Rationale
America is an idea. Not only is it an idea, it is a collective system of beliefs that is shared and reinforced by the people who live within the country's physical boundaries. While every citizen may not be in total agreement with his or her neighbor on the fine print of the American idea, the fundamental foundation of what it means to be American is an idea into which all Americans have invested and within whose parameters they are willing to live their lives. America, then, is a very strong and deeply rooted idea that has existed for centuries and shows no sign of dissipating in the centuries to come.
What are the essential elements of this idea? They must be numerous so that they give a well-defined characterization of America. At the same time they must be few so that there is a greater chance that all Americans will agree on them. They must be specific so that people will have a better understanding of what it means to be American. But they must also be general so that many different personal feelings can be encompassed under them. These elements must also be comprehensible by people who do not live under the American system of beliefs; that is to say, people who do not necessarily identify as believing the American idea can still identify the idea as American.
It is not the intention of this unit to explore all of the essential elements of America. Instead, the purpose is to look at one element - democracy. While not every American will unanimously agree that pure democracy is an essential element of the American idea, it must be remembered that pure democracy is not being discussed here and that democracy in some form would be an accepted element. One of the difficulties that many Americans face is to have to defend democracy as an element of the American idea without a clear understanding of what American democracy truly is. Students in our schools are constantly told to uphold the ideal of American democracy and to play their appropriate role within it, but these definitions are frequently unclear to many. With this in mind, the objective here is to properly define democracy within the bounds of the American experiment using both scholarly and comparative methods of definition and also to determine the level of success with which America has carried out its democratic aims.
Defining Democracy
While many people in many languages have tried to conceive of a useful and applicable definition for democracy over the centuries, it is to the Greeks that we turn. The creators of the first democratic experiments, the Greeks combined two of their words - "demo" meaning "people" and "kratos" meaning "power" - to form the "demokratia" that describes their system of government. The city-states in ancient Greece practiced a form of government in which the powers of the state were derived from the people living in that state. Without delving into the varied aspects of the many Greek city-states, the reason this definition is useful is that it anchors the discussion of what a democracy can be; classical democracy is a system of government where the powers of the state are derived from the people who live in that state.
The definition above may seem simplistic, but in many ways it is the basis of democratic thought. Robert Dahl states quite eloquently in his book On Democracy "…we use the word democracy to refer both to a goal or ideal and to an actuality that is only a partial attainment of the goal." 1 In much the same way, power derived from the people is a primary goal of democracy just as much as it alone is not enough to consider a state wholly democratic.
One modern definition of democracy sets out a list of criteria that proves that the system of government in place allows for the people to be the driving force behind their government. These five parameters create a framework within which a society must function in order to consider itself democratic. In list form they are: effective participation, voting equality, enlightened understanding, control of the agenda, inclusion of adults. 2 Of course, these standards have only recently been set forth, decades later than the establishment of many accepted democracies. However the criteria are helpful in that they provide attainable goals for democratizing countries and guidelines for helping to strengthen weakening and static democracies.
Democracy as it is popularly defined today also consists of a set of institutions that encourage opportunities for people to participate within the structure of their government. 3 The six political institutions that a large-scale (country-level) democracy requires are: elected officials; free, fair, and frequent elections; freedom of expression; alternative sources of information; associational autonomy (the right to form organizations such as political parties); inclusive citizenship (universal adult suffrage). 4 Without going into exhaustive detail of each, the institutions are meant to help fulfill the criteria of what a successful democracy should be. It is important to note the distinction here; listed above are the institutions within a government structure that encourage the "demokratia" - power derived from the people. Each of these institutions executes at least one of Dahl's five criteria for a democratic process.
The Purposes of Democratic Government
With democracy and success both provisionally defined, it falls upon philosophers and politicians to illuminate the purpose of forming democratic governments. The Greek city-states created their democracies to invest the people with the power of effectively running society. With the fall of democracy in Greece came the rise of republics in Rome. In contrast to the word "democracy", the Roman republic derived its name from "res" meaning "thing" and "publicus" meaning "of the people". While power is a thing, the word "republic" grants a wider range of objects of which the people hold sway. A republic ends up being a governmental body that represents the will of the people; no longer are the people the power, their representation takes that place.
