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Volumn 29, Issue 3, 1997, Pages 343-362

Modes of transition and democratization: South America and Eastern Europe in comparative perspective

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EID: 0039648404     PISSN: 00104159     EISSN: None     Source Type: Journal    
DOI: 10.2307/422125     Document Type: Article
Times cited : (164)

References (55)
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    • Juan J. Linz, "Some Comparative Thoughts on the Transition to Democracy in Portugal and Spain," in Jorge Braga de Macedo and Simon Serfaty, eds., Portugal since the Revolution: Economic and Political Perspectives (Boulder: Westview Press, 1981); Guillermo O'Donnell and Philippe Schmitter, Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies (Baltimore: The Johns Hopkins University Press, 1986), pp. 11, 37-39; Terry Lynn Karl, "Dilemmas of Democratization in Latin America," Comparative Politics, 23 (October 1990), 1-21; Terry Lynn Karl and Philippe Schmitter, "Modes of Transition in Latin America, Southern and Eastern Europe," International Social Science Journal, 128 (May 1991), 269-84; Giuseppe Di Palma, To Craft Democracies: An Essay on Democratic Transitions (Berkeley: University of California Press, 1990), chs. 4, 6; Samuel Huntington, The Third Wave: Democratization in the Late Twentieth Century (Norman: University of Oklahoma Press, 1991), ch. 3; Guillermo O'Donnell, "Transitions, Continuities, and Paradoxes," in Scott Mainwaring, Guillermo O'Donnell, and J. Samuel Valenzuela, eds., Issues in Democratic Consolidation: The New South American Democracies in Comparative Perspective (South Bend: University of Notre Dame Press, 1992); J. Samuel Valenzuela, "Democratic Consolidation in Post-Transitional Settings: Notion, Process, and Facilitating Conditions," in Mainwaring, O'Donnell, and Valenzuela, eds.; Yossi Shain and Juan J. Linz et al., Between States: Interim Governments and Democratic Transitions (Cambridge: Cambridge University Press, 1995); Stephan Haggard and Robert Kaufman, The Political Economy of Democratic Transitions (Princeton: Princeton University Press, 1995), pp. 14-15, 163-74, 368-71, ch. 4; P. Nikiforos Diamandouros and Richard Gunther, "Preface," in Richard Gunther, P. Nikiforos Diamandouros, and Hans-Jürgen Puhle, eds., The Politics of Democratic Consolidation: Southern Europe in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), pp. xii-xxvii; P. Nikiforos Diamandouros, Hans-Jürgen Puhle, and Richard Gunther, "Conclusion," in Gunther, Diamandouros, and Puhle, eds., pp. 397-98, 402-7; Juan J. Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation: Southern Europe, South America and Post-Communist Europe (Baltimore: The Johns Hopkins University Press, 1996), pp. 71-72.
    • Conclusion , pp. 397-398
    • Diamandouros, P.N.1    Puhle, H.-J.2    Gunther, R.3
  • 13
    • 0003530747 scopus 로고    scopus 로고
    • Baltimore: The Johns Hopkins University Press
    • Juan J. Linz, "Some Comparative Thoughts on the Transition to Democracy in Portugal and Spain," in Jorge Braga de Macedo and Simon Serfaty, eds., Portugal since the Revolution: Economic and Political Perspectives (Boulder: Westview Press, 1981); Guillermo O'Donnell and Philippe Schmitter, Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies (Baltimore: The Johns Hopkins University Press, 1986), pp. 11, 37-39; Terry Lynn Karl, "Dilemmas of Democratization in Latin America," Comparative Politics, 23 (October 1990), 1-21; Terry Lynn Karl and Philippe Schmitter, "Modes of Transition in Latin America, Southern and Eastern Europe," International Social Science Journal, 128 (May 1991), 269-84; Giuseppe Di Palma, To Craft Democracies: An Essay on Democratic Transitions (Berkeley: University of California Press, 1990), chs. 4, 6; Samuel Huntington, The Third Wave: Democratization in the Late Twentieth Century (Norman: University of Oklahoma Press, 1991), ch. 3; Guillermo O'Donnell, "Transitions, Continuities, and Paradoxes," in Scott Mainwaring, Guillermo O'Donnell, and J. Samuel Valenzuela, eds., Issues in Democratic Consolidation: The New South American Democracies in Comparative Perspective (South Bend: University of Notre Dame Press, 1992); J. Samuel Valenzuela, "Democratic Consolidation in Post-Transitional Settings: Notion, Process, and Facilitating Conditions," in Mainwaring, O'Donnell, and Valenzuela, eds.; Yossi Shain and Juan J. Linz et al., Between States: Interim Governments and Democratic Transitions (Cambridge: Cambridge University Press, 1995); Stephan Haggard and Robert Kaufman, The Political Economy of Democratic Transitions (Princeton: Princeton University Press, 1995), pp. 14-15, 163-74, 368-71, ch. 4; P. Nikiforos Diamandouros and Richard Gunther, "Preface," in Richard Gunther, P. Nikiforos Diamandouros, and Hans-Jürgen Puhle, eds., The Politics of Democratic Consolidation: Southern Europe in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), pp. xii-xxvii; P. Nikiforos Diamandouros, Hans-Jürgen Puhle, and Richard Gunther, "Conclusion," in Gunther, Diamandouros, and Puhle, eds., pp. 397-98, 402-7; Juan J. Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation: Southern Europe, South America and Post-Communist Europe (Baltimore: The Johns Hopkins University Press, 1996), pp. 71-72.
