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Being or Becoming European:
Aspects on Democracy
Development in Eastern Europe
Lecture at the Institute of International
Relations and Political Science of Vilnius
University, May 3rd 2007
Political conflict and consensus in
historical perspective
• The Common Legacy
– Territories and Borders; Identities and Boundaries
– What is “Europe”?
• Conceptual maps:
– Imposed Differences and External Powers
• Being European
– An Occidental Identity?
• Interpreting European Integration
– One or two Moda Operandii
• Enhancing Democracy
– Lessons from the past
• Democracy, States and Nations
– Stability, Borders and Boundaries
The Common Legacy
Are Continents Natural?
”Europe”a concept and
a topography
Antiquity centred on
the Mediterranean
From ”The Sea in the Middle of the Earth”
to ”The Continental Peninsula”
From ”The Sea in the Middle of the Earth”
to ”The Continental Peninsula”
Stein Rokkan
1921-1979
Conceptual maps
A way of mapping commonalities
and differences in Europe
Dimensions i Rokkan’s Conceptual Map
Does the state contain
a conquest centre?
1. City Power
Yes
Does the state
contain important
trading cities?
The City
Belt
Yes
No
No
Empirestates
Peripherystates
1550
The Reformation
State Churches
2. Religion
1600
Counter Reformation
Dualism
1648
Mixing
Cuius Regio
Cuius Religio
1789
The French
Revolution
Secularism
and Neutrality
West
East
City- Conquest centre power Trading cities
-
Landw.
Seaw. Peri. Seaw.Emp.St. Citybelt Landw.Emp.St. Peri.
Religion and state
North
Prot.
Statechurch
Mixed
Secular
Counterreform.
South Catholic
+
-/+
Iceland
Norway
”Scotland”
”Wales”
”NorthernIreland”
Eire
?
Denmark
England
France
Spain
Portugal
+
”The Hanse”
Netherlands
Switzerland
”Rhineland”
FRG
Belgium
Luxembourg
N. Italy
+
-
Sweden
”Preussia”
Finland
Estonia
Latvia
Germany The Czech
Rep.
”Bavaria”
Austria
Hungary
Lithuania
Poland
S. Italy
Slovakia
Sloven./Kroa.
A revision of Rokkan’s conceptual map to fit
the situation in Central and Eastern Europe
• External and interface periphery states
– Rokkan treats the eastern periphery states as external, while
their histories are dominated by being interface peripheries
between western empire stats and eastern historical empires
• Religious extension
– Rokkan’s map only includes the countries of western
Christianity
– Orthodoxy must be included as well as
– Islam, to cover the state- and nation-building processes of all
contemporary European democracies
A revised conceptual map
Religious
heritage
Late,
devolved
Western
periphery
states
Early states
formed in
cores of
Western
seaward
empires
Protestant
counties
Iceland
Norway
(Scotland)
(Wales)
Denmark
UK
City belt
Europe
States based
on former
core nations
of Central
European
empire states
Late,
devolved
states from
Central
European
empires
Late,
Eastern
devolved empires
states
from
Eastern
empires
Sweden
Finland
Estonia
Latvia
Prot.
Prot.
Prot.
Prot.
Prot.
Mixed or
substantially
secularized
countries
(Ulster)
Counterreformation
countries &
non-secularized
Orthodox
countries
Eire
Muslim
countries
Prot./Cath.
France
Sec./Cath.
Netherlands
Switzerland
Prot./Cath/
Sec.
Cath.
Spain
Portugal
Belgium
N-Italy
Cath.
Cath
Germany
Prot./Cath./
Sec..
Austria
Hungary
Cath.
Czechoslov.
Czech Rep.
Cath./Sec.
Slovakia
Rest Italy
Slovenia
Croatia
Cath.
.
Belarus
Ukraine
Orth./Sec./
Cath
Russia
USSR
Sec./
Orth.
Lithuania
Poland
Cath.
Romania
Bulgaria
Serbia
FYROM
Greece
Orth.
Albania
Kosovo
Mus./Sec.
Turkey
.
Mus./
Sec.
