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Volumn 31, Issue 2, 2001, Pages 331-354

Democratization backwards: The problem of third-wave democracies

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EID: 0035635292     PISSN: 00071234     EISSN: None     Source Type: Journal    
DOI: 10.1017/S0007123401000138     Document Type: Article
Times cited : (233)

References (90)
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    • Likewise, S. M. Lipset's emphasis in Political Man (New York: Doubleday, 1960) on a high level of economic development as a prerequisite for democracy presupposes the existence of institutions of a modern state. But there are good theoretical and empirical grounds for arguing that causation can also run in the opposite direction, that the legal rights of a modern Rechtsstaat and freedom of association in civil society have a positive influence on economic development. See, for example, Amartya Sen, 'Democracy as a Universal Value', Journal of Democracy, 10 (1999), 3-17, and Surjit S. Bhalla, 'Freedom and Economic Growth: A Virtuous Circle?' in Axel Hadenius, ed., Democracy's Victory and Crisis (New York: Cambridge University Press, 1997), pp. 195-241.
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    • Likewise, S. M. Lipset's emphasis in Political Man (New York: Doubleday, 1960) on a high level of economic development as a prerequisite for democracy presupposes the existence of institutions of a modern state. But there are good theoretical and empirical grounds for arguing that causation can also run in the opposite direction, that the legal rights of a modern Rechtsstaat and freedom of association in civil society have a positive influence on economic development. See, for example, Amartya Sen, 'Democracy as a Universal Value', Journal of Democracy, 10 (1999), 3-17, and Surjit S. Bhalla, 'Freedom and Economic Growth: A Virtuous Circle?' in Axel Hadenius, ed., Democracy's Victory and Crisis (New York: Cambridge University Press, 1997), pp. 195-241.
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    • Likewise, S. M. Lipset's emphasis in Political Man (New York: Doubleday, 1960) on a high level of economic development as a prerequisite for democracy presupposes the existence of institutions of a modern state. But there are good theoretical and empirical grounds for arguing that causation can also run in the opposite direction, that the legal rights of a modern Rechtsstaat and freedom of association in civil society have a positive influence on economic development. See, for example, Amartya Sen, 'Democracy as a Universal Value', Journal of Democracy, 10 (1999), 3-17, and Surjit S. Bhalla, 'Freedom and Economic Growth: A Virtuous Circle?' in Axel Hadenius, ed., Democracy's Victory and Crisis (New York: Cambridge University Press, 1997), pp. 195-241.
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    • See for example, Dankwarts A. Rustow, The Politics of Compromise: A Study of Parties and Cabinet Government in Sweden (Princeton, NJ: Princeton University Press, 1955); Hans Daalder, 'Paths Toward State Formation in Europe', in H. E. Chehabi and Alfred Stepan, eds, Politics, Society and Democracy: Comparative Studies in Honor of Juan J. Linz (Boulder, Colo.: Westview Press 1995), pp. 113-30.
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    • Dichotomizing the four characteristics of a democratic modern state - the rule of law, civil society, free elections and accountability - yields sixteen logical categories, including fourteen intermediate categories. However, because of interdependencies, new democracies are not evenly distributed in all of these intermediate categories and some, for example, those in which free and fair elections are missing, are not democratizing
    • Dichotomizing the four characteristics of a democratic modern state - the rule of law, civil society, free elections and accountability - yields sixteen logical categories, including fourteen intermediate categories. However, because of interdependencies, new democracies are not evenly distributed in all of these intermediate categories and some, for example, those in which free and fair elections are missing, are not democratizing.
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    • Cf. Robin Luckham, 'Crafting Democratic Control over the Military: A Comparative Analysis of South Korea, Chile and Ghana', Demoralization, 3 (1996), 215-45; Guillermo O'Donnell, Modernization and Bureaucratic Authoritarianism: Studies in South American Politics (Berkeley: University of California Institute of International Studies, 1979), and contributions by Koreans and non-Koreans to Chung-in Moon and Jongryn Mo, eds, Democratization and Globalization in Korea: Assessments and Prospects (Seoul: Yonsei University Press, 1999).
