Liberal Democracy
Electoral Democracy
& the Quality of Democracy
Regime Types
I.
II.
III.
IV.
Electoral Democracy
Liberal Democracy
The Quality of Democracy
Varieties of Authoritarianism
Competitive Authoritarian Regimes
Other (hegemonic) Electoral Authoritarian
Military and one-party rule
Totalitarian regimes
What is
Electoral Democracy?
A system of government at the level of the
nation-state
A means for the people (with equal political
rights as citizens) to choose their political
leaders and (if they wish) to replace their
leaders in regular, meaningful, free, and fair
elections
Sufficient freedom for elections to be
meaningful, free and, fair
Regular Elections
at constitutionally prescribed intervals
-presidential system (fixed term, 4-6 years)
-parliamentary system (no later than every 4-5
years, typically)
No delays or suspensions outside the law
and the constitution
Meaningful Elections
Elections should be consequential: They should
decide who really exercises effective power in
the country
– No “reserved domains of power”
– No supreme authority that is beyond electoral
accountability (Iran, Morocco)
– No ability of a higher authority (e.g., monarchy,
the military) to set aside unpleasant outcomes
Elections are Free when:
 Low barriers (legally and practically) to enter the
political arena
 Freedom of candidates and parties to campaign
and mobilize support
 Freedom of people to assemble, advocate and
vote, free of fear
 Secret ballot
 Low Political Violence
 Broader climate of freedom: of speech, press,
movement, assembly, & association
Elections are Fair when
A reasonably level playing field exists between ruling
and opposition parties
1. Neutral, competent, & professional electoral
administration
2. Politically impartial police, military, courts
3. Broad access to the public media
4. Fair drawing and apportionment of electoral
districts
5. Incumbents do not grossly abuse their office to
advantage the ruling party
Elections are fair when [cont.]
6. Independent monitoring of the voting and vote
counting
7. Full universal adult suffrage: no significant
group of adults is excluded from the right to
vote
8. Secret ballot
9. Effective methods to ensure accurate vote
count
10. Established, impartial means to resolve election
complaints and disputes
Liberal (High-Quality) Democracy
1. Democracy: “Majority rule”
Popular sovereignty and control over government
Competition, participation, vertical accountability,
responsiveness
2. Liberal government: “Minority rights”
Freedom, Equality, Civic Culture
3. Republican government: “Good Governance”
Rule of law, horizontal accountability, state
effectiveness
Components of
Liberal (or High-Quality) Democracy
1. Liberty: Extensive freedoms of:
–
–
–
–
–
–
–
–
Speech
Press (print and broadcast)
Association
Assembly, and peaceful protest
Movement
Thought and belief
Religion & religious practice
Language, identity, cultural expression
Liberty (Freedom) cont.
and freedoms from:
– Torture
– Warrantless search and seizure
– Corrupt demands and impositions
– Violence and coercion by state and non-state
actors
Liberal Democracy 2: Rule of Law
protects rights of citizens, maintains order, & limits
power of government
– All citizens are equal under the law
– No arbitrary arrest, exile, or imprisonment
– No one is above the law
– Government power is limited; no official may
violate these legal and constitutional limits
– The courts are independent in structure and
in fact
Rule of Law, cont.
– Right to know the charges against you,
presumption of innocence
– Right to a fair, speedy, and public trial by an
impartial court
– No one may be taxed or prosecuted except by
a law established in advance
– No one may be subjected to torture or cruel
and inhumane treatment
Liberal Democracy 3:
Horizontal Accountability
Power is separated and dispersed among
multiple, independent branches and
institutions of government (checks &
balances)
– Executive power is limited, constrained and
scrutinized by an independent legislature,
judiciary, and other institutions
Horizontal Accountability, cont.
– Independent institutions to monitor &
control corruption & abuse of power
• Counter-corruption commission
• Ombudsman (public complaints comm)
• Parliamentary investigative committees
• Supreme audit agency (GAO)
• Prosecutors and courts
• National electoral commission
• Central Bank
Liberal Democracy 4:
Civilian Control of the Military, Police,
and Intelligence
– Armed forces are directed by and
subordinate to civilian elected officials and
their appointees
– Elected, civilian commander in chief
– Top military command appointments are
made or approved by civilians
Civilian Control of the Security Sector, cont.
– Budgets of armed forces, intelligence and
other state security agencies are reviewed,
understood, and approved by civilian executive
and legislative authorities
– Professional civilian capacity in defense
ministry, presidential (or PM) office, and
parliamentary committees to supervise
military and security agencies
Civilian Control of the Security Sector, cont.
– Armed forces and intelligence agencies may
not operate domestically except under
extraordinary & explicit constitutional
circumstances, with close civilian supervision
– Armed forces are non-partisan, non-political
– Police are professional, depoliticized, and
supervised and monitored by democratic,
civilian authorities
Liberal Democracy 5, Competitiveness
– At least two political parties with significant
representation in parliament and a
meaningful chance to win control of national
government
– Low barriers to entry of new political parties
– No gerrymandering of electoral districts
(independent commission)
– Open, fair access to the mass media for all
Competitiveness, cont.
