COMPARATIVE GOVERNMENT AND POLITICS Series Editor: Vincent Wright Published Rudy B. Andeweg and Galen A. Irwin Dutch Government and Politics Nigel Bowles Government and Politics of the United States (2nd edition) Paul Brooker Non-Democratic Regimes: Theory, Government and Politics Robert Elgie Political Leadership in Liberal Democracies Rod Hague, Martin Harrop and Shaun Breslin Comparative Government and Politics (4th edition) Paul Heywood The Government and Politics of Spain B. Guy Peters Comparative Politics: Theory and Methods Anne Stevens The Government and Politics of France Ramesh Thakur The Government and Politics of India Forthcoming Judy Batt Government and Politics in Eastern Europe Robert Leonardi Government and Politics in Italy Tony Saich The Government and Politics of China Theory, Government and Politics Paul Brooker 1 58 Non-Democratic Regimes of highly personal rule, the initial principal-agent relationship between ruling organisation and regime leader may be actually reversed, with the organisation now only an agent of the personal ruler. Although this organisation-individual, principal-agent approach to personal rule lacked the depth and breadth of Jackson and Rosberg's theory, it enabled him to include an assessment of (the degree of) personal rule in his analysis of one-party states. ■3 The Emergence of Military Dictatorships The military dictatorship has been the most common form of dictatorship in modern times. Between the end of the Second World War and the onset of the 1970s-90s wave of democ-ratisation, the military had 'intervened in approximately two-thirds of the more than one hundred non-Western states', and in the later 1970s 'controlled the government in about one-third of these countries' (Nordlinger, 1977: 6). It is not surprising, therefore, that many attempts have been made to explain or analyse why and how military dictatorships emerge. Yet the framework developed by Finer in the early 1960s still offers the most comprehensive approach to analysing the military intervention in politics which results in the emergence of military regimes. Finer argued that the military's intervention in politics, such as when a military coup overthrows the civilian government, is best explained by examining both subjective and objective factors — what he termed the disposition and the opportunity to intervene in politics (1976 [1962]: 74). He presented the relationship between disposition and opportunity as a 'calculus of intervention". This calculus does not resemble the differential or integral calculus of mathematics, but rather is a form of political calculation (in the sense of a 'calculating' politician) which may be very similar to the calculations of officers contemplating a military coup. The calculus of intervention is derived by combining the two variables, disposition and opportunity, 59 60 Non-Democratic Regimes '/'Iii' Emergence of Milium Dictatorships 61 to produce four possible combinations and four inferences about the likelihood and fete of military intervention. Filler's four inferences were: 1. no intervention because there is neither disposition nor opportunity; 2. intervention because tiiere is both disposition and opportunity; 3. 'on the whole' no intervention because there is no disposition although there is an opportunity; and 4. unsuccessful intervention because although there is disposition, there is no opportunity (ibid.; 74-5). The calculus of intervention can also be used to analyse past coups to determine why and how they were attempted and succeeded (or failed). It therefore offers a framework for analysing the emergence of past or present military regimes as well as for assessing the likelihood that a new military regime will emerge in any particular country. A similar approach to Finer's was adopted many years later by Nordlinger, who based his analysis of military coups on the 'dual' question of 'why' and 'when' do the military intervene in politics (1977: 63—4). He differed from Finer in including only motives, not motives and mood, in the 'why' part of this dual question, but Finer's framework would lose little if its disposition aspect was simplified by excluding mood and concentrating on motives. Moreover, his calculus of intervention would then replicate the forensic formula for determining who committed a crime ('the accused had the motive and the opportunity to commit the crime') even if in the case of military intervention, the question or issue is not 'whodunit' but rather (1) what is the likelihood that a suspect will actually commit the crime, or (2) why and how was the crime committed? The forensic analogy is striking and has such useful implications as highlighting the question of whether to include another element commonly added to the forensic formula - the question of what means were or will be employed to perpetrate the crime. As will be seen in a later section of the chapter, there is good reason to include a separate heading of 'means' to incorporate important features noted by Janowitz and by Finer himself. The resulting motive/means/opportunity framework TABLE 3.1 The (Finer-based) calculus of military intervention/usurpation Motive Menus Opportunity 1. National interest 2. -Corporate self-interest 3. Individual sell-interest 4. Social (especially ethnic or class) self-interest 1. Coup metliad (seizure of power) 2. Coup-threat method (seizure of power) Inhibiting motives 1. Belief in civil supremacy (national interest?) 2. Fear of coup failure (corporale and individual self-interest) 3. Fear of politicisation of military (corporate self-interest) 4. Fear of repeat of past failures of military rule (corporate self-interest and national interest) Capac.ily-re.dutivg factors Various factors weaken internal cohesion = factional instead of corporate coups and less credible coup threat (Janowitz) 1. Civilian1 government's lack of legitimacy (Finer and Nordlinger) 2. Civilian government dependent on military 3. Civilian government discredited - e.g. corruption, economic failings (O'Knne) Negative factors (reducing opportunity) 1. Civilian government has legitimacy (Finer and Nordlinger) 2. Obstacles (O'Kane) (a) absence of previous coups (b) newly independent state (c) presence of foreign troops 3. Operational obstacles (Decalo) e.g. elite or paramilitary units for analysing military intervention provides a comprehensive check-list that takes all factors into account. Moreover, the framework readily allows two or more theories/explanations of intervention to be used in combination and in an integrated and coherent fashion. This feature also enables any detailed description of the framework and calculus to readily supplement and even replace Finer's ideas and examples with those of other theorists and researchers (see Table 3.1). 