PO 4008: African Politics: Development and Democracy

Staffan I. Lindberg: Forms of States, Governance, and Regimes: Reconceptualizing the Prospects for Democratic Consolidation in Africa

Prof Tom Lodge

16th of March 2015

Introduction
In this review essay I will focus on arguments imposed by Staffan I. Lindberg, in his article Forms of States, Governance, and Regimes: Reconceptualizing the Prospects for Democratic Consolidation in Africa. For the purpose of this essay I have selected two African countries (Ghana and the Republic of South Africa) that belong to most developed ones, in terms of their ability to accomplish the process of democratization.
If we try to apply Lindberg’s three structural layers system to the chosen states we have to follow the structure of his method. In this regard, firstly we need to identify processes which will inevitably lead to democratization. In such a state we should expect a gradual change in the state form, from capstonian to more penetrative form of state, as Lindberg suggests. To do so we need to identify in which ways and areas is state penetrating society.
1. Forms of States
According to Lindberg, there are two most common approaches to the study of African transformation processes. First theory is based on structural determinants of democratization, the second is underlying the importance of actor- oriented analyses. Lindberg distinguishes three structural layers of the state, on the basis of which we can identify the democratization trends in African States. First layer is form of state, which is characterised by the way states penetrates into the society and various methods of extracting resources from its own civil society, or from abroad. Consequently, in Lindberg analysis a national dimension plays a vital role. Form of states can indicate a role of domestic actors in the formation and functioning of the state.
Categorically speaking, revenues can be extracted either by means of coercion (as in typical monarchies and dictatorships) or by bargaining (as in corporative and democratic states), and either primarily in the domestic (most common) or in the international context (through imperialism, trade, or intergovernmental aid and loans). (Lindberg 2001, p. 182)
Furthermore, in Lindberg’s work, he focuses on the characteristics that help differentiate between different forms of state. He distinguishes between capstonian and penetrative form of state. Capstonian state use violence, propaganda and other methods of coercion to prevent the creation of another centre of power, which would shatter the existing centre of power and threaten the state from within. On the other side, penetrative state is trying to mobilize various kinds of social groups and its leaders and let them be empowered within the framework of the state. In this way they penetrate society more effectively and thus they acquires the ability to better control the civil society and individuals within. And thou “A state's relationship to its society is equally determined by the use of resources.” (Lindberg 2001, p. 183)
In case of Ghana, we can clearly see that the democratization process is enhancing. In Ghana multiparty system has been established and two major parties New Patriotic Party (NPP) and National Democratic Congress (NDC) has entrenched the system. Therefore, from the two elections in 2000 and 2008 when Ghana experienced peaceful transfer of power between the leaders from the opposing parties, we can see progress in political pluralism as well as equal popular political participation. (Freedom House- Ghana 2014) According to Freedom House, political life in Ghana can be characterised by an extensive network of clientelistic ties based on patron- client relationship, which undermines rather democratic and functioning institutions.
According to Lindberg, practises of patronage include favours such as” attending individual’s school fees, electricity and water bills…finding someone a job or a place to stay, contracts, or other services.” (Lindberg 2003 cited in Transparency International 2010)
Even though in Ghana we can found large net of NGO’s and other components of an active participation in society, there still remains few problems interlinked with corruption, transparency and accountability of the institutions and therefore Ghanaian form of state still shows signs of capstonian state.
In case of South Africa, we can say that the form of state is rather penetrative. Social system during apartheid in South Africa was based on providing social services unequally for the different race groups. Situation has changed enormously since that time. Nowadays the system of social services provides its services equally, regardless of race. (The Guardian 2012) There is extensive system of social services providing universal secondary education, government also introduced several Plan of Action to improve access to free and quality basic education. (Republic of South Africa, Department of Education 2003) Statistics on universal primary education indicate that in 2006, 98 percent of 18 year olds have completed Grade 7 or above. (UNDP, United Nations Department for Social and Economic Affairs 2011) Additionally, according to UNDP 14 million South Africans, including 10 million children, currently receive some form of social assistance. (UNDP 2012) Even though there is extensive system of social services providing facilities for many people, South Africa is still facing challenges such as the high level of corruption, and high unemployment rate and other problems.
In relation to Lindberg’s analyses, another indicator of the state penetrating the society is the extent to which a society is willing or forced to obey the law. Since 2001, there have been some improvements in Ghana’s internal security, especially in terms of strengthening the police as main guarantor of security. On the other hand, due to insufficient administration, and weak judiciary there are persistent vigilantism, which may take the form of mob lynching. (Mattes, Gyimah-Boadi 2003)
In South Africa there is decline in confidence in the state's authority in ensuring respect for law and order. For example “six in ten South Africans (60 percent) say that safety is worse now than during apartheid”. Moreover, while most Ghanaians (59 percent) felt that state law enforcement capacity had increased since the advent of multi- party democracy, a plurality of South Africans (41 percent) say it has decreased. (Mattes, Gyimah-Boadi 2003)
2. Forms of Governance
In this three layers model, an intermediate level- forms of governance indicate to”…various institutionalized practices in how holders of power in the government actually relate to civil organizations and the public.” (Lindberg 2001, p. 185) The classification also incorporates system of institutions and institutionalized practises. Lindberg further differentiate between several forms of governance.
For many African countries the neo- patrimonial type of government is characteristic. It is the system, which is closely linked to capstone state and therefore the system is based on personal relationships and networks of patronage between patron and client. As I have mentioned above, for Lindberg the relationship between the method of extraction of resources and system of government is essential. And thus „To sustain themselves, leaders of neo-patrimonial institutions must regularly extract resources from their followers in a largely coercive and predatory manner.” (Lindberg 2001, p. 183)
According to Lindberg, system in Ghana can be, in some way, characterised as neo- patrimonial. Corresponding to several survey such as Global Corruption Barometer or Transparency International Corruption Perceptions Index Ghana has improved significantly its performance in terms of control of corruption. (Transparency International 2010) However rampant corruption and corruption scandals remains one of the most substantial problems to Ghanaian democracy (ibid.)
Likewise, one of the greatest challenges that Ghana is facing is the inefficient public administration and persistent corruption scandals of the main political parties and moreover personalised politics based on linkages between political leaders and bureaucrats. These factors are negatively affecting Ghanaian democratic performance and also has negative impact in terms of fiscal transparency, and international trade. In spite of some progress, as I have mentioned above, Ghana is still facing problems in tax collection. According to Lindberg’s characteristics tax collection can be significant indicator of the democracy. Also Transparency International has reported on the tax collection agencies and their inefficiency and vulnerability to corruption. (Transparency International 2010) “Domestic taxation [in Africa] has stayed comparatively low apart from trade revenues although some states such as Ghana have achieved higher levels than others.” (Lindberg 2001, p. 186)
In case of South Africa, there are obviously efforts to improve the efficiency and effectiveness of government bureaucracy, which is anyway one of the best among other African countries. Nevertheless, South Africa is still facing serious problems in terms of combating high level of corruption. Government has been criticised because of several cases, when charging fees to business leaders, allowing access to high government officials and thus favouring some of them. (Freedom House- South Africa 2014) In this regard, South Africa might be considered as a state with governance which displays certain signs of corporatism. Trade Unions are very strong and though the idea of corporatism is strongly encouraged by them. There are several arguments supporting the idea of corporatism, one is that “corporatism can help consolidate South Africa’s transition to a parliamentary democracy through matching political reforms with economic advances.” (Webster 1995 cited in Van der Walt 1997). Furthermore the idea of corporatism in South Africa helped reshaped the direction of South African political economy and also has influenced success of the social democratic governance. (Van der Walt 1997)
The tender process for public contracts is often politically driven and opaque. The delivery of government services is undermined by maladministration, although a newly formed procurement office and more training for public servants may improve the situation. (Freedom House - South Africa 2014)