– Limited or no use of government resources to
reelect ruling party
– Virtually no vote buying or other electoral
fraud
– Balanced access to party and campaign finance
• Public funding of parties and campaigns?
• Public guarantees of TV & radio air time?
• Limits on campaign expenditures?
– Over time, electoral alternation
(ruling parties lose)
Liberal Democracy 6, Civic Pluralism
– Numerous NGOs and interest groups represent a
broad range of interests and values in society
– NGOs, think tanks monitor the political process,
expose abuses, and lobby for political reform
–
Alternative sources of information:
public has access to varied mass media,
independent of government control.
– Very limited government ownership and
regulation of the mass media
– Independent public broadcasting
Liberal Democracy 7,
Vertical Accountability
The people hold their agents (public officials)
accountable to them
Type 1: Electoral Accountability
•
•
•
Party system is sufficiently competitive,
Competition is sufficiently fair,
Voters are sufficiently informed and aware of
their interests,
So that elected officeholders can be
periodically held accountable, and removed
for bad performance
Vertical Accountability, cont.
Type 2: Societal Accountability
– Civil society is sufficiently pluralistic, resourceful,
and independent of government,
– Mass media are sufficiently independent and
professional,
– Public is sufficiently vigilant and mobilized,
So that unpopular policies & abuses of power
can be challenged and reversed.
Liberal Democracy 8: Participation
Citizens take an active role in politics & the making
of public policies and decisions
– High rates of voter turnout
– Extensive public awareness of major issues,
government conduct, & party positions on issues
– High membership rates & active participation in
civil society organizations (CSOs)
– Individuals and CSOs petition and lobby
government
Liberal Democracy 9: Equality
– Citizens have relatively equal political resources,
at least in education, organization, and
citizenship rights
– Women have substantial representation (ideally,
one-half) in the cabinet, parliament, and other
representative bodies
– Economic inequalities are not so severe that
they rob large groups of political voice and
power
Equality, cont.
– Ethnic minorities have representation in
parliament, & provincial & local legislatures, in
rough proportion to their shares of the
population
– All citizens are treated equally by government
agencies and institutions (including the
judiciary), regardless of their class, region,
religion, ethnicity, gender, party, or beliefs
Liberal Democracy 10: Responsiveness
Government Responds to Citizen Demands and
Preferences
– Government changes its policies in response to
clear, consistent, and fairly deliberated
expressions of majority preference
– There is substantial correlation over time between
government policies and citizen preferences and
desires
Responsiveness, cont.
– Aggrieved groups of citizens are able to win
redress of wrongs and abuses committed by
government
– Significant manifestations of citizen interest and
protest are able to have access to the public
agenda, and to be heard by legislative and
executive bodies
Liberal Democracy 11, Civic Culture
Competing parties and groups are:
– Tolerant of opposing views & groups
– Law-abiding, & respectful of the
constitution
– Peaceful, and rejecting of violence
– Willing to compromise
– Unwilling to coalesce with undemocratic,
anti-system actors
Civic Culture, cont.
The vast majority of citizens & groups
– Believe in the legitimacy of democracy
– Are loyal to the constitutional system
– Know their rights & obligations as citizens
– Respect the outcome of elections
– Question but respect authority
– Condemn acts of intolerance and violations of
constitutional norms
Liberal Democracy 12,
State Effectiveness
• The state has legitimate authority: It is widely
viewed as having the right to make and
enforce laws, exercise a monopoly of force,
and extract and distribute resources
• The state has administrative capacity: A
professional, meritocratic, honest, and
politically neutral bureaucracy is able to
regulate, tax, maintain order, and produce
public goods
Types of Authoritarian Regimes
Types of Authoritarian Regimes
1. Electoral Authoritarian
a. Competitive Authoritarian
b. Hegemonic Party Systems
2.
3.
4.
5.
6.
One-party authoritarian regimes
Military regimes
Personal dictatorships
Absolute monarchies
Totalitarian regimes
Electoral Authoritarianism
• Contested elections
• “Elected” government
• Some opposition presence in parliament
• Some degree of political pluralism
But one or more factors contradict democracy:
• Elections are not free &/or not fair
• Unelected sources of supreme power
• Effective domination by ruling party
Competitive Authoritarianism
•
•
•
•
Multiparty elections, political pluralism
Significant opposition in parliament
Significant opp vote for president
Opposition may control one or more subnational
governments (Malaysia)
• Elections are not free &/or not fair; tilted playing
field
• Still: some degree of uncertainty; opposition may
achieve victory (Serbia, Ukraine) by exceptional
mobilization
Some contemporary cases of
Competitive Authoritarianism
Existing for some time
– Malaysia, Lebanon, Tanzania, Uganda
Descended from electoral democracy
– Venezuela, Nigeria, Kenya, the Philippines
– Georgia, Nicaragua?, Sri Lanka?
