Understanding Third World Politics

Understanding Third World Politics

Also by B. C. Smith Regionalism in England Field Administration: An Aspect of Decentralization Advising Ministers Administering Britain (with J. Stanyer) Policy Making in British Government Government Departments: An Organisational Perspective (with D. C. Pitt) The Computer Revolution in Public Administration (edited with D. C. Pitt) Decentralization: The Territorial Dimension of the State Bureaucracy and Political Power Progress in Development Administration (editor) British Aid and International Trade (with o. Morrissey and E. Horesh)

Understanding Third World Politics Theories of Political Change and Development B. C. Smith Professor of Political Science University of Dundee

B. C. Smith 1996 All rights reserved. No reproduction, copy or transmission of this publication may be made without written permission. No paragraph of this publication may be reproduced, copied or transmitted save with written permission or in accordance with the provisions of the Copyright, Designs and Patents Act 1988, or under the terms of any licence permitting limited copying issued by the Copyright Licensing Agency, 90 Tottenham Court Road, London WIP 9HE. Any person who does any unauthorised act in relation to this publication may be liable to criminal prosecution and civil claims for damages. First published 1996 by MACMILLAN PRESS LTD Houndmills, Basingstoke, Hampshire RG21 2XS and London Companies and representatives throughout the world ISBN 978-0-333-64405-8 ISBN 978-1-349-24574-1 (ebook) DOl 10.1007/978-1-349-24574-1 A catalogue record for this book is available from the British Library. 10 9 8 7 6 5 4 3 2 I 05 04 03 02 01 00 99 98 97 96 Copy-edited and typeset by Povey-Edmondson Okehampton and Rochdale, England

To Jean, Rebecca and David

Contents List of Tables and Figures Preface PART I PRELIMINARIES 1. The Idea of a 'Third World' 2. Theories of Imperialism and Colonialism PART II THEORIES OF POLITICAL CHANGE 3. Modernisation and Political Change 4. Development and Structural Differentiation 5. Neo-colonialism and Sovereignty 6. Dependency, Peripherality and Development PART III INSTITUTIONS 7. The State and Authoritarianism 8. Political Parties and Pluralist Politics 9. Bureaucracy and Political Power 10. Military Intervention in Politics PART IV CHALLENGING THE STATUS QUO 11. Nationalism and Secession 12. Peasants, Workers and Revolution 13. Stability, Democracy and Development PART V 14. Conclusion CONCLUSION viii ix 3 33 61 88 120 142 171 198 221 243 269 297 322 357 Bibliography Index 363 384 vii

List of Tables and Figures Tables 1.1 Historical trends in GDP per capita 5 1.2 Employment in developing countries, 1965-1991 6 1.3 Structure of Third World imports and exports (%), 1991 8 1.4 External debt ratios 9 1.5 Social services and the poor, 1985 11 1.6 Social indicators 11 1. 7 Rural and urban poverty in the 1980s 13 1.8 Human development by region, 1992 14 1.9 Government expenditure, 1991: selected countries and services (%) 17 9.1 General government consumption as a percentage of GDP 222 Figure 13.1 Needs satisfaction and revolution 334 viii

Preface This book provides a critical introduction to the attempts of political scientists to understand the politics of less developed countries. While it provides a very wide range of empirical examples from many countries in several continents its central focus is on the issues and controversies that have dominated the social science of Third World politics since the 1950s and in particular on assessing the main theories that have been formulated that attempt to make systematic and rigourous sense of political development. The book commences with discussions of two topics that are an essential preparation for what follows: the question of whether there is a 'Third World'; and the colonial backgrounds of most oftoday's less developed countries. To identify the types of society with which the book is concerned Chapter 1 deals with the concept of a 'third' world. It will soon become clear that different terminology is used to label the countries and the circumstances in which they find themselves - developing, underdeveloped, poor, less developed - as well as 'Third World'. These are not synonyms but denote interpretations of history. The significance of labels is that they define subjects for analysis. So Chapter I distinguishes the different meanings that have been attached to the term 'Third World', to explain why doubts have been expressed about the legitimacy of such a label. This also introduces us to the problems experienced by Third World countries and the major changes that have taken place in the period since the end of the Second World War. An understanding of imperialism is necessary not only to know the nature of one of the most formative historical influences on today's Third World, but also to comprehend the debates within the social sciences about the legacy of that episode. Imperialism, a foundation of contemporary Third World status, has been defined in different ways: obtaining sovereignty; forceful annexation; a stage of capitalism; and colonialism. Imperialism is, however, mainly an economic concept, while colonialism is mainly social and political. IX

