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THE THIRD

WAVE
Democratization in
the Late Twentieth Centuru

By
SAMUEL P. HUNTINGTON

UNIVERSITY OF OKLAHOMA PRESS : NORMAN


OTHER BOOKS llY SAMUEL P. HUNTINGTON
Til" Soldier and the State: The Theoru and Politics of CHAPTER 1
Civil-Military Relations (Cambridge, MA, 1957)

The Defense: Strategic Programs in


C011l1l1011
Natiounl Politics (New York, 1961) WHAT?
Political Order ill Changing Societies (New Haven, 1968)

America" PoliticsiThe Promise of Disharmony (Cambridge, MA, 1981)

. The Clash of Civilizations


anri t711! Remaking of World Order (New York, 1998)

Library of Congress Cataloging-in-Publication Data


Huntington, Samuel P. THE START OF THE THIRD WAVE
The third wave : democratization in the late twentieth century/
Samuel P. Huntington. THE THIRD WAVE or DEMOCRATIZATION in the modern world
p. ern, -(~he Julian J. Rothbaum distinguished lecture series i began, .implalls~bly and unwittingly, at twenty-five minutes
v. 4) after midnight, Thursday, Apr1l25, 1974, in Lisbon, Portugal,
Includes bibliographical references and index. when a radio station played the song "Grandola Vila Mo-
1. Democracy-c-Hlstory=-zoth century, 2. Authoritarianisrn-eHis- rena." That broadcast was the go-ahead signal for the military
tOry-20U, century. 3. World polilks-1975-1.985· 4. World politics- u~its in and around Lisbon to carry out the plans for a coup
1985-1995. 1. Title. II. Series. d etat that had been carefully drawn up by the-young officers
JC421.H86 1991 90-50690 leading the Movimento das Forcas Armadas (MFA). The coup
321.8'Q9'04-dc:1O CIP wa~ carried out efficiently and successfully, with only minor
ISBN: 978-0-8061-2516-9 (paper) resistance from the security police. Military units occupied
key ministries, broadcasting stations, the post office, air-
TIll! Third W"ve: DC/IIOCrllti:lltioll ill the Lllte TW~IItieth CClltllry is Volume 4 ports, and telephone exchanges. By late morning, crowds
In the Julian J. Rothbaum Distinguished Lecture Series.
, were flooding the streets, cheering the soldiers, and placing
This book was written under the auspices of the Harvard University Center carnations in the barrels of their rifles. By late' afternoon the
for lnternatinnal Af(airs and its John M. Olin institute for Strategic Studies. deposed dictator, Marcello Caetano, had surrendered to the
new military leaders of Portugal. The next day he flew into
The paper in this book meets the guidelines for permanence and durability
of the Committee on Production Guidelines for Book Longevity of the exile. So died the dictatorship that had been born in a similar
Council on Library Resources, Inc. military coup in 1926 and led for over thirty-five years by an
austere civilian, Ant6nio Salazar, working in close collabora-
Copyright <01991 by Samuel P. Huntlngton. Published by the University of tion with Portugal's soldiers. I
Oklahoma Press, Norman, Publishing Division of the University. Manufac-
tured in the U.S.A. [:irst paperback published 1993. The April 2.5coup was an implausible beginning of a world-

All rights reserved. No part of this publication may be reproduced, stored 3


in a retrieval system, or transmitted, in any form or by any means, electron-
ic, mechanical, photocopying, recording, or otherwise-e except as permitted
under Section 107 or 108 of the United States Copyright Act-without the
prior written permission of the University of Oklahoma Press.

