HOW ARE DEMOCRACIES CREATED?
Ishak Salim
A. Introduction
Democracy is the most popular system of government in the world, especially post cold war when the liberal ideology or liberal democracy defeated communism. Democracy means where government officials are elected through an open, competitive, fully participatory, and fairly administered election. It is also understood as a form of government, a source of power, and process/procedure of founding the regime (Huntington, 1991). Moreover, democratization or the way to be democratic not only becomes widen in academic debates but also in movements. We can see some famous democratization movements in some countries such as a campaigner for democracy in Myanmar, Aung San Suu Kyi who struggle deposing the Myanmar authoritarian regime, then, Chinese democracy movement or Human right and democracy movement in Tonga, Orange revolution in Ukraine and so on. Thus, democracy and democratization are two sides of coin. We can distinguish but can not separate each other. Democracy is a concept or a system of governing and democratization is a process implementing the concept in a reality of government or governance.
In the academic level, there are some notions about democracy, the variation of that and the ways certain country implemented it. The scholars, in different stance try to explore deeply what democracy is and which the best way democracy should be created. We can see that since Plato wrote his point of views about republic, which he categorized governments on the basis of who rules: the one, the few, or the many—monarchy (good) versus tyranny, aristocracy (good) versus oligarchy— until Dahl who explains the modern of democracy—polyarcy. The idea of democracy now is booming.
The historical debates about how democracy is created in modern democracy context may start in 1970s, in which the era of modernization theory became the most important approach for both academicians and politicians to do some social or political change. Then, the modernism became a representation of the western culture or the way the western countries developed their social life based on rationality, objectivity, technology and industry, freedom, and positivism. On the other hand, the structural theories of change show a different way of that. Class perspective and social structure approach excluded western oriented as the modernization theories explained. Moreover, in between two perspectives, there is the other perspective like political theories of change. However, this perspective will not explain here. In this article, we can see those perspectives describing how democracies are created. I endeavor to describe the differences of those perspectives and how democracies are implemented and give a short critique for this view.
B. How are democracies created?
Before seeing the debates of how democracies are created, we will look the meaning of democracy through what Dahl has built. As we have known, democracy derives from Greek. Demos means “the people” and kratein means “to rule”. Hence, democracy is a political system in which the people of a country rule through any form of government they choose to establish (Encarta, 2005). According to Robert A. Dahl, there are five standards of criteria for democratic process—‘effective participation, voting equality, enlightened understanding, control of the agenda, and inclusion of adults’ and three requirements for democracy—‘free, fair and frequent elections, free expression, and the availability of alternative and independent sources of information’ (Dahl, 1998). Free, fair and frequent elections are relating to electoral system. How the people use their suffrage, how the members of politician are elected, how the best condition is established and what system they should implemented are. For example, some electoral system following a system of proportional representation (PR) or the First-Past-the-Post system as is practiced in Zambia, Great Britain and the United States. Freedom of expression aims citizens to participate effectively in political life. If they are to talk the views of others into account, they must be able to hear what others have to say. Free expression means all people have equal opportunity and right to be heard.
Then, to acquire an enlightened understanding of possible government actions and policies also requires freedom of expression. To acquire civic competence, citizens need opportunities to express their own views; learn from one another; engage in discussion and deliberation; read, hear, and question experts, political candidates, and persons whose judgments they trust; and learn in other ways that depend on freedom of expression. Finally, without freedom of expression citizens would soon lose their capacity to influence the agenda of government decisions. Silent citizens may be perfect subjects for an authoritarian ruler; they would be a disaster for a democracy (Dahl, 1998). Dahl’s argumentation on democracy as explained above will be a foundation of this article to look at the debates of how democracies are created.
Perspective of Modernization Theories
Modernization theory explored the conditions for economic and political development from a “traditional” to a “modern” society. The theory was premised on the belief that other countries could and should develop a political system similar to that of the United States (Microsoft Encarta, Reference Library, 2005).
Since the modernization scholars defined that democracy followed economic growth or have known as apart of modernization theory, the idea of democratization became contentious. Modernization theorists assume that the causes of process of democratization can be found in systemic features of the economy and society. Hence, democratization as main argument is the likely outcome of broader process of modernization, in which the economy industrializes, roles get more specialized, and values and orientations change. The basic of this argument can be seen through Martin Lipset opinion. According to him that ‘the more to well to do a nation, the greater the chances that it will sustain democracy’. He argued that economic development and political legitimacy were structural pre-conditions for a stable democracy and showed that the average wealth, the degree of industrialization and urbanization, and the level of education were much higher in democratic countries than in non-democracies (Martin Lipset, 1959: 75). It means that democracy closed to education in order to people able to keep democratic values and increasing economic wealth. Lipset argued that democracy need a favor from the educated people or the middle class. On the other hand middle class is necessary to support democracy to reach wealth.