62 Non-Democratic Regimes However, before beginning such a detailed exposition of this framework and calculus of intervention, it is best to narrow the focus to include only those forms of military intervention that lead to the emergence of clear-cut military dictatorships. For Finer defined military 'intervention' quite widely, as being 'the constrained substitution' of the military's policies and/or persons 'for those of the recognized civilian authorities' (ibid.: 20). And the constrained substitution of only the military's policies, not military persons, for those of the recognised civilian government may involve situations of indirect rule by the military from behind the scenes (see Chapter 2). This is far from the popular image of military dictatorship as a uniformed General residing in the presidential palace and ruling by decree - in fact it does not fit any common conception of a military regime. The problem of how to categorise such less-tfian-military dictatorships will be discussed more fully at the end of the chapter. Until tiien, the problem will be avoided by narrowing the focus of the calculus of intervention and concentrating upon die form of intervention from which emerges (direct) rule by military men - the seizure of public offices and powers by the military. Motive Finer pointed out that the military, or rather the officer corps that leads it into politics as well as into battle, is affected by a variety and often a varying mixture of motives for seizing power (1976; 52). This is no different from the standard assumption that civilian politicians have 'a multiplicity of motivations (some altruistic, others crassly self-serving) in their quest for political power' (Decalo, 1990: 7). The principal types of motives that Finer identified were: 1. die self-proclaimed 'manifest destiny of the soldiers'; 2. the national interest; 3. the sectional interest, which in turn includes class interest, particularist interests (regional, ethnic and religious), and corporate self-interest; and 4. individual self-interest (1976, ch. 4 and p. 230). The Emergence of Military Dictatorships 6?) As he acknowledged, this is only a convenient check-list which can be reduced or expanded according to whether it is thought too elaborate and complicated or too economical and not sufficiently systematic. It can therefore be restructured and reduced to four main types of motive: national interest, corporate self-interest, social self-interest (notably class, ethnic or religious), and individual self-interest. These motives can be derived from four aspects of the officers' world-view - those of citizen, soldier, member of a social group, and individual. The citizen's concern for the national interest is often depicted both inside and outside the military as being particularly evident within the officer corps. But, as was described earlier (see Chapter 2), Finer argued that the military's view of its political duties as custodian of the national interest may take the form of either an arbitrating/vetoing role or a more ambitious role as the ruler of the country and implementor of a sometimes comprehensive policy programme (ibid.: 31). Moreover, the second, ruler type of military 'have no uniform notion of what constitutes the "national interest'" (ibid.: 33). For example, although the military are conventionally perceived as having a right-wing conception of the national interest, some ruleti-type military regimes have displayed leftist tendencies. Several purportedly Marxist-Leninist military regimes arose in Africa in the 1960s-70s, such as in Ethiopia and Somalia, while the Burmese military regime pursued in 1962-88 a 'Burmese way to socialism' that was no less radical than the socialist practices of most Marxist-Leninist military regimes. Moreover, three other military regimes, Kemal Ataturk's in Turkey, Nasser's in Egypt and Velasco's in Peru, have been classified as examples of 'revolutions from above', which 'destroy the economic and political base of the aristocracy or upper class' by means of an alliance with a rising capitalist or landed class rather than by mobilising the working class and the peasantry (Trimberger, 1978: 3, 10). The national interest is not the real or primary motivation of many coups, and is often used to disguise one or more self-interested motives. Individual self-interest may motivate not only the military's leaders, but also the officer corps collectively in the sense of a desire for better pay, easier promotion, and even opportunities for attractive jobs in civilian organisations (Finer, 1976: 50-1). But here the motive of individual self-interest begins 64 Non-Democratic Regimes Tlic Emergence if Mililaiy Dictatorships fiii to merge into that of corporate, self-interest, as Tor example when new promotion-or career opportunities are opened up by an expansion or technological development of the military that meets the professional aspirations of the officer corps. The distinction between die corporate and the individual form of self-interest can be drawn in terms of the officers' professional role as soldiers as distinct from their personal aspirations as individuals (see Exhibit 3.1). The 5focused book. But these issues go well beyond any general investigation of the military's capacity to successfully stage or threaten a coup. Such an assessment of the military's means of seizing power is clearly an important part of a comprehensive 'calculus' of the likelihood of successful military intervention or of the reasons for an earlier success or failure. However, the assessment of the military's opportunity to intervene is an even more important 'objective' aspect of this calculus and the motive/means/ opportunity framework for analysing seizures of power. Opportunity Finer and several other analysts of military rule have identified a range of factors that affect the opportunity for the military to seize power. Some of them are actually 'negative' opportunity factors in the sense of reducing rather than increasing the opportunity to seize power (just as internal divisions reduce the military's capacity to seize power). Other opportunity factors have both a positive and a negative aspect depending upon their strength or the particular situation. The Legitimacy Factor Finer's theory of political culture identified a legitimacy factor which has both negative and positive aspects for the prospects of a military seizure of power (1976: 79-80). On the