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    • Cf. Robin Luckham, 'Crafting Democratic Control over the Military: A Comparative Analysis of South Korea, Chile and Ghana', Demoralization, 3 (1996), 215-45; Guillermo O'Donnell, Modernization and Bureaucratic Authoritarianism: Studies in South American Politics (Berkeley: University of California Institute of International Studies, 1979), and contributions by Koreans and non-Koreans to Chung-in Moon and Jongryn Mo, eds, Democratization and Globalization in Korea: Assessments and Prospects (Seoul: Yonsei University Press, 1999).
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    • Cf. Robin Luckham, 'Crafting Democratic Control over the Military: A Comparative Analysis of South Korea, Chile and Ghana', Demoralization, 3 (1996), 215-45; Guillermo O'Donnell, Modernization and Bureaucratic Authoritarianism: Studies in South American Politics (Berkeley: University of California Institute of International Studies, 1979), and contributions by Koreans and non-Koreans to Chung-in Moon and Jongryn Mo, eds, Democratization and Globalization in Korea: Assessments and Prospects (Seoul: Yonsei University Press, 1999).
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    • Cf. Vaclav Havel et al., The Power of the Powerless: Citizens against the State in Central Eastern Europe (London: Hutchinson, 1985); Victor Mamatey and Radomir Luza, eds, A History of the Czechoslovak Republic, 1919-1948 (Princeton, NJ: Princeton University Press, 1973); and David M. Olson, 'Democratization and Political Participation: The Experience of the Czech Republic', in K. Dawisha and B. Parrott, eds, The Consolidation of Democracy in East-Central Europe (New York: Cambridge University Press, 1997), pp. 150-96.
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    • K. Dawisha and B. Parrott, eds, New York: Cambridge University Press
    • Cf. Vaclav Havel et al., The Power of the Powerless: Citizens against the State in Central Eastern Europe (London: Hutchinson, 1985); Victor Mamatey and Radomir Luza, eds, A History of the Czechoslovak Republic, 1919-1948 (Princeton, NJ: Princeton University Press, 1973); and David M. Olson, 'Democratization and Political Participation: The Experience of the Czech Republic', in K. Dawisha and B. Parrott, eds, The Consolidation of Democracy in East-Central Europe (New York: Cambridge University Press, 1997), pp. 150-96.
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    • Gabriel Almond and Sidney Verba, The Civic Culture (Princeton, NJ: Princeton University Press, 1963); Harry Eckstein, Frederic J. Fleron Jr, Erik P. Hoffmann and William M. Reisinger, eds, Can Democracy Take Root in Post-Soviet Russia: Explorations in State-Society Relations (Lanham, Md: Rowman &Littlefield, 1998); Robert D. Putnam, Making Democracy Work: Civic Traditions in Modern Italy (Princeton, NJ: Princeton University Press, 1993).
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    • Gabriel Almond and Sidney Verba, The Civic Culture (Princeton, NJ: Princeton University Press, 1963); Harry Eckstein, Frederic J. Fleron Jr, Erik P. Hoffmann and William M. Reisinger, eds, Can Democracy Take Root in Post-Soviet Russia: Explorations in State-Society Relations (Lanham, Md: Rowman &Littlefield, 1998); Robert D. Putnam, Making Democracy Work: Civic Traditions in Modern Italy (Princeton, NJ: Princeton University Press, 1993).
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    • Data as reported in Hans-Dieter Klingemann, 'Mapping Political Support in the 1990s: A Global Analysis', in Pippa Norris, ed., Critical Citizens: Global Support for Democratic Governance (Oxford: Oxford University Press, 1999), pp. 31-56, at Table 2.10. For a fuller discussion of different survey measures of popular support for democracy, see Rose, Mishler and Haerpfer, Democracy and Its Alternatives, chap. 5.
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    • Data as reported in Hans-Dieter Klingemann, 'Mapping Political Support in the 1990s: A Global Analysis', in Pippa Norris, ed., Critical Citizens: Global Support for Democratic Governance (Oxford: Oxford University Press, 1999), pp. 31-56, at Table 2.10. For a fuller discussion of different survey measures of popular support for democracy, see Rose, Mishler and Haerpfer, Democracy and Its Alternatives, chap. 5.