x Preface Not all Third World countries were colonies, but all have been affected by imperialism. The development of imperialism is briefly outlined, from pre-capitalist imperialism, through the transition from merchant capital to industrial capital, to the acquisition of colonies in the nineteenth century. Chapter 2 draws a distinction between imperialism and colonialism, sets out the main elements of the economistic explanations of imperialism, particularly that of the nineteenth century, evaluates these and alternative explanations, and distinguishes between the different forms of European imperialism and their impact on indigenous society. It notes the variability of colonial intervention, the pragmatism contrasted with the assimilationism of colonial policy, and the variability of local conditions in terms of fertile land for cash cropping, the structure of communications, the presence of mineral wealth, climatic conditions, indigenous social structures, levels of urbanisation, and forms of political organisation. Consequently different forms of colonial presence were felt: plantations, mining enclaves, the encouragement of peasant cash cropping, European settlement, and combinations of these. The second part of the book deals with the main theoretical perspectives on the overall quality of political change in the Third World, which try to understand the situation in which such societies find themselves in terms of 'modernisation, 'development', 'neocolonialism' and 'dependency'. Chapter 3 locates the origins of modernisation theory in evolutionary social theory and its key concepts of continuity, progress, increased complexity and specialisation. It notes its appeal in the context of post-war optimism and US foreign policy. Five dimensions of modernisation theory are discussed: its neo-evolutionary perspective; the interrelationship between economic and social values which it embodies; the concept of differentiation derived from Durkheim and Parsons and entailing the specialisation of political roles; Weber's concepts of secularisation and rationality; and changes in cultural patterns, exemplified by Parsons' 'pattern variables' following the conceptualisation of modem and pre-modem social patterns produced by Tonnies in terms of Gemeinschaft (community) and Gesselschaft (association). Criticisms of modernisation theory are then considered with particular reference to the concept of tradition, 'obstacles' to development, and rationality. Modernisation theory's perception of

Preface Xl much of the conflict in developing societies in terms of tradition and modernity obscures more important conflicts. It is ideologically conservative and underestimates the influence of external forces. The static and uniform conception of tradition has also been criticised, as has the ethnocentricity of the unilinear view of modernisation. The problem with dichotomies in social analysis such as Parsons' 'pattern variables' is also discussed. Much modernisation theory can be reduced to tautologies. The psychology of modernisation theory is shown to be reductionist and to ignore ideological, economic, political and social structures. Chapter 4 seeks to understand the main arguments of the functionalist perspective on comparative politics, especially the concepts of function and 'structural differentiation' when applied to political systems, the motivation behind this theoretical position, and the main criticisms that have been levelled against it. Functionalism requires social phenomena to be explained in terms of their 'functions' or what is needed to maintain the organism in a healthy state - here political development theory borrowed ideas from biology. The relationship between structure and function was seen as providing a theoretical framework that could cope with a bewildering variety of political systems. Functionalism became the political interpretation of modernisation theory because of the need to encompass traditional and modern political systems within a single framework of comparative inquiry. The idea of neo-colonialism explored in Chapter 5 questions the significance of formal independence for post-colonial societies. A particular perception of the relationship between sovereign states and between political and economic freedom is conveyed by the term 'neo-colonialism'. It was assumed that constitutional independence would mean that indigenous governments, representing the interests of local people rather than alien groups, would have sovereign state power at their disposal. However, what the new rulers of many ex-colonies found was that the major proportion of the resources available to them were controlled from metropolitan centres that hitherto had ruled their countries directly. Within political science the political manifestations of this domination proved difficult to describe in concrete terms, except for those for whom politics was merely an epiphenomenon of the economic. The nature of the economic linkages could easily be described, but the domestic political effects were left to be inferred from them.

xii Preface Chapter 5 examines the economic basis of neo-colonial politics in the failure on the part of colonialism to develop the economies of the colonised territories and the highly specialised state in which the colonial economy was left at independence, with one or two major commodities orientated towards export earnings and therefore foreign exchange. The theory is that the 'commanding heights' remained largely in the hands of foreign firms, and that adverse terms of trade forces dependence on loans from developed countries, investment by foreign firms and aid for capital which the foreign private sector will not provide. Theorists of neo-colonialism claim that continuing dependency on foreign capital caused a net outflow of capital from the developing to the metropolitan country. Chapter 5 also examines the controversy generated by Warren's claim that the term 'neo-colonialism' obscured the role played by the achievement of formal sovereignty and its consequences. Warren's optimism at the progressive, in Marxist terms, nature of Third World development did not go unchallenged. Dependency theory, which had its roots in the crisis of US liberalism in the late 1960s and a major critique of modernisation theory, adds the idea of peripherality, or satellite status, to the concept of neo-colonialism. Chapter 6 shows how dependency theory originated in an analysis of Latin America where circumstances that might be expected under conditions of colonialism or only recently liberated ex-colonies were found in states that had been independent since the early or mid-nineteenth century. The main constituents of dependency theory are the idea of a hierarchy of states, the concept of 'underdevelopment', a view about the nature of capitalism, propositions concerning 'disarticulation', and the effect of economic dependency on the structure of political power. The next part of the book moves on to specific institutional arrangements and the attempts by political scientists to produce valid theoretical statements about the most significant political institutions in Third World societies: the state, political parties, the bureaucracy and the military. Social science interest in the postcolonial state has in part been a reaction against the economic reductionism found in dependency theory and in part an extension of a resurgence of interest in the nature of the capitalist state within mainstream Marxist thought. In Chapter 7 a developmentalist view

