Schmitter On Democratization
Schmitter On Democratization
Schmitter On Democratization
PGS
created from FIN by BK on 11/12/09.
twenty-five years,
fifteen findings
Philippe C. Schmitter
Philippe C. Schmitter is professor emeritus at the European University Institute in Florence, Italy. In 2009, he received the Johan Skytte
Prize from the University of Uppsala for his work in comparative political science and the study of democratization, as well as the Mattei
Dogan Prize for lifetime achievement from the International Political
Science Association.
hen Guillermo ODonnell and I were writing Transitions from Authoritarian Rule: Tentative Conclusion about Uncertain Democracies a
quarter of a century ago, we had few cases and almost no literature upon
which to draw.1 Mostly we ransacked the monographs of colleagues who
were taking part in the same Woodrow Wilson Center project as we
were. We also reached back to the classics of political thought. I personally drew much inspiration from the work of Niccol`o Machiavelli who,
I discovered, had grappled some time ago with regime change in the opposite directionthat is, from republican to princely rule.
Neither of us imagined that the fledgling efforts we were then observing in Southern Europe and Latin America would soon be followed by
more than fifty other regime transformations all around the world. These
divine surprises, especially the ones in Central and Eastern Europe
and the former Soviet Union, brought not only much scientific opportunity and personal normative satisfaction, but also a major intellectual risk. To what extent could the assumptions, concepts, hypotheses,
and tentative conclusions that we had derived from the early cases be
stretched to fit a much larger and highly varied set of countries? The
stretching that we were considering seemed even more problematic in
light of how opposed our ideas were to most prevailing theories about
really existing democracies.2
We insisted, for example, on a clear distinction between liberalization and democratization. We refused to accept the notion that democracy requires some fixed set of economic or cultural prerequisites. We
Journal of Democracy Volume 21, Number 1 January 2010
2010 National Endowment for Democracy and The Johns Hopkins University Press
18
Journal of Democracy
emphasized the key role of elite interaction and strategic choice during
the transition and in most cases ascribed limited importance to mass
mobilization from below. We pointed to the demobilizing effect of the
electoral process and said that while civil society might have a significant role, it would be a short-lived one. We noted how most transitions
began from within the previous autocratic regime, whose collapse or
self-transformation by no means guaranteed the eventual success of democracy. Finally, and perhaps most subversively, we argued that it was
possible (if not always probable) that one could bring about democracy
without having any democrats on hand. In other words, the favorable
cultural and normative traits or civic culture that comparative survey
research had detected and found essential to all stable democracies was
better conceived as a product of democracy rather than its producer.
As a comparativist, I welcomed the challenge of stretching our
original work and applying it to such different cases. I found it gratifying to observe how often, how far away, and even how controversially
these cross-regional comparisons were attempted, and I am convinced
that they contributed to a fuller understanding of democratization. What
I found much less gratifying was the tendency of critics and other readers to apply our book to topics that were manifestly not within its purview. It had been no accident that Guillermo and I had given the book a
title stressing transitions away from authoritarianism rather than to democracy, yet many treated our tome as if it purported to contain a magic
formula for success or even lessons in how to consolidate democracy.
Not only did we refuse to presume a telos that would lead to such a
felicitous result, we were obsessed with the likelihood of regression to
autocracy. Admittedly, we were concerned all along with the implications that different transitional situations might have for democracys
ability to emerge and persist, but we wrote nothing about what such
an outcome might look like. Guillermo and I have since written a good
deal on this topic, but nothing in our original joint effort allows one
to assume that voluntaristic, structurally underdetermined action would
continue to dominate the politics of new democracies once they passed
through the highly uncertain transition period, or that strategic machinations among elites would continue to count for more than mass mobilization and popular participation.
Much has happened over the last two decades, including a burgeoning of democratization studies, from which I have learned much. The
editors of the Journal of Democracy have asked me to share this retrospective wisdom with their readers:
1. Democratization has proven far easier to accomplish in the contemporary historical context than I had at first thought it would be.
Back in the late 1970s, I estimated that in Latin America since 1900
roughly two of every three efforts to democratize had failed, with an ob-
Philippe C. Schmitter
19
vious (and usually violent) relapse into autocracy ensuing within three to
five years. I wince when I come across the accusation that, in choosing
to compare South European and Latin American cases, Guillermo and
I had been cherry picking the easy cases, with crippling implications
for our tentative conclusions about supposedly harder cases elsewhere.
