Challenges faced by countries (2)
Nondemocratic governments
Whether
and how they can make the transition to
democracy
New democratic governments
Whether
and how the new democratic practices and institutions can be strengthened or consolidated so that they will withstand
the tests of time.
Long and relatively well-established
democratic governments
To
perfect and deepen their democracy
Understanding democracy
“Democracy” has meant different things to
different people at different times and places. (3, 17)
Had remained mostly in the
philosopher’s realm until approximately 10 generations ago. (3)
Universal suffrage did not exist until the 20th
century
Early democracies lacked three basic
political institutions thought to be required for modern democracy: a national parliament composed of elected representatives, and popularly chosen local governments that
were ultimately subordinate to the national government. (17)
Spread by two means (9)
Diffusion
Reinvention in different times and places
What
conditions provided for the invention of democracy? (10)
Group
identity
Little
interference from outsiders
Assumption/Logic
of equality: A substantial number of the members of the society/group see
themselves as about equal in being well qualified to have a say in governing
the group
Conditions
that undermine democracy (10)
Human
beings began to settle down for long stretches of time in fixed communities,
primarily for agriculture and trade, the kinds of circumstances favorable to
participation in government – group identity, little outside interference, an
assumption of equality – seem to have become rare. à Monarchies, despotisms, aristocracies, or
oligarchies, all based on some form of ranking or hierarchy (10-11)
Historical democracies (500 BC)
Greece (11-12)
Several
hundred independent city-states
In
507 BC the Athenians adopted a system of popular government that lasted nearly
two centuries, until the city was subjugated by Macedonia,
then by Rome.
Greek
word: demos, the people, and kratos, to rule
“Democracy”
often used in disdain to refer to commoners taking power away from the
aristocracy
Government
centered around an assembly
in which all citizens were entitled to participate and which elected a few key
officials.
Citizens
were selected for public duties by a lottery
Limitation:
Popular local governments, but no effective national government (17)
Rome (13-14)
Republic:
res,
meaning thing or affair in Latin, and publicus, public
Governance
was at first restricted to the patricians or aristocrats, but later extended to
commoners (plebs, or plebians); men only.
Conferred citizenship on conquered, but failed to
account for the fact that it would be difficult for them to actually
participate in Rome
(because of location).
Undermined
by civil unrest, war, militarization, corruption, and a decline in the sturdy
civic spirit around 130 BCE à Julius Caesar dictatorship à Empire (44 BCE)
Limitation:
Just one local government based on popular participation but not national
parliament of elected representatives (17)
Italy (15-16)
Participation
first restricted to members of upper-class families; later the middle class (popolo) gained
the right to participate by threatening violent uprisings.
Period
of prosperity and the Renaissance
Several
large cities began to fall into economic decline, corruption, oligarchy, war,
conquest, and seizure of power by authoritarian rulers (princes, monarchs, and
soldiers) in the 1300s, and the city-state became obsolete.
Limitation:
Popular local governments, but no effective national government (17)
Northern Europe
The
basic political structures of modern democracy first formed in Britain, Scandinavia, the Lowlands, Switzerland, and elsewhere north of the Mediterranean.
Viking
local assemblies (Norway, Denmark, Iceland,
and the Netherlands)
Viking freemen regularly met in
boat-shaped circles marked off by large vertical stones to hold adjudicative
meetings called in Norse a Ting. (18)
Settled disputes; discussed,
accepted, and rejected laws; adopted or turned down proposed change of
religion; and gave their approval to a king (18)
Emphasis on equality of free men,
with some variation in wealth and status; particularly in the high mountain
valleys of the Alps (19)
King’s power was limited
Viking
parliaments
In 930 AD, Icelandic Vikings
created a sort of supra-Ting, the Althing, or National Assembly (20)
Norway, Denmark,
and Sweden
developed regional assemblies, then national à Increased power of king and centralized bureaucracies (20)
In the 1400s, the king of Sweden began to
call meetings with representatives from different sectors of Swedish society, which
eventually evolved into the Swedish riksdag, or parliament. (20)
In the Netherlands, the king began to hold
meetings of representatives drawn from the towns and most important classes so
as to gain approval for his authority to tax the increasing middle class.