A revised conceptual map
Religious
heritage
Late,
devolved
Western
periphery
states
Early states
formed in
cores of
Western
seaward
empires
Protestant
counties
Iceland
Norway
(Scotland)
(Wales)
Denmark
UK
City belt
Europe
States based
on former
core nations
of Central
European
empire states
Late,
devolved
states from
Central
European
empires
Late,
Eastern
devolved empires
states
from
Eastern
empires
Sweden
Finland
Estonia
Latvia
Prot.
Prot.
Prot.
Prot.
Prot.
Mixed or
substantially
secularized
countries
(Ulster)
Counterreformation
countries &
non-secularized
Orthodox
countries
Eire
Muslim
countries
Prot./Cath.
France
Sec./Cath.
Netherlands
Switzerland
Prot./Cath/
Sec.
Cath.
Spain
Portugal
Belgium
N-Italy
Cath.
Cath
Germany
Prot./Cath./
Sec..
Austria
Hungary
Cath.
Czechoslov.
Czech Rep.
Cath./Sec.
Slovakia
Rest Italy
Slovenia
Croatia
Cath.
.
Belarus
Ukraine
Orth./Sec./
Cath
Russia
USSR
Sec./
Orth.
Lithuania
Poland
Cath.
Romania
Bulgaria
Serbia
FYROM
Greece
Orth.
Albania
Kosovo
Mus./Sec.
Turkey
.
Mus./
Sec.
The Central and East European Space
Religious
heritage
Late,
devolved
Western
periphery
states
Early states
formed in
cores of
Western
seaward
empires
Protestant
counties
Iceland
Norway
(Scotland)
(Wales)
Denmark
UK
City belt
Europe
States based
on former
core nations
of Central
European
empire states
Late,
devolved
states from
Central
European
empires
Late,
Eastern
devolved empires
states
from
Eastern
empires
Sweden
Finland
Estonia
Latvia
Prot.
Prot.
Prot.
Prot.
Prot.
Mixed or
substantially
secularized
countries
(Ulster)
Counterreformation
countries &
non-secularized
Orthodox
countries
Eire
Muslim
countries
Prot./Cath.
France
Sec./Cath.
Netherlands
Switzerland
Prot./Cath/
Sec.
Cath.
Spain
Portugal
Belgium
N-Italy
Cath.
Cath
Germany
Prot./Cath./
Sec..
Austria
Hungary
Cath.
Czechoslov.
Czech Rep.
Cath./Sec.
Slovakia
Rest Italy
Slovenia
Croatia
Cath.
.
Belarus
Ukraine
Orth./Sec./
Cath
Russia
USSR
Sec./
Orth.
Lithuania
Poland
Cath.
Romania
Bulgaria
Serbia
FYROM
Greece
Orth.
Albania
Kosovo
Mus./Sec.
Turkey
.
Mus./
Sec.
Being European
An Occidental Identity?
Orient and
Occident
The Occident
The Orient
Times-Mirror
ca. 1990
?
?
?
Asking the
French: Who are
”European” ?
?
?
?
?
?
Times-Mirror
ca. 1990
?
Asking the
Poles: Who are
”European” ?
?
?
?
Longitudes and European Identity
”Europeans” live in your own timezone
or to the west of this timezone
?
Times-Mirror
ca. 1990
Cultural
parameters
Interpreting European
Integration
One or two Moda Operandii ?
