INSTITUTO JUAN MARCH

COMPARATIVE DEMOCRATIZATION

PROFESSOR TERRY KARL

 

Fall 2000

 

In Southern Europe, South America, Central America, Eastern Europe, Asia and Africa, a surprising number of countries have attempted to transition from autocratic to some form of democratic rule over the past 25 years.  The numbers are dramatic, regardless of the measures and conceptions used. In 1974, there were only 39 recognized democracies in the world; by 1996, there were 117!  This (unexpected if triumphantly received) "wave" of regime change has generated a burgeoning literature on democratization, shifting the focus of democratic theory and research from its previous emphasis on the functioning of established liberal democracies to the more dynamic questions of how autocracies are removed from power, how the transition to a new (and hopefully different) form of political domination occurs and whether or not democracy can eventually be consolidated in such diverse and generally inauspicious settings.

 

This in turn has led to renewed interest in other aspects of democratic performance -- not only in studying the consequences for economic growth, social equity and structural reform within the "neo-democracies" of the South and East -- but also in examining perceptions and evaluations within the "settled" Western democracies.  Questions are being raised about long-existing practices that now seem less than democratic or about the desirability of extending democratic principles to other -- economic, social and cultural -- realms.  As social scientists, we are faced with the glaring paradox that in the South and East there is an overwhelming desire to adopt "normal-Western" institutions, while in the West there is a profound desencanto (disenchantment)with some of these very same institutions.

 

This seminar will probe these issues, including such specific topics as the points of departure for new democracies, modes of transition, the role of civil society, the relationship between democracy and the military, the problem of establishing accountability, institutional design, and democracy and economic reform. Its purpose is primarily conceptual and methodological, i.e., to explore problems involved in defining democracy, in distinguishing between the logics of transition and consolidation, and in comparing polities across world cultural and geographical areas.

 

Our goal will be to begin learning how to think comparatively (across regions) about the reformulation of democratic theory that is currently in process. This will involve mixing normative, analytical and policy perspectives, and it will entail a critical examination of the perils as well as the promises inherent in contemporary democratization. Because of the ambitious scope of the course, none of the above issues can be examined in sufficient detail during a single semester, some will receive especially short shrift, and it will not be possible to examine individual country cases or particular themes in depth. Note: This syllabus has been adjusted in order not to duplicate the readings and the approaches of your other courses as much as possible. For this reason, it pays relatively little attention to rational choice approaches to democracy and to the essential issue of democratic accountability. You are encouraged to draw upon the readings in your other courses in this course as well. 

 

Students are expected to become "experts" in a particular country case in order to add their own knowledge to class discussions, and you are expected to develop knowledge of at least one contrasting case in a different region of the world from your primary case. There will generally be a brief exposition by the instructor at the beginning and/or end of each session, and brief (10 minute) presentations by two students to set the basis of our discussion.  Students will be expected to contribute regularly to class discussions, both by taking primary responsibility for organizing a session and by taking part in the discussions.

 

                                                           REQUIREMENTS

 

            (1) Participation in seminar discussion. The quality of this seminar depends upon the quality of comments, criticisms and questions by each of you. Do not let your fellow students and your instructor) down!

 

            (2) Presentation of two short oral reports, which are aimed at provoking discussion. These may be prepared jointly upon request.

 

            (3) Writing one seminar paper. This paper should discuss at least one the major issues raised in the readings and deal with two of more countries, preferably located in two different regions of the world, e.g. one case in Latin America or Southern Europe and another case or cases in Eastern Europe, Africa or Asia. Consult with the instructor before choosing your topic and cases.

 

                                                                 READINGS

 

            (1) A reader will be made available at the beginning of the seminar. 

 

            (2) The following books will be used (and will be kept on reserve in the Library):

 

Diamond, Larry and Marc Plattner, eds., The Global Resurgence of Democracy, 2nd edition, (Johns Hopkins University Press, 1996), henceforth referred to as Diamond 1.

 

Diamond, Larry, Marc E. Plattner, Un-han Chu, and Hung-mao Tien, eds., Consolidating the Third Wave Democracies (Johns Hopkins University Press, 1997), henceforth referred to as Diamond 2.

 

Karl, Terry Lynn, The Paradox of Plenty (University of California Press, 1997).

 

Lijphart, Arend and Carlos H. Waisman, eds., Institutional Design in New Democracies (Westview Press, 1996).

 

O'Donnell, Guillermo and Philippe C. Schmitter, Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies (Johns Hopkins Press, 1986).

