Oslo Summer School in Comparative Social Science Studies 2001
Democracy and Democratization
Lecturer: Professor Pippa Norris,
John F. Kennedy School of Government,
Harvard University, USA
Dates: 6. - 10. August 2001
Recent decades have witnessed a worldwide explosion in the number of democracies, transforming political systems in Central and Eastern Europe, Latin America, Asia, as well as parts of Africa. Yet the growth of democracy is by no means a stable phenomenon, let alone a universal trend. Some new democracies progress towards consolidation, while others stall or revert to authoritarianism. Emerging democracies often experience persistent problems of regime legitimacy, political participation, and stable party competition, compounded by economic difficulties, producing an uncertain future. Certain older democracies, including Italy, Japan and Mexico, have also been undergoing significant challenges to their political systems.
This course examines the underlying social, cultural and economic conditions for the process of democratization; analyzes the institutional structures and constitutional designs most conducive to the transition from authoritarian to consolidated democracies; and considers the consequences of democratization for development.
The aim of the course is policy analysis. That is, you will sharpen your analytical skills in understanding the process and problems of transition from authoritarian rule, and consider practical reforms to strengthen democracies.
The perspective of the course is based on new institutionalism, which stresses the central role of constitutional design and institutional structures (rather than, say, economic development or cultural modernization) in promoting stable and effective democratic political systems. The course will use a broadly comparative methodology incorporating evidence from a wide range of case studies including developed and developing societies, and emerging and consolidated democracies. There are no prerequisites for taking the class.
- Lawrence LeDuc, Richard Niemi and Pippa Norris (eds), Comparing Democracies, Sage Publications: 1996
- Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien (eds), Consolidating the Third Wave Democracies. Vol 1, Johns Hopkins University Press: 1997
- Pippa Norris (ed), Critical Citizens: Global Support for Democratic Governance, Oxford University Press: 1999
- Arend Lijphart, Patterns of Democracy. Yale University Press: 1999
You should pick one of the key study questions as the basis of your course essay (6000-10000 words in length) to be completed within 8 weeks of the end of the course. Sessions will involve also class participation through the readings, occasional group exercises, case studies, and debates about controversial issues. Many online resources and databases will be used and the ability to handle large-scale datasets (aggregate or survey based) using either SPSS or Excel to the basic level of multiple regression would be an advantage, although not essential. You should refer to the research resources available under 'links' on my website; www.pippanorris.com
Readings will include the following books as well as a limited number of selected readings available online.
Supplementary readings and standard reference sources/web sites are listed at the end of the syllabus for those interested in more specialized analysis of specific topics.
- 1. Lawrence LeDuc, Richard Niemi and Pippa Norris (eds) Comparing Democracies. Sage Publications. 1996. 0=8039-5836-6
Elections have undergone radical changes in recent decades, not only in the United States but throughout the world. Electoral systems have experienced major reform in many countries including Italy, Israel, and Japan, and new parties have changed the face of competition in Germany, France, and Belgium. The emerging democracies of Eastern Europe and Latin America have also established new party systems with competitive elections. Integrating and synthesizing the most recent research in the field of elections, Comparing Democracies offers selections from a team of renowned international scholars writing on their areas of specialty. Contributors provide a cross-national study comparing elections in a number of democracies and discussing key topics associated with the study of elections including electoral laws, campaign finance regulations, media communications, and voter turnout.
- 2. Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien (eds) Consolidating the Third Wave Democracies. Vol 1 Johns Hopkins University Press. 1997. 0-8018-5794-5 Approx. $15.95
The global trend that Samuel P. Huntington has dubbed the "third wave" of democratization has seen more than 60 countries experience democratic transitions since 1974. While these countries have succeeded in bringing down authoritarian regimes and replacing them with freely elected governments, few of them can as yet be considered stable democracies. Most remain engaged in the struggle to consolidate their new and fragile democratic institutions. Consolidating the Third Wave Democracies provides an in-depth analysis of the challenges that they face.
