索儒森还指出,发展中国家的民主有三种根本性的弱点。第一种是非常有限制的民主(Restricted),在此种情况下其政治制度虽然包含一定的民主因素,但在自由竞争、公众参与和社会自由程度上都有相当大的限制,原因是与前专制政权有紧密联系的精英集团往往为确保其政治利益而预设干涉民主程序的技术手段。他认为,智利的皮诺切特政权最后向民选政府交权的过程就证明了这种民主进程的根本弱点。第二种是脆弱未巩固的(frail and unconsolidated)民主,特别指非洲国家。其中最大的问题是,独立后的统治力量没有建立新的民主合法性的基础,所以其政权可能徒有议会民主的形式,实际出现的却是近似世袭制的个人统治(最典型的是军事强人政权)。第三种是被尖锐激烈的社会经济问题困扰的(plagued by acute social and economic problems)民主。这是发展中国家民主化过程中的普遍现象。主要原因是,社会经济危机导致专制政权的倒台,但专制政权的解体却遗留下非常严重的社会后遗症,在这种情况下,新的民主政权必须面对那些尖锐激烈的问题。这种困境无论在拉美、还是在东欧的前社会主义国家转型期都普遍存在。
[3] 参见Richard Sandbrook, The Politics of Africa's Economic Stagnation, Cambridge University Press, 1985.
[4] 参见Larry Sirowy & Alex Inkeles, "The Effects of Democracy on Economic Growth and Inequality," Alex Inkeles, ed., On Measuring Democracy: Its Consequences and Concomitants, Transactions Books, 1991.需要指出的是,对于政治民主的正义性,三种观点的争议并不大。
[5] 有关东亚经验中的 "Trade-off", 参见Steve Chan, East Asian Dynamism-Growth, Order, and Security in the Pacific Region, 2nd edition, Westview press, 1993. 有关"Distributional coalition," 参见M. Olson, jr. The Rise and Decline of Nations}, Yale University Press, 1982.
[6] Seymour Martin Lipset, "Economic Development and Democracy," in Political Man: The Social Bases of Politics, Johns Hopkins University Press, 1981.
[7] Georg Soreusen, Democracy and Democratization: Process and Prospects in a Changing World, Westview Press, 2nd edition, 1998.本文多从此书中引用有关民主化的理论。
[8] 阿玛蒂亚.森,“民主的价值观放之四海而皆准”,《当代中国研究》(美国),2000年第2期。不过,森以前也曾批评性地指出,印度每八年因为营养不良或其他与贫困相关的疾病而导致的高人口死亡率所造成的死亡人口,与中国六十年代大饥荒所死亡的人口数目相当。见Jean Dreze & Amartya Sen, Hunger and Pubic Action}, Clarendon Press, 1989.近几年来,森更多地维护和强调民主的价值,这是个很值得分析的变化。因本文篇幅所限,这里只是简单提及,近一步讨论森的新着需要专文。以前森对中国经验的正面评价居多,但近年来他对中国经验的批评也增多了,例如他对“六四”天安门镇压事件就持严厉批评的态度。见Amartya Sen, "Human Rights and Economic Achievements," in Joanne R. Bauer and Daniel A. Bell, eds., The East Asian Challenge for Human Rights, Cambridge University Press, 1999, p.93、p.95.有趣的是,森的看法在某种程度上与Samuel Hungtington对民主的看法的变化有异曲同工之妙,虽然两人在意识形态上相去甚远。Hungtington在《变革社会的政治秩序》中对民主问题并不看重,但在《民主的第三波》中,他视政治民主为中心任务。
[9] 值得一提的是,南韩和台湾除在经济增长上的成功,在提供社会福利上的成果也比较突出。世界银行专门出版了The East Asian Miracle: Economic Growth and Public Policy (Oxford University Press, 1993)来总结东亚的成功经验。
[10] 参见UNDP, Human Development Indicators 1999, Cuba's Real GDP per Capita Rank Minus its HDI Rank is 47, the highest in HDI index, p.135.其中大多数前社会主义国家在HDI index中的表现好过其经济发展水平的指标。
[11] 有关Developmental State, 参见Chalmer Johnson, Japan: Who Governs? The Rise of the Developmental State, W.W. Norton & Campany, 1995; or Gordon White, Riding the Tiger: The Politics of Economic Reform in Post-Mao China, Stanford University Press, 1993.
[12] 见Guillermo O'Donnell, "Reflections on the Patterns of Change in the Bureaucratic-Authoritarian State," Latin American Research Review, Vo.12, no.1, 1972; David Collier, ed., The New Authoritarianism in Latin America}, 1979.
[13] Stephen Haggard, Pathways from the Periphery: The Politics of Growth
[14] James Petras & Steve Vieux, "The Transition to Authoritarian Electoral Regime in Latin America," Latin American Perspectives}, Vol.21, no.4, 1994.in the Newly Industrializing Countries, Cornell University Press,
[15] Adam Przeworski, Democracy and the Market, Cambridge University Press, 1992.
[16] Edward Friedman, The Politics of Democratization: Generalizing East Asian Experiences, Westview Press, 1994.
[17] Armartya Sen, Development as Freedom, New York: Alfred A. Knopf,