 

Gunther, Richard, P. Nikiforos Diamandouros & Hans-Jurgen Puhle (eds.), The Politics of Democratic Consolidation: Southern Europe in Comparative Perspective (Johns Hopkins University Press, 1995).

 

Elster, Jon, Claus Offe and Ulrich K. Preuss, Institutional Design in Post-Communist Societies (Cambridge University Press, 1998).

 

Rose, Richard, William Mishler & Christian Haerpfer, Democracy and its Alternatives. Understanding Post-Communist Societies(Johns Hopkins University Press, 1998).

 

Schmitter, Philippe C. Essaying the Consolidation of Democracy, unpublished manuscript.

 

            (3) The following books are recommended for this course and should be part of the repertoire of doctoral students in Political Science:

 

Bratton, Michael and Nicolas van de Walle, Democratic Experiments in Africa;  Dahl, Robert, Dilemmas of Pluralist Democracies (and everything else he wrote!);    Diamond, Larry, Consolidating Democracy: Toward Consolidation, Etzioni-Halvey, Eva, Classes and Elites in Democracy and Democratization;  Gunther, Richard, et al., The Politics of Democratic Consolidation: Southern Europe in Comparative Perspective;  Haggard, Stephen and Robert Kaufman, The Political Economy of Demcoratic Transitions; Huber, Evelyn, Dietrich Rueschemeyer, and John D. Stephens, Capitalist Development and Democracy;  Huntington, Samuel P., The Third Wave;  Linz, Juan, The Breakdown of Democratic Regimes; Linz, Juan Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation;  Lijphart, Arend, Electoral Systems and Party Systems,; Mainwaring, Scott and Timothy Scully, eds., Building Democratic Institutions;  Jose Maria Maravall, Regime Politics and Markets,  Moore, Barrington, The Social Origins of Dictatorship and Democracy;  Pridham, Geoffrey, ed., Transitions to Democracy; and Przeworski, Adam, Capitalism and Social Democracy.

 

 

 

                                                          COURSE OUTLINE

 

 

First Session: INTRODUCTION AND ORGANIZATIONAL MEETING

(Begin readings for next two sessions!)

 

 

Second Session: WHAT IS DEMOCRACY? RAISING ISSUES & DEFINING TERMS

 

Fukuyama, Francis, "The Worldwide Liberal Revolution," reader.

 

Huntington, Samuel, "Democracy's Third Wave," in Diamond 1.

 

Diamond, Larry, “Is the Third Wave Over?”reader.

 

O'Donnell and Schmitter, Tentative Conclusions, pp. 3-14.

 

Schmitter and Karl, "What Democracy Is....and Is Not," in Diamond 1.

 

Rose, Richard et al, “Competition between Regimes”, and “Democracy and Undemocratic Alternatives”, pp. 3-43.

 

Collier and Levitsky, "Democracy with Adjectives," reader.

 

O´Donnell, Guillermo, Democratic Theory and Comparative Politics" reader.

 

Third Session: CONSTRUCTING DEMOCRACY FROM DIFFERENT POINTS OF DEPARTURE: SOCIAL BASES, ECONOMIC PRECONDITIONS AND AUTHORITARIAN LEGACIES

 

Social Bases:

Moore, Barrington, "Selections on the Democratic Route to Modern Society," reader.

 

Huber, Rueschemeyer and Stephens, "Selections on the Role of Subordinate Classes," and “The Bourgeoisie and Democracy: Historical and Contemporary Perspectives,” both in reader.

 

Bellin, Eva, “Contingent Democrats. Industrialists, Labor and Democratization in Late-Developing Countries”, in reader.

 

Przeworski, Adam, "Selections on Transitions as Class Compromise," reader.

 

Tilly, Charles, “Selections on Top Down and Bottom Up Democracy," reader.

 

Economic Preconditions:

Lipset, Seymour Martin, "Selections on Social Requisites," reader.

 

Karl, Terry, "Dilemmas of Democratization," reader.

 

Diamond, Larry, "Economic Development and Democracy Reconsidered," reader.

 

Przeworski, Adam & Fernando Limogi, “Modernization: Theories and Facts”, reader. (World Politics, Jan. 1997)

 

Points of Departure: Weak States, Authoritarian Rule, and Their Legacies:

Karl, Terry, The Paradox of Plenty, 71-91.

 

O'Donnell and Schmitter, Transitions from Authoritarian Rule, 15-36.

 

Bratton and van de Walle, "Neopatrimonial Regimes and Political Transitions in Africa," reader.

 

Rose, Richard, “Postcommunism and the Problem of Trust," Diamond 1.