one hand, societies with a mature or developed political culture could be expected to reject or resist any claims that military rule was legitimate and to strongly resist military intervention in politics - clearly reducing the opportunity for any intervention. On the other hand, legitimation of military rule is possible or simply unimportant in societies with lower levels of political culture and they would not strongly resist military interven- Tlw Emerge hit of Military Dictatorships 73 lion - clearly increasing the opportunity for the military to seize power. The legitimacy opportunity factor was also identified by Nordlinger, and he, too, saw it as having negative as well as positive aspects for the military's prospects of seizing power. p0r he emphasised that civilian moral condemnation of illegitimate military intervention in politics is expressed in direct action, such as 'mass protests, general strikes, riots, sporadic violence, and possibly armed resistance', and that the prospect of having to deal with this active resistance deters the military from intervening in politics (1977: 94-5). On the other hand, the level of resistance to military intervention is likely to be proportional to the degree of legitimacy enjoyed by the civilian government. Therefore, the 'absence or loss of governmental legitimacy' by the civilian authorities substantially increases-more than any other factor - the military's opportunity to seize power (ibid.: 93). Nordlinger also argued that the legitimacy of a government can be eroded by failures in its performance. Such 'performance failures' (see Exhibit 5.1) as illegal actions, economic downturns and disorder and violence can therefore be seen as indirectly increasing the opportunity to seize power (ibid.: 64, 85-92). But his most significant difference from Finer's approach was his extension of the legitimacy factor to cover the military as well as civilian society. By pointing out that some or most officers would refuse to support a coup attempt against a legitimate government, he highlighted the effect of legitimacy upon the motive and capacity as well as the opportunity for military intervention (ibid.: 95). Political and Operational Factors In addition to his theory of political culture and the legitimacy factor, Finer identified a very opportune political situation for military intervention. He contended that the opportunity for the military to intervene is maximised when both (1) the civilian authorities are abnormally dependent upon the military, and (2) the military's popularity is enhanced while that of the civilian authorities is depressed (1976: 64). The civilian authorities' dependence on the military is most likely to occur when they are having to use the military for internal security 7-1 Noii-Dr.inon'filic Regimes purposes, cither because of violence between rival political forces or because of strong opposition from the masses to the rule of the political elite or dominant social class (ibid,: 6-4—6, 69). As for the military's enhanced popularity, this arises largely from the civilian authorities being discredited by inefficiency, corruption or political intrigue - in such circumstances the military may even be seen as a 'deliverer' by the civilian population (ibid,: 72-3). What might be viewed as a case of civilian governments being discredited by economic inefficiency was later identified and statistically validated by O'Kane. She used cross-national statistical evidence to support her argument that instability in export prices (in poor countries dependent upon exporting primary products) 'is conducive to coups because it generates problems for both the economy and society that can be directly blamed on the government' (1981: 291-2). However, her statistical test of the relationship between these economic factors and military coups also took into account three 'obstacles' that 'reduced the likely success of a coup', namely: 1. the recent independence of the state; 2. the lack of any previous coups; and 3. the presence of foreign troops (ibid.: 294—5). These obstacles are therefore typical negative opportunity factors, with the first and second being opportunity-reducing political factors, and the third, the presence of foreign troops, being an operational factor that reduces the opportunity for a militarily successful coup. Various other operational obstacles to coups can also be included as negative opportunity factors. Several were unearthed by Decalo (1989) when examining the military-controlling strategies that had been used by the 16 African states - little more than a quarter of all African countries - which had managed to escape military rule, (These coup-free states were almost equally divided between democracies and one-party states.) Among the negative opportunity factors that he identified were the familiar external ones of foreign (French) military support, and the use of expatriate, foreign officers to hold key posts. However, two new factors are the use of family members to hold key military posts and of ethnically loyal military recruits. lilt' Emrrffitce of Mi filmy Dieliitorshijis I'D They can a'so 'Je Iounc' outside tile African region, especially in the Middle East, though some South American armies would 'lrive viewed such measures as a blow to their professional/ corporate integrity and as possible grounds for political intervention! The same could be said of another factor identified '■ by Decalo - using totally (often ethnically) loyal elite or paramilitary units to counterbalance the regular military forces. For he acknowledged that these units often provoke military jealousies that may become a corporate-interest motive for a coup. Therefore, the creation of such units as elite presidential guards needs to be 'properly rationalised and executed, and without simultaneously diminishing the corporate status of the regular armed forces' (Decalo, 1989: 562). When properly developed and used, though, elite and/or paramilitary units seem to have been quite successful in defeating and deterring coups within Africa, and they have been widely used in other parts of the world. The most famous example i*; Saddam Hussein's Republican Guard, which was originally an elite presidential guard (recruited from his home-region of Tikrit) and apparently still retains a special loyalty to the President. Even much less powerful units than the Republican Guard can markedly reduce the opportunity for a successful factional coup and make a corporate coup more risky and potentially bloody. Rut there is a conceptual ambiguity about the nature and role of elite units that can lead