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Институционализация демократи и

Институционализация демократи и. Concepts. Liberalization Transition Democratization Consolidation Democracy. Concepts. Liberalization easing of repression and extension of civil liberties within an authoritarian regime Transition change of regime to democracy > democratization.

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Институционализация демократи и

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  1. Prof. Dr. Petra Stykow Институционализациядемократии

  2. Concepts • Liberalization • Transition • Democratization • Consolidation Democracy

  3. Concepts Liberalization • easing of repression and extension of civil liberties within an authoritarian regime Transition • change of regime • to democracy > democratization

  4. Concepts Consolidation = Democracy „theonlygame in town“ „negative” (= stabilization) • preventing democratic breakdown: continuity, stability, maintenance, survival, permanence, endurance, persistence, viability, sustainability • preventing democratic erosion „positive” (“quality improvement”) • completingdemocracy (elektorale > liberale Demokratie) • deepeningdemocracy „neutral” (= institution-building) • Parties, partysystem, parliament, administrative apparatus, judicialsystem, intermediarysystemandcivilsociety • „from liberal democracytonowhereelse”

  5. Concepts transition • change of regime • to democracy > democratization • “to something else”?

  6. Concepts: Democracy I • Demokratie (δήμος[démos] = „people“, κρατία [kratía] = „rule“) • Abraham Lincoln 1863 („Gettysburg-Formula”): „government of the people, by the people, for the people“

  7. IConcepts: Democracy II демократия- это"институциональнаясистемапринятияполитическихрешений, в которойлюдиполучаютвластьприниматьэтирешения в результатеконкурентнойборьбызаголосанарода" “ Joseph Alois Schumpeter (1942) „Democracy is a system in whichparties lose elections.“ „Democracy is a systemofruled open-endedness, ororganizeduncertainty“ Adam Przeworski (1991)

  8. IConcepts: Democracy III (Polyarchy) „publiccontestationandtherighttoparticipate“ Control over governmental decisions about policy is constitutionally vested in elected officials. Elected officials are chosen and peacefully removed in relatively frequent, fair and free elections in which coercion is quite limited. Practically all adults have the right to vote in these elections. Most adults also have the right to run for the public offices for which candidates run in these elections. Citizens have an effectively enforced right to freedom of expression, particularly political expression, including criticism of the officials, the conduct of the government, the prevailing political, economic, and social system, and the dominant ideology. They also have access to alternative sources of information that are not monopolized by the government or any other single group. Finally, they have an effectively enforced right to form and join autonomous associations, including political associations, such as political parties and interest groups, that attempt to influence the government by competing in elections and by other peaceful means. Robert Dahl (1989): Democracy and its critics, S. 233

  9. IConcepts: Democracy IV Freedom House „electoraldemocracy“: • “A competitive, multiparty political system; • universal adult suffrage for all citizens [...]; • regularly contested elections conducted in conditions of ballot secrecy, reasonable ballot security, and in the absence of massive voter fraud, and that yield results that are representative of the public will; • significant public access of major political parties to the electorate through the media and through generally open political campaigning.” • „liberal democracy“: • “electoral democracy” + “a substantial array of civil liberties” • All “free” countries: liberal democracies

  10. Freedom House: Political Right Checklist http://www.freedomhouse.org/research/freeworld/2003/methodology.htm • A. Electoral Process1. Is the head of state and/or head of government or other chief authority elected through free and fair elections?2. Are the legislative representatives elected through free and fair elections?3. Are there fair electoral laws, equal campaigning opportunities, fair polling, and honest tabulation of ballots? • B. Political Pluralism and Participation… • C. Functioning of Government…

  11. Freedom House: Civil Liberties Checklist http://www.freedomhouse.org/research/freeworld/2003/methodology.htm • A. Freedom of Expression and Belief1. Are there free and independent media and other forms of cultural expression?(Note: in cases where the media are state-controlled but offer pluralistic points of view, the survey gives the system credit.)2. Are there free religious institutions, and is there free private and public religious expression?3. Is there academic freedom, and is the educational system free of extensive political indoctrination?4. Is there open and free private discussion? • B. Associational and Organizational Rights… • C. Rule of Law… • D. Personal Autonomy and Individual Rights…

  12. Concepts Europeanization („EU-Europeanization“) • „a process in whichstatesadopt EU rules“ (Schimmelfennig/Sedelmeier 2005: 7) • „processesof a) construction, b) diffusionand c) institutionalizationof formal and informal rules, procedures, policyparadigms, styles, ‚waysofdoingthings‘, andsharedbeliefsandnormswhicharefirstdefinedandconsolidated in the EU policyprocessandthen incorporated in thelogicofdomestic (national andsubnationa) discourse, politicalstructuresandpublicpolicies“ (Radaelli 2004: 4) … anddemocratization?