12 13 14 15 16 }7 18 19 20 21
WHAT?
5
THE THIRD WAVE
4 ::r c~rtainJy don't want to be a Kerensky," replied Soares.
wide movement to democracy because coups d'etat more fre- Neither did Kerensky," shot back Kissinger.t
quently overthrow democratic regimes than in!roduce ,them. Portugal, however, turned out to be different from Russia,
It was an unwitting beginning because the installation ~f The Kerenskys WOn; democracy triumphed. Soares went
democracy, much less the triggering of a global democratic on ~o become fll'lme minister and later president. And the
movement was far from the minds of leaders of the coup. Lem_n of the Portuguese revolution, the person who at the
The death' of the dictatorship did not ensure the birth of ~r~Clal moment de~loyed disciplined force to produce the po-
democracy. It did, however, unleash a huge array, of popu- litical result h~ desired, was a taciturn prodemocracy colonel
lar, social, and political forces that had been effectively sup- named Antonio .Ramal~o Eanes who on November 25, 1975,
pressed during the dictatorship. For eighteen months ~fter crushed the radical leftist elements in the armed forces and
the April coup, Portugal was in turmoil. The MFA ~(flcers ensured the future of democracy in Portugal.
split into competing conservative, moderate, an~ Marxist fac- The movement. toward democracy in Portugal in 1974 and
tions. The political parties covered an equally wide spectru~, 1~75.was dramatic but not unique, Less obvious democratic
from the hard-line Communist party on the left to fascist stirrings we:e occurring elsewhere. In 1973 inBrazil leaders
groups on the right. Six provisional go~ernmen~s succeeded of the ~UtgOl~~ gove,rnment of Gen. Emilio Medici developed
each other, each exercising less authority than Its predeces- plans lor pOJltJC~J distensso 0)' "decompression" and in 1974
sor. Coups and countercoups were attempted. Workers and ~en. Ernesro Ceisel committed his new government to start-
peasants struck, demonstrated, and seize~ factories,. farms, lng the pr?cess o~ political opening. In Spain Prime Minister
and media. Moderate parties won the national elections on ~arl~s. ~nas ,caut,lOusly ~noved the Franco dictatorship in a
the anniversary of the coup in 1975, but by the fall of,that year hbera,!Jzlng direction while the country awaited the death of
civil war appeared possible between the conservative north the d~ctat~r. In Greece tensions were building up in the col-
and the radical south. onels regIme that ,led to its downfall in mid-1974 and, later
The revolutionary upheaval in Portugal seemed, in m~ny that year, to the first dernocratlcally elected government in
respects, to be a replay of 1917 Russia, with Caetano as NIC~- the new. wave of l~ansilions, During the following fifteen
olas Il, the April coup as the February Revolution, the dorni- YC,ars this d~moCr?lIC wave became global in: scope; about
nant groups in the MFA as the Bolsheviks, similar wide- thirty countries shifted from authoritarianism to democracy,
spread economic turmoil and popular upheaval, and even the and at least a score of other countries were affected by the
equivalent 0,£ the Kornilov conspiracy in Ccneral Spinola's un- democratic wave,
successful right-wing coup attempt in March 1975, The re-
THE MEANING OF DEMOCRACY:
semblance was not lost on acute observers. In September 1974
Mario Soares, foreign minister of the provisional government The transitions to democracy between 1974 and 1990 are the
and leader of the Portuguese Socialist party, met with Secre- subject of this book, The first step in dealing with this subject
tary of State Henry Kissinger in Washington: Kissinger b~- is to clarify the meaning of democracy and democratization
rated Soares and other moderates for not acting more dcci- as they are used in this book.
sively to he~d off a Marxist-Leninist di.ctator~hip, , The concept of democracy as a form of government goes
"You are a Kerensky ... , I believe your sincerity, but you back to the Greek philosophers. Its modern usage, however,
are naive," Kissinger told Soares,
WHAT?
7
6 THE THIRD WAVE
conclu.ded that.o~ly the latter type of definition provided the
dates from the revolutionary upheavals in Western SOcietyat analytical precision and empirical referents that make the
the end of the eighteenth century. In the mid-twentieth cen- concept a usefu~ one. Sweeping discussions of democracy in
tury three general approaches emerged in the debates over terms of normative theory sharply declined, at least in Ameri-
the meaning of democracy. As a form of government, democ- can scholarly discussions, and were replaced 'by efforts to
racy has been.defined in terms of sources of authority for gov- unde:stand the nature of democratic institutions, how they
ernment, purposes served by government, and procedures function, and the reasons why they develop and collapse
for constituting government. The prevailing effort was to make democracy less of a "hur-
Serious problems of ambiguity and imprecision arise when rah" word and more of a commonsense word.s:
democracy is defined in terms of either source of authority or . Following .in the Schump~t.erian tradition, this study de-
purposes, and a procedural definition is used in this study.' fines a twen.tleth-century political system as democratic to the
In other governmental systems people become leaders by rea- extent that Its most powerful collective decision makers are
son of birth, lot, wealth, violence, cooptation, learning, ap- selected through fair, honest, and periodic elections in which
pointment, or examination. The central procedure of democ- candidates freely compete for votes and in which virtually
racy is the selection of leaders through competitive elections all th~ adult population is eligible to vote. So defined, democ-
by the people they govern. The most important modern rac~ Involves the two dimensions-contestation and partici-
formulation of this concept of democracy was by Joseph patlOn-that Robert Dahl saw as critical to his realistic de-
Schum peter in 1942. In his path breaking study, Capitalism, n:o.cracy Or ~~lyarchy. It also implies the existence of those
Socialism, and Democracy, Schumpeter spelled out the deficien- Civila.nd political freedoms to speak, publish, assemble, and
cies of what he termed the "classical theory of democracy," orgamze that are necessary to political debate and the con-
which defined democracy in terms of "the will of the people" duct of electoral campaigns.
(source) and "the common good" (purpose). Effectively de- This procedural definition of democracy provides a number
molishing these approaches to the subject, Schumpcter ad- o,f bench-marks-groupcd largely along Dahl's two dimen-
vanced what he labeled "another theory of democracy." The sions-that make it possible to judge to what extent political
"democratic method," he said, "is that institutional arrange- systems are democratic, to compare systems, and to analyze
ment for arriving at political decisions in which individuals whether systems are becoming more or less democratic. To
acquire the power to decide by means of a competitive the ~x.ten~,for instance: that ~ political system denies voting
struggle for the people's vote ."4 partJc~patJon to part of Its society-as the South African sys-
For some while after World War II a debate went on be- tem did to the 70 percent of its population that 'was black as
tween those determined, in the classical vein, to define de- Switzerland did to the 50 percent of its population that was
mocracy by source or purpose, and the growing number of female, .or as the United States did to the 10 percent of its
theorists adhering to a procedural concept of democracy in p?p~lahon that were southern blacks-it is undemocratic.
the Schumpeterian mode. By the 19705 the debate was over, Slln.il~r1y,.
a system is undemocratic to the extent that no op-
and Schumpeter had won. Theorists increasingly drew dis- position IS permitted in elections, or that the opposition is
tinctions between rationalistic, utopian, idealistic definitions curbed or harassed in what it can do, or that opposition news-
of democracy, on the one hand, and empirical, descriptive, papers are censored or closed down, or that 'Votes are rna-
institutional, and procedural definitions, on the other, and
WHAT? 9
THE THLRD WAVE ~972. Yet with all its problems/ the classification of regimes
8 in terms of their degree of procedural democracy remains a
nipulated ormiscounted In any society, the sustained failure relatively simple task. :
of the major opposition political party to win office necessar- If popular election of the top decision makers :isthe essence
ily raises questions concerning the degree of competition of ?en:ocr~cy, then the critical point in the process of dernoc-
permitted by the system. In the late 1980s, the free-and-fair- ratization IS the replacement of a government: that was not
elections criterion of democracy became more useful by the c~osen tl:iS way by one that is selected in a free, open, and
increasing observation of elections by international groups. fair election. The overall process of democratization before
By 1990 the point had been reached where the first election and after t~at election~ h~wever, is usually complex and pro-
in a democratizing country would only be generally accepted longed. It Involves bringing about the end of the nondemo-
aa legitimate if it was observed by one or more reasonably cratic regime, the i~1au?uration of the democratic regime,
competent and detached teams of international observers, al~d t~1en ~e consolidation of the democratic system. Liber-
and if the observers certified the election as meeting minimal ~lizahon, m contrast, is the partial opening of an authoritar-
standards of honesty and fairness. Ian system sh~~t of cho~sing governmental leaders through
The procedural approach to democracy accords with the f~eely competitive elections, Liberalizing authoritarian re-
commonsense uses of the term. We all know that military gimes n:ay release political prisoners, open up some issues
coups, censorship, rigged elections, coercion and harassment f?r public debate/ loosen censorship, sponsor elections for of-
of the opposttion, jailing of political opponents, and prohibi- flees that have little power, permit some renewal of civil so-
tion of political meetings are incompatible with democracy. ciety, and take other steps in a democratic direction, without