to serious misunderstandings when discussing the political stance of the military in such countries as Iraq. Such elite units as the Republican Guard are military professionals employed by the state and could be classified as being a dhTerent branch/service of the military rather than an armed force separate from tire military. Assessments of the political reliability of the Iraqi military might come to quite different conclusions depending upon whether the elite units are regarded as part of or separate from 'the military*. If they are viewed as a part of the military, they should be included as (negative) 'means' rather than 'opportunity' factors - as being an important internal division within the military that markedly reduces its capacity to seize power. A similar problem can arise when considering the effect of another important obstacle to military seizures of power, namely 'intelligence-gathering units' and 'informal networks of political 76 Noii-Democralic Regimes spies' (Decalo, 19S9: 562). Although these covert controls on the military usually take the form of a political police or other ; civilian security organ (see Chapter 5), they may also include military intelligence/police units spying on their fellow officers. They are presumably seeking to preempt and deter factional 1 coups but, when the prospect of a corporate coup looms, the ! question of whether these control units are truly 'in' and 'of the military becomes more than just an academic problem. The complexities of assessing the opportunity aspect of a military j seizure of power only reflect the complexities of the real world j of military interventions in politics. j Clearly the opportunity aspect, like the means aspect, of the j calculus of military intervention is actually a matter of degree : rather than a simple yes/no question. Even the assessment of \ motive can be seen as a matter of assessing whether, on bal- \ ance, there is a strong or weak motive for seizing power. So applying the calculus of intervention could involve cases of very strong or very weak motive, means and opportunity, and in between these two extremes there could be many much less I straightforward combinations. But at least the range of outcomes I is apparently only (1) no attempt, (2) a failed attempt, and | (3) a successful attempt to seize power. j The Emergence of Less-than-Military Regimes As was noted at the outset, the focus of this chapter has been upon military interventions in politics that lead to the emergence of what are clearly military dictatorships. These are the military seizures of public office and powers that lead to military men becoming the official governors of their countries. However, there are other forms of intervention and other types of military regime. In fact the various types of 'less-than-military' regime - those which are less than clearly or fully military -are too important a category of dictatorship to be ignored. From Indirect Military Rule to Military-Sup ported Regimes Finer identified types of indirect military regime and rule, in which the military intervened from behind the scenes to exercise some control over a civilian government's policies (see The Emergen9, 59-GO). But it is not just the senior leaders'-motives which are crucial in a party's usurpation of power; so, too, are those of the lower-ranking leaders and the ordinary membership of larty - and in a communist party these are drawn largely from die working class and peasantry die party - am for ethnic, ^ligioi nent M moúves for party usur- 110 IUU1C f _____ !,„,,„ U„n have been no mu.c ^ f There have been than for ™-^^e Jsoci^ interests but, with AS they pad on several parties in Asia uaa<-" --- - the possible exception of UMNO in Malaysia (see Chapter 9), they have not usurped public office and powers. And few of the many African cases of party usurpation appear to have been motivated by social self-interest. The many African parties which misappropriated power had won their election victories by presenting themselves as mass nationalist parties, and it was their electoral rivals who had tended to resort to parochial ethnic/ kinship appeals (Zolberg, 1966: 22). The Middle East provides many examples of religious-motivated parties, but these Islamic parties seem to be motivated more by altruistic religious belief comparable to ideological belief rather than by self-interested concern for their religious social group. More importantly, only one such party has actually usurped power: the Islamic Republican Party in 1980s Iran. Even the case of the IRP is problematical because this party was basically a vehicle used by politicised clergy to take charge of the purportedly democratic Islamic Republic established after the 1978-79 revolution - and the party was dissolved in 1987 after having served its purpose (Brooker, 1997: 146-8). Finally, as with the military, there are motives that inhibit parties from usurping power. For example, presumably some political parties believe that democracy is in the national interest and perhaps even have an ideological belief in democracy. Also it is possible that some political parties share the military's concern that usurping power will have serious implications for organisational integrity and effectiveness. (For many parries have discovered that a lack of political competition can eventually have negative side-effects on morale, unity and political persuasiveness.) Certainly most parties share the officer corps's corporate and individual self-interested concern about the consequences of a failed bid to take power - few parties have been 88 Nnn-Deninrratic Regimes The Emergence of Party Dictatorships 89 allowed to survive a botched attempt at usurping power. Therefore, as in the case of the military's calculus of intervention/ usurpation, a balance-sheet approach must be taken when assessing whether there is motive for usurpation. Means Analysing parties' means of usurping power, their methods and capacities, is more complex than analysing the military's means. For parties have used two very different methods to usurp power - the electoral and die revolutionary. The revolution method involves a seizure of power and is comparable to the military's method of staging a coup. But the electoral method involves a misappropriation of power that has been preceded by a legal, electoral acquisition of public office and powers. Assessing whether any particular party has the means to usurp power therefore requires assessing two very different types of capacity: (1) the capacity to stage a revolutionary seizure of power, and (2) the capacity to achieve an