Parallel to Lipset, Almond and Verba indicate that culture become truly important to develop democracy. What they called as civic culture was necessary for maintaining a stable and effective democratic political process (Almond and Verba, 1963: 493). These scholars defined political culture as the particular distribution of patterns of orientation towards political objects among the members of a nation (ibid: 15). There are three parts of culture such as parochial, subject, and participant. The parochial is less-awareness of politics; the subject means that there are members who aware politics but acts subjectively obey the rules; and the participant is the members fully participated in political processes. Their argument in briefly means that the more participants the more democracy, the less participant the less democracy. The participant’s function to keep democracy will balance the attitudes of the parochial who less involved in democratic processes and keep away the survival roles of the subject who only try getting advantages from democratic processes for themselves.
Huntington in different way tries to see the precondition and processes conducive to the emergence of democracy. According to him, there are some factors that can help the possibility to be democratic. Those are ‘higher levels of economic well-being; the absence of extreme inequalities in wealth and income; greater social pluralism, including particularly a strong and autonomous bourgeoisies; a more market-oriented economy; greater influence vis-à-vis the society of existing states; and a culture that is less monistic and more tolerant of diversity and compromise’. Some combination of these preconditions is important requirement for a democratic regime to emerge. At the same time, he criticized the notion of the earlier modernization theorists about the way to be democratic. For him, political development or processes of democratization is not only unidirectional or linear—as occurred in European during the century ending in 1920 and experience of some Latin American countries like Argentina until 1930 and Chile until 1973—but also the cyclical model of alternating despotism and democracy, for instance, Peru, Ecuador, Bolivia, Argentina, Ghana and so on. Moreover, the third model of democratization is neither linear nor cyclical but rather dialectical. In this case, he explains that the development of a middle class leads to increased pressures on the existing authoritarian regime for broader participation and contestation (Huntington, 1994)
The scholars of modernization theory tended to see that the processes of democracy emerged following what the western countries have achieved. The criticism for this school of thought is first, economic development is important for each country to obtain prosperity, but an economic prosperity is not a guarantee that democracy will emerge. Some countries which categorized as developmental state, like Singapore and Malaysia, does not necessary need a democratic system. The developmental states put democracy in the second achievement after economic development reached. That is why Schmitter and Karl categorized democracies are not necessarily more efficient economically than other forms of government. Then, democracies are not necessarily more efficient administratively or it could be slower then the previous system. It occurs because democracy need for deliberations, consultations, payoffs, and freedom to complain. Moreover, democracies are not necessarily more orderly, consensual, stable or governable. Then, freedom of expression and dispute, disagreements may make democracy ungovernable. Finally, democracies are not necessarily more open economic, even it will open societies and polities (Schmitter and Karl, 1991).
Second, modernization theory was criticized for being too teleological and deterministic. It studied the modernization process in the west and took for granted that the new developing nations would follow the same path of modernization towards a common end: the western liberal model of democracy (Kjaer, Anne Mette, 2004). What has the western gained well prestige relating to advance democracy is not automatically appropriate for the other countries, especially developing and late developing countries in Asia, Latin America or Africa. There are some specific requirements regard to cultural and historical context when democracy will be created. For instance, the country like Indonesia which has a dominant agrarian society and a strong kingdom tradition has followed long process to find an appropriate democracy. After independent from Dutch colonialism, the founding fathers tried implementing the parliamentary democracy system, but it has fallen into what Soekarno defined as a guided democracy and then it was pursued by a pseudo democracy ala Soeharto. Hitherto, we are still trying to find the best shape of democracy which fit for our country through trial and error mechanism.
Perspective of Structural Theories
Start from those criticisms, the scholars of modernization theory left teleological trap and avoid determinism of the early modernization theory. The other scholars concern in structural factors. The structural factors mean that the distribution of power resources and the relative strength of social classes must also be taken into consideration. The foundation of this notion can be seen through before 1970s, when Barrington Moore found the social origins of dictatorship and democracy. According to Moore, democracy emerged through 3 kinds of different ideologies or main route. First, liberal democracy which results from the commercialization of landed class and rise of bourgeoisie and its control of the state. The bourgeois class is essential to develop democracy, namely crown, nobility, and gentry. For him, the substantial factor in the emergence of democracy is independent nobility. “No bourgeois, No democracy”, Moore said. Second, fascism that effort a revolution from above through the roles of a landed upper class that maintaining a good relation with the peasant society in order to the peasant providing enough surplus—profit. On the other side, the landed upper class plans the wholly new social arrangements along the lines of plantation slavery. Thus, democracy emerged is very determined by the role of elites who have good political will. Third, communism that attempted a revolution from below where landed class fails to commercialize peasant needs. Its condition is possible to occur especially when the landed upper class has not requirements as the elites and making state less strong and it opens door to revolution from below. (Moore, 1967).
Another structuralist is Adam Przeworski, who also examines to knowing about whether and under what conditions transformation toward democracy is possible in those countries which suffer from authoritarian rule. His analysis based mainly on conflict perspective. He said that there are four basic factors are put forward to explain why cracks begin to appear in an authoritarian regime and liberalization becomes possible—‘consciousness of authoritarian regime about functional needs that led to its establishment’, ‘the regime has being lost its “legitimacy”’, ‘conflict within the ruling bloc’, and ‘international pressure to be democracy’ (Przeworski, 1986).
