Excerpt from From Dictatorship to Democracy by Gene Sharp
Groundwork for Durable Democracy
THE DISINTEGRATION OF THE DICTATORSHIP is of course a cause for major celebration. People who have suffered for so long and struggled at great price merit a time of joy, relaxation, and recognition. They should feel proud of themselves and of all who struggled with them to win political freedom. Not all will have lived to see this day. The living and the dead will be remembered as heroes who helped to shape the history of freedom in their country.
Unfortunately, this is not a time for a reduction in vigilance. Even in the event of a successful disintegration of the dictatorship by political defiance, careful precautions must be taken to prevent the rise of a new oppressive regime out of the confusion following the collapse of the old one. The leaders of the pro-democracy forces should have prepared in advance for an orderly transition to a democracy. The dictatorial structures will need to be dismantled. The constitutional and legal bases and standards of behavior of a durable democracy will need to be built.
No one should believe that with the downfall of the dictatorship an ideal society will immediately appear. The disintegration of the dictatorship simply provides the beginning point, under conditions of enhanced freedom, for long-term efforts to improve the society and meet human needs more adequately. Serious political, economic, and social problems will continue for years, requiring the cooperation of many people and groups in seeking their resolution. The new political system should provide the opportunities for people with varying outlooks and favored measures to continue constructive work and policy development to deal with problems in the future.
Threats of a new dictatorship
Aristotle warned long ago that “… tyranny can also change into tyranny…”14 There is ample historical evidence from France (the Jacobins and Napoleon), Russia (the Bolsheviks), Iran (the Ayatollah), Burma (SLORC), and elsewhere that the collapse of an oppressive regime will be seen by some persons and groups as merely the opportunity for them to step in as the new masters. Their motives may vary, but the results are often approximately the same. The new dictatorship may even be more cruel and total in its control than the old one.
Even before the collapse of the dictatorship, members of the old regime may attempt to cut short the defiance struggle for democracy by staging a coup d’état designed to preempt victory by the popular resistance. It may claim to oust the dictatorship, but in fact seek only to impose a new refurbished model of the old one.
There are ways in which coups against newly liberated societies can be defeated. Advance knowledge of that defense capacity may at times be sufficient to deter the attempt. Preparation can produce prevention.
Immediately after a coup is started, the putschists require legitimacy, that is, acceptance of their moral and political right to rule. The first basic principle of anti-coup defense is therefore to deny legitimacy to the putschists.
The putschists also require that the civilian leaders and population be supportive, confused, or just passive. The putschists require the cooperation of specialists and advisors, bureaucrats and civil servants, administrators and judges in order to consolidate their control over the affected society. The putschists also require that the multitude of people who operate the political system, the society’s institutions, the economy, the police, and the military forces will passively submit and carry out their usual functions as modified by the putschists’ orders and policies.
The second basic principle of anti-coup defense is to resist the putschists with noncooperation and defiance. The needed cooperation and assistance must be denied. Essentially the same means of struggle that was used against the dictatorship can be used against the new threat, but applied immediately. If both legitimacy and cooperation are denied, the coup may die of political starvation and the chance to build a democratic society may be restored.
The new democratic system will require a constitution that establishes the desired framework of the democratic government. The constitution should set the purposes of government, limits on governmental powers, the means and timing of elections by which governmental officials and legislators will be chosen, the inherent rights of the people, and the relation of the national government to other lower levels of government.
Within the central government, if it is to remain democratic, a clear division of authority should be established among the legislative, executive, and judicial branches of government. Strong restrictions should be included on activities of the police, intelligence services, and military forces to prohibit any legal political interference.
In the interests of preserving the democratic system and impeding dictatorial trends and measures, the constitution should preferably be one that establishes a federal system with significant prerogatives reserved for the regional, state, and local levels of government. In some situations the Swiss system of cantons might be considered in which relatively small areas retain major prerogatives, while remaining a part of the whole country.
If a constitution with many of these features existed earlier in the newly liberated country’s history, it may be wise simply to restore it to operation, amending it as deemed necessary and desirable. If a suitable older constitution is not present, it may be necessary to operate with an interim constitution. Otherwise, a new constitution will need to be prepared. Preparing a new constitution will take considerable time and thought. Popular participation in this process is desirable and required for ratification of a new text or amendments. One should be very cautious about including in the constitution promises that later might prove impossible to implement or provisions that would require a highly centralized government, for both can facilitate a new dictatorship.
The wording of the constitution should be easily understood by the majority of the population. A constitution should not be so complex or ambiguous that only lawyers or other elites can claim to understand it.
A democratic defense policy
The liberated country may also face foreign threats for which a defense capacity would be required. The country might also be threatened by foreign attempts to establish economic, political, or military domination.
In the interests of maintaining internal democracy, serious consideration should be given to applying the basic principles of political defiance to the needs of national defense.15 By placing resistance capacity directly in the hands of the citizenry, newly liberated countries could avoid the need to establish a strong military capacity which could itself threaten democracy or require vast economic resources much needed for other purposes.