Ascended from more extreme authoritarian
– Pakistan,
Hegemonic Authoritarian
• There is a façade of multiparty elections
• But the ruling party wins crushing victories in
almost all elections
• There is very little opposition representation in
parliament and it has virtually no influence
• There is very little or no pluralism in the media
• The ruling party is not just dominant but a
hegemon that towers over, coopts, or subverts all
opposition
Some Contemporary Cases of
Hegemonic Authoritarian Regimes
• Existing for some time
– Singapore, Algeria, Cambodia
• Descended from Democracy
– Russia
• Formerly one-party states
– Angola, Ethiopia
– Kazakhstan, Belarus, Azerbaijan (USSR)
Other Authoritarian Regimes
• One-party regimes (political opposition is
legally suppressed, and competitive elections
are not held)
– China, Vietnam, Laos, Cuba (Communist Oneparty states but no longer totalitarian)
• Personal dictatorships ( hereditary)
– Gaddafi in Libya, Assad in Syria, Karimov in
Uzbekistan, Nazarbayev in Kazakhstan, Bongo in
Gabon, Eyadema in Togo
– Classic historical case: Mobutu in Zaire
Other Authoritarian Regimes, cont.
• Absolute Monarchies
– Saudi Arabia, Oman, Qatar, UAE, Brunei, Swaziland
• Monarchies with electoral elements
– Morocco, Jordan, Kuwait, Bahrain
• Military rule
– Largely gone as a regime form
– Remains de facto in Burma and Sudan
• Totalitarian (mobilizational) Rule: North Korea
Is the World Becoming More
Democratic?
Larry Diamond
The Global Expansion of Democracy, 1974-2011
Electoral Democracies
Liberal Democracies
75.0%
62.5%
65.0%
58.1%
59.9%
58.8%
55.0%
45.7%
45.0%
37.0%
41.1%
33.5%
35.0%
35.9%
29.1%
33.0%
30.5%
25.0%
26.1%
23.6%
20.9%
15.0%
Year
39.7%
Expansion of Liberal Democracy
About two-thirds of the world’s democracies
(77) are reasonably high-quality or “liberal”:
•electoral competition is institutionalized, fair,
and open,
•civil liberties are better protected,
•there is a rule of law
•there are low levels of political violence and
abuses or impunity by state security services.
Democracy by region, 2012
100
100
100
90
85
83
80
% of total
70
67
Democracy
60
60
52
50
40
40
Liberal
Democracy
42
37
30
20
14
13
10
16
5
0
Eur/Anglo
LAC
EE+FSU
Asia
Pacific Is.
SS Africa
MENA
Democracy by Country Population
100%
97%
90%
83%
80%
70%
% of Countries
64%
58%
60%
55%
52%
50% 50%
48%
50%
45%
42%
40%
36%
36%
33%
30%
29%
27%
20%
20%
10%
3%
0%
> 100 million
> 50 million
Liberal Democracies
> 10 million
> 1 million
Electoral Democracies
> 500,000
Authoritarian
< 500,000
Global Trends in Freedom 1974-2011
World
Developing World
1.0
1.5
2.0
2.5
3.0
3.64
3.5
4.0
4.31
4.47
3.85
3.61
4.24
4.08
4.5
4.35
5.0
5.05
4.84
3.48
3.22
4.76
5.5
6.0
6.5
7.0
Year
3.89
3.30
3.70
Regional Trends in Freedom 1974-2011
CEE
FSU
Asia-Pacific
LAC
MENA
SS Africa
Asia-Pacific
CEE
FSU
SS Africa
LAC
MENA
1.0
1.5
1.97
2.0
2.37
2.62
2.5
2.42
3.0
3.5
4.0
3.70
5.5
3.54
3.86
4.19
4.42
4.5
5.0
3.81
2.41
5.28
5.45
4.44
4.50
5.17
5.32
4.33
5.21
5.21
5.36
5.50
6.0
6.19
6.5
6.50
7.0
Year
The Democratic Recession
• The expansion of democracy peaked in 2006
at 62.7% of all states. Since then it has
declined from 121 to 113 democracies.
• Five consecutive years of declining freedom
scores, losses outpacing gains.
Democratic Recession cont.
• The rate of democratic breakdown since 1999
has been nearly twice the pace of the
preceding 12 years.
• 26 breakdowns or reversals of democracy
since 1999.
• These have come in some large strategic
states:
• Pakistan, Russia, Nigeria, Venezuela, Thailand,
Bangladesh, the Philippines, and Kenya.
Ratio of Gains to Declines in Freedom, 19912011
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
Year
Rate of Democratic Breakdown
1974-2011
35%
31.95%
30%
25%
19.86%
20%
16.00%
15%
11.72%
10%
5%
0%
Time Period
Freedom before Democratic Breakdowns 19992011
Political Rights
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
6.0
6.5
7.0
Civil Liberties
Why Democracy is in Danger
1. Weak Rule of Law
• Corruption, abuse of power
• Abuse of ind rights, impunity
• Violence, criminality, lawlessness
2. Executive abuse of power;
weak constraints on executives by
constitution, parliament, civil society
Why Democracy is in Danger 2
3. Ethnic & religious divisions
4. Weak & Ineffective Political
Institutions (parties, parliaments,
systems of horizontal
accountability)
5. Poor Economic Performance
• Poverty, inequality, injustice BAD
GOVERNANCE