Liberalism and : Can't Have One without the Other Author(s): Marc F. Plattner Reviewed work(s): Source: Foreign Affairs, Vol. 77, No. 2 (Mar. - Apr., 1998), pp. 171-180 Published by: Council on Foreign Relations Stable URL: http://www.jstor.org/stable/20048858 . Accessed: 19/10/2012 08:58

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and Democracy

Can't Have One Without the Other

Marc F. Plattner

Less than a as an quarter-century ago, demo changed dramatically, astonishing to a cracy appeared be confined, with few number of autocratic regimes around the to North America andWestern world from were exceptions, fell power. They generally These nations had in at to Europe. advanced succeeded by regimes that least aspired dustrial sizable middle be rise to economies, democratic, giving the phenome and rates?factors non P. classes, high literacy that Samuel Huntington termed as that many political scientists regarded the "third wave" of democratization. for over a prerequisites successful democracy. Today, well hundred countries, in were home not to free and continent in the can They only every world, plausibly to competitive multiparty elections but also claim have freely elected governments. to the and the of Outside of few of protection Africa, these aspiring individual . In were new short, they have suffered outright what had come to be called reversions to authoritarianism. But many, "liberal democracies." even among those that hold unambigu rest In the of the world, by contrast, ously free and fair elections, fall short of most countries were neither liberal nor providing the protection of individual were a democratic. They ruled by variety liberties and adherence to the rule of law of in dictatorships?military, single-party, commonly found the long-established revolutionary, Marxist-Leninist?that democracies. As Larry Diamond has put new are rejected free, multiparty elections (in prac it, many of the regimes "electoral if not in not tice, always principle). By the democracies" but "liberal democracies." this situation early 1990s, however, had Citing Diamond's distinction, Huntington

Marc F. Plattner is Co-Editor o? tht Journal of Democracy, and Co Director of the International Forum for Democratic Studies.

[171] Marc F. Plattner

the has argued that the introduction of elec mechanism by which people exercise tions in non-Western societies may often their rule. Today it is further presumed to lead victory by antiliberal forces. And that democracy implies virtually universal has contended that the adult suffrage and eligibility to run for of around the world office. are as promotion elections Elections, then, regarded the or has been responsible for "the rise of illiberal embodying popular majoritarian of "?that is, of freely elected gov aspect contemporary democracy. ernments to that fail safeguard basic liber The word "liberal" in the phrase liberal not to matter ties. "Constitutional liberalism," Zakaria democracy refers the of to the matter of how that argues, "is theoretically different and his who rules but rule is exercised. Above it that torically distinct from democracy_ all, implies two is limited in its Today the strands of liberal demo government powers and cracy, interwoven in theWestern political itsmodes of acting. It is limited first by are rest a fabric, coming apart in the of the the rule of law, and especially by funda mental or world. Democracy is flourishing; consti law constitution, but ultimately tutional liberalism is not." Drawing upon it is limited by the of the individual. or this distinction, Zakaria recommends that The idea of natural inalienable rights, not increase which are most called Western policymakers only today commonly their efforts to foster constitutional liberal "human rights," originated with liberalism. ism but diminish their support for elec The primacy of individual rights means autocra tions, and suggests that "liberal that the protection of the private sphere, are to illiberal democracies. with the and of cies" preferable along plurality diversity ends that people seek in their pursuit of DECONSTRUCTING DEMOCRACY a a happiness, is key element of liberal The basic distinction made by all these political order. and liberalism authors is both valid and important. Lib The fact that democracy most are eral democracy?which iswhat not inseparably linked is proven by the mean of historical existence both of nonliberal people today when they speak an and of liberal nondemocracies. democracy?is indeed interweaving democracies of two different elements, one democratic The democracies of the ancient world, a sense were in stricter and the other liberal. As although their citizens incomparably the more involved in themselves its etymological derivation suggests, governing most we are not basic meaning of the word "democ than today, did provide of or of racy" is the rule of the people. As the speech religion, protection pri or rule of the many, it is distinguished from vate property, constitutional govern of one aristo ment. On the other the monarchy (the rule person), side, birthplace cracy (the rule of the best), and oligarchy of liberalism, modern England, retained (the rule of the few). In the modern a highly restricted franchise well into the world, where the sheer size of states has nineteenth century. As Zakaria points direct offers the classic rendered impossible the democracy out, England example once some ancient of democratization a extension practiced by republics, by gradual of well after the essential institu the election of legislative representatives suffrage is the chief tions of constitutional liberalism were and other public officials