electoral misappropriation of power. And this dual assessment must in turn be based on an understanding of the characteristics and historical 'track record' of the two methods. Electoral Misappropriation of Power The electoral method of usurpation exploits the party's inherent capacity as a misappropriator of power, just as the military's coup method exploits its inherent capacity to seize power. For the party's vote-winning capacity enables it to peacefully accomplish, tiirough success in democratic elections, the first step on the way to misappropriation of power - acquiring a hold on the public offices and powers that it will misappropriate. Obviously the success of the electoral method requires that a particular party has the capacity for electoral success (and the basic 'opportunity' of operating in a democratic rather than a monarchical or dictatorial environment) I And on occasions electoral success has been insufficient to provide a clear-cut claim to hold the governing public offices, as in the cases of the Nazis in Germany and the communists in Czechoslovakia requiring coalition governments and support from an 'above- nrUes' presidential head of state. But the electoral method of usurpation always has the advantage of allowing a party to acquire a hold on public offices and powers in a legal, democratic fashion that disguises and protects its move to establish a dictatorship. Having acquired a hold on these public offices, the party can then misuse its newly acquired public powers to misappropriate public offices, specifically by ensuring that it will not be defeated in future elections. The misappropriation is therefore similar to that of a president staging an autogolpe, but in this case public office is being converted into the party's (not the officeholder's personal) 'property'. Moreover, misappropriation by a party seldom takes the dramatic form of a self-coup; it tends to use a more gradual and less blatant approach. For example, often a party has established a form of one-party state by using more subtle measures than simply the passing of a law prohibiting all other parties. Yet whatever variations there may be in this stage of the misappropriation, in each case the party has the advantage of employing public powers that have been acquired by legal and democratic means, not by a blatantly illegal and undemocratic coup or* threatened coup. Furthermore, the party is able to deploy its established expertise and resources in the field of political persuasion in its attempt to win the people's support for, or at least acquiescence in, this misappropriation of power. Considering the advantages of the electoral method, it is not surprising that this has been the most common way in which party dictatorships have been established. The great majority of the incidences of electoral misappropriation were associated with the emergence of African party dictatorships. Only one of the many communist party dictatorships, the Czechoslovaks an, came to power in this fashion and even this case involved a degree of latent or threatened armed insurrection (Tigrid, 1975). Like the notorious Nazi case of electoral misappropriation, it had been based upon a less than clear-cut election victory that had required the party to use measures not normally associated with the electoral method. In contrast, most African party dictatorships had used the electoral method to usurp power and these misappropriations had been based upon massive election victories. During the decolonising 1954 and 1956 elections in Ghana, for example, 90 Nou-Deiiiocrotic Regimes The Emergence of Party Dictatorships 91 Nkrumah's CPP won two-thirds of the stats in the colony's-" Legislative assembly, while the decolonising 1957 elections in Guinea saw Toure's PDG win nearly all the seats in the colonial assembly. With public office securely in the party's hands when the country finally became independent, the misappropriation of power involved only the removal of any democratic form of threat to the party's continued hold on these public offices. In the African cases, the removal of political competitors often involved the use of the carrot rather than the stick (Garter, 1962; Coleman and Rösberg, 1964: 666-7; Zolberg, 1966: 87). In addition to absorbing other parties there was a willingness to coopt individual opponents - party leaders, members of parliament and even trade-union leaders. Although these coopted individuals and parties may have been motivated by the national interest, there was a self-interested, patronage aspect to their willingness to be coopted. (As will be seen in later chapters, the manipulation of patronage opportunities often directly or indirectly involves a misuse of public powers.) The patronage factor was particularly potent in these Third World countries, where (1) the allocation of scarce public amenities and services was of great social and political significance, and (2) public/ state office was the prime source of economic welfare as well as social status. Nevertheless, the African regimes used the stick as well as the carrot, often in a surprisingly open misuse of public powers. Quite frequently the governing party's monopoly was secured by a law declaring it to be the country's sole party, as in Ghana and Tanzania. It is true that there were a number of cases, as in Guinea and the Ivory Coast, where a de facto rather than legal one-party state was preferred, and there were even a few cases of the semi-dictatorship (see Chapter 9) or substantive form of one-party state - in which minority parties have no chance of competing effectively against the official party (Bienen, 1970a: 111-12). But even when a de facto or substantive rather than legal form of one-party state was preferred, public powers were often misused to eliminate or weaken other parties. To prevent the official party's competitors being represented in parliament, most of the former French colonies in sub-Saharan Africa adopted an electoral law which gave all the seats to the winning party (Carter, I9fi2)- Another common legal ploy was to ban 'the formation "of any organization devoted to ethnic or other forms of "particularistic" propaganda' - a prohibition which could be interpreted to make most opposition groups 'illegal by definition' (Zolberg, 1966: 82). When combined with the use of various forms of (often quite mild) repression against individual political opponents, the result was to secure virtually as strong a hold on public offices as the legally recognised form of one-party state. However, the electoral method also has several weaknesses: • First, any particular