We all know also that informed political observers can apply submitting top decision makers to the electoral test. liberal-
the procedural conditions of democracy to existing world po- ization mayor may not lead to full-scale democratization.
litical systems and rather easily come up with a list of those Several additional points need to be made in defining
countries that are clearly democratic, those that are clearly democracy.
not, and those that fall somewhere in between, and that with First, the definition of democracy in terms of elections is a
minor exceptions different observers will compose identical minimal definition. To some people democracy has or should
lists. We all know also that we can make and do make judg- have much more sweeping and idealistic connotations. To
ments as to how governments change over time and that no t~em~ ~'true democracy" means liberte, egalite, jraternite, effec-
one would dispute the proposition that Argentina, Brazil, tive citizen control over policy, responsible government, hen-
and Uruguay were more democratic in 1986 than they were estyand openness in politics. informed and rational delibera-
in 1976. Political regimes will never fit perfectly into intellec- tion, equal participation and power, and various other civic
tually defined boxes, and any system of classification has to virtu~s. Thes~ are, fo: the most part, good things and people
accept the. existence of ambiguous, borderline, and mixed can, if they :"lsh, define democracy in these terms. Doing so,
cases. Historically, the Kuomintang (KMT) system on Tai- h?:vever, raises all the problems that come up with the defi-
wan, for instance, combined some elements of authoritar-
nitions o~ democracy by source or by purpose. .Puzzy norms
ianism, democracy, and totalitarianism. In addition, govern-
do not YIeld useful analysis. Elections, open, free, and fair,
ments that had democratic origins may end democracy by
are the essence of democracy, the inescapable sine qua non.
abolishing' or severely limiting democratic procedures, as in
Korea and Turkey in the late 19505 and in the Philippines in
WHAT?
11
10 THE THIRD WAVE
of .demo.cracy a concept of stability or institutlonabzatton.
Governments produced by elections may be inefficient, cor- This typically refers to the degree to which the political sys-
rupt, shortsighted, irresponsible, dominated by special inter- tem ~ay be.exp~cted to remain in existence. Stability is a cen-
ests, and incapable of adopting policies demanded by the t~~ dimension In the analysis of any political system. A po-
public good. These qualities may make such governments un- litical system may, however, be more or less democratic and
desirable but they do not make them undemocratic. Democ- n:~re or less stable. Systems that may be appropriately c1as-
racy is one public virtue, not the only one, and the relation of sl.f~ed as equ.ally democratic may differ greatly in their sta-
democracy ·to other public virtues and vices can only be un- bility, Thu~, l1_lltSsurvey of freedom in the world published
derstood if democracy is clearly distinguished from other at th~. beginning of 1J84, Freedom House quite reasonably
characteristics of political systems. classified both New Zealand and Nigeria as "free." When
Second, ·conceivably a society could choose its political that _judgment was made, freedom may well have been no
leaders through democratic means, but these political leaders less 111 the latter than it was in the former. It was however
might not exercise real power. They may be simply the fronts mu~h less stable: a military coup on New Year's' D~y 1984 ef~
or puppets of some other group. To the extent that the most fcctively ended Nigerian democracy. Democratic and non-
powerful collective decision makers are not chosen through democratic systems may be created but they mayor may not
elections, the political system is not democratic. Implicit in endure. The stability of a system differs from the nature of
the concept of democracy, however, arc limitations on power. the system."
In democracies elected decision makers do not exercise total Fourth, there is the is~ue of whether to treat democracy
power. They share power with other groups in society. If and nondemocracy as a dichotomous or continuous variable.
those democratically elected decision makers become, how- Many analysts have preferred the latter approach and have
ever, simply a facade for the exercise of much greater power d~veloped measures of democracy combining 'indicators of
by a nondcrnocratically chosen group, then clearly that politi- fairness of elections, restrictions on political parties, free-
cal system is not democratic. Legitimate questions may be dom of the press, and other criteria. This approach is useful
raised, for instance, as to whether the elected governments in for some purposes, such as identifying variations in the de-
Japan in the late 1920S and in Guatemala in the late 1980s gree of democracy among countries (United States, Sweden,
were sufficiently dominated by their military as not to be France, Japan) that would normally be considered to be
truly democratic. It is also, however, easy for critics of a gov- democratic or variations in the degree of authoritarianism in
ernment, whether from the left or the right, to allege that nondemocratic countries. It does, however, pose many prob-
the elected officials are simply the "tools" of some other lems, such as the weighting of indicators. A dichotomous ap-
group or that they exercise their authority only on the suf- proach better serves the purpose of this study because our
ferance of and within severe constraints set by some other concern is wi~h the transition from a nondemocratic regime
group. Such allegations are often made, and they may be to a democratic one. Democracy has, moreover, been defined
true. But they should not be judged to be true until they have in. thi~ study by a single, relatively clear and widely accepted
been demonstrated to be true. That may be difficult, but it is cntenon. Even when analysts use somewhat different mea-
not impossible. sures, th~ir judg~ents as to which political systems are
A third .issue concerns the fragility or stability of a demo- democratic and which are not correlate to an extremely high
cratic political system. One could incorporate into a definition
WHAT? 13
THE THIRD WAVE ta_rian" to refer t.o all nondemocratic systems. Specific forms
12 ot nondemocratic or authoritarian regimes ate referred t
degree.' This study will, consequently, treat democracy as a as .one-p~~ty syste~s, totalitarian systems, personal dictator~
dichotomous variable, recognizing that there will be some be- ships, military regImes, and the like. '
twixt-and-between cases (e.g., Greece, 1915-36; Thailand,
THE WAVESOF DEMOCRATIZATION
1980-; Senegal, 1974-) that may be appropriately classified
"semidemoci:acies. " it0~tical system~ with democratic characteristics are not lim-
Fifth, nondemocratic regimes do not have electoral compe- e to modern times, In many areas of the world tribal chief
tition and widespread voting participation, Apart from these ,:~re ~)ec~ed ,for centuries and in some places democratic o~
shared negative characteristics they have little else in com- li~lcal institutions long existed at the village level. In additi~n
mon. The category includes absolute monarchies, bureau- t, e concept of democracy was, of course, familiar to the an-
cratic empires, oligarchies, aristocracies, constitutional re- cient world. The democracy of the Greeks and the Romans,
gimes with limited suffrage, personal despotisms, fascist and however, excluded wo~cn, slaves, and often other cate ories
communist regimes, military dictatorships, and other types ~f, peo~le, such as resident aliens, from participation ~ 0-
of governance. SOJ1"IC of these forms were more prevalent in litical
ti life. The extent to which ruling bodies we re, In ' prac-
p
previous eras: some are relatively modern. In particular, to- limi responsible to oven this restricted public was also often
talitarian regimes emerged in the twentieth century after the imited.
beginning of dernocratizalion and attempt the mass mobili- MO~el'Jl democ~ncy is not simply democracy of the village
zation of their citizenry to serve the purposes of the regime. the t,r1~e, or,the cIty-stale; it is democracy of the nation-stat~
Social scientists have drawn an appropriate and important an~ its emergence LS associated with the development of the
distinction between these regimes and traditional nondemo- natlOn-sta.te. The. initial push toward democracy in the West
cratic uuthoritarian systems. The former are characterized by: occ~rr~d In the first half of the seventeenth century. Demo-
a single party, usually led by one man; a pervasive and pow- crane Ideas and democratic movements were an important
erful secret police; a highly developed ideology setting forth although not a central, feature of the English Revolution:
the ideal society, which the totalitarian movement is com- T~,: Fundamental Orders of Connecticut, adopted by the
mitted to realizing; and government penetration and control citizens of Hartford and neighboring towns on Jan
16 8 th "f . uary 14,
of mass communications and all or most social and economic 3 ,were e irst written constitution of modern dem -
organizations. A traditional authoritarian system, on the racy
c. "9 Byan dl arge, h owever, the Puritan upheavals did not oc
other hand, is characterized by a single leader or small group leave ~ legacy of democratic institutions in either England or
of leaders, .no party or a weak party, no mass mobilization, America. For over a century after 1660 government in both
possibly a ~'mentality" but no ideology, limited government, places tend~d to become even more closed and less broadl
"limited, not responsible, political pluralism," and no effort r~presentatlve of the people than it had been earlier. In a vI-
to remal<e .society and human nature." This distinction be- nety of ways, an aristocratic and oligarchic resurgence oc-
tween totalitarianism and authoritarianism is crucial to un- cu~red. ~n 1750 no democratic institutions at the national level
derstanding twentieth-century politics. in order to avoid the existed m the Western world. In 1900 such institutions existed
semantic awkwardness in repeated usc of the term "non-
democratic," however, this study uses the term "authori-
WHAT?