Nothing could have been further from my mind, especially since I had
been researching the highly tumultuous and uncertain transition that had
been going on in Portugal since 1974. It is certainly not our fault that
none of the countries in Southern Europe or Latin America has as yet
suffered a manifest or sudden regression to autocracy, although several
spent a long time in transition (Brazil), some have had close calls (Paraguay, Peru), and a few have developed symptoms of gradual deterioration (Bolivia, Ecuador, Nicaragua).
The lack of authoritarian regressions is all the more astonishing when
one considers that many of the factors said to be vital (or at least helpful)
to the consolidation of liberal democracy have been missing in many
if not most of these cases. Rates of employment and economic growth
have not always been higher under democracy as opposed to autocracy; social equality and income distribution have not always improved
significantly; trust in rulers has often deteriorated; critical measures of
civic culture have declinedand yet basic democratic institutions
have remained in place.
It must be kept in mind, finally, that the distinction between easy
and hard cases of transition can only apply to those cases in which, for
whatever reasons, an actual transition to democracy is attempted, as signaled by the holding of free and fair founding elections complete with
contending parties and an uncertain outcome. Cases in which some elite
from the old autocracy keeps control of the processtypically allowing
some degree of liberalization as a tactic to fend off democratization
do not count. This means that one must exclude all the Central Asian
cases when considering transitions in the post-Soviet world, and that
only Turkey and, more recently, Lebanon need be counted by transitologists who study the Middle East and North Africa.
2. Democratization may have been easier than I had anticipated, but
it has also been less consequential. Considering the consequences of
previous efforts at democratization, scholars and activists alike expected
that such a transformation would bring about much more significant
changes in power relations, property rights, policy entitlements, economic equality, and social status than those that have in fact occurred so
far. This is not to claim that nothing changed. In the realm of respect
for human rights, more decent treatment of citizens by authorities, and
a sense of greater personal freedom, significant changes have occurred
and citizens appreciate them (even if the changes are often rapidly discounted). But in terms of those factors that are most likely to influence
20
Journal of Democracy
Philippe C. Schmitter
21
22
Journal of Democracy
Philippe C. Schmitter
23
cratic regimes did install themselves immediately (the five Central Asian
republics) or after a short competitive interlude (Belarus and Russia),
transitions did not failrather, they were never even seriously attempted
as ex-communists calling themselves nationalists and social democrats
seized control, won noncompetitive elections, and used preexisting organizational advantages to keep themselves in power.
7. Pacts negotiated between old-regime elites and opposition groups
do seem to have made a difference in the short to medium run, but
their longer-term effect is more dubious. Along with transitions simply
imposed by ruling elites, pacted transitions have since 1974 outnumbered the historically most common forms of democratic transition,
which are revolution and reform. Hence it is worth pointing out a problem that pacted and imposed transitions share: Both have a tendency to
lock in existing privileges and make redistributive reforms harder.
What is particularly noxious for the future of democracy about such
pacts is that they tempt elites to extend their agreements beyond the
period of early uncertainty and reinforce a pattern of collusion between
political parties that generates corruption and citizen disillusionment.
Venezuela, long a classic case of pacted transition, illustrates these toxic
dynamics.
8. Political parties matter, even if they usually play an insignificant role in bringing about the transition, but they have made less of
a contribution to democratic stability than expected. No democratization process can afford to do without parties, especially once elections are convoked. For better or worse, parties seem to be indispensable in structuring competition for representation within territorially
defined constituencies. For founding elections to have their effect,
the full range of potential parties must be allowed to take part and to
choose their candidates without exclusions. Depending on the rules
adopted, later elections will see the number of parties shrink, but the
effect of these initial contests (Guillermo and I called them civic orgies) will persist. In earlier waves of democratization, revolutions
from below tended to produce a single dominant party that governed
for a substantial period and played a key role in crafting the new rules
of the regime. More recently, pacted and imposed transitions have
become much more common and produced different short-term outcomes. Pacts tends to spawn collusive two-party systems; an imposed
transition usually leads to a far more fragmented party landscapeat
least among those political forces that opposed the former autocracy.