    • (1996) Problems of Democratic Transition and Consolidation: Southern Europe, South America and Post-Communist Europe , pp. 71-72
    • Linz, J.J.1    Stepan, A.2
  • 14
    • 84923725296 scopus 로고    scopus 로고
    • Huntington. O'Donnell and Schmitter, p. 39
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 15
    • 84923725295 scopus 로고    scopus 로고
    • Karl, pp. 9-12, 14
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 16
    • 84923725294 scopus 로고    scopus 로고
    • Valenzuela, pp. 76-78
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 17
    • 84923725293 scopus 로고    scopus 로고
    • Di Palma, pp. 122-25
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 18
    • 84923725292 scopus 로고    scopus 로고
    • Diamandouros, Puhle, and Gunther, pp. 406-7
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 19
    • 84923725291 scopus 로고    scopus 로고
    • O'Donnell, pp. 24-37
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 20
    • 84923725290 scopus 로고    scopus 로고
    • Huntington, p. 276
    • The debate whether pacts are beneficial or dysfunctional for democratization is a case in point. After an initial consensus that pacted transitions were more conducive to democratic consolidation, a position advanced by O'Donnell and Schmitter in 1986, the negative aspects of pacts were stressed by Karl and Valenzuela. However, Karl's argument, to the effect that pacts usually entail exclusionary elements that impede democratic consolidation, has in turn been criticized by Di Palma and Diamandouros, Puhle, and Gunther. In a further twist, O'Donnell has recently argued for a third position, stressing the negative aspects or trade-offs associated with both pacted and nonpacted transitions, a position shared by Huntington. O'Donnell and Schmitter, p. 39; Karl, pp. 9-12, 14; Valenzuela, pp. 76-78; Di Palma, pp. 122-25; Diamandouros, Puhle, and Gunther, pp. 406-7; O'Donnell, pp. 24-37; Huntington, p. 276.
  • 22
    • 0000071925 scopus 로고
    • Transitions to democracy: Toward a dynamic model
    • April
    • Dankwart A. Rustow, "Transitions to Democracy: Toward a Dynamic Model," Comparative Politics, 2 (April 1970), 337-63.
    • (1970) Comparative Politics , vol.2 , pp. 337-363
    • Rustow, D.A.1
  • 24
    • 84923725289 scopus 로고    scopus 로고
    • Karl, pp. 8-9
    • Because actors' strategies of change are conditioned by the relative power of the outgoing rulers, these are really two parallel characterizations. We follow Karl, pp. 8-9, in distinguishing transitions in terms of actors' strategies instead of the more common alternative of highlighting the degree of control exercised by the outgoing rulers. For conceptualizations that emphasize the relative power of the outgoing rulers, see Linz, "Some Comparative Thoughts"; and Scott Mainwaring, "Transitions to Democracy and Democratic Consolidation: Theoretical and Comparative Issues," in Mainwaring, O'Donnell, and Valenzuela, eds., pp. 317-26.