party seeking to use this method must compete electorally with other parties that are likely to highlight any indication of its dictatorial ambitions. • Secondly, the state apparatus, and especially the military, may refuse to acquiesce in the party's misappropriation of power. • Thirdly, the public may refuse to acquiesce in being politically expropriated by the governing party. In fact, doubtless one of the reasons why misappropriation has been attempted so rarely by Western governing parties is because they have anticipated the likely negative reaction of the state apparatus and people to such a move. Revolutionary Seizure of Power The party's revolution method of usurping power involves the seizure rather than misappropriation of public offices and powers. They are acquired by the party's leading a successful uprising against the regime in power (Calvert, 1990: 2-4). This revolutionary uprising usually takes the form of an armed insurrection (such as a coup or guerrilla war) rather than of crowds of people taking to the streets - and even when relatively nonviolent, it is an illegal process relying on force or the threat of force. A constitutional, electoral or popular gloss may be given to the completion of the revolutionary seizure of power, but this is little different from the military formally adhering to the constitutional proprieties when removing a government by the threat of a coup. Although a political party is a form of organisation developed specifically for the purpose of acquiring public office, it would seem to have much less capacity than the military for 92 Non-Democratic Regimes The luiifigeiicc of Parly Dictatorships 93 seizing public offices and powers. A party's power is based not upon the use or threat of military force, but upon the use of political persuasion - persuading people to vote for the party's candidates and/or in other ways to identify with the .party and assist its activities. Organisationally, the party differs markedly from the military. The modern political party was originally developed as a loosely knit private association of voluntary, dues-paying members engaged (usually as very much a part-time or leisure activity) in legally regulated political competition with other parties. Nevertheless, the political party has sometimes been organisationally adapted to operate in a non-democratic context and to seize power by leading a revolutionary uprising. In fact the introduction in the early 1900s of the now familiar communist or Leninist notion of a revolutionary vanguard party, with its principles of elitist membership and (democratic) centralism, represented a move towards the selective recruitment and centralised discipline found in professional military organisations. As Holmes has pointed out, the introduction of this new organisational format was initially justified by Lenin as a response to the repressive conditions that his Bolshevik (Communist) Party faced under Russia's Tsarist autocracy (1986: 9). But his party's self-proclaimed role of leader of the proletarian revolution also seemed to require such organisational changes. If the party was to lead a revolutionary uprising rather than use the electoral method being adopted (ultimately unsuccessfully) by Marxist parties in Western Europe, then clearly some features of a normal, democratic party would have to be sacrificed to improve its military-like effectiveness. The two fascist parties went several steps further than the communists in militarising their organisational format to suit the needs of the revolution method (Brooker, 1995: 28, 41). The formally democratic internal procedures retained by communist parties were replaced by unadorned centralisation, with overall command exercised by an individual leader figure, and diere was even an explicidy hierarchical structure of party leaders and sub-leaders. However, the most striking evidence of militarisation was die use of party uniforms, emblems and salutes (though the fascists did not adopt the principle of selective recruitment until after they had usurped power). The fascists' militarisation of their parties was not in response to the difficulties of operating in a repressive political environment- they were legal parties operating in a democracy — and was largely due to the violent activities and ambitions of these parties in their founding years in the early 1920s. The Italian Fascists had originated after the First World War as a paramilitary movement, not a party, which used organised violence to smash leftist parties and trade unions. Although the movement was formed into a party (and took part in elections) in .1921, the Fascists came to power die following year through the 'March on Rome' by tiieir militia forces. The Nazi Party, too, was oriented towards a violent seizure of power until the failed attempt at a coup - the failed Munich 'Beer Hall' putsch of 1923 - showed the Nazis that they would have to use a more legal method of acquiring power. And they would go on to show the world a decade later that a militarised party may also be able to successfully use the electoral method - to use persuasion rather than violence to achieve its ambitions. However, even the use of the revolutionary method is in a sense dependent upon a party's capacity to persuade. In attempting to lead a revolution a party is inspiring as well as organising people to engage in a political activity that is much more dangerous than supporting the party at the ballot box. The party may be seeking support at the barricades or seeking to use its supporters as 'human bullets', in the sense of a sheer mass of people filling the streets and public spaces and fore- ■ ing its way into public buildings. Or the party may be recruiting and inspiring supporters who will use real bullets and attempt an operation that is very similar to a military coup. Most party-led revolutions have in fact been the result of party coups and/or civil wars between the party and its opponents. The argument that 'armed force was the determinant of victory in all cases in which Communists have not only seized power but have managed to retain it' could be applied to other parties that have sought to use the revolutionary method of establishing dictatorship (Hammond, 1975a: 640). However, the role of armed force can be more psychological and political than military, as in the case of the Italian Fascist Party's successful coup, the March on Rome of October 1922. Initiated by the party's poorly armed and poorly trained militia, the coup has been termed a 'colossal bluff* and 'psychological warfare' aimed at building pressure on