FOREIGN AFFAIRS [172] Volume77No.2 Liberalism and Democracy in In our own Zakaria the of the this will already place. time, authority government; offers under British colonial shall be expressed in periodic and genuine as an a of lib rule example of flourishing elections which shall be by universal and secret eralism in the absence of democracy. equal suffrage and shall be held by vote or by equivalent free voting proce ALL MEN ARE CREATED EQUAL as a dures." One may regard this formal the or even definitional link between Although "unpacking" component merely it elements of modern liberal democracy is liberalism and electoral democracy, but a to a more crucial first step toward comprehending points profound kinship. For at source its character, overstating the disjunction the political doctrine the can a between liberalism and democracy of liberalism also contains deeply egali to new tarian and dimension. This easily lead misunderstanding. majoritarian While many new electoral democracies is the doctrine that all legitimate political fall short of liberalism, on the whole, power is derived from the consent of are over are nature not countries that hold free elections individuals, who by only more whelmingly liberal than those that free but equal. In the opening pages of his Second Treatise do not, and countries that protect civil lib of Government^ John are more to states men are in "a erties overwhelmingly likely Locke that naturally not. state "a state hold free elections than those that do of perfect freedom," which is not an It is the also of wherein all the This is simply accident. equality, power no one result of powerful intrinsic links between and jurisdiction is reciprocal, a more electoral democracy and liberal order. having than another: there being are more Some of these links immediately ap nothing evident, than that Creatures same parent. Starting from the democratic side, of the species and rank promiscu seem to to same elections would require the guaran ously born all the advantages of tee of certain civil liberties?the Nature, and the use of the same faculties, one of speech, association, and assembly?if should be equal amongst another are to or they be genuinely free and fair. Thus without Subordination Subjection." even is no man a minimalist definitions of democracy The essential point that has offered by political scientists usually include natural claim to rule over another, and its a must clear is that the rule of man over stipulation that such liberties be corollary to extent man can on maintained at least the necessary be justified only the basis of to a or make possible open electoral competi mutual agreement "compact." tion. Ifwe begin insteadwith the human Now it is true that neither Locke nor rightsmandated by the liberal tradition, his immediate successors concluded from are to this was these generally held today include that democracy the only legitimate some to kind of right electoral participa form of government. For while they held tion. Thus Article 21 of the U.N. Univer that the consent of all is essential to the states: a sal Declaration of Human Rights original compact that forms political to "Everyone has the right take part in the community, they also contended that the or to government of his country, direcdy political community is free decide ... to through freely chosen representatives where it chooses bestow legislative a an The will of the people shall be the basis of power?whether it is in democracy,