    • Democracy and Its Alternatives
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    • Support for the democratic system
    • Hans-Dieter Klingemann and Dieter Fuchs, eds, Oxford: Oxford University Press, Table 11.4
    • Calculated from twelve European Union countries plus Norway, as reported by Dieter Fuchs, Giovanna Guidorossi and Palle Svensson, 'Support for the Democratic System', in Hans-Dieter Klingemann and Dieter Fuchs, eds, Citizens and the State (Oxford: Oxford University Press, 1995), pp. 323-53, at Table 11.4.
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    • Glasgow: University of Strathclyde Studies in Public Policy, No. 292
    • Fieldwork by Korea-Gallup. For full survey details, see Doh Chull Shin and Richard Rose, Koreans Evaluate Democracy (Glasgow: University of Strathclyde Studies in Public Policy, No. 292, 1997); and Doh Chull Shin and Richard Rose Responding to Economic Crisis: The 1998 New Korea Barometer Survey (Glasgow: University of Strathclyde Studies in Public Policy, No. 311, 1998).
    • (1997) Koreans Evaluate Democracy
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    • Glasgow: University of Strathclyde Studies in Public Policy, No. 311
    • Fieldwork by Korea-Gallup. For full survey details, see Doh Chull Shin and Richard Rose, Koreans Evaluate Democracy (Glasgow: University of Strathclyde Studies in Public Policy, No. 292, 1997); and Doh Chull Shin and Richard Rose Responding to Economic Crisis: The 1998 New Korea Barometer Survey (Glasgow: University of Strathclyde Studies in Public Policy, No. 311, 1998).
    • (1998) Responding to Economic Crisis: The 1998 New Korea Barometer Survey
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    • chap. 5
    • For systematic comparisons of Austria with post-Communist country data, see Rose and Haerpfer, New Democracies Barometer V, chap. 5.
    • New Democracies Barometer V , vol.5
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    • Stefan Hedlund and Niclas Surdström, 'Does Palermo Represent the Future for Moscow?' Journal of Public Policy, 16 (1996), 113-55; Jeffrey D. Sachs and Katharina Pistor, The Rule of Law and Economic Reform in Russia (Boulder, Colo.: Westview Press, 1997).
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    • Stefan Hedlund and Niclas Surdström, 'Does Palermo Represent the Future for Moscow?' Journal of Public Policy, 16 (1996), 113-55; Jeffrey D. Sachs and Katharina Pistor, The Rule of Law and Economic Reform in Russia (Boulder, Colo.: Westview Press, 1997).
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    • T. Wing Lo, Corruption and Politics in Hong Kong and China (Buckingham: Open University Press, 1993); Tianjian Shi, Political Participation in Beijing (Cambridge, Mass.: Harvard University Press, 1997).
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    • For a detailed discussion of strategies in a Russian context, see Richard Rose, 'Getting Things Done in an Anti-Modern Society: Social Capital Networks in Russia', in Partha Dasgupta and Ismail Serageldin, eds, Social Capital: A Multifaceted Perspective (Washington, DC: The World Bank, 1999), pp. 147-71.
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    • For more details, see Doh C. Shin, Mass Politics and Culture in Democratizing Korea (New York: Cambridge University Press, 1999), chap. 4; and Rose, Getting Things Done with Social Capital, pp. 56ff.
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    • For more details, see Doh C. Shin, Mass Politics and Culture in Democratizing Korea (New York: Cambridge University Press, 1999), chap. 4; and Rose, Getting Things Done with Social Capital, pp. 56ff.
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    • Trust, distrust and skepticism: Popular evaluations of civil and political institutions in post-communist societies
    • See William Mishler and Richard Rose, 'Trust, Distrust and Skepticism: Popular Evaluations of Civil and Political Institutions in Post-Communist Societies', Journal of Politics, 59 (1997), 418-51. Because the World Values Survey asks about confidence in institutions rather than trust, and evaluation is on a four-point scale without a neutral mid-point, it is not comparable with figures discussed here. See Ronald Inglehart, Miguel Basanez and Alejandro Moreno, Human Values and Beliefs: A Cross-Cultural Sourcebook (Ann Arbor: University of Michigan Press, 1998), variable 279.