Many people equate both the Greek idea of democracy and the Roman republic as having a similar purpose. Whether considering the assemblies of Athenians or the Roman Senate, both bodies meant to provide liberty to their people as best as they could. Taking this into account, what can be said to be the purpose of governments in general and democratic governments more specifically? What institutions guarantee liberty to a people? Can liberty be guaranteed?
When writing the US Constitution, the Framers set out specific goals for the document. The preamble to the Constitution outlines clearly the purposes of creating a governmental system in America. The six objects for creating an American government are to: form a more perfect union; establish justice; ensure domestic tranquility; provide for the common defense; promote the general welfare; secure the blessings of liberty to ourselves and our posterity. Here, it seems, is a clear summary of what a democratic government should aim to do. But how did the Framers choose these six goals for their government?
Arguably, the Framers of the US Constitution did not have a good living example of a democratic government from which to work. 5 This being the case, much of what is written about democratic governments comes after the Constitution was written and is based somewhat on what was observed in American democratic practice. Even the Federalist Papers, widely accepted as great essays on democracy, were written either in defense of principles already outlined in the Constitution or as guides to aid interpretation of the document. If this is the case, why do we look to these authors for their explanations of governmental theory and philosophy?
John Stuart Mill
Once the American democracy was formed, many other countries soon fell into their own forms of democratic government. With all of these new democracies floating around, each of which had its own particular idiosyncrasies, it stood to reason that intellectuals would start to comment upon what was desirable and objectionable about these governments. Men such as John Stuart Mill seized the opportunity to help governments strive toward ideal administration of their societies by commenting on what they perceived to be the primary objects of governments.
In his On Liberty, Mill gives a charged summary of the interplay between government and individuals and the roles of each to ensure that the integrity of liberty is maintained. "The maxims are, first, that the individual is not accountable to society for his actions, in so far as these concern the interests of no person but himself….Secondly, that for such actions as are prejudicial to the interests of others, the individual is accountable, and may be subjected either to social or to legal punishments, if society is of opinion that the one or the other is requisite for its protection." 6 This observation sets up the individual as the driving force in society, very much an ideal in line with our previous definition of the word.
However, Mill also poses interesting questions in regard to responsibility. One of the primary ideas in his essay is the concept of the prevention of harm. He presents several examples that oscillate between placing the onus on the individual or his government in preventing harm. In true philosophical fashion, he doesn't give a clear-cut resolution of his position, but he does illuminate a few quandaries: Where is responsibility in the law? Does it fall on the wrong-doer or the enabler? And finally, what role does the government have to protect you from yourself? 7 These issues are central to any study of government and especially to the delicate role of a democratic government in providing liberty while at the same time not taking it away. Dahl resolves this nicely saying, "Simply put, the issue is not whether a government can design all its laws so that none ever injures the interests of any citizen. No government, not even a democratic government, could uphold such a claim. The issue is whether in the long run a democratic process is likely to do less harm to the fundamental rights and interests of its citizens than any nondemocratic alternative." 8 This helps to more clearly focus the responsibility of a democratic government in its relation to its citizens.
Even though Mill presents preventing harm as a conundrum, he leans towards calling for democratic governments to be less restrictive. This is evidenced by his other main point: that the chief task of governments is to give parameters for people to solve their own problems. "…To secure as much of the advantages of centralized power and intelligence, as can be had without turning into governmental channels too great a proportion of the general activity, is one of the most difficult and complicated questions in the art of government." 9 In this statement, Mill warns against the tendency of federal systems of government - such as the United States - to treat the process of governing as a top-down, paternalistic exercise. Instead, governments should hold on to the ideals of democracy that allow for a bottom-up approach, fulfilling one of Dahl's criteria that the people set their own agendas in truly democratic governments.
