialist or social democratic parties in government: Austria, Brazil, Colombia, Bolivia, Croatia, Denmark, Finland, France, Greece, Iceland, Lithuania, Norway, Montenegro, Peru, Portugal, Serbia, Slovakia -Many experiences of socialism are compatible with democracy and market economies -Communist parties call the states they govern socialist but this meaning is incompatible with democracy and market economies
Why did Russia revolutionize
Marxism was Insufficient Russia was largely peasant, rural, little industrialization, and underdeveloped Who makes the Revolution? When will it happen? Do we wait for capitalist dev? Do we wait for rev. elsewhere? Do we revolutionize now? How do you organize rev? After?
inclusive citizenship (Polyarchy)
No adult . . . can be denied the rights that . . . are necessary to the five political institutions just listed. These include the rights to vote . . . to run for elective office; to free expression; to form and participate in independent political organizations; to have access to independent sources of information; and rights to other liberties and opportunities that may be necessary to the effective operation of the political institutions of large scale democracy. (Dahl 1999, pp. 85-86)
Personal and Monarchical Rule
Rule by a single leader with no clear regime or rules constraining that leadership Primary tools of control · Patrimonialism: supporters within the state benefit directly from their alliance with the ruler (corruption) EX: Saudi Arabia and Jordan closed
Electoral Authoritarian Regimes (illiberal)
Rule by elected leadership through procedures of questionable democratic legitimacy Primary tools of power · A regime where democratic institutions that rest upon the rule of law are weakly institutionalized and poorly respected -Competitive · Turkey, Hungary, Ukraine -Hegemonic · Russia Why do electoral authoritarian regimes maintain democratic institutions? · Co-optation - to preserve support of the people · Legitimacy
Theocracy
Rule by god, holy texts serve as foundation for regime and politics Primary tools of control · Religious leadership and political leadership fused into single sovereign authority EX: Iran and Afghanistan
Military Rule
Rule by one or more military officials, often brought to power through a coup d'etat Primary tools of control · Control of the armed forces, sometimes also allied with business and state elites (bureaucratic authoritarianism) EX: Egypt and Myanmar closed
One-Party Rule
Rule by one political party that bans or excludes other groups of power Primary tools of control · Large party membership helps mobilize support and maintain public control, often in return for political or economic benefits (corporatism, clientelism) EX: China, Vietnam, and Cuba closed
Elections in illiberal regimes
Spread the spoils of office among members of the elites in return for mobilizing votes · Ensure that "popular" elites are associated with the regime Deter defection among members of the ruling coalition · Electoral victories serve as a signal that opposition is futile Co-opt the position · Provides incentives to opposition parties who may oppose dictarorship but also want to benefit from the spoils of the government · By setting rules regarding the legal eligibility of candidates and parties, the regime effectively divides the opposition Reward and penalize voters (and elites) · Punish opposition stronghold with less government funding, intimidating them · Low support at the polls for regime elites signals leaders that their agents are unpopular with citizens Avoid being violently overthrown · Offers and alternative route to power to those who otherwise would launch a coup
hybrid governments
Switzerland + Bolivia: legislature chooses HoG, but has fixed term Israel 1990s: HoG popular election, but legislature dismisses them
democratic genesis vs. democratic survival
The conditions that lead to democratic genesis might NOT be the same as the conditions that lead to democratic survival
Resource Curse and Authoritarianism
The existence of natural resources (oil, minerals, diamonds) which might be a source of great wealth, may become a barrier to modernization and democracy o Resources might give leaders the wealth necessary to run the state without taxation -When leaders do not tax the people, they can effectively ignore their political demands. o Natural Resources tend to stunt the development of a modern economy and middle class, which might, in reality, pose a threat to authoritarian leaders o Resources allow leaders to keep the repressive mechanisms under their control through patronage § Those in security apparatus are invested in the survival of the regime, leaders can repress masses
origins of authoritarianism
The factors that lead to the emergence of an __________ rule might not be the same as those leading to its persistence
associational autonomy (Polyarchy)
To achieve their various rights. . . citizens also have a right to form relatively independent associations or organizations, including independent political parties and interest groups.