 

Bermeo, Nancy, "Democracy and the Lessons of Dictatorship," reader.

 

Rose et al, “Uncertain Dynamics of Democratization,”in Rose et al., pp. 44-67.

 

 

Recommended:

The classic discussion of types of authoritarian rule is Juan Linz, "Totalitarianism and Authoritarian Regimes," in Fred Greenstein and Nelson Polsby, eds., Handbook of Political Science, Vol. 3. David Collier, ed., The New Authoritarianism in Latin America, Philippe Schmitter, "Still the Century of Corporatism, and James Malloy, ed., Authoritarianism and Corporatism in Latin America are especially recommended.

 

 

Fourth Session: MODES OF TRANSITION: DEMOCRATIZATION THROUGH STRATEGIC INTERACTION

 

Rustow, Dankwart, "Transitions to Democracy," reader.

 

O'Donnell and Schmitter, Transitions from Authoritarian Rule, finish book.

 

Karl and Schmitter, "Modes of Transition in Latin America, Southern Europe and Eastern Europe," reader.

 

Karl and Schmitter, “The Types of Demcoracy Emerging in Southern and Eastern Europe and South and Central America,”reader.

 

Hartzell and Rothchild, "Political Pacts as Negotiated Agreements: Comparing Ethnic and Non-Ethnic Cases," reader.

 

Seleny, Anna, “Old Political Rationalities and New Democracies”, in reader.

 

Karl, Terry, The Paradox of Plenty, pp. 92-116.

 

McFaul, Michael, “What Went Wrong in Russia? The Perils of a Protracted Transition,” reader.

 

Recommended:

Pick and choose among the case studies that interest you in the four volume O'Donnell, Schmitter and Whitehead, eds., Transitions from Authoritarian Rule that compares Latin America and Southern Europe, or Diamond, Linz and Lipset, Democracy in Developing Countries: Asia, Africa, Latin America, or the more extensive cases in Linz and Stefan, Problems of Democratic Transition and Consolidation. For Southern Europe, see R. Gunther et al, The Politics of Democratic Consolidation: Southern Europe in Comparative Perspective. For Eastern European comparisons, see Michael McFaul, Post Communist Politics: Democratic Prospects in Russia and Eastern Europe and George Breslauer,ed., Dilemmas of Transition in the Soviet Union and Eastern Europe, as well as Richard Rose et al, Democracy and its Alternatives.

 

 

Fifth Session: PRESSURE FROM BELOW – IS DEMOCRACY AN ELITE PROCESS ALONE? OR “HOW ASSUMPTIONS SHAPE UNDERSTANDINGS OF DEMOCRATIC PROCESSES

 

Schmitter, Philippe,"Civil Society: East and West," Diamond 2.

 

Higley, Kulberg and Pakulski, “The Persistence of Post-Communist Elites,”reader.

 

Bratton and van de Walle, "Popular Protest and Political Reform in Africa," reader.

 

Fox, Jonathan, "The Difficult Transition from Clientelism to Citizenship," reader.

 

Brysk, Allison, “Democratizing Civil Society in Latin America”, in Reader.

 

Seligson, Amber, “Civic Associations and Democratic Participation in Central America: A Test of the Putnam Thesis,”reader.

 

Adler and Webster, "Challenging Transition Theory: The Labor Movement, Radical Reform and the Transition to Democracy in South Africa," reader.

 

Valenzuela, Samuel, “Labor Movements in Transitions to Democracy: A Framework for Analysis,” reader.

 

Petracca, Mark, “The Rational Choice Approach to Politics: A Challenge to Democratic Theory,”reader.

 

Recommended:

On social movements, see Sonia Alvarez and Arturo Escobar, The Making of Social Movements in Latin America: Identity, Strategy and Democracy, Philip Oxhorn, Organizing Civil Society, Sid Tarrow,  and Power in Movement.. For other works on civil society, see Jelin and Hersberg, eds.,Constructing Democracy: Human Rights, Citizenship and Society in Latin America, Celestin Monga, The Anthropology of Anger: Civil Society and Democracy in Africa, Georgina Waylan, "Women and Democratization: Conceptualizing Gender Relations in Transition Politics," World Politics. See also Margaret Keck and Kathryn Sikkink, Activists Beyond Borders,

 

 

Sixth Session: CONSOLIDATION AND COMPARABILITY IN NEW DEMOCRACIES

 

Schmitter, Philippe & Nicolas Guilhot, “Conceptualizing and, then, Measuring the Consolidation and the Quality of Democracy”, in Reader.