Alexander Hamilton and James Madison, Federalist 9 and 10
Serving as perhaps the best commentary on the American democratic experiment are the Federalist Papers, penned in defense of ratification of the US Constitution in New York over the course of a year between 1787 and 1788. Both Alexander Hamilton and James Madison were key authors, along with John Jay. Madison - also known as the father of the Constitution - gave the most stirring justifications for ratification, but he also outlined many elements of the intentions of the Constitution that weren't explicit. In this way, Madison helped to define key aspects of the lasting legacy of the American democratic experiment, including the distinction that our democracy was in fact a confederate republic.
In Federalist 10, Madison clearly summarizes his views of government: "The protection of these faculties [the reason of man, his opinions, and his passions] is the first object of government." 10 While all at once a sweeping and general task, the protection of men's passions, opinions, and reasons is very close to Mill's argument that would be made over 70 years later. Mill cannot seem to give a concrete plan of action, but Madison, with Hamilton's help, elucidates how the American form of government proposed in the Constitution provides safeguards to curtail this problem.
As previously stated, the Framers of the US Constitution freely admitted to creating a government based on democratic principles but more closely resembling a republic. 11 The reason for this was both the size of the nation (population and area) and the existence of well-established state units within the national borders. A pure democracy as practiced by the Greeks would not be desirable under these circumstances, nor would it be possible to execute. The confederate republic model was adopted to address matters of fair representation of states and conflicting interests as well as the protection of minority rights (insomuch as they could be protected) from majority tyranny. 12 Both Hamilton and Madison verify that these issues are addressed - albeit with necessary imperfections - in the US Constitution.
In Federalist 9, Hamilton touts that the Constitution provides many mechanisms to safeguard the common people that were not thought possible in previous governmental systems. "The regular distribution of power into distinct departments; the introduction of legislative balances and checks; the institution of courts composed of judges holding their offices during good behavior; the representation of people in the legislature by deputies of their own election: these are wholly new discoveries, or have made their principal progress towards perfection in modern times." 13 Separation of powers, checks and balances, republicanism, popular sovereignty; these were all new ideas, and they help to promote effective participation according to Dahl's criteria. Furthermore, it proves that democratic ideals can be served on a large scale by a republican (representative) government, possibly better than a pure democracy could with similar constraints.
Madison, in response to Hamilton's essay discussed here, brings up what could be seen as a stopping point: factions within government that could promote tyranny of the majority. "The smaller the society," he says, "…the more easily [the majority] will concert and execute their plans of oppression." This presents a bleak message to many in favor of promoting democracy, and truly seems to be an argument against efforts of democratization. In his next breath, however, Madison provides hope: "Extend the sphere and you take in a greater variety of parties and interests; you make it less probable that a majority of the whole will have a common motive to invade the rights of other citizens; or if such a common motive exists, it will be more difficult for all who feel it to discover their own strength and to act in unison with each other." 14 What can be seen here is the basis for creating a loyal opposition, a pluralist society that ensures opportunities for the inclusion of all citizens and their viewpoints at one time or another. 15
Shapiro and the Principle of Affected Interest
The definition of the loyal opposition in society is a group that is marginalized because of its minority status on an issue but still has options to participate because of the chance that they will become the majority on another issue. Because of this, citizens rarely opt out of participation in government action due to the chance that they will eventually be a part of the majority. When the system of loyal opposition is absent, the majority consistently negates the participation of the minority. Ian Shapiro very clearly states in Democratic Justice that encountering this situation in a supposedly democratic society is "unacceptable." 16 In fact, this situation could potentially cause a breakdown in democratic processes altogether.