Number of
in many countries. By the late twentieth century many more
Category Countries countries possessed democratic institutions. These institu-
L :3 tions emerged in waves of democratization (see Figure 1.1).
A wave of democratization is a group of transitions from
nondemocratic to democratic regimes that occur within a
K 12 specified period of time and that significantiy outnumber
transitions in the opposite direction during that period of
time. A wave also usually involves liberalization or partial de-
mocratization in political systems that do not.become fully
6 democratic. Three waves of democratization have occurred in
the modern world;'? Each wave affected a relatively small
number of countries, and during each wave' some regime
II 9 transitions occurred in a nondemocratic direction. In addi-
tion, not all transitions to democracy occurred during demo-
cratic waves. History is messy and political changes do not
sort themselves into neat historical boxes. History is also not
G 10 unidirectional. Each of the first two waves of democratization
was followed by a reverse wave in which some but not all of
I' 3
Note: Classification of countries in Figure 1.1:
E 4 (A) Australia, Canada, Finland, Iceland, Ireland, New Zealand,
Sweden, Switzerland, United Kingdom, United States
D ~ (B) Chile
(C) Austria, Belgium, Colombia, Denmark, France, West
Germany, Italy, Japan, Netherlands, Norway
C 10 (D) Argentina, Czechoslovakia, Greece, Hungary, Uruguay
(E) East Germany, Poland, Portugal, Spain
B (F) Estonia, Latvia, Lithuania
(G) Botswana, Costa Rica, Gambia, Israel, jamaica, Malaysia,
Malta, Sri Lanka, Trinidad and Tobago, Venezuela
A 10 (H) Bolivia, Brazil, Ecuador, India, South Korea, Pakistan,
Peru, Philippines, Turkey
(1) Nigeria
Democratic Countries U) Burma, Fiji, Ghana, Guyana, Indonesia, Lebanon
Net Change (K) Bulgaria, Dominican Republic, El Salvador, Guatemala,
Total Countries = 74 Honduras, Mongolia, Namibia, Nicaragua, Panama, Papua
Democratic or sernidcmocraric phases New Guinea, Romania, Senegal
Nondemocratic phases of previously democratic countries (L) Haiti, Sudan, Suriname
Figure 1.1. Democratization Waves and Reverse Waves
WHAT?
17
16 THE THIRD WAVE parliaments. SWitzerland, the overseas English dominions
the countries that had previously made the transition to de- France, Great Britain, and several smaller European countries
mocracy reverted to nondemocratic rule. It is often arbitrary made the transition to democracy before the turn of the cen-
to attempt to specify precisely when a regime transition oc- tury. Shortly before World War I, Italy and Argentina intro-
curs. It is also arbitrary to attempt to specify precisely the duced more or less democratic regimes. Following that war
dates of democratization waves and reverse waves. It is, the newly independent Ireland and Iceland were democratic
nonetheless, often useful to be arbitrary, and the dates of and a mass movement toward democracy occurred in the sue-
these waves of regime changes are more OJ' less as follows: cess~r states to the Rornanov, Hapsburg, and Hohenzollern
empires. In the very early 1930s, after the first wave had ef-
First, long wave of democratization 1828-1926 fectively ended, Spain and Chile moved into the democratic
first reverse wave 1922-42 colum~. All in a~l, in the course of a hundred years over thirty
Second, short wave of democratization 1943-62 countries established at least minimal national democratic in-
Second reverse wave 1958-75
Third wave of democratization stitutions. In the 1830S Tocquevillc predicted this trend as it
1974-
began. In 1920 James Bryce reviewed its history and specu-
Tile first wave of dcmocmtiznticn, The (i rst wave had its roots l~t(~das ~owhether the "trend toward democracy now widely
in the American and French revolutions. The actual emer- visible, I.S a natural trend, due to a general law of social
gence of national democratic institutions, however, is a nine- progress." 12
teenth-century phenomenon. In most countries during that The [il'st reverse wave. Even as Bryce speculated about its fu-
century democratic institutions developed gradually and it
is, hence, difficult as well as arbitrary to specify a particular
J ture: however, the democracy trend was tapering off and re-
versmg. The dominant political development of the 1920s and
date after which a political system could be considered demo- the 19305 was the shift away from democracy and either the
cratic. Jonathan Sunshine, however, sets forth two reasonable return to traditional forms of authoritarian rule or the intro-
major criteria for when nineteenth-century political systems duction of new mass-based, more brutal and pervasive forms
achieved minimal democratic qualifications in the context of of tota.litarianism. The reversals occurred largely in those
that century: (1) 50 percent of adult males arc eligible to vote; countries that had adopted democratic forms just before or
and (2) 0 responsible executive who either must maintain ma- after ~orld War I, where not only democracy was new but
jority support in an elected parliament or is chosen in peri- also, In many cases, the nation was new. Only one country,
odic popular elections. Adopting these criteria and applying Greece, of the dozen countries that introduced democratic in-
them rather loosely, one can say that the United States began stitutions before 1910 suffered a reversal after 1920. Only four
the first wave of democratization roughly about 1828.11 The of the seventeen countries that adopted democratic institu-
abolition of property qualifications in the older states and the tions between 1910 and 1931 maintained them throughout the
admission of new states with universal manhood suffrage 19205 and 1930s.
boosted to well over 50 percent the proportion of white males The first reverse wave began in 1922 with the March on
actually voting in the 1828 presidential election. Tn the follow- Rome and Mussolini's easy disposal of Italy's fragile and
ing decades other countries gradually expanded the suffrage, rather co~r~pt ~e~ocra.cy. !n little over a decade fledgling
reduced plural voting, introduced the secret ballot, and estab- democratic institutions m Lithuania, Poland, Latvia, and Bs-
lished the responsibility of prime ministers and cabinets to
WHAT?

