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Structure of class
Structure of class
Major alternative concepts of democratic Major
alternative concepts of democratic
governance
I
I.

Electoral democracy: Joseph Schumpeter/Przeworski
Electoral democracy: Joseph Schumpeter/Przeworski

Liberal democracy: Robert Dahl/Polity IV

Good governance: World Bank/Ibrahim Index
Good governance: World Bank/Ibrahim Index
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Class Resources
Class Resources
Geraldo L. Munck and Jay Verkuilen. 2002.
‘Conceptualizing and measuring democracy - Evaluating
alternative indices
indices.’ Comparative Political Studies
Studies. 35 (1): 55
34.
LeDuc, Niemi and Norris Comparing
p
g Democracies 3
 Haerpfer Democratization Ch 2
Supplementary
Supplementary optional readings by Dahl, Schumpeter,
Dryzek, and Held.
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Alternative concepts of democratic governance
Electoral democracy
Przeworski/Cheibub
Liberal democracy
Good governance
Polity IV/
Polity IV/
Ibrahim Index/
Ibrahim Index/
Freedom House
World Bank
Minimalist Maximalist
9/21/2009
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1 Electoral democracy
1.Electoral democracy







Joseph Schumpeter, Capitalism, socialism and Josep
Sc u pete , Cap ta s , soc a s a d
democracy
Procedural minimalist definition
"Th d
"The democratic method is that institutional i
h di h i i i
l
arrangement for arriving at political decisions in which individuals acquire the power to decide by means of a
individuals acquire the power to decide by means of a competitive struggle for the people's vote“
Multiparty elections at regular intervals
Citizens select leaders
Pros and cons of this notion?
How would you measure it?
How would you measure it?
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Pros and cons?
Pros and cons?

Validity?
 Reflects basic commonsense notions of democracy
 Excludes too much?
 No notion of freedom of speech or assembly, civil liberties, political p
y,
,p
rights, human rights, common good, regime structure, quality of governance, policy outputs?

Reliability?
 Institutional criteria (elections) can be observed and verified
 Are there multiparty competitive elections for national office?
 Yet what counts as a genuine Yet what counts as a genuine ‘competitive
competitive struggle
struggle’??
 Electoral autocracy?  Potential measurement error through misclassification
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M
db P
ki/Ch ib b
Measured by Przworski/Cheibub



Adam Przeworski et al Democracy and development y
p
(CUP 2000)
Jose Cheibub Presidentialism, Parliamentarism and Democracy (CUP 2007)
(CUP 2007)
Minimalist  Dichotomous classification democratic v. autocratic regime, not a continuous scale
i
l
 Criteria
 Contestation
 Regimes
Regimes that allow some regularized competition among conflicting that allow some regularized competition among conflicting
visions and interests
 Regimes in which some values or interests enjoy a monopoly buttressed by threat or the actual use of force
Operationalization

“Democracy is a regime in which government offices y
g
g
are filled by contested elections.” p19 
“Democracy is a system in which incumbents lose elections and leave office when the rules dictate.” p54.

All other regimes are not democratic.
Rules
1.
Chief executive must be elected directly or indirectly
y
y
2.
The lower house of the legislature must be elected
3.
There must be more than one party
4.
(If pass above) and if incumbents subsequently held, but never lost elections, regimes are authoritarian.

Cases of Singapore, Botswana, Japan, Kenya, Mexico??
Contestation rules:


Ex‐ante uncertainty (probability that at least one member of incumbent coalition will lose))

Ex‐post irreversibility (whoever wins election will be allowed to assume office)

p
y ((temporary outcomes)
p
y
)
Repeatability
Figure 3.1: Trends in Cheibub and Gandhi’s classification of regime types, 1945-2002
Cheibub Type of Regime
120
Democracy
Dictatorship
100
Couunt
80
60
40
20
2002
2000
1998
1996
1994
1992
1990
1988
1986
1984
1982
1980
1978
1976
1974
1972
1970
1968
1966
1964
1962
1960
1958
1956
1954
1952
1950
1948
1946
Year
Source: José Cheibub and Jennifer Gandhi. 2004. ’A six-fold measure of democracies and
dictatorships.’
Paper presented at the Annual
Meeting of the American Political Science
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Minimalist exclusions
Minimalist exclusions

No social or economic aspects included
No social or economic aspects included

No measure of accountability, responsibility, responsiveness or representation
responsiveness or representation

No measure of freedom, liberties or human rights

No measure of participation eg
f
i i i
f
franchise
hi

No reference to civil‐military relations
• Advantages and disadvantages of this approach?
Democratic governance
Electoral democracy
Przeworski/Cheibub
Liberal democracy
Good governance
Polity IV/
Polity IV/
Ibrahim Index/
Ibrahim Index/
Freedom House
World Bank
Minimalist Maximalist
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2 Liberal Democracy
2. Liberal Democracy
Robert Dahl 1956. A Preface to Democratic Theory
f
y
Modern democratic states can be understood in practice as polyarchies
 Two concepts are important: Contestation and Two concepts are important: Contestation and
participation
 ‘Polyarchies’ can be identified by the presence of certain key political institutions:
key political institutions: 

1) elected officials; 2) free and fair elections; )
g
3) inclusive suffrage; 4) the right to run for office; 5) freedom of expression; 6) alternative information; and 7) associational autonomy
7) associational autonomy
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Dahl'ss Conceptual Logic
Conceptual Logic
Dahl
Liberal Democracy
Contestation
Right to form parties
Associational autonomy
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Participation
Freedom of the press
Right to vote
Fairness of election
Extent of suffrage
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Measurement: Polity IV
Measurement: Polity IV

