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A Critical and Systematic Analysis of the Democratic Values of Freedom and Equality

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A Critical and Systematic Analysis of the Democratic Values of Freedom and Equality A CRITICAL AND SYSTEMATIC ANALYSIS OF THE DEMOCRATIC VALUES OF FREEDOM AND EQUALITY by SARITA- LOUISE KANT submitted in accordance with the requirements for the degree of DOCTOR OF LITERATURE AND PHILOSOPHY in the subject of POLITICS at the UNIVERSITY OF SOUTH AFRICA PROMOTER: PROF. A.M. FAURE OCTOBER 2009 I declare that: A CRITICAL AND SYSTEMATIC ANALYSIS OF THE DEMOCRATIC VALUES OF FREEDOM AND EQUALITY is my own work and that all the sources that I have used or quoted have been indicated and acknowledged by means of complete references. S-L KANT DATE: i A CRITICAL AND SYSTEMATIC ANALYSIS OF THE DEMOCRATIC VALUES OF FREEDOM AND EQUALITY CONTENTS PAGE NUMBER CHAPTER 1 1 INTRODUCTION 1 1.1 INTRODUCTION 1 1.2 THE PURPOSE OF THE STUDY 2 1.3 SCOPE OF THE STUDY 3 1.4 MOTIVATION FOR THE STUDY 5 1.5 METHODOLOGICAL AND COGNITIVE CONSIDERATIONS INFORMING THE STUDY 7 1.6 STRUCTURE OF THE STUDY 8 1.7 TECHNICAL ASPECTS 10 CHAPTER 2 11 DEMOCRACY 11 2.1 INTRODUCTION 11 2.2 SOURCES OF CONFUSION 12 2.3 THE MEANINGS OF DEMOCRACY 18 2.3.1 Democracy as the rule of or by the people 19 2.3.2 Democracy as a form of government 27 2.3.3 Democracy and the majority principle 28 2.4 DEMOCRACY AS AN IDEAL: THEORY AND PRACTICE 33 2.5 CLASSIFICATIONS OF DEMOCRATIC THEORY 36 ii CONTENTS PAGE NUMBER 2.6 THE DEMOCRATIC VALUES OF FREEDOM AND EQUALITY 39 2.6.1 Freedom 40 2.6.2 Equality 42 2.6.3 Democracy, freedom and equality 45 2.7 CONCLUSION 48 CHAPTER 3 50 FREEDOM 50 3.1 INTRODUCTION 50 3.2 THE COMPLEXITY OF FREEDOM AND SOURCES OF CONFUSION 52 3.3 THE PHILOSOPHICAL MEANINGS OF FREEDOM 56 3.3.1 Freedom of the will 57 3.3.2 Freedom as a faculty or power 58 3.3.3 Freedom as government by reason 58 3.3.4 Enforceable rational freedom 58 3.3.5 Freedom as autonomy 60 3.3.6 Freedom as self-determination 64 3.3.7 Freedom as ‘the recognition of necessity’ 65 3.4 THE EMPIRICAL MEANING OF FREEDOM 67 3.5 THE LEGAL MEANINGS OF FREEDOM 72 3.6 THE LOGICAL MEANING OF FREEDOM 74 3.7 THE MEANING OF FREEDOM AS AN IDEAL 75 3.8 THE DESCRIPTIVE AND EMOTIVE MEANINGS OF FREEDOM 76 3.9 THE RELATIONS BETWEEN FREEDOM, LIBERALISM, SOCIALISM AND DEMOCRACY 77 3.9.1 The relation between freedom and democracy 87 3.9.1.1 Freedom is essential to democracy 89 3.9.1.2 The connection between individual freedom and democracy 90 3.9.1.3 The connection between the people and the government 91 3.10 CONCLUSION 98 iii CONTENTS PAGE NUMBER CHAPTER 4 103 EQUALITY 103 4.1 INTRODUCTION 103 4.2 THE COMPLEXITY OF EQUALITY AND SOURCES OF CONFUSION 104 4.3 KINDS OF EQUALITY 109 4.3.1 Formal equality 109 4.3.2 Natural equality 113 4.3.3 Moral equality 115 4.3.4 Spiritual equality 116 4.3.5 Equality of opportunity 118 4.3.6 Equality of outcomes or results 122 4.3.7 Political equality 124 4.3.8 Marxist equality 126 4.3.9 Mathematical equality 128 4.3.10 Economic equality 128 4.3.11 Equality as an ideal 131 4.4 THE ASSUMPTIONS OF EQUALITY 134 4.5 THE RELATIONS BETWEEN EQUALITY, LIBERALISM, SOCIALISM AND DEMOCRACY 136 4.5.1 The relation between equality and democracy 143 4.5.1.1 Equality is essential to democracy 145 4.5.1.2 The connection between political equality (universal suffrage) and democracy 147 4.5.1.3 The connection between political equality (the majority rule) and democracy 150 4.5.1.4 The connection between political equality and nonliberal democracies 154 4.5.2 The achievement of political equality (as an ideal) 159 4.6 CONCLUSION 160 CHAPTER 5 164 THE TENSION BETWEEN FREEDOM AND EQUALITY, AND EQUALITY AND FREEDOM 164 5.1 INTRODUCTION 164 iv CONTENTS PAGE NUMBER 5.2 FREEDOM ENDANGERS EQUALITY 166 5.2.1 The limited powers of government 166 5.2.2 The Marxist and non-Marxist critiques of liberal democracy 170 5.2.2.1 The participatory critique of liberal democracy 171 5.2.2.2 The Marxist critique of liberal democracy 174 5.3 EQUALITY ENDANGERS FREEDOM 179 5.3.1 The tyranny of the majority 180 5.3.1.1 The tyranny of the majority in the legislature 181 5.3.1.2 The tyranny of public opinion 192 5.3.2 The power of popular government 195 5.3.3 The problem of ungovernability 199 5.4 CONCLUSION 201 CHAPTER 6 206 THE AFFINITY BETWEEN FREEDOM AND EQUALITY, AND EQUALITY AND FREEDOM 206 6.1 INTRODUCTION 206 6.2 FREEDOM FURTHERS EQUALITY 207 6.2.1 Reconciling freedom and equality 207 6.2.2 Equating freedom and equality 215 6.3 EQUALITY FURTHERS FREEDOM 221 6.3.1 Kinds of equality promote freedom as autonomy 221 6.3.2 Equal freedom 225 6.4 CONCLUSION 231 CHAPTER 7 234 CONCLUSION 234 7.1 INTRODUCTION 234 7.2 DEMOCRACY, FREEDOM AND EQUALITY 235 7.2.1 The problem of freedom and equality and