FOREIGN AFFAIRS March/April i998 i^-73] Marc F. Plattner

a or a as itwas in not in oligarchy, monarchy, mix, any share the latter, and the total the and Commons exclusion among King, Lords, of the representatives of the people not from the administration in England. Liberalism did originally of'theformer' on as a in In insist democracy form of govern (italics original). short, modern lib it eral outset was ment, but unequivocally insisted upon democracy from the in to the ultimate sovereignty of the people. clined minimize the direct political In Thus Locke argues that if the legislature is role of the people. this sense, Zakaria or to on dissolved violates its trust, the power is solid ground in stressing the anti a new one reverts to institute the majority majoritarian aspects of liberalism. In of the of of the people. part, course, substitution to In order grasp the distinctive char representative government for direct acter neces was of liberal , it is democracy justified by the larger to size it im sary appreciate how different modern of modern states, which made to liberal democracy is from the premodern practical for the whole people assemble. (and truly illiberal) democracy of the an But this very fact had led thinkers like on to cient city. Reliance elected representa and Rousseau conclude or tion in the legislature, the key political that democratic republican govern ment was a institution of modern liberal democracy, possible only in small state, was as a to assert moment understood by its proponents de and Rousseau that "the ancient that a itself cisive departure from democracy. people gives representatives, no The authors of The Federalist frequently it is longer free." There was, however, contrast two to very different kinds of "pop another ground used justify represen write in favor of tative InMadison's ular government." They government. words, a in which the it "would refine and the "republic" ("a government enlarge public takes scheme of representation place"), views by passing them through themedium not to of a of wisdom which they argue need be subject chosen body citizens, whose the infirmities of "a pure democracy" ("a may best discern the true interest of their a society consisting of small number of country and whose patriotism and love of citizens who assemble and administer the justice will be least likely to sacrifice it to In or In government in person," Federalist 10). temporary partial considerations." or are pure direct democracies, they contend, other words, elected representatives to to be to the "there is nothing check the inducements expected superior average or an to sacrifice the weaker party obnox citizen. In the ancient democracies, by most were chosen ious individual," and therefore they "have contrast, public officials ever with lot. In The Aristode character been found incompatible per by Politics, or izes lot as the democratic mode of choos sonal security the rights of property." as Later, in Federalist 63, acknowledging ing officials, and election the oligarchic was mode. reiterates this that the principle of representation Montesquieu judg is a not unknown to the ancients, Madison ment, adding, "The suffrage by lot no states: "The true distinction between method of electing that offends one, citizen the [ancient democracies] and the American but animates each with pleasing his Where governments lies in the total exclusion of hope of serving country." the in collective from elections are used those chosen people their capacity-, instead,

FOREIGN AFFAIRS [174] Volume77No.2 Liberalism and Democracy tend to be better and as richer, educated, monarchical political system. But the more talented than most of their fellow that all men are principle created equal or as citizens. In this light, representative gained currency, and the educational electoral democracy, besides largely elim and economic situation of the common the from direct continued to was inating people participa people improve, it only tion in seems to to some self-government, also be expected that of them would constitute an aristocratic deviation from to demand the vote. once begin And they to do it political equality began so, how could any longer be claimed that to a they consented polit BY AND FOR THE PEOPLE ical order inwhich they had no say? Yet there is another sense in which modern without popular ismuch be coherent liberal, government may in theory more than was ancient democ and even in a egalitarian sustainable practice for In the the citizens entitled to time. Over the racy. latter, long run, however, popular in can participate public affairs invariably rep sovereignty hardly fail to lead to resented a small of relatively percentage popular government. the overall Not were Thus it is not population. only surprising that through large numbers of slaves and resident aliens out theWestern world, liberal, constitu but women no in more excluded, had role polit tional regimes became and more ical affairs. Preliberal the direct democracy, democratic during the nineteenth and of the ancient was not twentieth centuries. democracy city, The share of legislative based on of the or any concept fundamental, power wielded by monarchs unelected natural equality of all human beings. It is bodies receded until it had virtually dis of that modern At the same was true, course, representative appeared. time, suffrage for a time excluded the broadened. government long gradually Property qualifica and all women on poor from political partic tions and exclusions the basis of race and in the United States even or sex were to ipation, eliminated, the point coexisted with But it is no less where "universal and was slavery. equal suffrage" true that these kinds of exclusions were endorsed by the world community in in tension as a always with the underlying 1948 human right. of that all The moral principle liberalism?namely, grounds for extending human are nature free and are beings by suffrage succinctly stated by John equal. The historical development of Stuart Mill in his Considerations on this transformed principle inevitably Representative Government, published in liberalism into liberal 1861. "It a democracy. is personal injustice," Mill argues, It is one to thing claim that the majority "to withhold from anyone, unless for the of in a traditional and hierarchical of people prevention greater evils, the ordinary society have somehow given their tacit privilege of having his voice reckoned in consent to a political arrangement inwhich the disposal of affairs inwhich he has the are excluded from voice. same interest as . . . they having any other people No sentiment in of Popular seventeenth-century arrangement the suffrage, therefore, if there had been a of meas can be in England, way permanently satisfactory well have of a which or is uring it,might approved any person class peremptorily