18 THE THIRD WAVE


early 1950s. In the later 19505 Argentina and Peru moved back
tonia were overthrown by military coups. Countries such as toward limited democracy which was, however, highly un-
Yugoslavia and Bulgaria that had never known real democ- stable. as a re~ult of the conflict between the military and the
racy were subjected to new forms of harsher dictatorship. populist Aprista and Peronista movements. Also in the late
The conquest of power by Hitler in 1933 ended German de- 19505, in contrast, the elites in both Colombia and Venezuela
mocracy, ensured the end of Austrian democracy the follow- negotiated a~rangemen.ts to end the military dictatorships in
ing year, and eventually of course produced the end of Czech those countnes and to introduce democratic institutions that
democracy in 1938. Greek democracy, which had been unset- were to last.
tled by the .National Schism in 1915, was finally buried in Meanwhile, the beginning of the end of Western colonial
1936. Portugal succumbed to a military coup in 1926 that led rule produced. a number of new states. In many no real effort
to the long Salazar dictatorship. Military takeovers occurred was made to introduce democratic institutions. In some de-
in Brazil and Argentina in 1930. Uruguay reverted to authori- mocracy was tenuous: in Pakistan, for instance democratic
tarianism in.1933. A military coup in 1936 led to civil war and institu~ions never really took hold and were [o'rmally abro-
the death of the Spanish republic in 1939. The new and lim- gat~d J.n 19?8. Malaysia became independent in 1957 and
ited democracy introduced in Japan in the 1920S was sup- mamtamed Its "quasi-democracy" except for a' brief period,
planted by military rule in the early 19305. 1969-71, of emergency rule. Indonesia had a confused form
These regime changes reflected the rise of communist, fas- of parliamentary democracy from 1950 to 1957. In a few new
cist, and militaristic ideologies. In France, Britain, and other ~tat?s--:-lndia, Sri Lanka, the Philippines, Isracl=--dcmocrn lie
countries where democratic institutions remained in place, Hls~ltutlOns were sustained for a decade or more, and in 1960
antidemocratic movements gained strength from the alien- Africa's largest state, Nigeria, began life as a democracy.
ation of the 1920S and the depression of the 1930s. The war The second reverse wave. By the early 19605 the second wave
that had been fought to make the world safe for democracy ~f.dcmocnltization had exhausted itself. By thelate '1950Spo-
had instead unleashed movements of both the Right and the btlca! developr~1er:t and regime transitions were taking on a
Left that were intent on destroying it. heavily authoritarian cast.'" The change WdS most dramatic
rr
The second wave of democratization, Starting in World War a in Latin America. The shift toward authoritarianism began in
second, short wave of democratization occurred. Allied oc- Peru in 1962 when the military intervened to alter the results
cupation promoted inauguration of democratic institutions in Of.~n election. The following year a civilian acceptable to the
West Germany, Italy, Austria, Japan, and Korea, while Soviet military w~s elected president, but he was displaced by a mili-
pressure snuffed out incipient democracy in Czechoslovakia tary coup III 1968. In 1964 military coups overthrew civilian
and Hungary. Tn the late 19405 and early 1950S Turkey and governments in Brazil and Bolivia. Argentina followed suit in
Greece moved toward democracy. In Latin America Uruguay ~966 and Ecuador in 1972. In 1973 military regimes took over
returned to democracy during the war and Brazil and Costa 111 Uruguay and Chile. The military governments of Brazil,
Rica shifted to democracy in the late 19405. In four other Latin Argentina, and, more debatably, Chile and Uruguay were ex-
American countries-Argentina, Colombia, Peru, and Vene- amples, according to one theory, of a new type of political
zuela-elections in 1945 and 1946 ushered in popularly cho- system, "bureaucratic authoritarianism." 14
sen governments. In all four countries, however, democratic In Asia the military imposed a martial law regime in Paki-
practices did not last and dictatorships were in place by the
WHAT? 21