 

Schmitter, Philippe, “Chapter Five” & “Chapter Six” of his Essaying the Consolidation of Democracy.

 

Linz and Stefan, "Toward Consolidated Democracies," Diamond 2 or Linz, Stepan & Gunther in Gunther et al, pp. 77-124.

 

Dahl, Robert, "Development and Democratic Culture," Diamond 2.

 

O'Donnell, Guillermo, "Illusions about Consolidation," Diamond 2 and the rejoinder by Gunther et al, in reader.

 

O'Donnell, Guillermo, "Delegative Democracy," Diamond 1.

 

Sandbrook, Richard, "Transitions without Consolidation: Democratization in Six African Cases," reader.

 

Debate Over Comparison: Exchange between Karl, Schmitter and Bunce:

            · Schmitter and Karl, "The Conceptual Travels of             Transitologists...

            · Bunce, "Should Transitologists be Grounded?"

            · Karl and Schmitter, "From an Iron Curtain to a Paper       Curtain..." reader.

             ·Bunce, Valerie, “Comparative Democratization: Big and      Bounded Generalizations,” in reader.

           

Rose, Richard et al, “Comparing Post-Communist Societies”, pp. 68-88 & “How Much do Context, Countries and Sequence Matter?” pp. 179-198.

 

Gasiorowski, M & T. Power, “The Structural Determinants of Democratic Consolidation.  Evidence from the Third World”, in reader.

 

 

Seventh Session: CIVIL-MILITARY RELATIONS AND THE RULE OF LAW IN NEW DEMOCRACIES

 

Huntington, Samuel, "Reforming Civil-Military Relations," reader.

 

Trinkunas, Harold, “Crafting Civilian Control over the Armed Forces,” reader.

 

Kohn, Richard, “How Demcoracies Control the Military,” reader.

 

Aguero, Felipe, "Toward Civilian Supremacy in South America," Diamond 2 and his chapter in Gunther et al., pp. 124-165.

 

Hunter, Wendy, "Politicians against Soldiers," and “Contradictions of Civilian Control: Argentina, Brazil and Chile in the 1990s”, reader.

 

Crouch, Harold, "Civil-Military Relations in Southeast Asia," Diamond 2.

 

Chege, Michael, “The Military in Transitions to Democracy in Africa,”reader.

 

Barany, Zoltan, "Civil-Military Relations in Comparative Perspective: East-Central and Southeastern Europe," reader.

 

Garreton, Manuel Antonio, “Human Rights in Processes of Democratization,” reader.

 

Benomar, Jamal, “Justice After Transitions,” reader.

 

Buscalia and Domingo Villegas, “The Impediments to Judicial Reform in Latin America,” reader.

 

Recommended:

See Condoleezza Rice, "Problems of Postcommunism: The Military Under Democracy," Journal of Democracy (April 1992). Also  Alfred Stefan, Rethinking Military Politics, Alain Rouquie, The Military and the State in Latin America, and Louis Goodman et al., The Military and Democracy.

 

 

Eighth Session: DESIGNING DEMOCRACY: PARTIES, ELECTIONS, AND THE CHOICE OF ELECTORAL SYSTEMS

 

Toka, Gabor, “Political Parties in East Central Europe,” reader.

 

Mainwaring, Scott, “Party Systems in the Third Wave,” reader.

 

Evans and Whitefield, "Identifying the Bases of Party Competition in Eastern Europe," reader.

 

Morlino, Leonardo, “Political Parties and Democratic Consolidation in Southern Europe”, in Gunther et al., pp. 315-388.

 

Sisk, Timothy, “Electoral System Choice in South Africa,” reader.

 

Linz and Stefan, “Political Identities and Electoral Sequences: Spain, the Soviet Union, and Yugoslavia”, reader.

 

Tagerpera, Rein, “How Electoral Systems Matter for Democratization,”reader.

 

Jones Luong, Pauline, “After the Break-Up: Institutional Design in Transitional States,” reader.

 

Karl,Terry Lynn, “Electoralism,”reader.

 

Recommended:

There is a large literature on the role of parties, and elections.  See, for example, Arend Lijphart, Democracies: Patterns of Majoritarian and Consensus Government in Twenty-One Countries; Giovanni Sartori, Parties and Party Systems, and Scott Mainwaring and Timothy Scully, eds., Building Democratic Institutions: Party Systems in Latin America. Also see Jeffrey Pridham and Paul lewis, eds., Stabilising Fragile Democracvies: Comparing New Party Ssytems in Southern and Eastern Europe, and Taagepera and Soberg, Seats and Votes: The Effects and Determinants of Electoral Systems.