A Unilinear Understanding of the
History of European Integration
• Charlemagne’s attempts to recreate and extend the
West Roman Empire
– When this failed, it left behind a notion of Holy Roman Empire,
Catholic Universalism and Canonical Law and medieval of
”civilized” norms
• Philip II and Charles V tried to unify ”Europe” under the
Habsburg Crown
– When this failed, it left behind the ”Westphalian” state system
• Napoleon tried to conquer Europe
– When this failed, it left behind the French notions of Nation and
Democracy
• Hitler’s attempted conquest
– When this failed, it left behind the idea of stronger cooperation
between European democracies: First NATO, then the EU
An alternative understanding of the
History of European Integration
Two moda operandii
Political incorporation:
Economic integration:
Formation of Empire States
Attempted European Conquest
Top-down
Originates in the City Belt
Develops International Instruments
Bottom-up
Conquest
Centre
Common and
Central Standards
Incorporates
Needs
Periphery
City in
Trade network
Two historical examples
• STATE BUILDING: Military• ECONOMICALLY DRIVEN
administrative consolidation leads
POLITICAL CONSOLIDATION:
to common infrastructure, taxes,
Common economic interests
Top markets and including some shared cultural values
coinage and internal
Bottom
common norms,
symbols and
leads to military-administrative
Down
UP
values
integration
• France
• Switzerland
– Merovingian Kings from the 700s
– Colbert’s mercantilism and
Richelieu’s French Academy
establishing a State under Absolute
Rule during the 1600s
– The Economy of Southern France
subjected to Paris during the 1800s
– An ”Oath Commonwealth” to control
the Cross Alpine Trade from 1294
– Popular Myths as cultural
commonality – ”Wilhelm Tell”
– No Central Government until it was
imposed by French occupation in
1797
Two more complex examples
• Spain
• Germany
– La Reconquista 732-1492
– Slow dissolution of Medieval
– Catholic standardization,
Top
struggles against Moors,
Down
Jews and
Heretics; later
consolidation through
Counter Reformation and
Inquisition
– Economic integration of the
Atlantic orientation of
Castile with the
Mediterranean orientation
of Aragon
Empire finally completed in
1806
Bottom
– Modern east-west
infrastructureUP
development
(railways) from the 1850s
– Nord-Deutche Zollverein
– This becomes more important
than the German language
community and the Imperial
Habsburg heritage
– A new Germany oriented
east-west in the North from
1870
Statehood challenged by
economic integration today
•
•
•
•
• The Euro has replaced or
Economic institutions:
threatens National Currencies
Banks, currency banks
• The European Central Bank
and national banks
has ”usurped” power from the
Monetization: Standard
National Central Banks
national coin and currency • European infrastructure
Infrastructure: Mail,
development through the
telecommunications,
Structural Funds and Cross
transport networks
National infrastructure
projects
National standards:
Measurement, weight,
• EU standardization through
consumer information
directives
The Early Banks: 1400-1600
Early Currency Unions 1865-1927
Map
Country
Year
Members of the
Latin Monetary
Union from
1865
France
Belgium
Italy
Switzerland
1865
1865
1865
1865
Members of the
Latin Monetary
Union after
1865
Greece
Romania
Austria
Bulgaria
Serbia
Montenegro
San Marino
Papal State
1868
1889
1889
1889
1889
1889
1889
1889
Members of the
Scandinavian
Monetary
Union* from
1873/75
Denmark
(Iceland**)
Sweden
Norway
1873
1873
1873
1875
* The Scandinavian Monetary Union included a
common currency, the krone, which replaced the old
daler.
** Iceland used Danish currency until 1922
Membership in the International
Postal Union: 1875-2001
Original Members
Entry between 1876
and 1929
Entry after 1947
Implementing the Metric System:
1795-1910
Map
Country
Year
Implemented
metric system
before 1871
France
Belgium
Netherlands
Spain
1795
1816
1820
1859
Implemented
metric system
between 1871 and
1876
Italy
Germany
Portugal
Norway
Switzerland
Austria
Hungary
Sweden
1871
1872
1872
1875
1875
1876
1876
1878
Implemented
metric system
after 1876
Serbia and
Montenegro
Romania
Finland
Denmark
Iceland
1883
1884
1887
1907
1910
Limited use of the
metric system
Greece
1836
Summary
Pre-EU
penetration
strategy
Institutions
Monetization
Infrastructure
Standards
Example
Banks
Currency
Unions
The Postal
Union
The Meter
Innovation
criterion
City Belt
States
Before 1650
N-Italy
Spain
W-Germany UK
Netherlands
1865
Italy
France
Switzerland
Belgium
Before 1875
Before 1878
Western
Empire
States
Be-Ne-Lux
Spain
Switzerland Portugal
Italy
UK
Denmark
Be-Ne-Lux
Spain
Switzerland Portugal
Italy
France
Eastern
Empire
States
Periphery
States
Sweden
AustriaHungary
Russia
Turkey
Germany
AustriaHungary
Sweden
Norway
Greece
Norway
Pre-EU Economic Penetration:
More modern than we think?