  13. Political Geography: CEE andEurasia(1978) Not Free (7 – 6,5) Not Free (6 – 5,5) Partly Free (5,5 – 4) Partly Free (3,5 – 3) Free (2,5 - 2) Free (1,5 -1) Freedom House Index 1978http://www.freedomhouse.org/

  14. Liberalization: CEE andEurasia (1988) Not Free (7 – 6,5) Not Free (6 – 5,5) Partly Free (5,5 – 4) Partly Free (3,5 – 3) Free (2,5 - 2) Free (1,5 -1) Freedom House Index 1988http://www.freedomhouse.org/uploads/Chart83File137.pdf

  15. Transition (results in 1990) Not Free (7 – 6,5) Not Free (6 – 5,5) Partly Free (5,5 – 4) Partly Free (3,5 – 3) Free (2,5 - 2) Free (1,5 -1) Freedom House Index 1990http://www.freedomhouse.org/uploads/Chart83File137.pdf

  16. Not Free (7 – 6,5) Not Free (6 – 5,5) Partly Free (5,5 – 4) Partly Free (3,5 – 3) Free (2,5 - 2) Free (1,5 -1) „Color Revolutions“ Dynamics: Democratization, „authoritarianbacklash“, „Color revolutions“ (1994 – 2006) http://www.freedomhouse.org 2000Serbia 2003 Georgia 2004 Ukraine Kyrgyzstan

  17. Political Geography: CEE andEurasia (2006) Not Free (7 – 6,5) Not Free (6 – 5,5) Partly Free (5,5 – 4) Partly Free (3,5 – 3) Free (2,5 - 2) Free (1,5 -1) Freedom House Index 2006http://www.freedomhouse.org/uploads/Chart83File137.pdf

  18. Political Systems in the World Freedom House Index 2012 Not free(5,5-7) Partylfree(3-5,5) free(1-2,5)

  19. 1 + 2 Estonia Croatia + + 3 Political Rights (FH) + 4 Russia Kyrgyzstan + 5 1989/1990 6 7 Belarus Turkmenistan 7 6 5 4 3 2 1 + FH-Werte 1991 FH-Werte 2010 Civil liberties (FH)

  20. „Three Worlds of Post-Communism“ …

  21. „Five Post-Communist Regime Types“ (Moller/Skaaning 2010) (NB: Kyrgyzstan1,2,1; Georgia 3,2,1)

  22. Agency matters „[T]he structuralcharacteristicsofsocieties (…) constitute a seriesofopportunitiesandconstraintsforthesocialandpoliticalactors. (…) Weshallstartfromtheassumptionthatthoseactorshavecertainchoicesthatcanincreaseordecreasetheprobabilityofthepersistenceandstabilityof a regime. (…) Leadership (…) canbedecisiveandcannotbepredictedbyanymodel.“ Linz, Juan J.; Stepan, Alfred (Hg.) (1978): The Breakdown of Democratic Regimes: Latin America. Baltimore: Johns Hopkins University Press; p. 4, 5 > Will andskillofactors

  23. ComparingDemocratization: Eastern Europe andLatinAmerica

  24. Legacies matter Starting point:“It is in the ruins that these societies will find the materials with which to build a new order” – “it is the differing paths of extrication from state socialism that shape the possibilities of transformation in the subsequent stage.” Process: “In place of transition (with the emphasis on destination) we analyze transformations (with the emphasis on actual processes) in which the introduction of new elements takes place most typically in combination with adaptations, rearrangements, permutations, and reconfigurations of already existing institutional forms” Outcome:“The resulting process will resemble innovative adaptations that combine seemingly discrepant elements, bricolage, more than architectural design.” Stark, David (1991): Path Dependence and Privatization Strategies in East Central Europe. In: East European Politics & Societies 6 (1), S. 17–54. (1) Legacies influence the outcome of transformation > “something else”

  25. (2) legaciesasdisablingconstraints „The Soviet legacy, in the sense of a new principle of organizing economic, social, and political life, gave us nothing. Its legacy is fragmentation. It's almost entirely a negative legacy. (…) They didn't allow any association in society, so they left us no civil society, they left us no tradition or practice of citizenship. They gutted the state -- the party in effect didn't allow for a state or a society. They mis-developed the economy. (…) They left us a mess. (…) I think the real legacy in the ethical sense of communism is grubby materialism. The funny thing about Marxism-Leninism - Marx talks about bourgeois society as made up of egos, competitive, hedonistic, selfish. There is nowhere in the world that that was as true as in communist countries. That's the legacy.“ Ken Jowitt 1992 [1999]