(20-21)
Parliament of Medieval England
Grew out of assemblies summoned sporadically, and
under pressure of need, during the reign of Edward I from 1272 to 1307. (21)
Constitutional
system of checks and balances evolved by the 1700s; the power of the hereditary
aristocracy in the House of Lords was offset by the power of the people in the
House of Commons (21)
Historical
experiences of democracy had demonstrated that governments subject to the will
of the people were more than illusory hopes, leaning greater plausibility to
their advocacy. (22)
What
lacked in historical democracies:
Differences in the rights, duties, influence,
and power of slaves and free men, rich and poor, landed and landless, master
and servant, men and women, day laborers and apprentices, skilled craftworkers and owners, burghers and bankers, feudal lords
and tenants, nobles and commoners, monarchs and their subject, the king’s
officials and those they ordered about. Even free men were highly unequal in status,
wealth, work, obligations, knowledge, freedom, influence, and power. (23)
Parliaments were still typically subsidiary
to monarchs, and often served as bastions of privilege. (23)
The representatives of “the people” did not
really represent the whole people. (23)
Democratic ideas were not widely shared or
even well understood. (24)
Freedom
of speech and of the press
Political
opposition was unacceptable
Corrupted
elections
People were unwilling to fight to defend the
idea of democracy. (25)
“Democracy”
refers to both an ideal and an actuality (26)
Empirical
and value judgments must balance gains to value, person, or group against costs
to another value, person, or group. (28)
How
democratic ideals or goals are connected to democratic actualities. (28-29)
Ideals:
What is democracy? (See chapter
4)
Why democracy? (See chapters 5-7)
What standards should we use to
determine whether, and to what extent, a government is democratic? à 5
criteria to be explored in chapters 4, 6, and 7
What reasons can we give for
believing that democracy is the best political system? (See chapters 5-7)
What values are best served by
democracy? (See chapters 5-7)
In order to meet the ideal
standards as best we can, given the limits and possibilities in the real world,
what political institutions are necessary? (See chapter 4)
Where a gap exists between actual
and ideal democracy, can we find ways to make “democratic” countries more
democratic?
What can we say about nondemocratic
countries?
What conditions in a country (or any other
political unit) favor the development and stability of democratic institutions?
What conditions are likely to prevent or
impede their development and stability?
Chapter 4: What is democracy?
Questions to
consider:
What standards should we use to determine
whether, and to what extend, a government is democratic?
In order to meet the ideal standards as best
we can, given the limits and possibilities in the real world, what political
institutions are necessary?
The Constitution
of the United States
(36)
Powerful chief executive in the presidency
Powerful legislature in the Congress
Each branch rather independent of the other
Most European
countries (36)
Parliamentary system in which the chief executive,
a prime minister, is chosen by the parliament
Regardless of
specifics, all constitutions provide a set of rules and principles that
determine how the country’s decisions are to be made. (37)
Criteria for a
democratic process (which, if
violated, will result in political inequality)
Effective
participation: All members must have equal and effective opportunities for
making their views known. (37)
Voting equality:
Every member must have an equal and effective opportunity to vote, and all
votes must be counted as equal. (37)
Enlightened
understanding: Each member must have equal and effective opportunities for
learning about the relevant alternative policies and their likely consequences.
(37)
Control of the
agenda: The democratic process required by the three preceding criteria is
never closed; policies can always be changed. (38)
Inclusion of all
adults: All, or at any rate most, adult permanent residents should have the
full rights of citizens that are implied by the first four criteria. (38)
Relevancy of these
criteria if they can never be fully applied
These criteria are
as useful as ideal standards can ever be, and they are more relevant and useful
than many. (42)
They provide
standards against which to measure the performance of actual associations that
claim to be democratic. (42)
They serve as
guides for shaping and reshaping concrete arrangements, constitutions,
practices, and political institutions. (42)
These criteria
serve only as the building blocks, not the entire design or content of a
democratic system. (43)
Chapter 5: Why
democracy? (44)
Desirable
consequences of democracy (45)
Avoiding tyranny
(46-48)
Autocrats throughout history (46)
Throughout all recorded history, leaders driven by
megalomania, paranoia, self-interest, ideology, nationalism, religious
belief, convictions of innate superiority, or sheer emotion and impulse have
exploited the state’s exceptional capacities for coercion and violence to serve
their own ends.