• In all four examples, City Belt States are among the innovators
• These are always supported by at least one Western Empire State
• If the original 6 EU members had existed within a similar
organization in the past, there would have been a majority of the
six countries for all four strategies
• Three of the four strategies would also have carried majorities had
the extended EU existed in the past
• Periphery States are seldom innovators
• Norway’s and Greece’s position as ”innovators” do not reflect so
much a desire for European solutions, but rather reflect an
opportunity to assert national independence
Enhancing Democracy
Lessons from the past
The breakdown of democracy
Country
Date
Strongman
Authoritarian orientation
Estonia
1934
Konstantin Päts
Centrist, corporatist
Latvia
1926
Kârlis Ulmanis
Centrist, corporatist
Lithuania
1926
Antanas Smetona
Corporatist, semi-fascist
Poland
1926
Józef Pilsudski
Initially left-oriented; then rightist and nationalist
Germany
1928
Hindenburg
Authoriarian use of Emergency Laws
1933
Adolf Hitler
Nazi rule
Czechoslovakia
Czech lands
1939
Semi-Corporatist
Slovakia
1938
Jozef Tiso
Clerico-Fascist, German puppet
Austria
1934
Engelbert Dollfuß
Austro-Fascist
Hungary
March 1919
Béla Kun
Soviet Republic
August 1919
Miklós Horthy
Reactionary, semi-authoritarian
November 1944
Ferenc Szálasi
Fascist, German puppet
Italy
1922
Benito Mussolini
Fascist
Yugoslavia
1928
King Alexander
Royal coup
Romania
1920
King Ferdinand
,
Alexandru Averescu
Royal coup, fascist-leaning military junta
Bulgaria
1934
King Boris
Royal coup
Democratic survival: classification of European countries in inter-war Europe
(short-lived and semi-independent state formations are parenthesized)
State building and the problems of inter
war democracy
Religious autonomy
from state authority
The City Belt, empire states and states devolved from
these empire states: The Charlemagne Heritage
External Eastern historical
empires and states
devolved from these
historical empires: The
External Challengers
Predominantly Protestant
countries: State and
Church integrated
&
Secularized Catholic or
Orthodox countries:
Dominant state
Denmark
Sweden
Norway
Finland
Great Britain
The Netherlands
Switzerland
Germany
France
Belgium
Czechoslovakia
Estonia
Latvia
Russia / USSR
(Ukraine)
Catholic counterreformation countries,
non-secularized Orthodox
countries and Muslim
countries: Continued
dualism between Church
and State
Eire
Spain
Portugal
Austria
Hungary
Italy
(Croatia)
(Slovakia)
Lithuania
Poland
Romania
Bulgaria
Yugoslavia
Greece
Albania
Turkey
Democratic survival: classification of European countries in inter-war Europe
(short-lived and semi-independent state formations are parenthesized)
State building and the problems of inter
war democracy
Religious autonomy
from state authority
The City Belt, empire states and states devolved from
these empire states: The Charlemagne Heritage
External Eastern historical
empires and states
devolved from these
historical empires: The
External Challengers
Predominantly Protestant
countries: State and
Church integrated
&
Secularized Catholic or
Orthodox countries:
Dominant state
Denmark
Sweden
Norway
Finland
Great Britain
The Netherlands
Switzerland
Germany
France
Belgium
Czechoslovakia
Estonia
Latvia
Russia / USSR
(Ukraine)
Catholic counterreformation countries,
non-secularized Orthodox
countries and Muslim
countries: Continued
dualism between Church
and State
Eire
Spain
Portugal
Austria
Hungary
Italy
(Croatia)
(Slovakia)
Two exception:
1. Constitutionalism
Lithuania
2. Elite cooptation
Poland
Romania
Bulgaria
Serbia
Greece
Albania
Turkey
Democracy and ethnicity:
Does nation building matter?
• Is reduced ethnic strife conducive to
democracy?
• Reducing ethnicity has a sombre
background
410,000
EST
60,000
40,000
2,300,000
100,000
LAT
90,000
50,000
Ethnic cleansing and
resettlement, 1945–49
80,000
LIT
1,950,000
1,900,000
1,850,000
GERMANY
3,000,000
POLAND
CR
2,900,000
3,250,000
5,500,000
1,500,000
1,950,000
SLK
RM
ANY 200,000
HUNGARY
ROMANIA
250,000
Russians
Germans
Poles
Baltic peoples
Czechs and Slovaks
Source: Crampton and Crampton 1996
Finns from Karelia
50,000
YUGOSLAVIA
BULGARIA
Types of ethnic homogeneity in central and east european states
1.