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    • Ann Arbor: University of Michigan Press, variable 279
    • See William Mishler and Richard Rose, 'Trust, Distrust and Skepticism: Popular Evaluations of Civil and Political Institutions in Post-Communist Societies', Journal of Politics, 59 (1997), 418-51. Because the World Values Survey asks about confidence in institutions rather than trust, and evaluation is on a four-point scale without a neutral mid-point, it is not comparable with figures discussed here. See Ronald Inglehart, Miguel Basanez and Alejandro Moreno, Human Values and Beliefs: A Cross-Cultural Sourcebook (Ann Arbor: University of Michigan Press, 1998), variable 279.
    • (1998) Human Values and Beliefs: A Cross-cultural Sourcebook
    • Inglehart, R.1    Basanez, M.2    Moreno, A.3
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    • What are the origins of political trust? testing institutional and cultural theories in post-communist societies
    • forthcoming
    • See William Mishler and Richard Rose, 'What Are the Origins of Political Trust? Testing Institutional and Cultural Theories in Post-Communist Societies', Comparative Political Studies (forthcoming, 2001), and Kenneth Newton, 'Social and Political Trust in Established Democracies', in Norris, Critical Citizens, pp. 169-87.
    • (2001) Comparative Political Studies
    • Mishler, W.1    Rose, R.2
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    • Social and political trust in established democracies
    • Norris
    • See William Mishler and Richard Rose, 'What Are the Origins of Political Trust? Testing Institutional and Cultural Theories in Post-Communist Societies', Comparative Political Studies (forthcoming, 2001), and Kenneth Newton, 'Social and Political Trust in Established Democracies', in Norris, Critical Citizens, pp. 169-87.
    • Critical Citizens , pp. 169-187
    • Newton, K.1
  • 72
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    • The end of consensus in Austria and Switzerland
    • See Richard Rose, 'The End of Consensus in Austria and Switzerland', Journal of Democracy, 10 (2000), 26-40.
    • (2000) Journal of Democracy , vol.10 , pp. 26-40
    • Rose, R.1
  • 73
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    • Tension between the democratic ideal and reality: Evidence from Korea
    • Norris, ed.
    • For a detailed analysis, see Richard Rose, Doh C. Shin and Neil Munro, 'Tension between the Democratic Ideal and Reality: Evidence from Korea', in Norris, ed., Critical Citizens, pp. 146-68.
    • Critical Citizens , pp. 146-168
    • Rose, R.1    Shin, D.C.2    Munro, N.3
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    • Interview with Fareed Zakaria
    • Cf. Lee Kwan Yew, 'Interview with Fareed Zakaria', Foreign Affairs, 73 (1994), 109-27; Dae Jung Kim, 'Is Culture Destiny?' Foreign Affairs, 73 (1994), 189-94; Francis Fukuyama, 'Asian Values and Asian Crisis', Commentary, 105 (1998), 23-7; David Kelly and Anthony Reid, eds, Asian Freedoms: The Idea of Freedom in East and Southeast Asia (Cambridge: Cambridge University Press: 1998).
    • (1994) Foreign Affairs , vol.73 , pp. 109-127
    • Yew, L.K.1
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    • Is culture destiny?
    • Cf. Lee Kwan Yew, 'Interview with Fareed Zakaria', Foreign Affairs, 73 (1994), 109-27; Dae Jung Kim, 'Is Culture Destiny?' Foreign Affairs, 73 (1994), 189-94; Francis Fukuyama, 'Asian Values and Asian Crisis', Commentary, 105 (1998), 23-7; David Kelly and Anthony Reid, eds, Asian Freedoms: The Idea of Freedom in East and Southeast Asia (Cambridge: Cambridge University Press: 1998).
    • (1994) Foreign Affairs , vol.73 , pp. 189-194
    • Kim, D.J.1
  • 76
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    • Asian values and Asian crisis
    • Cf. Lee Kwan Yew, 'Interview with Fareed Zakaria', Foreign Affairs, 73 (1994), 109-27; Dae Jung Kim, 'Is Culture Destiny?' Foreign Affairs, 73 (1994), 189-94; Francis Fukuyama, 'Asian Values and Asian Crisis', Commentary, 105 (1998), 23-7; David Kelly and Anthony Reid, eds, Asian Freedoms: The Idea of Freedom in East and Southeast Asia (Cambridge: Cambridge University Press: 1998).