the government and King 'to 94 Nou-Demacmtic Regimes The Emergence of Party Dictatorships 95 take a positive initiative to restore order' or to hand over power constitutionally to the Fascists (Lyttelton, 197.": 85-87). Instead of using the army to put down the attempted coup, the government resigned and left the King with the responsibility of. appointing the Fascists' leader, Mussolini, to the post of prime minister. Although this constitutional and 'voluntary' aspect to the acquisition of public office would lead to the Fascist usurpation being as much a misappropriation as a seizure, the Fascists' psychologically and politically successful coup was the crucial event in the emergence of the world's first fascist regime. The amount of armed force used by a party to carry out its coup may be surprisingly small if the targeted government or regime lacks reliable defenders. The classic example is the October 1917 coup in Russia that led to the emergence of the world's first communist regime. The Bolsheviks carried out their coup against the Provisional Government in the capital city; Petrograd, by using worker-militia Red Guards, several thousand Bolshevik-supporting sailors from the naval base, and a small minority of the 245 000-strong Petrograd garrison - the rest of which remained neutral (Pipes, 1991: 478). A party coup may also be based largely on the armed force contributed by a military faction belonging or allied to the party. An extreme example is the July 1968 coup in Iraq which was carried out largely by the military wing of the Baathist Party and which resulted in a military Baathist regime that was gradually transformed into a civilian, truly-party dictatorship now ruled by Saddam Hussein (see Chapter 6). But the unreliability of military allies was displayed in the Bolivian revolution of 1952. The National Revolutionary Movement (MNR) coup against the country's military rulers was jeopardised when MNR allies in the police and military abandoned the coup; victory was won only after armed workers, particularly miners, came to the aid of the middle-class MNR fighters embroiled in armed combat with army units in the capital and a number of other cities (Malloy, 1971: 111-12). As has occasionally occurred with partially failed military coups, a partially failed party coup can develop into a civil war. The 1918-20 Civil War in Russia was a result of the failure of the October 1917 coup by the Bolshevik (soon to be renamed Communist) Party to win control of the countryside, where most of the population lived, and of the peripheral regions of the former Russian Empire, including Siberia, the Caucasus, the Ukraine, Poland, the Baltic states and Finland. Not until 1920 did the communists' Red Army finally destroy the counterrevolutionary 'White' armies. With the conquest of the Caucasus completed in 1921 and eastern Siberia occupied in 1922, the communists ended up by 'recovering' most of the territory of the old Russian Empire; only Poland, Finland and (temporarily) the Baltic states had been 'lost'. But a party-led revolution may from the outset take the form of a civil war, as in the famous case of the Chinese communists' military defeat of the Kuomintang regime in 1947-49 (see Eastman, 1984: 161-5; Dreyer, 1995: 315-33). By 1947 the communists controlled extensive rural areas in northern China but they were far away from the country's capital city (Nanking) and urbanised heartland. Instead of attempting a revolutionary coup, the communists therefore had to fight their way into the rest of China by defeating the Kuomintang army. They inflicted a series of devastating military defeats upon the Kuomintang by using a burgeoning army organised and equipped in similar fashion to the Kuomintang state's military' forces. The party's regular or conventional armed forces (as distinct from guerrilla or militia forces) grew from some 90 000 in 1937 to some 475 000 in mid-1945, had reached nearly two million by 1947 and attained actual numerical parity with the Kuomintang forces in 1948. A more recent example of party-led revolutionary civil war was the Nicaraguan revolution of 1978-79 that routed the Somoza family's long-standing military regime. The Sandinista movement's fight against the Somoza regime seemed to have suffered a major setback in 1978 when its attempted five-city coup was crushed, but this failure actually increased support for the movement, and the flow of recruits and resources was converted in 1979 into a victorious military campaign using conventional as well as guerrilla forces (Gilbert, 1988: 10-12, 110). The fundamental weakness of the revolutionary method is the difficulty a party has in acquiring either the masses of unarmed people or the units of armed supporters that are needed for an effective attempt at revolution. In a democracy it is difficult to persuade people of the need to go to such extremes, whether it is a mass of people taking to the streets or a smaller number taking up arms. In a non-democratic country the degree of repression makes it more dangerous to inspire people to revolt 96 Noii-Demacrtitic Regimes and more difficult to organise them. Consequently, unarmed revolutions by the masses tend to be spontaneous, as with the February 1917 revolution in Russia, or to be led by some more-established institution than a party, as with the clergy-led revolution in Iran. Another, only slightly less fundamental, weakness is the difficulty in overcoming the police and military power of the state. If a government is prepared to use the force available to it, and if the armed forces obey these orders to suppress the attempted revolution, then any successful revolution will usually require a formidable armed force - probably including a conventional as well as guerrilla army. It is not often that a party will be able to deploy armed forces that are more effective than the armed forces of the regime it is seeking to replace. Therefore it is not surprising that so few party dictatorships have been established through the revolution method - and that one of the opportunities for usurpation arises from a weakening of state power. The Emergence of Party Dictatorships 97 TABLE 4.1 The calculus of party usurpation of power Motive Menus Opportunity J. National interest 9. Ideological interest. 