The Process of Democratization: Rustow’s Model
Rustow’s Stages of Democratization
The process of democratization, as conceptualized by Dankwart Rustow, unfolds through distinct phases:
1. Preparatory Phase (Liberalization)
This phase is characterized by a prolonged, inconclusive conflict in which no single party seems to win. It is a struggle where people represent a clear political action and social role. The struggle is based on polarization: a conflict over several issues, as there are multiple ways to perceive things. The protagonists must represent well-entrenched forces or social classes deeply identified with the issues they fight for. Key topics often include:
- Distribution of wealth
- Distribution of power
- Religion
- Ethnicity
This is a period of deep existential conflict, usually violent. Although called the preparatory phase, it is an uncertain period in which the ending in democracy is not at all guaranteed, nor is the transition to the next step assured. This phase concludes when there is a “deliberated decision on the part of political leaders to accept the existence of diversity in unity and, to that end, to institutionalize some critical aspect of democratic procedure.” It does not require a minimal level of economic and social development, as it depends on the political will of a society to become a democracy. Furthermore, it can unfold over varying periods of time. (This is the essence of democracy for Rustow). This phase ends when elites admit diversity in unity and agree to institutionalize crucial aspects of democratic procedure. The easiest way to institutionalize this is for opposing leaders to hold elections. However, it is important not to superestimate the power of elections, as they do not always symbolize that things will truly change, even if the government is modified.
2. Decision Phase (Transition)
This phase is a process of conscious decision, at least on the part of the political leadership. It involves a negotiation in which the protagonists of the preparatory phase should be present. Transitions normally result in the consolidation of charismatic but unusual leaders, individuals who are forced by circumstances to take matters into their own hands and assume the responsibility of establishing the new order (e.g., Nelson Mandela). The other way of fulfilling transition is the rise of an institutionalized organization that represents a democratic system.
3. Habituation Phase (Consolidation)
After a period of transition, democratic systems finally become consolidated. But, can a country’s democracy become deconsolidated? Therefore, the process towards permanency must be based on habituation to the use of democratic procedures within their institutionalization. The most common factors of deconsolidation include:
- Social crisis
- Economic crisis
- Political disagreements
- The collapse of some democratic principles (e.g., division of powers)
- Any international or external adverse factor
Key Elements for Democratic Success
To conclude, as a summary of Rustow’s model, we can say that certain ingredients are indispensable for democracy to take root and flourish:
- A sense of national unity
- Entrenched and serious conflict
- Adoption of democratic rules
- Habituation to these rules
Case Study: Spain’s Path to Democracy
In the Spanish case, everything started in the 1960s with industrialization. People gathered in cities and factories. The wider grouping of the population led to citizens organizing themselves, establishing more and better communications. Consequently, conflict emerged. In this instance, social and economic change led directly to political change.