    • (1998) Commentary , vol.105 , pp. 23-27
    • Fukuyama, F.1
  • 77
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    • Cambridge: Cambridge University Press
    • Cf. Lee Kwan Yew, 'Interview with Fareed Zakaria', Foreign Affairs, 73 (1994), 109-27; Dae Jung Kim, 'Is Culture Destiny?' Foreign Affairs, 73 (1994), 189-94; Francis Fukuyama, 'Asian Values and Asian Crisis', Commentary, 105 (1998), 23-7; David Kelly and Anthony Reid, eds, Asian Freedoms: The Idea of Freedom in East and Southeast Asia (Cambridge: Cambridge University Press: 1998).
    • (1998) Asian Freedoms: The Idea of Freedom in East and Southeast Asia
    • Kelly, D.1    Reid, A.2
  • 78
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    • Empirical linkages between democracy and economic growth
    • John F. Helliwell, 'Empirical Linkages between Democracy and Economic Growth', British Journal of Political Science, 24 (1994), 225-48. See also Sen, 'Democracy as a Universal Value'.
    • (1994) British Journal of Political Science , vol.24 , pp. 225-248
    • Helliwell, J.F.1
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    • John F. Helliwell, 'Empirical Linkages between Democracy and Economic Growth', British Journal of Political Science, 24 (1994), 225-48. See also Sen, 'Democracy as a Universal Value'.
    • Democracy As a Universal Value
    • Sen1
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    • See Rose, 'Getting Things Done in an Anti-Modern Society'; and Alena V. Ledeneva, Russia's Economy of Favours: Blat, Networking and Informal Exchange (Cambridge: Cambridge University Press, 1998).
    • Getting Things Done in An Anti-modern Society
    • Rose1
  • 83
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    • London: European Bank for Reconstruction and Development
    • Horst Köhler, in Transition Report 1999 (London: European Bank for Reconstruction and Development, 1999).
    • (1999) Transition Report 1999
    • Köhler, H.1
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    • Modernization, democratization, and the development of welfare states in western Europe
    • P. Flora and Arnold J. Heidenheimer, eds, New Brunswick, NJ: Transaction Publishers
    • See Peter Flora and Jens Alber, 'Modernization, Democratization, and the Development of Welfare States in Western Europe', in P. Flora and Arnold J. Heidenheimer, eds, The Development of Welfare States in Europe and America (New Brunswick, NJ: Transaction Publishers, 1981), pp. 37-80.
    • (1981) The Development of Welfare States in Europe and America , pp. 37-80
    • Flora, P.1    Alber, J.2
  • 85
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    • Washington, DC: World Bank World Development Report
    • The State in a Changing World (Washington, DC: World Bank World Development Report, 1997), p. iii.
    • (1997) The State in a Changing World
  • 86
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    • Paris: Supplement to OECD Observer, No. 212, These data call into question Adam Przeworski's claim that democratization depends on the state providing a high level of material welfare benefits
    • OECD, OECD in Figures 1998 (Paris: Supplement to OECD Observer, No. 212, 1998), pp. 50, 54, 46. These data call into question Adam Przeworski's claim that democratization depends on the state providing a high level of material welfare benefits.
    • (1998) OECD in Figures 1998 , pp. 50
  • 88
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    • Harlow: Longmans, Figure 7.2
    • See Richard Rose, What is Europe? (Harlow: Longmans, 1996), Figure 7.2, at p. 153.
    • (1996) What is Europe? , pp. 153
    • Rose, R.1
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    • How different are postcommunist transitions?
    • 'How Different Are Postcommunist Transitions?' Journal of Democracy, 7 (1996), 15-29, at p. 26.
    • (1996) Journal of Democracy , vol.7 , pp. 15-29
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    • New York: The Modern Library edition
    • Alexander Hamilton, James Madison and John Jay, The Federalist Papers (New York: The Modern Library edition, 1948), Number 51, p. 337.
    • (1948) The Federalist Papers , vol.51 , pp. 337
    • Hamilton, A.1    Madison, J.2    Jay, J.3


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