 

 

Ninth Session: DESIGNING DEMOCRACY: CONSTITUTIONS AND EXECUTIVE/LEGISLATIVE RELATIONS, AND NOTIONS OF ACCOUNTABILITY

 

Diamond and Plattner, eds. The Global Resurgence of Democracy (Diamond 1), pp. 124-226, essays by Linz, Horowitz, Lipset, Linz, Lijphart, Quade, Lijphart, Gladdish and Zielonka.

 

Elster, Offe & Preuss, “Constitutional Politics in Eastern Europe”, in reader.

 

Lijphart and Waisman, eds., Institutional Design in New Democracies, pp. 101-174, essays by Szoboszlai, Horcasitas, and Nino.

 

Shugart, Mathew & Scott Mainwaring, “Presidentialism and Democracy in Latin America” + “Conclusion”, in Reader.

 

Debate over South Africa:

            Reynolds, Andrew, “Constitutional Engineering in Southern Africa,reader

            Barkan, Joel, “Elections in Agrarian Societies,”reader.

            Reynolds, Andrew, “The Case for Proportionality.”

 

Schedler, Andreas, “Conceptualizing Accountability,” reader.

 

O´Donnell, Guillermo, “Horizontal Accountability in New Democracies,” reader.

 

Recommended:

More on South Africa, which has had one of the most interesting debates on democratic design:

            Jung and Shapiro, "South Africa's Negotiated Transition," reader.

            Koeble and Reynolds, "Power-Sharing in the New South Africa," reader.

            Shapiro and Jung, "South African Democracy Revisited," reader.

There is also a growing effort to understand mechanisms of legalization and accountability.  See, for example, by Adreas Schedler, Diamond, and Plattner, The Self-Restraining State: Power and Accountability in New Democracies and Przeworski, Stokes and Manin, Democracy, Accountability and Representation.

 

 

Tenth Session: DEMOCRATIZATION, ECONOMIC REFORM AND THE FAILURE TO REFORM

 

Maravall, Jose Maria, ¨The Myth of the Authoritarian Advantage,” reader.

 

Karl, Terry, The Paradox of Plenty, pp. 116-185 for the Venezuelan case, pp. 222-242 on how democratic regimes matter for economic performance.

 

Roberts, Kenneth, "Structural Adjustment and the Adaptation or Breakdown of Party Systems," reader.

 

Levitsky and Way, "Between a Shock and a Hard Place: Argentina and Poland," reader.

 

Przeworski et al., "What Make Democracies Endure?" Diamond 2.

 

Evans and Whitefield, "The Politics and Economics of Democratic Commitment: Support for Democracy in Transition Societies," reader.

 

Weyland, Kurt, “Neoliberal Populism in Latin America and Eastern Europe”, in reader.  (Comparative Politics, July 1999)

 

Gasiorowski, Mark, “Democracy and Macroeconomic Performance in Underdeveloped Countries”, in reader.

 

Cheibub and Przeworski, “Democracy, Elections and Accountability for Economic Outcomes,” reader.

 

Recommended:

See Lijphart and Waisman, eds., Institutional Design in New Democracies, essays by Voszka, Brandao Lopes and Lijphart and Waisman. Also see Luiz Carlos Bresser Pereira, Jose Maria Maravall and Adam Przeworski, Economic Reforms in New Democracies; Adam Przeworski, Democracy and the Market, and Stephan Haggard; Robert Kaufman, The Political Economy of Democratic Transitions; William S. Smith, Carlos Acuna & Eduardo Gamarra (eds.), Democracy, Markets and Structural Reform in Latin America; Larry Diamond and Mark Plattner (eds.),Economic Reform and Democracy, David Stark & Laszlo Bruszt, Postsocialist Pathways: Transforming Politics and Property in East Central Europe.

 

 

Eleventh Session: DEMOCRACY AND THE INTERNATIONAL SYSTEM

 

Schmitter manuscript

 

Latz and Sikkink, “International Human Rights Law and Practice in Latin America,”reader.

 

Other readings to be assigned

 

 

Twelfth Session: THE FUTURE OF DEMOCRACY

 

Kaplan, Robert, “Was Democracy Just a Moment?” reader.

 

Karl, Terry, “How Much Inequality Can Democracy Stand?” reader.

 

Yashar, Deborah, “Democracy, Indigenous Movements and the Postliberal Challenge in Latin America,” in reader.

 

Rose, Richard et al, “Completing Democracy”, pp. 199-227.