Kinds of Democratic Federalism
US Federalism and Federalism Beyond the US
Lenin's Answers
When: You cannot wait for revolution: you must make history happen. Who: The vanguard leads; the working class alone leads to just trade union consciousness; you need a select group individuals who have mastered a scientific understanding of history. ▪Stronger element of flexibility and will power. Lenin's new type of party ▪not like Europe's mass parties ▪must be fully dedicated, hierarchical, disciplined, centralized, very secret. ▪A very modern organization: impersonal rules Lenin's appeal and luck ▪Lenin as charismatic leader ▪Party vanguard as heroic agents of history
symmetrical federation
a democratic regime that has one nation for the whole state (mononational): USA, Brazil, Germany
political party
a group that represents candidates for public office at elections
kinds of authority and transfer of central to local power
administrative - administration and delivery of services fiscal - funds or tax authority political - elections and representation
state
administrative territorial order
freedom of expression (Polyarchy)
citizens have the right to express themselves without the danger of severe punishment on political matters broadly defined
Income and Democracy Graph
compares GDP and freedom house democratic rate. shows that countries with higher rates of democracy have higher GDPs -supports Modernization theory
Politics
compulsory decisions regarding the public
elected officials (Polyarchy)
control over government decisions about policy is constitutionally vested in officials elected by citizens
Critiques of Modernization Theory
elites: -why give up power? -how do we secure loyalty from the military? -wealth gap society: -how would change from below occur? culture: -political culture affects demands for policies considered western-centric ie. confucianism and islam
regime
form of governance
US Federalism
formation: coming-together (US) subunits constraints on majority rule: Demos-Constraining (US+Brazil), territorial chamber with overrepresentation and broad policy scope and allocation of policy-making authority to subunits distribution of competencies among subunits: symmetrical (US)
Federalism beyond the US
formation: holding together (India, Belgium, Spain) and putting together (USSR but not democratic) subunit constraints on majority rule: Demos-Enabling (Germany + India) distribution of competencies among subunits: Asymmetrical (all others)
Aristotle's ancient varieties of regimes
good: -monarchy/kingship -aristocracy -politeia bad: -tyranny -oligarchy -democracy
policy scope of the upper chamber
greater the authority of the upper house, the more the demos in the lower house is constrained. based on one-person one vote basis demos-constraining: Brazilian senate votes on every issue. the most demos-constraining system in the world demos-enabling: German, Spanish, and Indian systems have more representation in upper-house and it is less powerful least constraining Most constraining India. Spain. Germany USA
degree of representation in the upper-house
greater the representation of less populous states, the greater the demos-constraining potential of upper house demos-constraining: USA, Brazil, Argentina, each state gets the same # of senators demos-enabling: Germany, most populous states get six votes in upper-chamber; medium sized states get four, and small get three
Competitive Oligarchy
high contestation and low participation EX. UK in 1800
Polyarchy
high contestation, high participation EX: UK, US, and France in 1970s
district magnitude
how many legislators are elected from each electoral district
nation
large group sharing a common identity tied to a territory
parliamentary government
legislature chooses and dismisses Head of Gov.
Communism
low contestation, high participation USSR, China, Cuba
Autocracy
low contestation, low participation EX: Nazi Germany
democratic electoral systems
mechanisms for translating votes into seats disctric magnitude is basic feature
Principle Formal Democratic Political Institutions
state systems executive-legislative systems electoral systems parties and party systems judicial systems and constitutional review
Fourth Wave of Democratization
o After Soviet Union collapsed new established states were considered as third wave of democratization § Western policy makers considered these states moving away from dictatorial rule and towards democracy § Elections became corrupt and skewed so not exactly democratic § Economic level, political history, ethnic makeup, institutional legacies were disregarded. · No legal, independent, organized group was allowed in the Soviet Union o Cultural legacy of the Soviet Union: people's distrust of social organization · Post-Soviet states had to carry out democratic and market reforms at the same time o The privatization of state economic enterprised led to mass corruption § State building was not treated and/or considered as a distinctive process than democracy building
Israeli Electoral system
o Based on proportional representation, not by district o Parties must receive a minimum of 3.25% of the vote o Encourages coalition governments - Stability? § So many parties = hard to establish a stable government
Federal State System
o Decentralized government o State shares sovereignty with federal o Different laws may govern different substates -regional authorities enjoy constitutional status, power is inherent
Duverger's Law
o Electoral systems with single member districts and simple plurality (FPTP) tend to produce two-party systems (EX: Britain) o Electoral systems with multi member districts and proportional representation tend to produce multi-party systems (EX: France) Why? helps us differentiate the political outcomes of newly democratized states these institutions produce important effects
International Relations and Demoratization