  • 25
    • 84923723911 scopus 로고    scopus 로고
    • Because actors' strategies of change are conditioned by the relative power of the outgoing rulers, these are really two parallel characterizations. We follow Karl, pp. 8-9, in distinguishing transitions in terms of actors' strategies instead of the more common alternative of highlighting the degree of control exercised by the outgoing rulers. For conceptualizations that emphasize the relative power of the outgoing rulers, see Linz, "Some Comparative Thoughts"; and Scott Mainwaring, "Transitions to Democracy and Democratic Consolidation: Theoretical and Comparative Issues," in Mainwaring, O'Donnell, and Valenzuela, eds., pp. 317-26.
    • Some Comparative Thoughts
    • Linz1
  • 26
    • 84923753407 scopus 로고    scopus 로고
    • Mainwaring, O'Donnell, and Valenzuela, eds.
    • Because actors' strategies of change are conditioned by the relative power of the outgoing rulers, these are really two parallel characterizations. We follow Karl, pp. 8-9, in distinguishing transitions in terms of actors' strategies instead of the more common alternative of highlighting the degree of control exercised by the outgoing rulers. For conceptualizations that emphasize the relative power of the outgoing rulers, see Linz, "Some Comparative Thoughts"; and Scott Mainwaring, "Transitions to Democracy and Democratic Consolidation: Theoretical and Comparative Issues," in Mainwaring, O'Donnell, and Valenzuela, eds., pp. 317-26.
    • Transitions to Democracy and Democratic Consolidation: Theoretical and Comparative Issues , pp. 317-326
    • Mainwaring, S.1
  • 27
    • 84923725288 scopus 로고    scopus 로고
    • Karl, pp. 8-9
    • Though Karl distinguishes among actors who dominate the transition process, her conceptualization emphasizes the relative prevalence of elite versus mass actors and does not directly target a crucial issue in transitions: the contest between incumbent elites and counterelites. Indeed, her conceptualization would conflate transitions that are initiated by incumbent elites with those that result from the actions of counterelites. Our conceptualization is closer to Valenzuela's emphasis on "the attitude of the last ruling elites of the authoritarian regime toward democratization," by emphasizing whether change comes from within or outside the incumbent elite. Karl, pp. 8-9; Valenzuela, pp. 73-78.
  • 28
    • 84923725287 scopus 로고    scopus 로고
    • Valenzuela, pp. 73-78
    • Though Karl distinguishes among actors who dominate the transition process, her conceptualization emphasizes the relative prevalence of elite versus mass actors and does not directly target a crucial issue in transitions: the contest between incumbent elites and counterelites. Indeed, her conceptualization would conflate transitions that are initiated by incumbent elites with those that result from the actions of counterelites. Our conceptualization is closer to Valenzuela's emphasis on "the attitude of the last ruling elites of the authoritarian regime toward democratization," by emphasizing whether change comes from within or outside the incumbent elite. Karl, pp. 8-9; Valenzuela, pp. 73-78.
  • 29
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    • Democratization and constitutional choices in Czechoslovakia, Hungary and Poland, 1989-91
    • On institutional choices, see Arend Lijphart, "Democratization and Constitutional Choices in Czechoslovakia, Hungary and Poland, 1989-91," Journal of Theoretical Politics, 4 (1992), 207-23. On the consolidation of specific institutional arrangements, see Juan J. Linz and Arturo Valenzuela, eds., The Failure of Presidential Democracy, Volume I: Comparative Perspectives (Baltimore: The Johns Hopkins University Press, 1994).
    • (1992) Journal of Theoretical Politics , vol.4 , pp. 207-223
    • Lijphart, A.1
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    • On institutional choices, see Arend Lijphart, "Democratization and Constitutional Choices in Czechoslovakia, Hungary and Poland, 1989-91," Journal of Theoretical Politics, 4 (1992), 207-23. On the consolidation of specific institutional arrangements, see Juan J. Linz and Arturo Valenzuela, eds., The Failure of Presidential Democracy, Volume I: Comparative Perspectives (Baltimore: The Johns Hopkins University Press, 1994).
    • (1994) The Failure of Presidential Democracy, Volume I: Comparative Perspectives , vol.1
    • Linz, J.J.1    Valenzuela, A.2
  • 31
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    • Przeworski, p. 10
    • Here we follow Przeworski, p. 10, who argues that in the current era, in which restrictions on mass participation are rare, "the possibility of contestation by conflicting interests is sufficient to explain the dynamics of democracy. Once political rights are sufficiently extensive to admit of conflicting interests, everything else follows."