3. Forms of Regimes
Forms of Regimes is a last structural layer of Lindberg’s analyses. Lindberg distinguishes between”… two forms of democracy- liberal and social democracy and civil or military regimes based on single rulers or oligarchies.” (Lindberg 2001, p. 188) For Lindberg is an important the concept of perverted democracy, which refers to deviant forms of government that arose from the different degrees of deformation of formally democratic regime.
I see democracy itself as a phenomenon best conceived of as an expanded- minimum procedural requirement presuming contested elections, full electoral suffrage, and the absence of substantial fraud in combination with full and effective civil liberties. (Lindberg 2001, p. 188)
Even though there has been suspicion of electoral fraud during 2008 Ghana elections and allegations of fraud during election campaign, Ghanaian elections of 2008 has been proclaimed free, fair and peaceful by domestic as well as international observers. However the opposition reported irregularities in the registration process. (Overview 2010) According to Freedom House Index, Ghana get rating 1.5 for freedom, rating 2 for civil liberties and 1 for political rights. Thus, according to Freedom House, Ghana reached a status of a free country, with ratings almost such as the Western countries. (Freedom House- Ghana 2014) Also Ghana is celebrated as a right example to follow in Africa, considering its relatively peaceful, free and fair elections since democratic transition in 1992. (Ayelazuno 2013) Acknowledges several successfully managed free elections and the application of means of modern technologies to achieve them, Ghana is considered one of the countries where it may come gradually to consolidation of democratic system and strengthening the role of liberal democracy.
According to Freedom House Index, South Africa get rating 2 for freedom, rating 2 for civil liberties and 2 for political rights. Furthermore, South Africa is considered as social democracy, since spends more on society in relation to GDP than only India, China, Mexico and South Korea amongst the world’s 40 main economies, in spite of having much higher inequality. (Freedom House- South Africa 2014)