It must be remembered that some groups will ignore any constitutional provision in their aim to establish themselves as new dictators. Therefore, a permanent role will exist for the population to apply political defiance and noncooperation against would-be dictators and to preserve democratic structures, rights, and procedures.
A meritorious responsibility
The effect of nonviolent struggle is not only to weaken and remove the dictators but also to empower the oppressed. This technique enables people who formerly felt themselves to be only pawns or victims to wield power directly in order to gain by their own efforts greater freedom and justice. This experience of struggle has important psychological consequences, contributing to increased self-esteem and self-confidence among the formerly powerless.
One important long-term beneficial consequence of the use of nonviolent struggle for establishing democratic government is that the society will be more capable of dealing with continuing and future problems. These might include future governmental abuse and corruption, maltreatment of any group, economic injustices, and limitations on the democratic qualities of the political system. The population experienced in the use of political defiance is less likely to be vulnerable to future dictatorships.
After liberation, familiarity with nonviolent struggle will provide ways to defend democracy, civil liberties, minority rights, and prerogatives of regional, state, and local governments and nongovernmental institutions. Such means also provide ways by which people and groups can express extreme dissent peacefully on issues seen as so important that opposition groups have sometimes resorted to terrorism or guerrilla warfare.
The thoughts in this examination of political defiance or nonviolent struggle are intended to be helpful to all persons and groups who seek to lift dictatorial oppression from their people and to establish a durable democratic system that respects human freedoms and popular action to improve the society.
There are three major conclusions to the ideas sketched here:
•Liberation from dictatorships is possible;
•Very careful thought and strategic planning will be required to achieve it; and
•Vigilance, hard work, and disciplined struggle, often at great cost, will be needed.
The oft quoted phrase “Freedom is not free” is true. No outside force is coming to give oppressed people the freedom they so much want. People will have to learn how to take that freedom themselves. Easy it cannot be.
If people can grasp what is required for their own liberation, they can chart courses of action which, through much travail, can eventually bring them their freedom. Then, with diligence they can construct a new democratic order and prepare for its defense. Freedom won by struggle of this type can be durable. It can be maintained by a tenacious people committed to its preservation and enrichment.
The Methods of Nonviolent Action 16
The Methods of Nonviolent Protest and Persuasion
2.Letters of opposition or support
3.Declarations by organizations and institutions
4.Signed public statements
5.Declarations of indictment and intention
6.Group or mass petitions
Communications with a wider audience
7.Slogans, caricatures, and symbols
8.Banners, posters, and displayed communications
9.Leaflets, pamphlets, and books
10.Newspapers and journals
11.Records, radio, and television
12.Skywriting and earthwriting
Symbolic public acts
18.Display of flags and symbolic colors
19.Wearing of symbols
20.Prayer and worship
21.Delivering symbolic objects
23.Destruction of own property
25.Displays of portraits
26.Paint as protest
27.New signs and names
Pressures on individuals
Drama and music
35.Humorous skits and pranks
36.Performance of plays and music
Honoring the dead
46.Homage at burial places
47.Assemblies of protest or support
49.Camouflaged meetings of protest
Withdrawal and renunciation
54.Turning one’s back
The Methods of Social Noncooperation
Ostracism of persons
56.Selective social boycott
Noncooperation with social events, customs, and institutions
60.Suspension of social and sports activities
61.Boycott of social affairs
64.Withdrawal from social institutions
Withdrawal from the social system
66.Total personal noncooperation
67.Flight of workers
70.Protest emigration (hijrat)
The Methods of Economic Noncooperation:
(1) Economic Boycotts
Action by consumers
72.Nonconsumption of boycotted goods
73.Policy of austerity
75.Refusal to rent
76.National consumers’ boycott
77.International consumers’ boycott
Action by workers and producers
Action by middlemen
80.Suppliers’ and handlers’ boycott
Action by owners and management
82.Refusal to let or sell property
84.Refusal of industrial assistance
85.Merchants’ “general strike”
Action by holders of financial resources
86.Withdrawal of bank deposits
87.Refusal to pay fees, dues, and assessments
88.Refusal to pay debts or interest
89.Severance of funds and credit
91.Refusal of a government’s money
Action by governments
93.Blacklisting of traders
94.International sellers’ embargo
95.International buyers’ embargo
96.International trade embargo
The Methods of Economic Noncooperation:
(2) The Strike
98.Quickie walkout (lightning strike)
100.Farm workers’ strike
Strikes by special groups
101.Refusal of impressed labor
Ordinary industrial strikes
112.Reporting “sick” (sick-in)
113.Strike by resignation
Combinations of strikes and economic closures
The Methods of Political Noncooperation
Rejection of authority
120.Withholding or withdrawal of allegiance
121.Refusal of public support
122.Literature and speeches advocating resistance