Preface X111 of the state, or political system, is contrasted with neo-marxist theorising about the state in Third World societies. Chapter 8 deals with theories explaining the importance of political parties in Third World politics. Ideological foundations in class, European political ideas, religion, ethnicity, and populism with its attendant factionalism and patronage politics are considered. The single-party system of government in the Third World has attracted much attention (and hostility). Explanations of this tendency are assessed. The conditions required for the survival of party systems, such as economic growth and social stratification, are considered. The survival of parties as institutions is also of concern as the movement for democracy gathers momentum in the Third World. Bureaucracies are important political organisations in all political systems. Theories of the post-colonial-state have employed the concept of a bureaucratic oligarchy, clearly implying that government is in the hands of the paid officials of the state. Chapter 9 distinguishes between different concepts of bureaucracy and shows that all are contained in the analyses that have been carried out of the role of the bureaucracy in Third World societies and states. Chapter 9 discusses the bureaucratic features which have been taken to be signs of the emergence of a new kind of ruling class. Bureaucracy also implies a certain kind of rationality in the context of the official allocation of scarce resources. Thus Chapter 9 considers the theory of 'access'. Chapter 10 examines military intervention and the coup d'etat. Different types of military intervention in politics are distinguished and explanatory factors identified as accounting for the coup as the most extreme form of intervention are considered. The problems associated with statistical causal analysis as a means of explaining military intervention are outlined, since this has been a popular method of analysis in the past. The final section of the book is about challenges to the status quo and therefore about the political instability which is so frequently found in Third World societies. First it deals in Chapter 11 with the demand for independence on the part of ethnic or national minorities: the phenomenon of secession. This is a very widespread feature of Third World politics. Three theories of separatism are examined: political integration, internal colonialism, and 'balance of

XIV Preface advantage'. It is suggested that explanations of nationalism and secession need a class dimension because of the social stratification found within cultural minorities, the petty-bourgeois leadership of ethnic secessionist movements, and the significance for the outcome of nationalism of the reaction of the dominant class in the 'core' community to nationalist political mobilisation. Chapter 12 poses the questions of why peasants and workers do not have more political power, given their numerical preponderance, and why peasant-based revolutions have occurred in some countries but not others with equally oppressed masses. Different forms of oppression are distinguished and key concepts are discussed: participation in 'normal' politics, 'rebellion' to redress wrongs, 'revolution' to change society, and the definition of 'peasantry'. Obstacles to political participation are explored and developments leading to changes in the political orientation of the peasantry, such as the declining political significance of the village, the spread of universal suffrage and its effects on patron-dient relations, and improvements in education and literacy, are considered. Particular attention is paid to Moore's conclusions about the social structures and historical situations which produce or inhibit peasant revolutions. The penultimate chapter addresses a theme that underlies most explorations of Third World societies and their politics, and which figures prominently in the discussions contained in earlier chapters - the preconditions for political stability. Political instability in the Third World seems indiscriminate and ubiquitous. Explanations of it have emphasised aspects of economic development such as levels of affluence, the rate of growth, and frustrated expectations. The theoretical or empirical weaknesses of these conclusions are identified, namely that correlation does not necessarily prove causality, that poor and underdeveloped countries can be stable especially if authoritarian, that political stability might cause affluence and economic growth, and that high rates of growth and stability have gone together in some countries. Problems with the concept of 'political stability' itself are addressed: its normative content, the question of whether the analysis is concerned with stable government whatever the type of regime or just stable democratic government, and the lack of a satisfactory operational definition of 'instability'.

Preface xv lowe a debt of gratitude to a number of people for their support and inspiration at different stages in the making of this book. It was given its initial shape while teaching with Geof Wood and Edward Horesh at the University of Bath. Both taught me an immense amount about how to study political development, and I am pleased to acknowledge that here. At the University of Dundee I obtained valuable insights into theories of political change from Richard Dunphy. Susan Malloch and Anne Aitken never lost patience with my endless word-processing queries. The staff of Dundee University Library dealt efficiently with my many requests for inter-library loans. An earlier version of Chapter 9 appeared in Politics, Administration and Change, vol. 16, Jan-June 1991. Finally, I thank my wife Jean for her tolerance of my irritation when things went wrong, as they so often did. What I have done with the ideas of the theorists reviewed here remains my responsibility alone. B.C. SMITH