When decisions are made that affect an entire group - whether that group is a small organization, a town, or a country - the decisions are called collective actions. There are a few ways to make collective actions, some more democratic than others. Dahl defines one democratic approach: "1) …before a law is enacted you and all other citizens will have an opportunity to make your views known. 2) You will be guaranteed opportunities for discussion, deliberation, negotiation, and compromise that in the best circumstances might lead to a law that everyone will find satisfactory. 3) In the more likely event that unanimity cannot be achieved, the proposed law that has the greatest number of supporters will be enacted." 17 This process covers two of his democratic criteria solidly - voting equality and enlightened understanding - and if it is repeated enough times for a variety of issues it will ultimately allow for loyal opposition as well which then includes effective participation in the list.
Some collective actions are by definition very undemocratic and so Shapiro introduces a rule of thumb to encourage more democratic collective action. Using the Greek definition of "democracy" and the Latin definition of "republic" simultaneously, we notice that they both share "people" as a root word; both forms of government rely on the populous to exist. In short, "…everyone affected by the operation of a particular domain of civil society should be presumed to have a say in its governance." 18 This is the principle of affected interest. Affected interest changes collective actions into collective self-government. Having the people craft their decisions through democratic processes such as the one suggested above by Dahl crosses into the realm of self-government and leaves potential despotism and tyranny of the majority behind.
To briefly summarize, both in a democracy and a republic the purpose is to grant liberty to the people. While this might seem like an easy task, many factors including self-interest, despotism, and tyranny of the majority make it difficult to grant liberty to all of the people all of the time. A good government, then, pays attention to a few key points: trying to prevent harm; giving the people the right and opportunity to maneuver society; protecting the opinions and passions of humanity; creating a loyal opposition; allowing for collective self-government. Supported by the case of the United States, intellectuals have posited that a democratic-republic could potentially be the best way to serve the people's liberty considering all of these points. "Yet among the countries most comparable to the United States and where democratic institutions have long existed without breakdown, not one has adopted our American constitutional system." 19 For these countries that formed their democratic governments after 1789, what other options were more compelling?
What Options Do Democracies Have?
In his A Preface to Democratic Theory, Robert Dahl suggests that it is not the Constitution that has kept the United States democratic; instead, the inherent democratic spirit of its people has validated the existence of the US Constitution. 20 If that is the case - if a society such as the US is inherently democratic in nature - then why do societies feel the need to adopt and implement a standardized set of rules for carrying out their democratic aims? Furthermore, why are societies compelled to adhere to these rules, even (especially?) in times of crisis? The following looks at options that various countries have explored in order to create democratic governments and addresses the dilemma of what came first - democracy or government. 21
Written or Unwritten Constitution?
As proposed in the conundrum above, do societies that are inherently democratic and wish to live democratically need a written constitution? The short answer is no, because not all democratic systems have written constitutions. However, there are pros to writing down a society's intentions for founding a government. One obvious argument in favor of a physical document is that there is always going to be something to reference. Interpretation of a written document deals more in semantics than in intentions. Overall, written constitutions exist in an overwhelming majority of democratic states today and the phenomenon of unwritten constitutions stems from historical anomalies during the formation of the current government such as in Great Britain or Israel.
Direct or Representative Democracy?
Ancient Greek city-states such as Athens practiced a form of democracy known as "direct democracy", referring to the fact that decisions being made for the good of society were being made directly by the members of society in an open forum. "Representative democracy", on the other hand, presumes that citizens will elect representatives who will assemble apart from society at large to make decisions for the good of society, reporting back and keeping the interests of their constituents in mind. While it has been argued that representative democracy is inherently undemocratic - it takes final decision-making out of the hands of the people - arguments in favor of each option take into consideration the size of the state and the restrictive nature of assembly. In general, larger states with many people tend towards implementing representative democracies, allowing for town meetings at the local level to maintain the benefits of direct democracy. Small states and towns favor direct democracy because a smaller society creates a less restrictive environment. In both cases, universal suffrage helps to assure that the processes remain more democratic.
Federal or Unitary System?