equality and freedom: confusion of categories and category mistakes 238 7.2.2 Terminological issues 242 7.2.3 The real and the ideal, and the gap between theory and practice 247 7.2.4 Considerations of human nature 249 7.3 CONCLUSION 252 BIBLIOGRAPHY 256 v SUMMARY This study critically and systematically analyses the purported democratic values of freedom and equality with a view to clarifying the meaning of the concepts of democracy, freedom and equality; and examining the nature of the relations between kinds of freedom and kinds of equality, their association with democracy, and assessing their reconcilability within the two broad schools of democratic theory, namely, Anglo American democratic theory and Continental democratic theory. Put slightly differently, the issue is whether freedom and equality are mutually compatible or incompatible within democratic contexts. The analysis necessitates exploring the possible reason or reasons for the reconcilability or incompatibility of freedom and equality. Hence, the arguments in democratic literature relevant to the meanings of freedom and equality, and the relations between them will be examined. The first set of arguments concern the question of whether kinds of freedom endanger kinds of equality, and conversely, whether kinds of equality erode or hamper kinds of freedom. The relation existing between freedom and equality, and equality and freedom, in both instances purport to demonstrate the tension existing between them in theory as well as in practice. The second set of arguments concern the question of whether kinds of freedom promote kinds of equality, and conversely, whether kinds of equality further kinds of freedom. The relation in both instances is deemed to demonstrate the affinity between freedom and equality, and equality and freedom. An attempt will thus be made to address the issue of the seemingly confusing array of meanings of democracy, freedom and equality, and the potentially problematic relations between them, and particularly those between freedom and equality as represented by the two sets of arguments within appropriate democratic contexts. The study will endeavour to examine the analytic and synthetic interplay of meanings and relations, their nature and compatibility or incompatibility, and the possible reasons for this state of affairs, in an attempt to identify and address the perceived misapprehensions concerning their meanings and relations in democratic literature. vi KEY TERMS Democracy; freedom; autonomy; self-government; equality; political equality; majority rule; tension and affinity. 1 CHAPTER 1 INTRODUCTION 1.1 INTRODUCTION This chapter introduces the intellectual purpose of the study, the scope of the study bearing in mind that all projects have limitations, the motivation, approach and structure of the study. The topic concerns a critical and systematic analysis of the presumed democratic values of freedom and equality. Freedom and equality are often regarded as values or ideals of democracy in the literature. Democracy, freedom and equality are not only contested concepts, but their relations and interactions in theory and in practice seem to be highly contentious, as well as those between freedom and equality. As their meanings and relations appear to be analytically and synthetically problematic and confusing in the literature, an attempt will be made to shed some light on this important issue, which is fundamental to democratic theory and practice. The focus then will be more on the analytic and synthetic empirical nature of the relations between freedom and equality, and the nature of the cognitive differences between the categories of freedom and equality. This study does not explicitly examine the relation between freedom and equality as axiological or synthetic normative categories. Nevertheless, the impression is that there seems to be a strong mutually supporting association between freedom and equality as values or axiological categories. 2 1.2 THE PURPOSE OF THE STUDY This study then proposes an analysis of the values of freedom and equality associated with democratic theory, with a view to: 1.2.1 clarifying the meaning of the concepts of democracy, freedom and equality, which includes determining whether the respective categories of freedom and equality are cognitively analytic or synthetic empirical in nature, as this aspect has implications for democratic theory and practice; and 1.2.2 examining the nature of the relations between kinds of freedom and kinds of equality, their association with democracy, and determining whether or not they can be reconciled and/or balanced within the context of the two broad schools of democratic theory, namely, Anglo American democratic theory and Continental democratic theory.
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