  26. CEE = „thesocialistlegacy“ > slowlyfadingaway ‘Eastern Europe’ is the socialist legacy. Anyone who has lived in pre-1989 Eastern Europe would concur that the notion made sense only as a political synonym for communist Europe, or Warsaw Pact Europe. (…) Once we approach Eastern Europe as a distinct historical legacy (and I believe it is the socialist/communist one), we are bound to postulate it is finite. Only, in history these things do not happen so abruptly, they are gradual. As a long-term process, Eastern Europe is slowly fading away. (Todorova 2005)

  27. Democracy promotion/ assistancematters democracy assistance: „concessionary and, usually, concensual provision of practical, advisory, technical and financial support through projects and programmes“ (Burnell 2008: 420)

  28. Vier logicsofinfluence(Magen/McFaul 2009 in Magen et al.) • Control: De facto abolition/ suspension of a state‘s Westphalian and domestic sovereignty + effective seizure of ist institutions of government and coercion by an external power > transformation of the state‘s domestic structure • Material incentives/conditionality: Manipulation of threats of punitive measures and promises of positive rewards to alter the cost-benefit calculations of domestic rulers in an effort to encourage democratic reforms within targeted states – „logic of consequentialism“ • Normative suasion: Facilitation of the internationalization of democratic norms, policies and institutions by targeted domestic actors through social processes of induction, argumentation, deliberation and complex learning – „logic of appropriateness“ • Capacity-Building: Knowledge sharing and strengthening of domestic capacities

  29. Conditions: importanceofexternalfactors(Levitsky/Way 2007) Leverage: governments’ vulnerability to external democratizing pressure. (1) regimes’ bargaining power vis-à-vis the West, or their ability to avoid Western action aimed at punishing autocratic abuse or encouraging political liberalization; and (2) the potential economic, security, or other impact of Western action on target states Linkage: the density of ties (economic, geographic,political, diplomatic, social, and organizational) and cross-border flows (of capital, goods and services, people, and information) between particular countries and the United States,the European Union, and Western-dominated multilateral institutions.

  30. Bibliography • Dahl, Robert A. (1971): Polyarchy: Participation and Opposition. New Haven, CT: Yale University Press.// Dahl, Robert A. (2005): What Political Institutions Does Large-Scale Democracy Require?, in: Political Science Quarterly 120 (2), S. 187-197. • Przeworski, Adam (1999): Minimalist Conception of Democracy: A Defense. In: Shapiro, Ian/Hacker-Cordón, Casiano (Hrsg.): Democracy's Value. Cambridge, S. 23-55. • Schumpeter, Joseph A. (1972): Kapitalismus, Sozialismus und Demokratie. 3. Aufl., München: Francke. • Brinks, Daniel; Coppedge, Michael (2006): Diffusion Is No Illusion: Neighbor Emulation in the Third Wave of Democracy. In: Comparative Political Studies, Jg. 39, H. 4, S. 463–489. • Carothers, Thomas (2006): The Backlash Against Democracy Promotion. In: Foreign Affairs, Jg. 85, H. 2, S. 55–68. • Carothers, Thomas (2009): Democracy Assistance: Political vs. Developmental? In: Journal of Democracy, Jg. 20, H. 1, S. 5–19. • Magen, Amichai A.; Risse, Thomas; McFaul, Michael (Hg.) (2009): Promoting Democracy and the Rule of Law. American and European strategies. Basingstoke: Macmillan • Way, Lucan A.; Levitsky, Steven (2007): Linkage, Leverage, and the Post-Communist Divide. In: East European Politics and Societies, Jg. 21, H. 1, S. 48–66.

  31. „Demokratie mit Adjektiven“(Collier/Levitsky 1997) Electoral Regime UK, U.S., Guatemala Diminished subtype Root Concept Demo-cracy UK, U.S., Guatemala expanded procedural minimum definition Parliamentary Presidential UK U.S.

  32. „Competitiveauthoritarianism” Levitsky/Way 2002 “In democracies, elections are free, in the sense that there is virtually no fraud or intimidation of voters, and fair, in the sense that opposition parties are able to campaign on relatively even footing (…). In closed regimes, multiparty elections either do not exist (e.g., China, Saudi Arabia) or exist but are non-competitive competitive in practice. Competitive authoritarian regimes fall in between these extremes. On the one hand, elections are competitive, in that major opposition candidates are not excluded, and opposition parties are able to campaign publicly, and there is no massive fraud. On the other hand, elections are often unfree and almost always unfair. In some cases, elections are marred by at least some fraud, in the form of manipulation of voter lists (Dominican Republic 1994), ballot stuffing (Ukraine 2004), or falsification of results (Belarus, Cameroon, Gabon). They may also be marred by large-scale voter intimidation of opposition activists, voters, and poll watchers, including the establishment of opposition “no go” areas in some territories (Cambodia, Kenya, Zimbabwe)“

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