A unitary system of government gives supreme legislative power to the central or national government. Contrarily, federal systems maintain the autonomy of smaller units within the nation (states, provinces, cantons, etc.) and national legislation cannot - within reason - be imposed on those units without the permission of the smaller government there. Usually a federal system is implemented when a nation is formed by unifying previously independent states into a confederation. Most modern democratic countries have unitary systems because the smaller regions within the nation were not used to self-government or were engineered without consideration of the interests of the populations within those boarders. The pros and cons of both systems are relative to the history of the individual nation and the previous autonomy of states within that nation.
Presidential or Parliamentary System?
The birth of the presidency (most famously practiced in America) was influenced by the British model of monarchical separation of powers - the monarch as executive, parliament as legislative, and the courts as judiciary. Each branch was independent of the other and possessed specific powers to check and balance each of the other branches. With the rebirth of Britain's constitution in the early 19 th century came the birth of the prime minister. Owing allegiance to and serving at the pleasure of the majority party in parliament, the prime minister is the figurehead in parliamentary systems. Although the role of a prime minister is similar to that of a president, the minister lacks separation from the legislative branch. The pros and cons of the two systems are relative to the political stability of the country in which they are implemented.
First-Past-the-Post or Proportional Representation?
In racing, the first person across the finish line wins. In first-past-the-post election systems, the candidate with the most votes wins the election. This consequentially sets up a majority/minority government - the winners and the losers. Proportional representation allows for many different parties to share a proportion of the power in government, hence the name. For example, if a political party wins 30 percent of the popular vote, 30 percent of the seats in the legislature will be filled by members of that party. This system brings in players with varied interests into the political arena, validating the agendas of smaller interest groups in society and creating an equal opportunity for the agenda of the government to shift. The number of political parties in a nation is a direct result of implementing a FPTP (first-past-the-post) or PR (proportional representation) system as evidenced below.
Two-Party or Multiparty System?
A FPTP system will generally favor two parties vying for control of the government. PR systems allow for many parties - three, four, or more - to take part in the process of governing a country; PR systems also encourage coalition building which highlights the commonalities of competing parties. Some pros and cons: 1) two-party systems can result in deadlock when one party controls the legislature and another party controls the executive branch; 2) multiparty systems can result in gridlock when parties refuse to form coalitions and alliances are broken; 3) two-party systems create efficient governments where the majority party's agenda can be addressed with little interference from the minority; 4) multiparty systems allow minority parties to be real players in proposing and implementing legislation, keeping constituents from many corners happy. With this in mind, nations looking to move towards democracy need to assess the existence of differing interests in society before deciding to implement FPTP or PR systems of government.
Unicameral or Bicameral Legislature?
Just as a unicycle has one wheel and a bicycle two, unicameral legislatures are composed of one house whereas bicameral legislatures are composed of two houses. Separation within the legislative branch of government is not a necessity. For the most part, federal systems favor bicameral legislatures and unitary systems favor unicameral legislatures. The reason for this stems from the autonomy given to states in a federal system, requiring that the smaller entities within the nation have the opportunity to represent themselves fairly in government at the national level. Unitary systems can streamline their legislative processes by passing legislation through only one set of representatives; in unitary systems, the national interest is arguably everybody's interest. In short, bicameralism is only an asset if there are two levels of interest - the states versus the nation as a whole.
Equality in Representation or Not?
Arguably, the most democratic way of distributing power in government is to grant each citizen the same ability to cast a vote and have that vote recognized. "One man, one vote" as it is traditionally termed helps to ensure that all citizens are equally represented in the legislature. To use America as an example, the House of Representatives determines state representation based on the number of citizens living in each state. States are proportionally represented according to population; less populated states have fewer representatives than states with a greater population. This seems fair, but it gives larger entities more power, making automatic minorities out of smaller entities. A way to solve this is by introducing non-proportional representation as the US does in the Senate. Each entity within the nation gets the same number of representatives regardless of population. While this may seem more equal than the previous example, it robs citizens in larger states from the protection of "one man, one vote"; citizens in smaller states could get anywhere from 2 to 200 votes for every citizen's vote in a larger state. While fair does not always equal democratic, the question remains about whose interests are being protected when unequal representation is employed.