The unexpected outcome is that, when it comes to preventing authoritarian regression and consolidating democracy, both modes seem to
work. This is so, puzzlingly, even though the new parties are often
very weak, with few regular supporters, little fundraising ability, and
24
Journal of Democracy
Philippe C. Schmitter
25
see no evidence that either corruption or ethnic conflict is significantly greater in the regions more centralized states. Central and Eastern
Europe have not done so badly with either parliamentarism or semipresidentialism, and federalism ended with the disintegration of federal
states in Czechoslovakia, Yugoslavia, and the USSR. The EU demanded
more regional autonomy and horizontal-accountability from prospective
members, but it is hard to tell just what difference this made apart from
the more general (and definitely favorable) impact of EU membership
itself. Where overweening presidentialism and centralism plus a lack
of checks and balances have been associated with failures to democratize (Armenia, Belarus, Central Asia, and Russia), the problem has not
been this or that institution so much as too many holdover ex-communist
elites with too much power. These allegedly democracy-unfriendly institutions are symptoms, not causes. Thus it seems safest to conclude
that the choice of institutions can make a difference (and is related to the
mode of transitionor its absence), but that it does not make the same
difference in all cases.
11. Of all the economic and cultural prerequisites or preconditions
of democracy, the one that must command the most urgent attention
is the need for prior agreement on national identity and borders. The
notion that democratization is intrinsically dangerous because it will
inflame ethnolinguistic tensions is widespread, and is sometimes cited
as a reason why democratization should not be tried. It is certainly the
case that democratic mechanisms cannot be used to discover who is a
member of the demos, and only rarely will they be useful in determining
contested borders. In our book, Guillermo and I did not pay attention to
this. In the Southern Europe and Latin America of the 1970s, questions
of borders and identities were (with few exceptions such as that of the
Basques in Spain) not prominent. Later, to my surprise, ethnically based
mobilizations became a major feature in the politics of several highly
centralized Andean countries. These mobilizations have made politics
more tumultuous, to be sure, but they have yet to threaten really existing
democracy itself. It was in Central and Eastern Europe and the former
USSR that nationhood issues became most salient. In all but the worst
cases, however, ethnolinguistic disputes have neither stopped democracy from moving toward consolidation nor prevented borders from being
agreed upon. Tensions persist, no doubt, but it appears that democracy
can, if practiced long enough, prove a powerful force for producing a
national demos, even if it is one that contains multiple identity groups
with relative autonomy inside their respective internal borders.
12. Despite the neoliberal enthusiasm for privatization and globalization, democratization continues to rely on a political unit with
a capacity for exercising legitimate public coercion and implement-
26
Journal of Democracy
Philippe C. Schmitter
27
elections, require specialized knowledge in order to hold technocrats accountable, and must surround themselves with experts in polling and the
like in order to stay in office. The rise of a professional political class
may be unavoidable, but it is also one of the gravest sources of citizen
disenchantment with really existing democracy. The social and cultural
gap between citizens and those who claim to represent them is a serious
problem, as is the politicians growing dependence on funds raised from
sources (such as higher taxes or shady private contributors) that arouse
citizen resentment or suspicion.
15. The international context has become an increasingly significant determinant of both the timing and the mode of transition, as
well as its outcome. Guillermo and I asserted the predominance of domestic factors as one of our tentative conclusions. With regard to the
cases from Southern Europe and Latin America that we were studying, I
would stick by that claim. By contrast, those cases that occurred later in
the Eastern bloc would have been unimaginable without a prior change
in the hegemonic pretensions of the Soviet Union, and would not have
gone as far and as fast as they did without the incentives offered by
EU membership. Moreover, once the postcommunist transitions began
(Poland was the first), a strong process of diffusion and imitation set in
among them.
As a variable, the international context is notoriously difficult to pin
down. It is almost by definition omnipresent, since complete political
isolation is so hard to achieve in todays world. Yet the causal impact
is often indirect, working in opaque and unintended ways through ostensibly national agents. It varies greatly according to the size, resource
base, regional context, geostrategic location, and alliance structure of
the country involved. Two of its aspects, however, we did not anticipate. The first is the formation of a vast number and variety of non- or
quasi-governmental organizations devoted to promoting democracy and
human rights across national borders; the second is the EUs assumption
of a responsibility to assist nearby fledgling democracies materially and
through incentives tied to the prospect of membership.
A whole new world beneath and beyond the nation-state opened up
and literally enveloped transitional polities, first in Central and Eastern
Europe and later in Asia and Africa. Private associations, movements,
foundations, consultancies, and party internationals provided ideas, contacts, and minor financial support. National governments and regional
or global organizations provided far more money and, in the EUs case,
even a whole new form of external interventionnamely, political
conditionality. What made EU conditionality so compelling was the
linking of possible membership in the European club to compliance
with the acquis communautaire (which is EU-speak for the entire set of
EU rules and decisions compiled since 1958) as well as to the assimila-
28
Journal of Democracy
Reproduced with permission of the copyright owner. Further reproduction prohibited without permission.