- 3. Pippa Norris (ed) Critical Citizens: Global Support for Democratic Governance, Oxford University Press. 1999.0-19-829568-5 $19.95
"Critical Citizens is a landmark comparative study of trends in attitudes toward nation, government regime, political institutions, and leaders, in some forty regionally well-distributed countries, bringing together the research of a cross-national team of social scientists, led by Pippa Norris of the Harvard Kennedy School. It is full of theoretically interesting insights, as well as findings that have an important bearing on public policy."-- Gabriel Almond, Stanford University
- 4. Arend Lijphart, Patterns of Democracy. Yale University Press. 1999. 0-780300-078930 $17.00
In this updated and expanded edition of his highly acclaimed book Democracies, Arend Lijphart offers a broader and deeper analysis of worldwide democratic institutions than ever before. Examining thirty-six democracies during the half-century from 1945 to 1996, Lijphart arrives at important-and unexpected-conclusions about what type of democracy works best. While conventional wisdom suggests that majoritarian democracies like those in the United States and Great Britain are superior to consensual systems like those in Switzerland and Israel, Lijphart shows this is not so. In fact, consensual systems stimulate economic growth, control inflation and unemployment, and limit budget deficits just as well as majoritarian democracies do. And, consensus democracies clearly outperform majoritarian systems on measures of political equality, women's representation, citizen participation in elections, and proximity between government policies and voter preferences.
Detailed outline of lectures and readings:
LECTURE 1: INTRODUCTION: COMPARING REGIMES
Objectives: Consider how concepts of democracy can be defined and operationalized. Critically analyze measures and indicators of democratization. Understand alternative classifications of 'democratic' and 'non-democratic' regimes.
- Freedom House 'The Comparative Survey of Freedom: 1999-2000' Freedom Review (ONLINE) www.freedomhouse.org
- Fuchs, Dieter 'The Democratic Culture of Unified Germany.' In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris. Oxford. 1999. Ch.6.
1. Can quantitative measures of democracy be used to produce a single index of democratization? What are the advantages and disadvantages of such a measure?
2. Is there a single conception of democracy or multiple perspectives?
3. How can we best classify and define 'non-democratic' regimes?
4. Is 'democracy' primarily a Western ideal or are the values globally applicable in other cultures?
LECTURE 2: TRENDS IN DEMOCRATIC DEVELOPMENT
Objectives: Understand patterns of democratization and the implications of trends over time. Develop a classification of the underlying conditions leading to the transition and consolidation of democracy.
- Mishler, William and Richard Rose 'Five Years After the Fall: Trajectories of Support for Democracy in Post-Communist Europe.' In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris. Oxford. 1999. Ch.4.
- Samuel P. Huntington "Democracy for the Long Haul" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- Larry Diamond "Introduction: In Search of Consolidation" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
1. What are the primary factors leading towards the transition and consolidation of democracies?
2. What are the most important enabling factors leading to the process of democratization? What is the evidence for this claim? Are cultural, socioeconomic or institutional factors most significant?
LECTURE 3: CULTURAL EXPLANATIONS FOR DEMOCRATIZATION
Objectives: To understand public attitudes towards democratic governance, including support for the community, for democratic values, for democratic processes, for democratic institutions, and for political leaders.
- Hans-Dieter Klingemann 'Mapping Political Support in the 1990s: A Global Analysis' (1999) In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris Oxford University Press. Ch.2
- Russell Dalton 'Citizens and Democracy: Political Support in Advanced Industrial Democracies' (1999) In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris Oxford University Press. Ch.3
- Robert A. Dahl "Development and Democratic Culture" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
1. How do we explain wide cross-national variations in public support for democratic governance?
2. Has there been a steady, secular slide in trust in government across all advanced industrialized societies?
3. What are the most plausible causes of the erosion of political trust in the United States?
4. Is widespread adherence to democratic values an essential prerequisite for democratic consolidation?
LECTURE 4: POST-MODERNIZATION, CIVIC SOCIETY AND SOCIAL CAPITAL
Objectives: To understand theories of post-modernization, civic society and social capital.
- Arend Lijphart. 1999. Patterns of Democracy, Yale University Press. Chs. 9.
- Ronald Inglehart. 'Post-Modernization Erodes Respect for Authority, but Increases Support for Democracy'. In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris. Oxford. Ch 12.
- Putnam, Robert D. "Bowling Alone" Journal of Democracy and "The Strange Disappearance of Civic America"
- Philippe C. Scmitter "Civil Society: East and West" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- E.Gyimah-Boadi "Civil Society in Africa" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- Alexander Smolar "From Opposition to Atomization" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
1. What is the theory of post-modernization and value change? How far does this explain the process of democratization?
2. What is meant by the concept of a 'civic culture'? How can this concept be measured and compared?
3. What are the primary problems of civil society and how critical is a vibrant civil society to the consolidation of democracy?