THE THIRD WAVE largest. mu.ltiplication of independent authoritarian govern-


20 ments in history.
stan in 1958.)n the late 19505 Syngman Rhee began to under- The global swing away from democracy in the 1960s and
mine democratic procedures in Korea, and the democratic ~arly .1970S w~s impressive. In 1962, by one count, thirteen
regime that succeeded him in 1960 was overthrown by a mili- goveJnmen~s in :he world were the product of coups d'etat;
tary coup in 1961. This new "semiauthoritarian" regime was by 1975,.lIurty-elght were. By another estimate one-third of
legitimated by elections in 1963 but turned into a full-scale 32 wo~km.g democracies in the world in 1958 had become
highly authoritarian system in 1973· In 1957 Sukarno replaced autho~ltanan by ~he mid-1970s.16 In 1960 nine of ten South
parliamentary democracy with guided democracy in Indone- American countnes of Iberian heritage had democratically
sia, and in 1965 the Indonesian military ended guided democ- electc:d g~ver,n~ents; by 1973, only two, Venezuela and Co-
racy and took over the government of their country. In 1972 10~lbla, did. [his :-v~ve of transitions away from democracy
President Ferdinnnd Marcos instituted a martial law regime was even m?l'c striking because it involved several countries,
in the Philippines, and in 1975 Indira Gandhi suspended ~U~~las ~hlle, Uruguay ("the Switzerland of South Amer-
democratic practices and declared emergency rule in India. ica !, lnd.la, and the Philippines, that had sustained demo-
On Taiwan the nondemocratic KMT regime had tolerated lib- cratic. ~eglmes for a quarter century or more. These regime
eral dissenters in the 19505, but these were suppresed in the translt~on~ n?t only stimulated the theory of bureaucratic-
"dink age" of the 19605 and "any sort of political discourse" authoritarianism to explain the Latin American changes.
was silenced. IS They al~~ produced a much broader pessimism about the
In the Mediterranean area, Greek democracy went down 7
applt abiitty of democracy in developing countries and they '.
before a "royal" coup d'etat in 1965 and a military coup in contnbuted to concern about the viability and workability of
1967. The Turkish military overthrew the civilian governmcnt ?emocracy among the developed countries where it had ex-
of that country in 1960, returned authority to an elected gov- istcd for years."
ernment in 1961, intervened again in a "half coup" in 1971, .The ~hirdw~ve of democratization. Once again, however, the
allowed a return to an elected government in 1973, and then dmle.chc of history upended the theories of social science. In
carried out a full-scale military takeover in 1980. th~ [l~teen years following the end of the Portuguese dictator-
During the 19605 several non-African British colonies be- ~hlpin 19?4, democ.ratic regimes replaced authoritarian ones
carne independent and instituted democratic regimes that in ap~roxlmately thirty countries in Europe, Asia, and Latin
lasted for significant periods of time. These included Jamaica Amenc~. In other countries, considerable liberalization oc-
and Trinidad and Tobago in 1962, Malta in 1964, Barbados in currcd ~n authoritarian regimes. ln still others, movements
1966, and Mauritius in 1968. The vast bulk of the new coun- promoting ?emocracy gained strength and legitimacy. AI-
tries that became independent in the 19605, however, were tho.ug~ obviously there were resistance and setbacks, as in
in A( rica. The most important of these countries, Nigeria, China in 1989, the movement toward democracy seemed to
started out as a democracy but succumbed to a military coup ~ake 011the character of an almost irresistible global tide mov-
in 1966. The only African country consistently to maintain mg on from one triumph to the next.
democratic 'practices was Botswana. Thirty-three other Afri- This democratic tide manifested itself first in southern. Eu-
can countries that became independent between 1956 and rope. Three months after the Portuguese coup, the military
1970 became authoritarian with independence or very shortly
after independence. The decolonization of Africa led to the
WHAT? 2)
THE THIRD WAVE
22 January 1982; Salvadoran voters chose Jose Napoleon Duarte
regime that had governed Greece since 1967 colla~sed and a as president in a holly contested election in May 1984; and
civilian government took over under the leadership of Con- Guatemala ejected n constituent assembly in 1984 and a civil-
stantine Karamanlis. In November 1974, the Greek people ian president in 1985.
gave Karamanlis and his party a .decisive majority in a hotly The democratic movement also had its manifestations in
contested election and the foJlowmg month they overwhelm- Asia. Early in 1977, the premier democracy of the Third
ingly voted not to restore the monarchy. On November '~o, World, India, which for one and a half years had been under
1975, just five days before Eanes's defeat of t~e Marxist- emergency rule, returned to the democratic path. In 1980 re-
Leninists in Portugal, the death of Gen. ~ranclsco Fra~co spond~ng ~o violence and terrorism, the Turkish military for
ended his thirty-six-year rule of Spain. During th.e followln.g the thud time took over the government of that country. In
eighteen months, the new king, Juan Carlos, ~ssIsted by his 1983, however, they withdrew and elections produced a civil-
prime minister, Adolfo Suarez, secured parliamentary and ian government. In the same year, tJ1C assassination of Be-
popular approval of 11 political reform law that led to the nigno Aquino set in motion the train of events that led in
election of a new assembly. The assembly drafted a new con- Februar~ 1986 to the end of the Marcos dictatorship and the
stitution, which was ratified by a referendum in December restoration of democracy in the Philippines. In 1987 the mili-
1978 and under which parliamenlary elections occurred in tary gover~ment in Korea submitted its candidate for presi-
March 1979. , d~nt to a.hlghly :ontested electoral campaign and a relatively
In the late '9705 the democratic wave moved on to Latin f~lI election, -which he won. The following year the opposi-
America. In 1977 the military leaders in Ecuador ~nn.ounced bon secured control of the Korean parliament. In 1987 and
their desire to withdraw from politics; a new constttuuon was 1988, the government on Taiwan significantly loosened the
drafted in 1978; and elections in 1979 produced a ci.vilian gov- restrictions on political activity in that country and com-
ernment. A similar process of military withdrawal In PCI'll led mitted itself to the creation of a democratic political system.
to the election of a constituent assembly in 1978, a new con- In 1,9~8military rule in Pakistan came to an end, and the op-
stitution in i979, and the election of a civiJian president. in position, led by a woman, won an electoral victory and took
1980. In Bolivia, military withdrawal produced four confusing con trol of the government.
years of coups and nborte.d ,e.lections, begi~ning in,1978: but At the ~nd of the decade, the democratic wave engulfed the
the eventual election of a CIVIlianpresident In '1982, I'hat same communist world. In 1988 Hungary began the transition to a
year defeat in the war with Great Britain undermined t~1CA.r- multiparty system. In 1989 elections for a national congress
gentine military government and produced the eJec~lo~ In in the Soviet Union produced the defeat of several senior
1983 of a civilian president and government. NegohatlOns Communist party leaders and an increasingly assertive na-
between military and political leaders in UrL1~uay led to tional parliament. In early 1990, multiparty systems were de-
the election of a civilian president in November 1984. Two veloping in the Baltic republics and the Communist Party of
months later, the long process of aoertura, or opening, that the Soviet Union (CPSU) abandoned its guiding role. In 1989,
had begun in Brazil in 1974 reached a decisive poin.t with the in Poland Solidarity swept the elections for a national parlia-
selection of that country's first civilian president since 1964. ment and a noncommunist government came into existence.
Mennwhile,' the military was also withdrawing from office in In 1990 the leader of Solidarity, Lech Wales", was elected
Central America. Honduras installed a civilian president in
WHAT? 25