Examples: Stalin (1929-1953), Hitler (1933-1945), Pol Pot (1975-1979)
Need for a universal code of human rights that is
effectively enforced throughout the world may be the only true prevention. (47)
Tyranny of the majority (48)
No government can design all its laws so
that none ever injures the interests of any citizen.
In the long run, the democratic process is less
likely to do harm to the fundamental rights and interests of its citizens than
any nondemocratic alternative.
Essential rights
(48-50)
Certain rights are necessary to satisfy the
criteria for democracy listed in chapter 4 (e.g., Effective participation
requires freedom of speech, freedom of the press, freedom of assembly, and the
right to vote)
Institutions that provide for and protect basic
democratic rights and opportunities are necessary to democracy. (49)
Culture that cultivates
belief in individual rights.
General freedom
(50-52)
By cultivating a culture that supports individual
rights, “the freedom we enjoy in our government extends also to our ordinary
life.” (Pericles, 51)
Claim of freedom in democracy is challenged by
anarchists, but complete freedom without a state to guide it is impossible.
Self determination
(53-54)
Only a democratic government can provide a maximum
opportunity for persons to exercise the freedom of self-determination – that
is, to live under laws of their own choosing. (53)
If you cannot simply impose your wishes by force
(on other people or groups), then you must find a way to resolve your
differences peacefully, perhaps by agreement. (53)
Criteria for the process of deciding rules and laws
(54)
The process would insure that before a law is
enacted you and all other citizens will have the opportunity to make your views
known.
You will be guaranteed opportunities for
discussion, deliberation, negotiation, and compromise that in the best
circumstances might lead to a law that everyone will find satisfactory.
In the more likely event that unanimity cannot be
achieved, the proposed law that has the greatest number of supporters will be
enacted.
Moral autonomy
(55)
Only a democratic government can provide a maximum
opportunity for exercising moral responsibility.
To the extent that your opportunity to live under
the laws of your own choosing is limited, the scope of your moral
responsibility is also limited.
Human development
(55-56)
Democracy fosters human development more fully than
any feasible alternative. (Note:
Assertion is highly plausible, but unproved)
Among the most desirable qualities to foster:
honesty, fairness, courage, and love.
Furthermore, self-determination and responsibility should be fostered,
as should the ability to engage in free and open discussions.
All other regimes reduce, often drastically, the
scope within which adults can act to protect their own interests, consider the
interests of others, take responsibility for important decisions, and engage
freely with others in search for the best decision.
Protecting
essential personal interests (52-53)
Democracy helps people to protect their own
fundamental interests.
Democracy protects the freedom of choice and the
opportunity to shape your life in accordance with your own goals, preferences,
tastes, values, commitments, and beliefs.
Consider John Stuart Mill.
Political equality
(56-57)
Political equality is desirable because of
intrinsic equality and for the sake of civic competence, as shown in chapters 6
& 7.
Peace-seeking
(57-58)
Modern representative democracies do not fight wars
with one another. Of the 34
international wars between 1945 and 1989 none occurred among democratic
countries. (57)
International trade among modern democracies
predisposes them to friendliness rather than war. (58)
Democratic citizens and leaders learn the arts of
compromise. (58)
The practice and history of peaceful negotiations,
treaties, alliances, and common defense against nondemocratic
enemies reinforce the predisposition to seek peace rather than fight wars. (58)
Prosperity (58-59)
Countries with democratic governments tend to b e
more prosperous than countries with nondemocratic
governments. (58)
Historically, philosophers associated wealth with
aristocracies, oligarchies, and monarchies, but not democracies.
Probable causes
Tendency towards a market economy
Democratic countries foster the education of their
people
The rule of law:
Courts are more independent
Property rights more secure
Contractual agreements enforced more effectively
Arbitrary intervention in economic life by govt
and politicians is less likely
Barriers to communication are much lower
Justifications
used for nondemocratic governments
Most people are
not competent to participate in governing a state
Most people would
be better off if they would only leave the complicated business of governing to
those wiser than they
Chapter 6: Why
Political Equality I? à Intrinsic Equality (62)
Is equality
self-evident? (62)
The argument that
equality is self-evident is often criticized as false and hypocritical.