4. What are the alternative models of interest group representations between citizens and the state?
LECTURE 5: SOCIOECONOMIC DEVELOPMENT AND DEMOCRATIZATION
Objective: Understand the relationship between socioeconomic development and the process of democratization.
- Lipset, Seymour Martin et al "A Comparative Analysis of the Social Requisites of Democracy" in International Social Science Journal May 1993 136(2):155-175.
- Adam Przeworski et al. "What Makes Democracies Endure?" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- Hsin-Huang Michael Hsiao and Hagen Koo "The Middle Classes and Democratization" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
1. Which approach seems to provide a more plausible account of the relationship between economic development and democratization - quantitative cross-national studies or comparative historical investigations?
2. What are the main problems of disentangling the relationship between economic development and democratization?
3. Critically assess the points for and against Lipset's argument that the economy exerts a substantial independent influence upon the likelihood of a nation adopting democratic structures.
4. Is a strong middle class an essential precondition for democratic consolidation?
LECTURE 6: DESIGNING CONSTITUTIONAL FRAMEWORKS & ETHNIC CONFLICT
Objective: Understand the conditions leading to constitutional reform. Understand the distinction between 'Westminster' and 'consociational' democracy. Analyze the pros and cons of alternative constitutional designs for resolving ethnic conflict.
- Pippa Norris "Institutional Explanations for System Support" (1999) In Critical Citizens: Global Support for Democratic Governance. Ed. Pippa Norris Oxford University Press. Ch.11.
- Arend Lijphart. 1999. Patterns of Democracy, Yale University Press. Chs. 1 and 2.
- Constitutional Design 2000 - new papers on constitutional design, conflict management and democratization plus cases like Northern Ireland, Fiji, Indonesia, Nigeria and South Africa with contributions by Horowitz, Lijphart, Stephan, O'Leary, Linz, Reynolds and more. Great resource ONLINE.
1. What is meant by the concepts of 'consociational' democracy, and 'Westminster' democracy?
2. What are the pros and cons of each system?
3. What factors lead to effective constitutional designs? Reference work to consult for country constitutions: International Constitutional Law Documents (ONLINE)
LECTURE 7: DESIGNING EXECUTIVE-LEGISLATIVE RELATIONS & FEDERALISM
Objectives: Understand the differences and consequences of presidential and parliamentary systems.
- Arend Lijphart. 1999. Patterns of Democracy, Yale University Press. Chs. 7 and 10.
- Linz, Juan. "The Perils of Presidentialism" in Arend Lijphart (ed) Parliamentary versus Presidential Government. (Oxford University Press, 1992).
1. Which system will produce more stable and effective democracy in emerging systems: Presidential or Parliamentary governments?
2. Does federalism produce a diffusion of accountability and transparency in policymaking?
LECTURE 8: DESIGNING ELECTORAL SYSTEMS
Objective: Understand the main alternatives concerning electoral systems and their consequences.
- Norris, Pippa. "Choosing Electoral Systems" in International Political Science Review 18(3):297-312, July 1997
- Norris, Pippa. 'Ballots not Bullets: Testing Consocialtional Theories of Ethnic Conflict, Electoral Systems and Democratization.' ONLINE paper, www.pippanorris.com
- Reference source ONLINE: ACE Project on electoral system design and administration.
- Blais, Andre and Louis Massicotte "Electoral Systems". In Larry LeDuc, Richard Niemi and Pippa Norris, Comparing Democracies. Sage: 1996. Ch2.
- Arend Lijphart. 1999. Patterns of Democracy, Yale University Press. Ch.8.
1. What are the major distinctions between plurality first-past the-post, the alternative vote, the single transferable vote, and party list electoral systems?
2. What are the main differences between the d'Hondt formula, the 'pure' Saint-Lague and the modified Saint-Lague, and the Hare quota systems of translating votes into seats?
3. What are the primary advantages and disadvantages of proportional or plurality electoral systems? Which system seems most appropriate for the country you have selected for your democratic audit, and why?
4. Are proportional electoral systems associated with fragmented or extreme multiparty systems?
5. What are the consequences for alternative electoral systems for the representation of women and ethnic minorities?
LECTURE 9: PARTY SYSTEMS
Objectives: Understand the role of parties in the democratization process.