Citizens’ noncooperation with government
123.Boycott of legislative bodies
124.Boycott of elections
125.Boycott of government employment and positions
126.Boycott of government departments, agencies, and other bodies
127.Withdrawal from government educational institutions
128.Boycott of government-supported organizations
129.Refusal of assistance to enforcement agents
130.Removal of own signs and placemarks
131.Refusal to accept appointed officials
132.Refusal to dissolve existing institutions
Citizens’ alternatives to obedience
133.Reluctant and slow compliance
134.Nonobedience in absence of direct supervision
137.Refusal of an assemblage or meeting to disperse
139.Noncooperation with conscription and deportation
140.Hiding, escape, and false identities
141.Civil disobedience of “illegitimate” laws
Action by government personnel
142.Selective refusal of assistance by government aides
143.Blocking of lines of command and information
144.Stalling and obstruction
145.General administrative noncooperation
147.Deliberate inefficiency and selective noncooperation by enforcement agents
Domestic governmental action
149.Quasi-legal evasions and delays
150.Noncooperation by constituent governmental units
International governmental action
151.Changes in diplomatic and other representation
152.Delay and cancellation of diplomatic events
153.Withholding of diplomatic recognition
154.Severance of diplomatic relations
155.Withdrawal from international organizations
156.Refusal of membership in international bodies
157.Expulsion from international organizations
The Methods of Nonviolent Intervention
158.Self-exposure to the elements
(a) Fast of moral pressure
(b) Hunger strike
(c) Satyagrahic fast
168. Nonviolent raids
169.Nonviolent air raids
174.Establishing new social patterns
175.Overloading of facilities
179.Alternative social institutions
180.Alternative communication system
183.Nonviolent land seizure
184.Defiance of blockades
185.Politically motivated counterfeiting
187.Seizure of assets
191. Alternative transportation systems
192.Alternative economic institutions
193.Overloading of administrative systems
194.Disclosing identities of secret agents
196.Civil disobedience of “neutral” laws
197.Work-on without collaboration
198.Dual sovereignty and parallel government
1The term used in this context was introduced by Robert Helvey. “Political defiance” is nonviolent struggle (protest, noncooperation, and intervention) applied defiantly and actively for political purposes. The term originated in response to the confusion and distortion created by equating nonviolent struggle with pacifism and moral or religious “nonviolence.” “Defiance” denotes a deliberate challenge to authority by disobedience, allowing no room for submission. “Political defiance” describes the environment in which the action is employed (political) as well as the objective (political power). The term is used principally to describe action by populations to regain from dictatorships control over governmental institutions by relentlessly attacking their sources of power and deliberately using strategic planning and operations to do so. In this paper, political defiance, nonviolent resistance, and nonviolent struggle will be used interchangeably, although the latter two terms generally refer to struggles with a broader range of objectives.
4Patrick Sarsfield O’Hegarty, A History of Ireland Under the Union, 1880–1922 (London: Methuen, 1952), pp. 490–91.
5Krishnalal Shridharani, War Without Violence: A Study of Gandhi’s Method and Its Accomplishments (New York: Harcourt, Brace, 1939, and reprint New York and London: Garland Publishing, 1972), p. 260.
6Aristotle, The Politics, transl. by T. A. Sinclair (Harmondsworth, Middlesex, England, and Baltimore, Maryland: Penguin Books 1976 ), Book V, Chapter 12, pp. 231 and 232.
7This story, originally titled “Rule by Tricks” is from Yu-li-zi by Liu Ji (1311–1375) and has been translated by Sidney Tai, all rights reserved. Yu-li-zi is also the pseudonym of Liu Ji. The translation was originally published in Nonviolent Sanctions: News from the Albert Einstein Institution (Cambridge, Mass.), Vol. IV, No. 3 (Winter 1992–1993), p. 3.
8Karl W. Deutsch, “Cracks in the Monolith,” in Carl J. Friedrich, ed., Totalitarianism (Cambridge, Mass.: Harvard University Press, 1954), pp. 313–14.
9John Austin, Lectures on Jurisprudence or the Philosophy of Positive Law (Fifth edition, revised and edited by Robert Campbell, 2 vol., London: John Murray, 1911 ), Vol. I, p. 296.
10Niccolo Machiavelli, “The Discourses on the First Ten Books of Livy,” in The Discourses of Niccolo Machiavelli (London: Routledge and Kegan Paul, 1950), Vol. I, p. 254.
11See Gene Sharp, The Politics of Nonviolent Action (Boston: Porter Sargent, 1973), p. 75 and passim for other historical examples.
12Robert Helvey, personal communication, 15 August 1993.
13Recommended full-length studies are Gene Sharp, The Politics of Nonviolent Action, (Boston, Massachusetts: Porter Sargent, 1973) and Peter Ackerman and Christopher Kruegler, Strategic Nonviolent Conflict, (Westport, Connecticut: Praeger, 1994). Also see Gene Sharp, Waging Nonviolent Stuggle: Twentieth Century Practice and Twenty-First Century Potential. Boston: Porter Sargent, 2005.
14Aristotle, The Politics, Book V, Chapter 12, p. 233.
15See Gene Sharp, Civilian-Based Defense: A Post-Military Weapons System (Princeton, New Jersey: Princeton University Press, 1990).
16This list, with definitions and historical examples, is taken from Gene Sharp, The Politics of Nonviolent Action, Part Two, The Methods of Nonviolent Action.