FOREIGN AFFAIRS-March/Aprili998 i^S] Marc F. Plattner

in the electoral cannot excluded, which privilege permanently subsist." If people do not to not is open all persons of full age who value representative government, if to are to are desire obtain it." On these grounds they unwilling defend it, if they to Mill also argues for the extension of the unable do what it requires, then they franchise to women. Yet this does not will not be able to maintain it.Thus it to prevent him from arguing against granting would be vain expect that itwould vote to serve the illiterates and to recipients of them well. The concern parish relief (i.e., welfare); he also proposes with making democracy votes to the edu to maintain that multiple be allotted able itself, with training and to cated and professional classes. Today, such spurring the people do what is needed to departures from universality and equality make democracy work, is certainly in the allocation of the franchise seem not outdated. It is at the heart of most now shockingly "elitist." No arguments for "the programs of "democracy assistance" are to new prevention of greater evils" reckoned being provided democracies by as to sufficiently powerful overbalance Western governments, international and an the injustice of denying any citizen regional organizations, and nongovern vote. at root equal mental organizations alike. It is the concern of the central today of political MAKING DEMOCRACY WORK new scientists who study democracies? or to There is another respect in which Mill's the problem of consolidation, how Government is a democratic to the Representative repugnant bring regime point to contemporary sensibilities?namely, where its breakdown becomes extremely its justification of colonialism. ForMill, unlikely. And it explains the widespread the to representative government "is ideal attention issues of citizenship and civil a not new type of perfect government," but it is society today, only in democracies not in ones as applicable under all social conditions. but long-established well. to concerns In particular, it is ill suited "barbarous" These reflect the irreducible or are "backward" peoples, who likely fact that making self-government work is or to need some form of monarchical not easy. A democratic government can to be to not (preferably) external rule bring given any people, but every state can to them toward the of civilization people maintain it. But what is be in case a inwhich they might become fit for done the of people that is not, at representative government. least for the time being, capable of answer In part, Mill's argument in favor of making democracy work? Mill's a to was colonialism is grounded in dubious this question colonial rule. What doctrine of historical progress (or of is ours?That is the question implicitly as we "modernization," would say today). raised by Zakaria's article. Yet there is another basis for Mill's con The difficulty in answering it points is to an acute tension the modern tention that representative government within not applicable under all conditions that is democratic tradition between the liberal not or easily dismissed. As he puts it, "rep doctrine of just legitimate government resentative, like any other government, and the practical requirements of popular must be unsuitable in any case in which it government. (In The ,

FOREIGN AFFAIRS -Volume [176] 77N0.2 Liberalism and Democracy demo Rousseau says that "all legitimate govern monarchical governments preceded ment But in the same cratization. It has often been remarked is republican." later a work he says that "freedom is not fruit that the sequence of first liberal constitu not of every climate, and it is therefore tionalism, then gradual democratization, can have in within the capacity of every people.") advantages accustoming people men are to the of The principle that all born free requirements self-government. no one a to But is this a and equal, and that has right practical strategy today? now rule them without their consent, has During the nineteenth and early swept the world. As I have argued above, twentieth centuries, democratization come to in a context in more this has inevitably be understood proceeded which as cannot meaning that they be ruled traditional principles of social hierarchy a over without their clearly expressed consent, in still had considerable hold the an the form of election. Yet the experience popular imagination. The idea of equality not as of past ages and of many lands suggests had been fully accepted the pre cannot that this principle be effectively eminent principle of political legitimacy. put into practice everywhere and immedi Monarchy and aristocracy still prevailed so in most of so even a ately. The failure in the 1960s of many Europe, that limited an of the democracies bequeathed by the legislative role for assembly elected once a seem departing colonial powers again with restricted suffrage could demonstrated the fact that under certain like progress toward popular govern to ment. conditions democracy is unlikely endure. Today the situation is dramatically are a But if democratic government is required different. There only few countries? course can everywhere in principle, what principally Islamic monarchies?in which a good liberal democrat follow where it anything like traditional rule still holds unable to in In appears work practice? This sway. these cases, perhaps the nine accounts can to conundrum largely for the alter teenth-century European model some extent nating cycles of euphoria and despair be emulated. Elsewhere, about the for the of ?or prospects spread existing the regimes that liberal democracy. aspiring democracies have replaced?are How does Zakaria suggest that this generally ideological rather than tradi some dilemma be resolved? He contends, first, tional regimes and espouse kind of own. a that constitutionalism, the rule of law, egalitarian doctrine of their In or and the protection of individual post-communist formerly one-party are more essential than representative socialist regime, what principle could be as a government. Accordingly, he recommends accepted basis for restricting suffrage? that, rather than encouraging the intro And what legitimate mechanism other duction of in than elections many developing election could be used for deciding countries, Western policy should favor who will rule? the establishment of "liberal ." The only example in the contemporary As noted above, the prime example of world of liberal autocracy that Zakaria liberal autocracy that he presents is nine explicitly cites isBritish-ruled Hong Kong. where the intro Yet he not seem teenth-century Europe, certainly does prepared duction of constitutional liberalism by to recommend a revival of colonialism.

FOREIGN AFFAIRS March/April i998 i177] Marc F. Plattner

was a to more Earlier in this decade, there flurry wind up taking the much familiar view of discussion of the problem of "failed that authoritarian capitalist develop states"?former client states of the super ment is the most reliable road to eventual powers during the Cold War that threat liberal democracy. to once economic of ened collapse the support of their The achievements these patron had been withdrawn. Amid the East Asian autocracies have certainly a new so talk of world order, there seemed been impressive, but have been the to be some inclination to have the "inter economic achievements of East Asian national community" intervene in such democracies, beginning with Japan. This not to enter cases, in effect reviving something like is the place into the complex to colonial rule under the aegis of the United and hotly contested argument about Nations. Whatever the merits or the what extent, if at all, authoritarian rule economic feasibility of this idea, the fiasco of the has been responsible for Asian at to is is U.S. attempt political (as opposed development. What clear, however, humanitarian) intervention in Somalia, that in the rest of the world the overall of states that record of autocracies in eco along with the proliferation promoting for such nomic let alone the might have been candidates development, growth of constitutional has been costly international reconstruction opera liberalism, poor. the As Mill the same tions, quickly made it clear that politi noted, shortcomings was a for calwill for this kind of policy lacking. that make people poorly prepared are The practical model that Zakaria representative government also likely to rulers. seems to have in mind is the economically be found in its unelected Wise autoc are successful (at least until recently) and benevolent despots the exception, not rule. racies of East Asia. Yet itwould surely be the to assert that these autocracies questionable are constitutional or a A LOOK INSIDE THE BALLOT BOX genuinely liberal, seems was to as fact that Zakaria himself to recog It only be expected that, countries around the their autocratic nize by characterizing Indonesia, Singa world replaced not as with elected pore, and Malaysia "liberal" but regimes freely ones, they as It would would encounter serious difficulties in only "liberalizing" autocracies. to claim these work. be implausible indeed that making democracy Self-government more states reliably protect individual is indeed difficult, and holding elections or more and is one in a and arduous rights have independent merely step long impartial judiciaries than the Latin process that, in the best case, will culmi a American democracies that Zakaria nate in consolidated liberal democracy. as can bad choices as well describes "illiberal." Even the Singa Electorates make to as or mediocre ones. poreans themselves, while claiming good (most often) that can use electoral practice democracy, acknowledge Demagogues campaigns to to to voters' worst in their regime, quote Singapore's U.N. appeal instincts, or Ambassador, Bilahari Kausikan, "has cluding ethnic religious intolerance never or to be liberal." the number of new democracies pretended aspired (although constitu in which candidates have succeeded on Thus, despite Zakaria's talk of seems the basis of such is far fewer than tionalism and individual rights, he appeals

FOREIGN AFFAIRS -Volume No. 2 [178] 77 Liberalism and Democracy in as a might have been expected). But any tionally supervised elections method of case, how often can elections themselves conflict resolution for countries embroiled as cause in be plausibly cited the of problems civil strife has been surprisingly positive. as recent that would not have been just likely This relatively innovation, first to or a persist arise under nonelected attempted in Nicaragua in 1990, combines government? African voters, for example, peacemaking with democracy-building, cast may often their ballots along ethnic but is driven primarily by the former goal. or tribal lines, but in how many African Thus elections are often held under extra at countries have dictatorial governments ordinarily difficult circumstances and achieved real ethnic accommodation, rather times that would not have been chosen if some were than merely the domination of democracy-building the only goal. new not groups by others? Most democracies Nonetheless, such elections have only are severe chal a wars to a undoubtedly confronting brought number of bloody civil almost none of would be in countries lenges, but these halt, but likeMozambique overcome by abolishing elections. and El Salvador have had positive political true as It is also that, beyond peacefully results well. Even if such countries today a are are getting rid of bad and unpopular gov merely illiberal democracies, they ernment no (which is small accomplish manifestly much better off than if they elections themselves do not were still war. ment), by racked by civil Afghanistan, solve most other a not an political problems. For country that did undergo electoral war this and other reasons, prudence counsels process and faces continuing civil on a an against hastily pushing elections fairly and the rule of extremist and intolerant stable, decent, and moderate nondemocra Islamist government, does not present a a tic regime, especially in country where very attractive alternative model. the are not more cases strongest opposition forces In typical of democratic themselves well disposed toward liberal transition, where an authoritarian govern is a ment or democracy. This, however, lesson that either is overthrown negotiates most Western an governments, inherently agreement with domestic opposition inclined toward on a new diplomatic caution, forces the creation of regime, to can hardly need be taught. In fact, their the timing of "founding elections" be adherence to such a a a matter policy is frequent of critical importance for the of those who accuse Western success of an complaint emerging democracy. In too cases room governments of being friendly with such there is for reasonable soon to nondemocratic governments, especially disagreement about how hold in the Arab world. elections. Amid the devastated political There are cases where elections of the arguably landscape post-Mobutu Congo, have made as in in for even to things worse, Angola example, those committed try where Savimbi's to to move a 1992, Jonas refusal ing the country in democratic his defeat in a are accept U.N.-supervised direction divided about both the practi election led to a violent escalation ofthat cability and the desirability of conducting civil war. Yet some same country's despite serious early elections. At the time, it is most in to see setbacks, recently Cambodia, the difficult how dispensing with elec to use overall record of attempts interna tions would lead the Kabila government to

FOREIGN AFFAIRS - March/April i998 [179] Marc F. Plattner move toward "constitutional liberalism," or how such unaccountable rule would be Asia-Pacific to Review preferable "."

IF AT FIRST YOU DON'T SUCCEED

In such unfavorable situations, of course, ?U /C of world electoral democracies may simply be unable population to endure. The history of democratization is with failed That is P0Pulation replete attempts. why 0_-_r C/ 8 /C growth rate the pattern discerned by Huntington is also characterized "reverse waves," by peri energy consumption ods when democratic breakdowns far out O* 8^ A /C growth rate number democratic transitions. But the

overall trend, nonetheless, is for more and more to countries become and remain de The numbers speak mocratic. Moreover, the historical record shows that countries that have had an for themselves.

earlier experience with democracy that failed are more to succeed in a sub likely Review sequent attempt than countries with no Asia-Pacific even previous democratic experience. So tells you what they if breaks it can leave a democracy down, mean. legacy of hope for the future. a coun Now that growing number of The economies, eco growing changing tries lacking the standard social and political environment, and cultural nomic for have "prerequisites" democracy interaction between East and West in the the of their own gained privilege electing Asia-Pacific region will influence the it is not that these new leaders, surprising shape of the 21st century. Asia-Pacific often have serious deficiencies regimes Review brings you insightful articles to with respect accountability, the rule of written by Asian politicians, diplomats, overseas law, and the protection of individual lib academics, and leading analysts. erties. There is every reason forWestern to can to nations do all they assist these n YES, please begin my subscription countries in their electoral improving today?two yearly issues for US$35.00. democracies and them into lib turning Name _ eral democracies. It is precisely the illiberal are Address democracies that Zakaria maligns that to most likely be the receptive audience for the of constitutional liberalism promotion Please send pro forma invoice Cheque for US$35 enclosed that he recommends. For the road to con Please return to: Asia-Pacific Review Subscriptions runs stitutional liberalism in today's world Maruzen Co., Ltd., Int'l Division Export Dept. P0 not Box 5050, Tokyo International 100-31 JAPAN through unaccountable autocracies For information: Institute for International Policy Studies but through freely elected governments.? Tel +81(3)3222-0711 Fax+81(3)3222-0710 e-mail: [email protected]

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