- Lijphart, Arend. 1999. Patterns of Democracy. Ch. 5.
- Mair, Peter. "Party Systems and Structures of Competition". in LeDuc, Neimi and Norris, Comparing Democracies (Sage, 1996). Ch.3.
- Katz, Richard. 1996. "Party Organizations and Finance". In LeDuc, Niemi and Norris, Comparing Democracies (Sage, 1996). Ch.4.
- John Carey "Institutional Design and Party Systems" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- Gabor Toka "Political Parties in East Central Europe" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997)
- Teh-fu Huang "Party Systems in Taiwan and South Korea" in Larry Diamond, Marc F. Plattner, Yun-han Chu and Hung-mao Tien, Consolidating the Third Wave Democracies (Johns Hopkins Press, 1997).
- Reference Source ONLINE: Parties on the Web
1. Why do patterns of party competition vary so substantially cross-nationally? What are the consequences for the policy process and for democracy?
2. What are the causes and consequences of extreme party fragmentation?
3. How can effective grassroots party organizations be mobilised in new democracies?
LECTURE 10: THE MEDIA'S ROLE IN DEMOCRATIZATION
Objectives: Compare media systems and their role in the process of democratization. Consider the impact of the Internet on civic society.
- Norris, Pippa. A Virtuous Circle: Political Communications in Post-Industrial Democracies. Cambridge University Press, 2000. Chapter 1, 4, & 5. ONLINE
- Norris, Pippa. Digital Divide: Civic Engagement, Information Poverty and the Internet Worldwide. Cambridge University Press, August 2001. Online at www.pippanorris.com. Ch 1 & 3.
- UNESCO World Communication Report. 1998. Ch. 1, 8 & 11. ONLINE
- Holli Semetko "The Media" in Lawrence LeDuc, Richard Niemi and Pippa Norris (eds) Comparing Democracies (Sage 1996). Ch.10.
- David M. Farrell "Campaign Strategy and Tactics" in Lawrence LeDuc, Richard Niemi and Pippa Norris (eds) Comparing Democracies (Sage 1996).
1. What should be the role and power of the media in the democratization process?
2. How far is there evidence that the Internet creates new opportunities for organization and mobilization among transnational policy networks in civic society?
3. Does the rise of the Internet create a 'dictator's dilemma'?
Supplementary Book list:
The following is intended as a brief guide to further reading to help you explore the literature more fully on particular topics.
Downloadable APSA Conference Papers Online:
- Austin, Dennis. Liberal Democracy in Non-Western States, Paragon House. 1995.
- Banac, Ivor. Ed. Eastern Europe in Revolution, Cornell University Press. 1992.
- Beetham, David. Defining and Measuring Democracy. Sage. 1994.
- Bogdanor, Vernon. Democracy and Elections, Cambridge University Press. 1983.
- Budge, Ian and David McKay (ed). Developing Democracy. Sage. 1994.
- Butler, David and Austin Ranney. Electioneering. Oxford University Press. 1992.
- Butler, David, Howard R.Penniman and Austin Ranney. Democracy at the Polls. AEI. 1981.
- Dahl, Robert. On Democracy. Yale. 1998.
- Diamond, Larry and Marc F.Plattner (eds). The Global Resurgence of Democracy. The Johns Hopkins University Press. 1993.
- Diamond, Larry. Political Culture and Democracy in Developing Countries, Lynne Rienner Publications. 1993.
- di Palma, Giuseppe. To Craft Democracies. University of California Press. 1990.
- Franklin, Mark. et al. Electoral Change, Cambridge University Press. 1992.
- Friedman, Edward. ed. The Politics of Democratization: Generalizing East Asian Experiences, Westview Press. 1994.
- Hadenius, Axel. Democracy and Development, Cambridge University Press. 1992
- Hadenius, Alex. Democracy's Victory and Crisis, Cambridge University Press. 1997.
- Haggard, Stephen. The Political Economy of Democratic Transitions, Princeton University Press. 1995.
- Harrop, Martin and William L. Miller. Elections and Voters. Macmillan. 1987.
- Huntington, Samuel P. The Third Wave. University of Oklahoma Press. 1991.
- Leftwich, Adrian (ed). Democracy and Development. Polity Press. 1995.
- Lijphart, Arend. Electoral Systems and Party Systems. Oxford University Press.1994.