Stable approximate nation-states: stable definition of the majority
nationality, large majorities
2.
Newer approximate nation-states: stable definition of the majority
nationality, large majorities today but smaller majorities in the interwar era
3.
Recent approximate nation-states: devolved from dissolved ‘MiniEmpires’: large or medium-large majorities today, small majorities or
minorities prior to the recent dissolution of the ‘Mini-Empire’ states
4.
Former approximate nation-states with a decreased majority
population today
Demos-Borders
Ethnos-Bounderies
F
E
C Ideal national state
B
G
D
d-ians
A
H
Demos-Borders
Ethnos-Bounderies
F
E
CTitular national state
B
G
D
d-ians
A
H
Demos-Borders
Ethnos-Bounderies
F
National
E state with
minorities in neighbouring
countries
C
B
G
D
d-ians
A
H
Demos-Borders
Ethnos-Bounderies
F
E
Titular national state with
minority in neighbouring
country and scattered C
diasporas
B
G
D
A
H
Demos-Borders
Ethnos-Bounderies
Original notion of diaspora
F
z-ians
z-ians
E
z-ians
z-ians
C
z-ians
B
G
D
z-ians
A
z-ians
H
z-ians
Demos-Borders
Ethnos-Bounderies
External minority of x-ians in C
Interface minority of e-ians in C
F
xians
E
C e-ians
B
G
D
A
H
Censuses *
Ratings of ethnic homogeneity in terms of the relative size of the regimeproclaimed majority nationality (percentages of total population)
Type
Country
Titular population
1920
Stable approximate nation-states: stable
definition of the majority nationality, large
majorities
Lithuania
Lithuanians
811923
Hungary
Magyar
Bulgaria
Bulgarians
Albania
Albanians
Newer approximate nation-states: stable
definition of the majority nationality, large
majorities today but smaller majorities in
the inter-war era
Poland
Poles
Romania
Romanians
Recent approximate nation-states:
devolved from dissolved ‘Mini-Empires’:
large or medium-large majorities today,
small majorities or minorities prior to the
recent dissolution of the ‘Mini-Empire’
states
Czechoslovakia
‘Czechoslovaks’
The Czech
Rep.
Czechs
81
Slovakia
Slovaks
86
Yugoslavia
‘Serbocroats’
Slovenia
Slovenes
991991
Croatia
Croats
781991
Estonia
Estonians
861934
621992
Latvia
Latvians
771935
53
Macedonia
Macedonians
Former approximate nation-states with a
decreased majority population today
1930
1993
801992
971992
83
871934
85-90**
70***
70***
99
72
89
661921
741921
67
771931
651991
*The censuses of the inter-war period are generally unreliable in their
estimates of the size of ethnic minorities. The figures are, nevertheless,
interesting as expressions of perceived size of regime-proclaimed core
populations.
** For Bulgaria’s current ethnic population our source only indicates that
national minorities exceed 10 per cent.
*** The Polish inter-war estimates are highly questionable. Polish
nationality was at last partly determined by the ability of the respondent to
understand the census-taker when addressed in Polish.
Source: Berglund and Aarebrot 1997, 161; data from Crampton and
Crampton 1996
Classification of countries by ethnic
diversity and diasporas
•
Reborn and new states with majoritarian national core
populations
–
Approximate nation states with dominant national core populations
•
•
–
•
•
without substantial diasporas in neighbouring countries
with diasporas in neighbouring countries
States with strong national core populations, but with interface
minorities from neighbouring countries core nationalities
Reborn states with majoritarian national core populations,
but with national minorities comprising the core
populations of neighbouring former historical empires
Former historical empires, presently large states with a
majoritarian core population
Classification of
countries
by ethnic
diversity,
diasporas
and
religious
dualism
Reborn and new states with majoritarian national
core populations
without
substantial
diasporas in
neighbouring
countries
with diasporas
in neighbouring
countries
Dominant state:
Czech Rep.
