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Illusions About Consolidation
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Illusions About Consolidation

Democracies used to be few in number, and most were located in the northwestern quarter of the world. Over the last two decades, however, many countries have rid themselves of authoritarian regimes. There are many variations among these countries. Some of them have reverted to new brands of authoritarianism (even if from time to time they hold elections), while others have clearly embraced democracy. Still others seem to inhabit a gray area; they bear a family resemblance to the old established democracies, but either lack or only precariously possess some of their key attributes. The bulk of the contemporary scholarly literature tells us that these “incomplete” democracies are failing to become consolidated, or institutionalized.

This poses two tasks. One is to establish a cutoff point that separates all democracies from all nondemocracies. This point’s location depends on the questions we ask, and so is always arbitrary. Many definitions of democracy have been offered. 1 The one that I find particularly useful is Robert Dahl’s concept of “polyarchy.” Once a reasonably well-delimited set of democracies is obtained, the second task is to examine the criteria that a given stream of the literature uses for comparing cases within this set. If the criteria are found wanting, the next step is to propose alternative concepts for these comparisons. This is what I attempt here, albeit in preliminary and schematic fashion.

Contemporary Latin America is my empirical referent, although my discussion probably also applies to various newly democratized countries [End Page 34] in other parts of the world. The main argument is that, contrary to what most of current scholarship holds, the problem with many new polyarchies is not that they lack institutionalization. Rather, the way in which political scientists usually conceptualize some institutions prevents us from recognizing that these polyarchies actually have two extremely important institutions. One is highly formalized, but intermittent: elections. The other is informal, permanent, and pervasive: particularism (or clientelism, broadly defined). An important fact is that, in contrast to previous periods of authoritarian rule, particularism now exists in uneasy tension with the formal rules and institutions of what I call the “full institutional package” of polyarchy. These arguments open up a series of issues that in future publications I will analyze with the detail and nuance they deserve. My purpose at present is to furnish some elements of what I believe are needed revisions in the conceptual and comparative agenda for the study of all existing polyarchies, especially those that are informally institutionalized. 2

Polyarchy, as defined by Dahl, has seven attributes: 1) elected officials; 2) free and fair elections; 3) inclusive suffrage; 4) the right to run for office; 5) freedom of expression; 6) alternative information; and 7) associational autonomy. 3 Attributes 1 to 4 tell us that a basic aspect of polyarchy is that elections are inclusive, fair, and competitive. Attributes 5 to 7 refer to political and social freedoms that are minimally necessary not only during but also between elections as a condition for elections to be fair and competitive. According to these criteria, some countries of Latin America currently are not polyarchies: the Dominican Republic, Haiti, and Mexico have recently held elections, but these were marred by serious irregularities before, during, and after the voting.

Other attributes need to be added to Dahl’s list. One is that elected (and some appointed) officials should not be arbitrarily terminated before the end of their constitutionally mandated terms (Peru’s Alberto Fujimori and Russia’s Boris Yeltsin may have been elected in fair elections, but they abolished polyarchy when they forcefully closed their countries’ congresses and fired their supreme courts). A second addition is that the elected authorities should not be subject to severe constraints, vetoes, or exclusion from certain policy domains by other, nonelected actors, especially the armed forces. 4 In this sense, Guatemala and Paraguay, as well as probably El Salvador and Honduras, do not qualify as polyarchies. 5 Chile is an odd case, where restrictions of this sort are part of a constitution inherited from the authoritarian regime. But Chile clearly meets Dahl’s seven criteria of polyarchy. Peru is another doubtful case, since...