Liberal DemocracyElectoral Democracy

& the Quality of Democracy

Regime Types

I. Electoral DemocracyII. Liberal DemocracyIII. The Quality of DemocracyIV. Varieties of Authoritarianism

Competitive Authoritarian RegimesOther (hegemonic) Electoral AuthoritarianMilitary and one-party ruleTotalitarian 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 ViolenceBroader climate of freedom: of speech, press,

movement, assembly, & association

Elections are Fair whenA reasonably level playing field exists between ruling

and opposition parties1. Neutral, competent, & professional electoral

administration2. Politically impartial police, military, courts3. Broad access to the public media4. Fair drawing and apportionment of electoral

districts5. 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 ballot9. Effective methods to ensure accurate vote

count10. Established, impartial means to resolve election

complaints and disputes

Liberal (High-Quality) Democracy

1. Democracy: “Majority rule”Popular sovereignty and control over governmentCompetition, 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 Lawprotects 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

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

Liberal Democracy 3: Horizontal Accountability

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: ParticipationCitizens 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: ResponsivenessGovernment 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 CultureCompeting 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 Authoritariana. Competitive Authoritarianb. Hegemonic Party Systems

2. One-party authoritarian regimes3. Military regimes4. Personal dictatorships5. Absolute monarchies6. 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 ofCompetitive 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 One-party

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

Expansion of Liberal DemocracyAbout 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

Global Trends in Freedom 1974-2011

Regional Trends in Freedom 1974-2011

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, 1991-2011

Rate of Democratic Breakdown1974-2011

Freedom before Democratic Breakdowns 1999-2011

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