He also focuses on legitimacy and what should be prepared when the authoritarian regime lost legitimacy for supporting liberalization. Hence, he emphases on two approaches such as interest and groups and strategy postures directly. Interest and groups approach is focus on that when the legitimacy of the regime has irreducible then support for liberalization needed. The impetus may come from the army, the bourgeoisie, the state apparatus (the technocrats and polices), and working class (ibid: 53). Liberalization process will be followed by a process of emergence of democratic institution. Then, democracy will become a form of institutionalization to manage certain conflicts, uncertainty of political processes during democratic transition, and class compromise.
C. Democracy in implementation
Democratization through institutional modeling
There are two ways to implement a democracy; democracy through institutional modeling and decentralization. Since 1982, the institutional modeling has been promoting by the United States through both USAID and National Endowment for Democracy (NED), when President Reagan launched a "crusade" to foster "free market democracies" and spread the a neo-liberal version of the "magic of the marketplace". USAID and NED have channeled U.S. government development and public diplomacy funding into the democratization programs of the international institutes of the Republican and Democratic Parties, the AFL-CIO, and the U.S. Chamber of Commerce, as well as a wide range of institutes, political parties, and nongovernmental organizations abroad.
NED’s programs are strengthen democracy in three categories such as political process (free and fair elections, strengthening political parties, etc), governing institutions (strengthen national legislature, judicial reform efforts, etc), and civil society (support for National and local Non Government Organizations) (Carothers, 2000). Those programs emphasis training and technical assistance forms and they supposed the instruments of democracy worked. The model of strengthening democracy becomes a main model followed many developing countries, because the US arranged much grant and loan for promoting liberal democratic model. Beside US, World Bank is also using the model to improve the capacity of governance or good governance.
What has US done to promoting democracy in many late developing societies is supposed to spread the idea of liberal democracy. As the big power country, US have been playing an important role in the world to control political and economic international realm. It has a big relation between American Exceptionalism which becomes the spirit of America to be the leader of the world. Moreover, promoting democracy spread to the entire world has become an essential foreign policy and implemented by soft power or more economically rather than military or by hard power. The developing or under-developing countries should aware of the grant or foundation from US. Democracy is important, but the way the country choose what kind of democracy is appropriate with them is pure their independent decision.
Democratization through Decentralization
The second way implementing democracy is through decentralization. Decentralization is mainly understood as reducing power or responsibility of politics and economic of the central government to the local level in order to management of governing are more efficient, accountable, and transparent. Unlike Institutional modeling pushed by USAID and NED, decentralization is primarily effort by IMF and World Bank. In 1991, World Bank published a discussion paper relating to managing development to explain the governance dimension and the role of the Bank in leading economic development process of its members. In this period, the Bank did not talk about decentralization support until 1997 when the Bank published ‘World Development Report’ and notes in chapter 7 which the benefit of making government reach out to people and grant them a greater role in deciding and implementing policy—decentralization.
The principle of decentralization according to the Bank is how bringing the state closer to people. The assumption is the more government listens to citizens and businesses, the more benefits came. That is why deeply participation is important in decentralization. ‘When governments lack mechanisms to listen, they are not responsive to people’s interests, especially those of minorities and the poor, who usually strain to get their voices heard in the corridors of power’. The following of participation is open access of information and transparency—‘giving people a voice’ (World Development Report, 1997). Policy making process needs participation of people, because policymaking has been embedded in consultative processes, which provide civil society, labor unions, and private firms opportunities for input and oversight. Some countries in East Asia public-private deliberation councils—such as Korea’s monthly export promotion meetings, Thailand’s National Joint Public and Private Consultative Committee, and the Malaysian Business Council—have provided mechanisms for feedback, information sharing, and coordination. It can improve the quality of government and the representation of local business and citizens’ interests. And competition among provinces, cities, and localities can spur the development of more-effective policies and programs (ibid: 11). Hence, World Bank is more concern to facilitate public administration sectors through strengthening capacity of government departments to implement the idea of decentralization through trainings and technical assistances.
Critique
However, both institutional modeling and decentralization way are not truly appropriate for Indonesia. What US have been doing relate to promoting democracy is not necessary give a deeply impact for village democratic instruments. The country like Indonesia which has a lot of villages and village governments and for that reason, implementing decentralization need a huge movement to strengthen village institutions. Not only by training and technical assistances but also political empowering in order to the village government can truly and deeply participate in development processes. To make decentralization success in Indonesia, village level should be strength first and the district level will following exactly. Approaching the lowest level to be stronger is the best way to avoid dominant elite’s role in policy making process.
D. Conclusion
Democracy and democratization are two political concepts which have brought the management of government and governance process close to people. Academically and intellectually, the idea of how are democracies created gave us broaden perspective and bright views either from modernization or structural theories. The modernization theories, though was criticized as too teleological and deterministic, explain much about the relation between democracy and the way government gain prosperity. Moreover, the structural theories give tools of analysis how the democracy emerged—through liberal democracy, fascism, or communism model. While, the way democracy implemented is can through institutional modeling supported by US and through decentralization as pushed by World Bank and IMF. To make those supports more useful for marginalized people, then the US and World Bank should put the village government/governance into the process they empowering district and national level.
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