Conclusion
The survival of neo-patrimonialism or the imperial presidency, together with its withering effects on the creation of democratic checks and balances, remains a key obstacle to genuine democratization in Africa. (Leon 2010)
Both countries, Ghana and South Africa are at this time rated as free countries by Freedom House and also they are multi- party democracies. Both countries also have one of the highest qualities of democracy in the region. But for example Ghanaians themselves perceive the quality of democracy a little more negatively than international surveys. For more than 90% of respondents of an urban survey, the corruption remains serious problem and threat to the democracy. (Transparency International 2010)
The main objective of this essay was to identify prospects for democratic consolidation in selected countries in Africa. I have chosen Ghana and South Africa as they are currently on a good way to maintain and even extend current level of democracy.
Although there are persistent problems relating to corruption, government effectiveness and accountability in these states. When we look at the Index of Political Freedom from Freedom House, we can clearly see that a positive change toward democratic consolidation has constant character and is empirically expressed by the Index. For example, in 1998, Ghana obtained status “partly free country” while in 2014 acquired “free” country status.

Reference list
Ayelazuno, J. (2013) ‘The 2012 Ghanaian Election: Implications for the Consolidation of Democracy’ The Social Science Research Council, http://forums.ssrc.org/kujenga-amani/2013/07/18/the-2012-ghanaian-election-implications-for-the-consolidation-of-democracy/#.VQXWHI7z2So
Freedom House (2014) Freedom in the World- Ghana, https://freedomhouse.org/report/freedom-world/1998/ghana#.VQYLvo7z2So
Freedom House (2014) Freedom in the World- South Africa, https://freedomhouse.org/report/freedom-world/2014/south-africa#.VQceVI7z2Sp
Leon, T. (2010) ‘The State of Liberal Democracy in Africa. Resurgence or Retreat? ‘, Center for Global Liberty and Prosperity, Cato Institute, no. 12, http://www.cato.org/sites/cato.org/files/pubs/pdf/dpa12.pdf (26 April 2010)
Lindberg, S.I. (2001) ‘Forms of State, Governance and Regime: Reconceptualising the Prospects for Democratic Consolidation in Sub-Saharan Africa’, International Political Science Review, vol. 22, no. 2, pp. 173.
Mattes, R., Gyimah-Boadi, E. (2003) ‘The Quality of Two Liberal Democracies in Africa: Ghana and South Africa Paper’ Presented at Conference On “The Quality of Democracy: Improvement of Subversion?” Centre on Democracy, Development and Rule of Law and European Forum, Institute for International Studies Stanford University 10-11 October 2003, http://cddrl.fsi.stanford.edu/sites/default/files/QoD_paper_Mattes_-_Gyimah_Boadi.pdf
Republic of South Africa, Department of Education (2003) Plan of Action: Improving access to free and quality basic education for all, http://www.education.gov.za/LinkClick.aspx?fileticket=IBMz%2fjGelkc%3d&tabid=390&mid=1124
Sewpaul, V. (2012) ‘How social work in South Africa entered a new era’, The Guardian [online], 5 July, available: http://www.theguardian.com/social-care-network/2012/jul/05/social-work-south-africa-nasw [accessed 16 March 2014].
Transparency International (2010) Overview of corruption and anti- corruption in Ghana, http://www.transparency.org/whatwedo/answer/overview_of_corruption_and_anti_corruption_in_ghana
UNDP, United Nations Department for Social and Economic Affairs (2011), Assessing Development Strategies to Achieve the MDGs in The Republic of South Africa , http://www.un.org/en/development/desa/policy/capacity/output_studies/roa87_study_zaf.pdf
UNDP (2012), About South Africa, http://www.za.undp.org/content/south_africa/en/home/countryinfo/
Van der Walt, L. (1997) ‘Against Corporatism: The Limits and Pitfalls of Corporatism for South African Trade Unions’ Presented at Third Biennial International Conference: “Africa in a Changing World: Patterns and Prospects” Magaliesberg Conference Centre Broederstroom 8-10 September 1997, https://lucienvanderwalt.files.wordpress.com/2010/04/van-der-walt-against-corporatism.pdf

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[ 1 ]. United Nations Development Programme
[ 2 ]. „ …approximately 25 percent nationally and around 36 percent for youth.“ (Freedom House,- South Africa 2014
[ 3 ]. “…malfunctioning biometric verification machines (a new technology adopted by Ghana to enhance voter identification and the transparency of the polls” (Ayelazuno 2013).