Monty G. Marshall, and Keith Jaggers. 2006. Polity IV Monty
G. Marshall, and Keith Jaggers. 2006. Polity IV
Project: Political Regime Characteristics and Transitions, 1800‐2006: Dataset Users’ Manual. Maryland: University of Maryland. http://www.cidcm.umd.edu/polity/

Long time‐series (1800‐2006) annual observations

Academic standard especially in IR
p
y
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Polity IV Concepts
Polity IV Concepts

Democracy reflects three essential elements:
Democracy reflects three essential elements: 
The presence of institutions and procedures through which citizens can express preferences about
which citizens can express preferences about alternative policies and leaders; 
The existence of institutionalized constraints on the The
existence of institutionalized constraints on the
power of the executive; and

The guarantee of civil liberties to all citizens The
guarantee of civil liberties to all citizens
(although not actually measured). 9/21/2009
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Polity IV measurement
Polity IV measurement







The dataset constructs a ten
The
dataset constructs a ten‐point
point democracy scale democracy scale
by coding The competitiveness of political participation (1‐3),
The competitiveness of executive recruitment (1‐2),
The openness of executive recruitment (1), and Th
The constraints on the chief executive (1‐4). t i t
th hi f
ti (1 4)
Autocracy is measured by negative versions of the same indices
same indices. The two scales are combined into a single democracy‐autocracy score varying from ‐10 to +10.
y
y
y g
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Polity IV classification
Polity IV classification




The existence or absence of institutional features of the nation state. Competitive executive recruitment is measured by leadership selection through popular elections contested by two or more parties or candidates
two or more parties or candidates. The openness of recruitment for the chief executive is measured by the opportunity for all citizens to have the oppo tu ty to atta t e pos t o t oug a egu a ed
opportunity to attain the position through a regularized process, excluding hereditary succession, forceful seizure of power, or military coups. By contrast, autocracies are seen as regimes which restrict or suppress competitive political participation, in which the chief ii
li i l
i i i
i hi h h hi f
executive is chosen from within the political elite, and, once in office, leaders face few institutional constraints on their power. power
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Polity IV
Polity IV
Figure 3.4: Trends in Polity IV measure of Constitutional Democracy, 1800-2000
4
Mean Polity Combined 20
0-pt score
2
0
-2
-4
-6
-8
2000
1995
1990
1985
1980
1975
1970
1965
1960
1955
1950
1945
1940
1935
1930
1925
1920
1915
1910
1905
1900
1895
1890
1885
1880
1875
1870
1865
1860
1855
1850
1845
1840
1835
1830
1825
1820
1815
1810
1805
1800
Year
Source: Monty Marshall and Keith Jaggers. 2003. Polity IV Project: Political Regime Characteristics and
Transitions, 1800-2003. http://www.cidcm.umd.edu/inscr/polity/;
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Polity IV
Polity IV



Pros and cons?
Pros
and cons?
Validity?
Reliability?
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Democratic governance
Electoral democracy
Przeworski/Cheibub
Liberal democracy
Good governance
Polity IV/
Polity IV/
Ibrahim Index/
Ibrahim Index/
Freedom House
World Bank
Minimalist Maximalist
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Good governance indices
Good governance indices

Increasingly commonly used in the last decade
gy
y

World Bank Institute: Kaufmann‐Kray
 Good governance indicators 1996
Good governance indicators 1996‐date
date





Rule of law
Government effectiveness
Transparency
Voice
Stability
 Will discuss in Class 11 
Ibrahim Index of African Governance

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http://www.moibrahimfoundation.org/index‐2008/
p //
g/
/
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Ibrahim Index
Ibrahim Index
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e g Ibrahim Index
e.g. Ibrahim Index
“All citizens of all countries desire to be governed well. That is
what
h citizens
ii
want from
f
the
h nation-states
i
i which
in
hi h they
h live.
li
Thus, nation-states in the modern world are responsible for the
p
ggoods to their inhabitants. The
deliveryy of essential political
essential political goods can be summarized and gathered under
five categories:
•Safety
Safety and Security;
•Rule of Law, Transparency, and Corruption;
•Participation and Human Rights;
•Sustainable
S
i bl Economic
E
i Opportunity;
O
i andd
•Human Development.
g
these five categories
g
of political
p
goods
g
epitomize
p
the
Together,
performance of any government, at any level.”
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E g Ibrahim Index
E.g. Ibrahim Index
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Eg Ibrahim Index
Eg Ibrahim Index
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Ibrahim index
Ibrahim index


Advantages?
Disadvantages?
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Key questions?
Key questions?
How would you assess the strengths and weaknesses of the normative concepts of electoral democracy, liberal democracy, deliberative democracy and good governance?
 Which of these concepts would you use to measure the quality of governance in your home region, for example, working in a UN agency, a national NGO, as a journalist,
working in a UN agency, a national NGO, as a journalist, as an official for a bilateral donor, or as an academic analyst?  How would you justify your choice of concepts and How would you justify your choice of concepts and
measures to a diplomatic official from, say, ASEAN, the African Union, or the UN?

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Next class
Next class 

Note: Meet next on Wednesday 18
Note:
Meet next on Wednesday 18th Feb
Introduction to the QoG dataset
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