In many important
respects human capacities, advantages, and opportunities are not distributed
equally at birth, much less after nurture, circumstance, and luck have
compounded initial differences. (64)
Intrinsic
equality: A moral judgment (64)
Why we should
adopt the principle (66)
The weakness of an
alternative principle (66)
Prudence (67)
Acceptability (67)
Chapter 7: Why
Political Equality II? à Civic Competence (69)
The counterclaim
of guardianship: Arguments against the omnipotence of the State (69)
Common argument
used to justify guardianship:
The government should be turned over to experts
deeply committed to rule for the general good and superior to others in their
knowledge of the means to achieve it – Guardians, Plato called them. (69)
Ordinary people are not competent to govern
themselves. (69)
Do not claim that the interests of the persons
chosen as guardians are intrinsically superior to the interests of others;
rather, that they are superior in their knowledge of the general good
and the best means to achieve it. (70)
Problems with this
argument
It is one thing for government officials to seek
the aid of experts; but it is quite another for a political elite to possess
the power to decide on the laws and policies others will be compelled to obey.
(71)
Personal decisions made by individuals are not
equivalent to decisions made and enforced by the government of a state. (71)
To govern a state well requires much more than
strictly scientific knowledge. (71-72)
Policy decisions often involve an ethical
judgment because good ends often conflict with one another and resources
are limited, so decisions often involve trade-offs. While empirical evidence is important and
necessary, it is never sufficient. (72)
Even if the end can be agreed on, there is almost
always considerable uncertainty and conflict over the means: how the end may
best be achieved, the desirability, the feasibility, acceptability, and likely
consequences of alternative means. (72)
To govern a state
well takes more than knowledge. (73)
To design a utopia
is one thing; to bring it about is quite another. (74)
The competence of
citizens to govern: Why we shouldn’t accept the idea of Guardianship (74)
Given the advantages
of democracy found in the last few chapters, why should they be restricted to
some persons and not others? Why
shouldn’t they be available to all adults?
Except on a very strong
showing to the contrary in rare circumstances, protected by law, every
adult subject to the laws of the state should be considered sufficiently well
qualified to participate in the democratic process of governing that state.
(76)
The Fifth Criteria
for the Democratic Process: Inclusion (76)
Full Inclusion:
The citizen body in a democratically governed state must include all persons
subject to the laws of that state except transients and persons proved to be
incapable of caring for themselves. (78)
Unsettled
problems: The need for experts and educated participants (78)
If all people are
to be included in the governing process, the institutions for civic education must be sufficiently
strong enough to inform them for the process.
If they are not strong enough, they must be strengthened. (80)
Part IV: Conditions Favorable &
Unfavorable
Chapter 12: What underlying
conditions favor democracy?
What
led to the establishment of democracy in so many countries?
Failure of the alternatives (145)
Decline in legitimacy and
ideological strength
Nontraditional antidemocratic
alternatives flourished only briefly.
Weight of economic, diplomatic,
and military failures (e.g., Argentina)
It is not simply because
the world has been made ready for democracy, as Woodrow Wilson proclaimed
(146-147)
China has not ever, nor is it,
democratic
Nondemocratic regimes in Africa, Southeast
Asia, the Middle East, and some remnants of the USSR persist.
Many countries have gone through
the democratic transition, consolidation, and then breakdown.
Essential conditions for
democracy
No strong foreign control hostile
to democracy (147-148)
Examples: Czechoslovakia,
Poland, and Hungary (Soviet intervention after WWII); Guatemala (US
in 1954)
Control of military and policy by
elected officials (148-149)
Means of physical coercion
Requires deeply-engrained deference of members to
control by elected officials
Example: Costa Rica abolished its military
in 1950
Democratic beliefs and political
culture
Favorable conditions for
democracy
A modern market economy and
society
Weak subcultural
pluralism (149-156)
Cultural conflicts based on language, religion,
race, ethnic identity, region, and ideology must be weak or absent.
Adherents to a particular culture often view their
political demands as matters of principle, deep religious or quasi-religious
conviction, cultural preservation, or group survival.
More negotiable differences (economics, for example)
should dominate political life.
Solutions for overcoming cultural pluralism
Assimilation
Shortcomings:
Requires an eagerness to assimilate; Assimilation
must be voluntary or enforced by social mechanisms (such as shame) so as to
minimize the need for coercion by the state.
What caused democracy to fail in other
countries?
More
than 70 democracies fell under authoritarian regimes in the 20th
century