THE THIRD WAVE Tunisia, Algeria, Egypt, and Jordan. In 1978 the South Afri-
can govern~ent b~~an a slo.~ pr~cess of reducing apartheid
president, replacing the Communist Gen. Wojciech [aruzcl- and expanding political participation for nonwhite minorities
ski. In the last months of 1989, the communist regimes in East but not for the overwhelming black majority in that country.
Germany, Czechoslovakia, and Romania collapsed, and com- After a pause and then the election of F. W. de Klerk as presi-
petitive elections in these countries were held in 1990. In Bul- dent, the process was resumed in 1990 with negotiations be-
garia the communist regime also began to liberalize, and tween the gov~rnment.and the African National Congress. By
popular movements for democracy appeared in Mongolia. In 1990 democratic ~umbhngs were occurring in Nepal, Albania,
1990 what appear to be reasonably fair elections occurred in and other countries whose previous experience with democ-
both these countries. racy had been modest or nonexistent.
Meanwhile" back in the Western hemisphere, the Mexican ~verall, the movement toward democracy was a global one.
ruling party, for the first lime, only narrowly won a presiden- In fifteen years the democratic wave moved across southern
tial election in: 1988 and lost, for the first time, a state gover- Europe, swept through Lalin America, moved on to Asia
norship in 198,9.The Chilean public in 1988 voted in a refer- and decimated dic~ator::;hip in. the Soviet bloc. In 1974 eigh~
end urn to end Gen. Augusto Pinochet's extended grip on of ten South Am.cncan .countnes had nondemocratic govern-
pow(~r and the following year elected a civilian president. ments. In 1990 .rune had democratically chosen governments.
U.S. military intervention ended a Marxist-Leninist dictator- In 1973, according to Freedom House estimates, 32 percent of
ship in Grenada in 1983 and Gen. Manuel Noriega's military the wor~d's population lived in free countries; in 1976, as a
dictatorship in Panama in 1989. In February 1990 the Marxist- result of emergency rule in India, less than zo.percent of the
Leninist regime in Nicaragua went down to electoral defeat, worlci'~ population did. By 1990, in contrast, close to 39 per-
and in December 1990 a democratic government was elected cent or humankind lived in free societies.
in Haiti. In one sense, the democratization waves and the reverse
The 1970S and early 1980s also witnessed the final phase of waves suggest a two-step-forward, one-step-backward pal-
European decolonization. The end of the Portuguese empire tern. To date each reverse wave has eliminated some but not
produced five nondemocratic governments. In 1975, how- all ?f the transitions to democracy of the previous dernocrati-
ever, Papua New Guinea became independent with a dem- zation wave. The final column in Table 1.1, however, suggests
ocratic political system. The liquidation of the remnants, a less optimistic prognosis for democracy. States come in
mostly islands', of the British empire produced a dozen min- many shapes and sizes, and in the post-World War II decades
uscule new nations, almost all of which maintained demo- t~e number of in~epende~t states doubled. Yet the propor-
cratic institutions, although in Grenada these institutions had tions of democratic states In the world show a considerable
to be restored by outside military intervention. In 1990 Na- regularity. At the troughs of the two reverse waves 19·7 per-
mibia became independent with a government chosen in an cent and 24.6 percent of the countries in the world were
internationally supervised election. democratic. At the peaks of the two democratization waves,
In t\frica and the Middle East movement to democracy in 45.3 percent and 32-4 percent of the countries in the world
the 1980s was limited. Nigeria shifted back from military rule we~e democ~atic. In 1990 roughly 45-4 percent of the indepen-
to a democratically elected government in 1979 but this in dent countries of the world had democratic; systems, the
turn was overthrown by a military COllP at the beginning of
1984. By 1990 some liberalization had occurred in Senegal,
WHAT?
27
26 THE THIRD WAVE
ratization, the processes by which it occurs, and, in due
TABLE 1.1 C?UISe, the consolidation problems of new democratic rc-
Democratization in the Modern World gimes. T~e~e studies greatly enlarged available knowledge of
: Demo- Non- Percentage democratizing processes and general understanding of those
cratic democratic Total Democratic of processes. 18
Year States States States Total States By the mid-1980s the democratic transitions also produced
1922 29 35 64 45.3 a wa~e of optimism about the prospects for democracy, Com-
1942 12 49 61 19.7 m~nI~m was, quite accurately, seen as "the grand failure," in
1962 36 75 111 32.4 ZblgnJ~';, Brzezi~ski's pl~rasc. Others went further to <lrgue
1973 30 92 122 24.6 that the exhaustion of viable systematic alternatives" meant
1990 59 71 130 45.4 the "unabashed victory of economic and political liberalism."
Nole: This estimate of regime numbers omits countries with a "Democracy's won!" was the claim of another. Optimism
population of less than one million. about democracy, said a third, is "better founded than the
pessimism that reigned in 1975."19 Certainly the contrasts in
same percentage as in 1922. Obviously whether Grenada is outlook between the mid-1970S and the late 1l)805 on the fu-
democratic has less impact than whether China is democratic, tu~'~ of democracy could hardly have been more dramatic.
and ratios of democratic to total states are not all that signifi- ., Ihesc swing~ in informe~ opinion once again raised basic
cant. rn addition, between 1973 and 1990 the absolute number Issues. con.cermng the relation between political democracy
of authoritarian states decreased for the first time, yet as of an,d historical development. The big issues concern democra-
1990 the third wave of democratization still had not increased cy s .extent and permanence. Is there a fundamentally irrc-
the proportion of democratic states in the world above its pre- versiblc, long-term, global trend, as Tocqucvllls and Bryce
vious peak sixty-eight years earlier. suggested, toward the extension of democratic political sys-
tems throughout the world? Or is political democracy a form
THE ISSUES OF DEMOCRATIZATION
of ~overnmcnt limited, with a few exceptions, to that rni-
The Supreme Court follows the election returns; social scien- nonty of.the ~~rld's societies that are wealthy and/or West-
tists forever try to catch up with history, elaborating theories ern? Or J5 political democracy for a substarutal number of
explaining why what has happened had to happen. They at- countries a sometime thing, a form of government that alter-
tempted to explain the swing away from democracy in the nates with various forms of authoritarian rule?
19605 and 19705 by pointing to the inappropriateness of de- Are these important issues?
mocracy in poor countries, the advantages of authoritarian- Some may argue that they are not, on the grounds that it
ism for political order and economic growth, and the reasons does not make much difference to a people or to its neigh-
why economic- development itself tended to produce a new bors whe.ther a country is governed democratically or non-
and more enduring form of bureaucratic-authoritarianism. democratically, A substantial scholarly literature, for in-
The transition' of countries back toward democracy began stance, suggests that much public policy is shaped more by
even as these theories were elaborated. Following hard on a c?untr~'s level of economic development than by the nature
that change, social scientists shifted gears and began to pro- of Its regime. Corruption, inefficiency, incompetence, domi-
duce a substantial literature on the preconditions for dernoc-
\'vHAT? 29
TilE rumo WAVE s.t~bility by providing regular opportunities for changing po-
litical leaders and changing public policies. In democracies, -.
nation by a few special interests are found in .ull societies no change rarely occurs dramatically overnight; it is almost al-
matter what their form of government. One Widely read book ways moderate and incremental. Democratic systems are
on comparative politics even begins with the claim tl:at "The much more immune to major revolutionary upheaval than
most important political. distinction among co.untnes con- authoritarian ones. Revolution, as Che Guevara once said,
cerns not their form ot government but their degree of cannot succeed against a government that "has come into
government." 20 power through some form of popular vote, fraudulent or
There is truth in these arguments. Its form of government not, and maintains at least an appearance of constitutional
is not the only important thing about a country, nor even legality." 21
probably the most important thing. The distinction. b:tw~en Third, the spread of democracy has implications for inter-
order and anarchv is more fundamental than the distinction national relations. Historically, democracies have fought wars
between democracy and dictatorship. Yet that distinction is as often as authoritarian countries. Authoritarian countries
also crucial for several reasons. have fought democratic countries and have fought each
First, political democracy is closely associated with free?o~ other. From the early nineteenth century down to 1990, how-
of the individual. Democracies can and have abused indi- ever, democracies did not, with only trivial or formal excep-
vidual rights and hbcntes. and a well-reg~latcd auth()ritari~n tions, fight other democracies." So long as this phenomenon
state may provide a high degree of sec~nty and order for ~ts continues, the spread of democracy in the world means the
citizens. Overall, however, the correlation between the exis- expansion of a zone of peace in the world. On the basis of
tence of democracy and the existence of individual I!berty is past experience, an overwhelmingly democratic world is
extremely high. Indeed, some measure of the latter IS an es- likely to be a world relatively free of international violence. If,
sential component of the former. Conversely, the long-term in particular, the Soviet Union and China become democra-
effect of the opera lion of democratic politics is probably to cies like the other major powers, the probability of major in-
broaden and deepen indiviclualliberty. ~iberty is, in n ~en~e, terstatc violence will be greaLly reduced.
the peculiar virtue of democracy. II one IS concerned with lib- A permanently divided world, on the other ·hand, is likely
crty as an ultimate social value, one should also be concerned to be a violent world. Developments in communications
with the fate of democracy. and economics are intensifying the interactions among coun-
Second, political stability and form of government are, .as tries. In 1858 Abraham Lincoln argued that "a house divided
was pointed out, two different variables. Yet they arc also in- against itself cannot stand. This government cannot endure
lerrelated. Democracies are often unruly, but they are not permanently half-slave and half-free." The world at the end
often politically violent. In the modern world democratic sys- of the twentieth century is not a single house, but it is becom-
tems tend to be less subject to civil violence than are non- ing more and more closely integrated. Interdependence is the
democratic systems. Democratic governments .us~ far less trend of the limes. How long can an increasingly interdepen-
violence against their citizens than do authoritarian ones. dent world survive part-democratic and part-authoritarian?
Democracies also provide accepted channels for the expres- Finally, and more parochially, the future of democracy in
sion of dissent and opposition within the system. Both gov- the world is of special importance to Americans. The United
ernment and opposition thus have fewer incentiv~s to use
violence against each other. Democracy also contributes to
)0 THE THIRD WAVE