- Lijphart, Arend. Parliamentary versus Presidential Government, Oxford University Press. 1992.
- Lijphart, Arend. Democracies, Yale University Press. 1984.
- Linz, Juan and Alfred Stephan. Problems of Democratic Consolidation Johns Hopkins Press. 1996.
- Mainwaring, Scott, Guillermo O'Donnell and J.Samuel Venezuela. eds. Issues in Democratic Consolidation University of Notre Dame Press. 1992.
- Niemi, Richard, Lawrence LeDuc and Pippa Norris (eds). Comparing Democracies. Sage. 1996.
- Norris, Pippa. (ed). "The Politics of Electoral Reform" special issue of the International Political Science Review 16(1) January 1995.
- Norris, Pippa. Electoral Change Since 1945, Blackwells. 1997.
- Norris, Pippa (ed). Passages to Power, Cambridge University Press. 1997.
- Norris, Pippa (ed) Politics and the Press, Lynne Reinner. 1997
- Norris, Pippa (ed) Critical Citizens: Global Support for Democratic Government, Oxford University Press. 1998.
- Parry, Geraint and Michael Moran (eds). Democracy and Democratization. Routledge. 1994.
- Pridham, Geoffrey and Tatu Vanhanen. Democratization in Eastern Europe, Routledge. 1994.
- Pridham, Geoffrey. Transitions to Democracy: Comparative Perspectives from Southern Europe, Latin America and Eastern Europe, Dartmouth. 1995.
- Przeworski, Adam. Democracy and the Market: Political and Economic Reforms in Eastern Europe and Latin America, Cambridge University Press. 1991.
- Rueschemeyer, Dietrich et al. Capitalist Development and Democracy. University of Chicago Press. 1992.
- Sartori, Giovanni. Comparative Constitutional Engineering. Macmillan. 1994.
- Schopflin, George. Politics in Eastern Europe. Blackwell. 1993.
- Taagepera, Rein and Matthew Shugart. Seats and Votes: The Effects and Determinants of Electoral Systems Yale University Press. 1989.
- Weil, Frederick. Democratization in Eastern and Western Europe, JAI Press. 1993.
For more details and resources see the website online at: www.pippanorris.com
Professor Pippa Norris is Associate Director (Research) of the Joan Shorenstein Center on the Press, Politics and Public Policy and Lecturer in Public Policy at Harvard University.
Her research compares political communications, democratization and elections, and gender politics. Books include: A Virtuous Circle (2000), Critical Citizens (1999), On Message (1999), Critical Elections (1999), The Politics of News (1998), Elections and Voting Behaviour (1998), Britain Votes 1997 (1997), Electoral Change Since 1945 (1997), Women, Media and Politics (1997), Politics and the Press (1997), Passages to Power (1997), Comparing Democracies (1996), Women in Politics (1996), Political Recruitment (1995), Different Voices, Different Lives (1994), Gender and Party Politics (1993), British Elections and Parties Yearbook (1991, 1992, 1993), British By-elections (1990), Politics and Sexual Equality (1987). Her latest research has produced a new book Digital Divide, analyzing the political role of the Internet worldwide, due out with CUP Fall 2001.
She co-edits The Harvard International Journal of Press/Politics and has served on the Council and Administrative Committee of the American Political Science Association, the Executive of the International Political Science Association, the Executive of the Political Science Association of the UK (PSA), and the Executive of the British Politics Group of APSA. She has been President of the Women and Politics Research Group of APSA, Co-Founding Chair of the Elections, Parties and Public Opinion Group of the PSA, and has served on the Program Committee of the Midwest Political Science Association.
She has held visiting appointment as Research Fellow at the Center for Research on Social and Economic Trends (CREST), Professor of Political Science at the University of California, Berkeley, Professor of Politics at the University of East Anglia and Fellow at the Australian National University. Her research has been supported by grants from the National Science Foundation, the Economic and Social Committee of the UK, the Pew Charitable Trust, the BBC, the Nuffield Foundation and others.
Prior to Harvard she taught at Edinburgh University. She holds a Bachelor of Arts in Politics and Philosophy from Warwick University, and Masters and Doctoral degrees in Politics from the London School of Economics (LSE). She teaches Internet Design for Democracy, Democracy and Democratization, Political Communications in Comparative Perspective and Women and Politics.