  • 32
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    • Spring Spring 1995, and Winter
    • The value of cross-regional comparisons has been hotly debated. The ultimate test of the utility of such comparisons is whether they produce theoretically compelling explanations. See the exchange between Philippe Schmitter and Terry Karl and Valerie Bunce in Slavic Review (Spring 1994, Spring 1995, and Winter 1995).
    • (1994) Slavic Review
    • Schmitter, P.1    Karl, T.2    Bunce, V.3
  • 33
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    • Karl and Schmitter, p. 276
    • Placement of all cases does not coincide in similar coding efforts. This discrepancy is due to differing criteria used to define mode of transition, the coding of cases by causes rather than characteristics of the transition process, and new information about the cases. For other attempts to code transitions, see Karl and Schmitter, p. 276; Huntington, p. 113; Valenzuela, p. 77; James W. McGuire, "Interim Government and Democratic Consolidation: Argentina in Comparative Perspective," in Shain and Linz et al., pp. 194-95; and Felipe Agüero, Soldiers, Civilians, and Democracy: Post-Franco Spain in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), p. 65.
  • 34
    • 84923725284 scopus 로고    scopus 로고
    • Huntington, p. 113
    • Placement of all cases does not coincide in similar coding efforts. This discrepancy is due to differing criteria used to define mode of transition, the coding of cases by causes rather than characteristics of the transition process, and new information about the cases. For other attempts to code transitions, see Karl and Schmitter, p. 276; Huntington, p. 113; Valenzuela, p. 77; James W. McGuire, "Interim Government and Democratic Consolidation: Argentina in Comparative Perspective," in Shain and Linz et al., pp. 194-95; and Felipe Agüero, Soldiers, Civilians, and Democracy: Post-Franco Spain in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), p. 65.
  • 35
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    • Valenzuela, p. 77
    • Placement of all cases does not coincide in similar coding efforts. This discrepancy is due to differing criteria used to define mode of transition, the coding of cases by causes rather than characteristics of the transition process, and new information about the cases. For other attempts to code transitions, see Karl and Schmitter, p. 276; Huntington, p. 113; Valenzuela, p. 77; James W. McGuire, "Interim Government and Democratic Consolidation: Argentina in Comparative Perspective," in Shain and Linz et al., pp. 194-95; and Felipe Agüero, Soldiers, Civilians, and Democracy: Post-Franco Spain in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), p. 65.
  • 36
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    • Shain and Linz et al.
    • Placement of all cases does not coincide in similar coding efforts. This discrepancy is due to differing criteria used to define mode of transition, the coding of cases by causes rather than characteristics of the transition process, and new information about the cases. For other attempts to code transitions, see Karl and Schmitter, p. 276; Huntington, p. 113; Valenzuela, p. 77; James W. McGuire, "Interim Government and Democratic Consolidation: Argentina in Comparative Perspective," in Shain and Linz et al., pp. 194-95; and Felipe Agüero, Soldiers, Civilians, and Democracy: Post-Franco Spain in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), p. 65.
    • Interim Government and Democratic Consolidation: Argentina in Comparative Perspective , pp. 194-195
    • McGuire, J.W.1
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    • Placement of all cases does not coincide in similar coding efforts. This discrepancy is due to differing criteria used to define mode of transition, the coding of cases by causes rather than characteristics of the transition process, and new information about the cases. For other attempts to code transitions, see Karl and Schmitter, p. 276; Huntington, p. 113; Valenzuela, p. 77; James W. McGuire, "Interim Government and Democratic Consolidation: Argentina in Comparative Perspective," in Shain and Linz et al., pp. 194-95; and Felipe Agüero, Soldiers, Civilians, and Democracy: Post-Franco Spain in Comparative Perspective (Baltimore: The Johns Hopkins University Press, 1995), p. 65.
    • (1995) Soldiers, Civilians, and Democracy , pp. 65
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    • Valenzuela, pp. 62-67.
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    • note
    • While some authors have correctly stressed that Chile had an "incomplete transition" because important constitutional issues remained on the political agenda, it is still accurate to state that the transition ended in 1990, when the basic features of the new regime were defined.
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    • Przeworski, pp. 54-66
    • Most analysts of Brazil implicitly take liberalization as the beginning of a transition. But, as Przeworski, pp. 54-66, argues, "liberalization does not always lead to transition." It is crucial to distinguish clearly between liberalization and democratization.
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    • Hagopian, F.1
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    • Ibid., p. 184-90; Hagopian, pp. 272-77.
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