States is the premier democratic country of the modern world,


and its identity as a nation is inseparable from its commit-
ment to liberal and democratic values. Other nations may fun-
damentally change their political systems and continue their
existence as nations. The United States does not have that
option. Hence Americans have a special interest in the devel-
opment of a global environment congenial to democracy.
The futures of liberty, stability, peace, and the United
Slates thus depend, in some measure, on the future of de-
rnocracy, This study does not attempt to predict that future.
It docs attempt to shed light on it by analyzing the wave of
democratization that begun in 1974. It attempts to explore the
causes of this series of transitions (chapter 2), the processes
by which the transitions occurred and the strategies of the
supporters and opponents of democracy (chapters :3 and 4),
and the problems confronting the new democracies (chap-
tor 5). It ends wi th some speculations on the prospects for
the further expansion of democratic regimes in the world
(chapter 6). .
Tn dealing with these topics, use is made of existing social
science theories and generalizations in an effort to see which
ones may help explain the recent transitions. This book, how-
ever, is not a~ effort to develop a general theory of the pre-
conditions of democracy or the processes of democratization.
It is not an attempt to explain why some countries have been
democracies for over a century while others have been endur-
ing dictatorships, Its purpose is the more modest one of at-
tempting to explain why, how, and with what consequences
a group of roughly contemporaneous transitions to democ-
racy occurred in the 1970S and 1980s and to understand what
these transitions may suggest about the future of democracy
in the world.

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