The Results of the American Democratic Experiment
America's constitution looks very different from most other democratic nations today. Assuming the vast array of options available to democracies and the myriad combinations possible, "democracy" can be many different things at the same time for different nations. The question begs to be asked, however: how democratic can any national truly be? Robert Dahl hazards an answer in On Democracy, "In almost all, perhaps all, organizations everywhere there is some room for some democracy; and in almost all democratic countries there is considerable room for more democracy." 22 With this in mind, how democratic can the American system of government be considered as it stands today?
The Electoral and Representative Processes
The American system of representation developed as a response to the large population and area of the country. The Constitutional Convention over 200 years ago in Philadelphia tried to build in safeguards against ordinary citizens electing unqualified officials by providing for indirect election of Senators and the President. As the American voter has become more able to educate him or herself when it comes to candidates and as the government moved through the Progressive Era of the early 20 th century towards inclusion and transparency, the Constitution changed to include the direct election of Senators. As America decides whether to bring the election of the President down to the popular level, it is important to remember that representative governments constructed with the proper provisions for inclusion can enhance the evolution of a democratic state. "What matters is that, through these public elections…: the public good is achieved, citizen preferences are represented, governments become accountable, citizen participation in political life is maximized, economic equality is enhanced, rationality is implemented, economic conditions improve, and so on." 23 As long as the electorate controls the evolution of government through the election process, democracy is in action.
Judicial Review of Law
The judicial branch of the government in America was intended to be a small voice in the large national government. Tocqueville makes light of the role of the courts in American society, claiming that all people would look to the judiciary as a last resort for solving problems; legislatures were much more effective at preventing harm than the judiciary. 24 Very early on, the Supreme Court advocated itself not only as a tribunal for when government goes sour, but also as a review board to check up on the laws created by Congress. Judicial Review has manifested itself as both the voice of the people against a tyrannical legislature and the voice of the government in its efforts to protect the long-term interests of its citizens. The allegedly unbiased court draws its power from the fact that both the people and the other branches of government respect its verdicts. This can arguably be seen as a testament to the ability of the court to uphold the democratic ideals that both sides value. Once the judiciary veers from this course, it is possible to think that the country would retaliate by restructuring the institution to reflect more democratic aims.
The Amendment Process
In order for democracy to evolve in America, the Constitution must be a living document. The amendment process - spearheaded by the adoption of the Bill of Rights after the Constitutional Convention - ensures that the American system of government can change to address the needs of its citizens and to approach a more democratic ideal. "To promise democratic rights in writing, in law, or even in a constitutional document is not enough. The rights must be effectively enforced and effectively available to citizens in practice." 25 This statement can help explain why the amendment process is so difficult; for America to provide the rights protected in the Constitution, it has to have the ability and desire to do so. Many original elements in the Constitution such as slavery, suffrage, and civil rights were undemocratic and needed to be amended. However, changing the Constitution on a whim negates the weight of the document. Long debates, campaigns, and other democratic processes help to increase the significance of the final outcome - the amendment - and to ensure that the rights requested will be guaranteed.
Political Parties and Other Institutions
James Madison was the earliest critic of splintering the American people into interest groups labeled as political parties. He believed the institution would tear the nation into factions incapable of compromising for the common good. As the government grew older, as citizens took sides in political debates, and as political parties became an institution in every sense of the word, Madison reneged on his previous assumptions. As Robert Dahl asserted in his primary criticism of Madison's early notion, as long as a loyal opposition exists political parties are a good thing for governments to have. At their best, they keep the populace informed, active, and excited, providing an outlet between elections for mobilizing ideas and resources. At their worst, they are mired in shady business and prevent transparency in the workings of government. 26 Reform efforts have centered upon monetary issues in the hope that clean money will make for clean politicking. The reality is that interest groups serve many different interests; all subjective and all falling on the shaky spectrum of good and bad.
Comments: