FREEDOM AS CAPABILITY How the capability approach can improve our understanding of freedom in established democracies Jeremiah Thomas Brown ORCID: 0000-0002-1899-2541 A thesis submitted in total fulfilment of the degree of Doctor of Philosophy August 2017 The University of Melbourne School of Social and Political Science Abstract Annual measures of democracy are one of the most important tools used by scholars in understanding democratic quality in a cross-national manner. This thesis argues that there are limitations with existing measures of democracy, and presents a new measure of democracy which employs a more expansive definition of freedom: freedom as capability. A central component of measures of democracy is the definition of freedom which they employ, as this heavily influences the way that a measure with the concept of democracy. Different definitions of freedom are tied to different models of human agency, placing different demands on what is required for individuals to be able to function freely as democratic citizens. Considering the closeness of the relationship between freedom and democracy in democratic theory, this is an important issue for measurement to address. Identifying the degree to which this influences contemporary understandings of democratic quality, this thesis examines the way that the concept of freedom is incorporated into existing measures of democracy. It finds that the definition of freedom which is most commonly employed in measures of democracy is the definition of freedom as non- interference. This is problematic since freedom as non-interference is poorly suited to identifying the current problems arising in established democracies, especially those associated with growing inequality. It is argued that freedom as capability, a definition of freedom developed through the capability approach, is a definition of freedom which can provide further insight on the quality of democracy in established democracies, because it identifies different types of constraints which individuals face when engaging with the political process. The new measure of democracy created employs the definition of freedom as capability to demonstrate how measures can be developed which are more sensitive to problems being encountered in established democracies. The measure emphasises problems associated with economic, educational, and health inequalities, as these can represent constraints which limit the freedom of citizens to engage in the political process. In doing so, the thesis presents a measure of democracy which is better equipped to identify meaningful differences in the quality of democracy in established democratic societies. The output of the new measure of democracy is compared to other popular measures of democracy to demonstrate that theoretical i differences in conceptualising democracy translate into real differences in measurement output. ii Declaration This is to certify that: (i) this thesis comprises only my original work towards the completion of the Doctor of Philosophy; (ii) due to acknowledgement has been made in the text to all other material used; (iii) this thesis is less than 100,000 words in length, exclusive of tables, maps, bibliography and appendices. Signed, Jeremiah Thomas Brown iii Acknowledgements I could not have completed this thesis without the help and support of a number of people. First and foremost, I would like to thank my primary supervisor, Dr. Aaron Martin, for all of his guidance and support throughout my project, and in the years previously as my honours supervisor as well. Whenever I have needed assistance, he has been there, and he has worked hard to keep me on track when my mind races off on tangents towards new and interesting ideas. A PhD student could not ask for a supervisor more generous with their time, and his insight on the various topics throughout the thesis has been invaluable. I have enjoyed the time spent in discussion in his office, and every time I have walked out it is with a sense of greater clarity about whatever we have discussed. I would like to thank my secondary supervisor, Professor Adrian Little, who has helped to develop the more theoretical aspects of the thesis. His comments, especially in the earlier stages of candidature, helped me understand some of the more difficult theoretical aspects of the research puzzle. I would like to thank my panel chair, Dr. Jennifer Balint, for her insights into how to improve my writing earlier in my candidature. I would like to thank two of my fellow PhD candidates, Adam Hannah and Andrew Gibbons for their thoughts and support throughout the degree. They have both been helpful sounding boards throughout my PhD, and their input has been invaluable. I would like to thank my family for their love and support throughout the PhD. More than anyone else, I would like to thank my wonderful partner Christine. Her ability to make me feel relaxed on even the most stressful days is amazing, and she has helped me through some of the most difficult periods of the PhD process. I could not have completed this thesis without her support. iv Table of Contents Abstract ................................................................................................................... i Declaration .............................................................................................................. iii Acknowledgements ................................................................................................. iv Table of Contents .....................................................................................................v List of Tables ........................................................................................................... ix List of Figures ........................................................................................................... x Introduction ............................................................................................................ 1 Different Definitions of Freedom..........................................................................4 The Importance of Measures of Democracy ..........................................................6 Types of Democratic Decline ................................................................................7 Established Democracies in Crisis? .......................................................................9 One Explanation for These Problems .................................................................. 12 The ‘Gap’ Addressed by the Thesis ..................................................................... 14 The Theoretical Framework Underpinning the Thesis ......................................... 16 The Thesis Structure .......................................................................................... 17 Part One .................................................................................................................20 Chapter 1 : Conceptualising Freedom ......................................................................21 1.1 Value Pluralism ............................................................................................ 22 1.2 Freedom as Non-Interference ....................................................................... 27 1.3 Freedom as Self-Mastery .............................................................................. 32 1.4 MacCallum’s Triadic Understanding of Freedom ........................................... 38 1.5 Freedom as Capability .................................................................................. 40 1.6 Republican Freedom .................................................................................... 44 1.7 Concluding Remarks ..................................................................................... 48 Chapter 2 : Individuals and Democracy....................................................................52 2.1 Popular Institutional Accounts of Democracy ................................................ 53 2.2 Schumpeterian Elite Democracy ................................................................... 56 2.3 The Polyarchy Definition of Democracy ........................................................ 59 2.4 Citizenship as Agency ................................................................................... 66 v 2.5 Deliberative and Participatory Accounts of Democracy ................................. 71 2.6 The Relationship Between Individuals and the State ..................................... 76 2.7 The Importance of the Citizen in the Functioning of Democracy..................... 81 2.8 Defining Democracy ..................................................................................... 84 2.9 Concluding Remarks ..................................................................................... 86 Part Two .................................................................................................................87 Chapter 3 : The Foundations of the Measurement of Democracy .............................88 3.1 The Foundations of Measuring Democracy ................................................... 89 3.2 Data Availability and the Measurement of Democracy .................................. 98 3.3 Indicators of Political Systems .................................................................... 104 3.4 Persistent Issues for Measurement and Existing Evaluations of Democratic Indexes ......................................................................................................................