o Modernization resulting from foreign investment globalization and trade o International pressures or incentives may cause elites to favor democracy (EU) o Civil society can also be strengthened by the transmission of ideas across borders by education, media, and non-governmental organization o Diffusion effect
Types of Authoritarian Rules
o Personal and Monarchical Rule o Military Rule o One-Party Rule o Theocracy o Illiberal Regimes (Electoral Authoritarian Regime)
International Relations and Authoritarianism
o Western imperialism: Weak state institutions and ethnic/religious/linguistic divisions o Cold War § Soviet Bloc § Support of Western democracies for authoritarian regimes
government
organization empowered to make political decisions
Features of Party Systems
patterns of interactions betwen parties differentiated by: -number and strength of relevant parties -degree of ideological polarization between parties -party system institutionalization
authoritarianism
political system -lack of free fair elections -rulers are not held accountable in public realm -individual freedoms are seriously restricted
executive-legislative systems
presidential, parliamentary, and semi-presidential
mulit-mandate districts
proportional elections (PR) ØDistrict magnitude must be more than 1 ØDistrict seats are distributed according to proportion of vote ØMore than one party often wins district seats: not zero-sum ØDegree of proportionality varies
monarchy
rule by one (king)
tyranny
rule by one through force
aristocracy
rule by the best/few (noble, in virtue, by birth)
oligarchy
rule by the few wealthy
ancient varieties of regimes - democracy
rule by the people (many, poor)
politeia
ruled by many regime, constitution, republic
Problems with Culture (modernization critique)
scholars argue that democracy is basically a culture emerging from historical, philosophical, and religious foundation -democracy is less likely found as you travel from west to eat -non-western cultures are hostile to democracy
Majority Rule
single mandate district type ØDistrict magnitude usually = 1 Ø50% of the votes plus 1 needed to win ØIf no candidate receives a majority, a runoff is held Runoff ◦may take place in the voting population ◦May take place in the legislature or electoral college ØRunner-up gets nothing (note zero-sum game) ØNo proportionality guaranteed
First Past the Post
single mandate districts type ØDistrict magnitude usually = 1 ØWhoever gets the most votes wins ØNo minimum required ØRunner-up gets nothing (note zero-sum game) ØNo proportionality guaranteed
the degree to which policy making is constitutionally allocated to states
the easier to amend the constitution and pass legislatives to respond to the will of majority the more demos-enabling India: capacity to respond to minority desires by redrawing the boundaries of states USA: consititution is extremely difficult to amend but is stingy, so the cast majority of legislation can be passed as ordinary legislation
decentralization and devolution
the transfer of authority from central to subunit governments no country can be governed in a single location unitary system: central gov. determines which decisions to devolve to local levels federal system: states have constitutionally protected sovereignty
Single Mandate District
ways of electing representatives: First past the Post (plurality rule) majority rule
asymmetrical federation
when a democratic regime assigns different linguistic, cultural, and legal competences to different subunits in order to hold the multinational polity together: India, Beligium, Canada adn Spain
holding together (federalism)
when central authorities in multi-cultural polities come to the decision that the best way to hold the country in a democracy is to devolve power constitutionally EX: India, Belgium, Spain
putting together (federalism)
when in an authoritarian regime, the centralizing power forces puts previously independent states together ex: USSR
sub-units contraints on majority rule
when multinational democracies adopt a federal system to reduce ethnic, religious, or linguistic tensions, the could do so only at the risk of constraining majority rule not all federal systems are demos-constraining to the same degree depends on: -degree of representation in upper house -policy scope of upper chamber -degree to which policy making is constitutionally allocated to states
coming together (federalism)
when previously sovereign polities agree to give up some sovereignty for collective security, economic security, etc. product of federal bargain EX: USA, Switzerland, and Australia
formalized vs. informal political institutions
written constitutions and electoral systems vs. US presidential reelection limits before 1940, British election time limits, particularism
Absence of Civil Society in Authoritarianism
§ May have little presence in society (political culture) § Authoritarian leaders might take steps to destroy any form of independent action/and create state-sanctioned organizations § Civil society organizations might pursue anti-democratic goals bc directed by the state
Legislatures and Political Parties in illiberal regimes
§ Strengthens authoritarian's grip on law-making § Distribute rent and career opportunities to regime allies § Reduce political struggles among regime elites § Help make concessions to political opponents § Sometimes meet opposition demands by binding authoritarian rulers to particular policies etc.
Why are some resource-rich countries democracies while others are not?
§ The timing of the colonial period and establishing democracy matter · Democracy needs to be established before accessing resources
indicators of party institutionalization
ØLow to moderate electoral volatility ØDeep historical and societal roots ØStrong party organizations ØStrong legitimacy for parties and for elections