3. Social (especially class) self-interest 4. Individual self-interest 5. Organisational self-interest 1. Electoral method (misappropriation of power) 2. Revolution method 3. Decolonisation (seizure of power) 1. Weakening of state power 2. War of liberation Inhibiting motives 1. Belief in democracy (national interest or ideological interest) 2. Fear of failure (organisational and individual self-interest) Opportunity There is not the space to offer more than a cursory glance at the question of when does an opportunity arise for usurpation of power by a party. However, opportune situations for parties' electoral misappropriation of power and/or for party-led revolution can be identified by looking back at the historical circumstances in which party dictatorships have emerged. Three such opportune situations are: 1. a weakening of the state power of the incumbent regime; 2. a war of liberation; and 3. a process of decolonisation. A leading dieorist of revolution has used historical evidence from the French, Russian and Chinese revolutions to argue that the weakening of the old regime's state power, especially its military power, provided an opportunity for revolution (Skocpol, 1979), She contended that a revolution occurred only after the way had been opened by the disintegration of the old regime's administrative machinery and armies (ibid.: 47). Therefore the disintegration of the Russian army in the second half of the First World War was 'a necessary cause' of (1) the demise of the Tsarist monarchical regime at the hands of the spontaneous February 1917 revolution, and (2) of the revolutionary seizure of power by the Bolsheviks in October - a 'military coup' which faced 'no immediate military opposition tiiat could not be overcome in brief struggles' (ibid.: 94, 213). Similarly, in the case of the Chinese communist revolution against the Kuomintang regime, the 1937-45 war with Japan had had a devastating effect upon die Kuomintang army, seriously weakening its ability to fight the 1947-49 civil war with the communist army (Eastman, 1984: 219). The communist seizures of power in Russia and China seem, therefore, to be examples of exploiting a state-weakening opportunity provided by the state's military defeats at the hands of a foreign foe. That a war can provide the opportunity for party usurpation of power may seem somewhat paradoxical, but it has long been recognised by practitioners and analysts of politics. 'Almost all Communist takeovers have occurred either 98 Nmt-Deuioemt/c Regimes The Emergence tif Party Dictatorships 99 during international wars or in the aflermath of such wars', as they 'undermined the old political, economic and social order' (Hammond, 1975a: 641). A special case of the opportunity that war provides for party usurpations of power is the 'war of liberation'. An opportunity that can be exploited by either the revolution or the electoral method arises when a party has led.a successful war of liberation against either (a) an intransigent colonial power, or (b) a conquering power's occupying military forces. With the foreign forces expelled, there is no state power available to contest a revolutionary seizure of power; and if democratic elections are held, die party which has led the war of liberation is in a strong position not only to win an election victory but also subsequentiy to misappropriate these public offices and powers. Three communist regimes - Yugoslavia, Albania and North Vietnam -exploited the war-of-liberation opportunity, as did the party dictatorships established in (ex-French) Algeria and (ex-Portuguese) Mozambique, Angola and Guinea-Bissau. The most fruitful opportunity to use the electoral method was provided by decolonisation. Most of the African examples of party dictatorship benefited from this opportunity, as the party which inherited power from the colonial rulers in the 1950s-60s - thanks to its election victor)' in the transitional period of decolonisation - went on to misappropriate the public offices and powers of the new state. After the Second World War the British and French colonial empires had begun to allow their African subjects to participate in the governing of their territories (and to prepare for eventual self-government) through electing representatives to colonial assemblies and governments. With these colonial and eventually decolonising elections came the development of mass political parties, which seized the opportunity to win the support of a voting public that was still untouched by political parties and partisan loyalties. The first mass parties to be established in each of the African colonial territories were able to exploit the great advantage of being the first political organisation to establish a link with the mass public, with a further advantage arising from the 'bandwagon effect' as the franchise was extended by the colonial rulers to successively wider sections of the public (Zolberg, 1966: 14-15, 19-21). However, this electoral opportunity was less important than the party's subsequent opportunity to misappropriate its democratically acquired public offices. For the state apparatus, particularly the military, clearly could have blocked or overturned the party's misappropriation of power, as would be confirmed when eight party dictatorships were overthrown by their armies during the 1960s (Finer, 1974: 527). There were some decolonisation-Wnked factors, though, which helped to ensure the state's as well as the public's acquiesence in misappropriation of public office. It is commonly argued that the new, elected rulers were able to step into the shoes of die dictatorial colonial rulers, who recognised the electorally victorious parties and party leaders as their legitimate successors (Coleman and Rosberg, 1964: 655, 659). Therefore the public's and the state officials' residual respect for dictatorial colonial authority 'was transferred to the Africans who assumed the roles hitherto filled by Europeans', with a prime minister or president being seen as comparable to a colonial Governor (Zolberg, 1966: 17—18). Furthermore, not only was the counterbalancing influence of democratic institutions, processes and norms both novel and weak but also the new governing parties and leaders enjoyed the prestige of being the founding fathers of their newly independent states (Zolberg, 1966: 90). The decolonising opportunity to use the electoral method of usurping power may appear to have been a historically unique 'window of opportunity' in the 1950s-70s that would never reoccur. But a similar situation seems to have arisen in Central Asia in the early 1990s as the former republics of the disintegrating Soviet Union became independent states (see Exhibit 8.2 and Chapter 9). The five new states in Central Asia went through a transition that in at least the case of Tajikistan 'bore a resemblance to the decolonization of Western states' empires a generation earlier' (Atkin, 1997: 621).