Slovenia
Hungary
Approximate nation states with
dominant national core
populations
Protestant or
secularized
religious
community
States with
remaining
elements of
religious
autonomy,
dualism:
Cath, Orthodox
and Muslim
Lithuania
Poland
States with
strong national
core
populations, but
with interface
minorities from
neighbouring
countries core
nationalities
Slovakia
in
Romania,
Voivodina,
Slovakia
Croatia
In Serbia
and B-H
Albania
In Serbia
(Kosovo)
and
Macedonia
Romania
In Moldova
In Hungary
Reborn states
with
majoritarian
national core
populations, but
with national
minorities
comprising the
core
populations of
neighbouring
former
historical
empires
Former
historical
empires,
presently large
states with a
majoritarian
core population
Estonia
Latvia
Moldova
Russia
Russians
Macedonia
Albanians
Bosnia
Serbs and
Croats
Serbia
In B-H
Albanians
Bulgaria
Ukraine
Belarus
Turks and
Muslems
Russians
Turkey
Classification of
countries
by ethnic
diversity,
diasporas
and
religious
dualism
Reborn and new states with majoritarian national
core populations
Dominant state:
Czech
Hungary
Weak: Rep.
High likelihood
of
containing challenges asinmaifest
Slovenia
Approximate nation states with
dominant national core
populations
without
substantial
diasporas in
neighbouring
countries
with diasporas
in neighbouring
countries
Romania,
cleavages within a democratic
Voivodina,
polity
Slovakia
States with
remaining
elements of
religious
autonomy,
dualism:
Lithuania
Poland
Cath, Orthodox
and Muslim
Challenges to
nationhood:
Secular
dominance
Protestant or
secularized
religious
community
Croatia
In Serbia
and B-H
Albania
In Serbia
(Kosovo)
and in
Strong: Possible difficulties
Macedonia
States with
strong national
core
populations, but
with interface
minorities from
neighbouring
countries core
nationalities
Challenges to
Slovakia
In Hungary
Statehood:
Territorial
integrity
Reborn states
with
majoritarian
national core
populations, but
with national
minorities
comprising the
core
populations of
neighbouring
former
historical
empires
Estonia
Strong: PossibleRussia
difficulties in
containing nationalist
Latvia
demands based on
Moldova
seperatism
Russians or irredentism
Macedonia
Albanians
Bosnia
Serbs and
Croats
containing nationalism in
Serbia
Romania
combination with religious or
In B-H
In Moldova
secular cleavages
Albanians
Former
historical
empires,
presently large
states with a
majoritarian
core population
Bulgaria
Ukraine
Belarus
Turks and
Muslems
Russians
Turkey
Very strong in a situation of a
possible combined territorial
and religious challenge
Questions for the future
• Representation in the European Parliament is
based on the Demos as the Constituency
• What about the representation of Ethnos?
– Hungarians from Hungary, Slovakia, Romania and
Serbia (« Overrepresentation »?)
– Macedonians from half of Macedonia – the rest
Albanians (« Underrepresentation »?)
• The Case of Belgian cultural federalisation
Political stability and democracy
• Political fragmentation
– An exaggerated problem?
– A temporal problem
• New cleavages rather than historical
cleavages
– Is cleavage continuity necessarily a good thing?
– Increasing similarities to the rest of Europe?
• Continuity of political style across regimes
Three dimensions of continuity and their impact on the cleavage structure
ETHNICITY
Core populations Party unity versus Nationalist
versus national Fear of splinters conservatism versus
minorities
capitalist
cosmopolitanism
MODERNIZATION
Liberals versus
Agrarians
Central planning
versus reform
economics
Post-communist
socialism versus
liberalism
CLIENTELISM AND CIVIL SOCIETY
Aristocratic elites
versus populists
1900
1939
Party authority
versus Civil Forums
1989
Lessons from history
• Central and Eastern European democracy have already
today endured longer than during the inter-war years
• Why? Six possible answers
– European integration and realistic mutual defence are real
prospects
– A paradoxical legacy of communism: High education levels and
prospective larger middle classes than ever before
– Economies less dependent on the primary sector than ever
before. Modernization
– Stable monetary policies
– Present, but fewer national minorities than during the inter-war
years
– Secularization, another legacy of communism?