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(Dahl) Democratic Polities...
(Dahl) Democratic Polities...
ADVANCED COUNTRIES:
SUCCESS AND CHALLENGE
ROBERT A. DAHL*
I HAVE BEEN INVITED to address you “on the current situation and
prospects for democratic polities in advanced nations”1.
Because an adequate examination of that topic would far
exceed our time, I am going to focus on just one major challenge for
democratic polities in advanced countries. This is the fundamental
problem of attaining and sustaining a satisfactory level of political
equality among the citizens of a democratic country. Though the
problem of political equality is also too vast in its ramifications and
complexities to deal with adequately here, I would like to explore
three questions. Is political equality a desirable goal? If so, why does
the goal of political equality pose a profound challenge for democra-
cy in the advanced countries? Are there feasible innovations in the
standard political institutions of large scale democracy that might
help to meet the challenge?
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2 Larry Diamond (2003: 8-9) has recently listed 72 countries as “liberal democracies”, i.e., countries
that fully possess the basic institutions. He identifies an additional thirty-one countries as “electoral
democracies.” In these, “the principal positions of political power are filled through regular, free, fair,
and competitive (and therefore multiparty) elections. Electoral democracy can exist in countries with
significant violations of human rights, massive corruption, and a weak rule of law... Normatively I do
not argue that we should rest content with such an illiberal and hollowed-out democracy as our goal.
The goal for every country should be a political system that combines democracy on the one hand with
freedom, the rule of law, and good government on the other. As Guillermo O’Donnell has incisively
argued, a truly accountable political system requires three components. One is democratic, enabling
citizens to choose their rulers in free and fair elections and to participate and express themselves in
other political processes. The second is liberal, limiting the power of the state to encroach on the basic
rights of the person, and thus affirming civil liberties and minority rights. The third is republican,
providing a rule of law and good government through institutions of horizontal accountability that check
and balance executive (and other forms of) power, while holding all actors, public and private, equal
before the law. When these three normative goals are combined, we have the second, higher threshold
of democracy, what I call liberal democracy.
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ROBERT A. DAHL
The older democratic countries share much in common. For one thing,
their predominantly market economies produce very high levels of
income. These range from a GDP of over $19,000 per capita in New
Zealand to around $30,000 or more in Norway, Iceland, Ireland, and the
United States (Table 3). The older democratic countries also rank high
on the quality of life, as measured by the “Human Development Index.”
This index, which is prepared annually by the United Nations
Development Program, includes GDP per capita, life expectancy at
birth, adult literacy, school enrollment, general life expectancy, and edu-
cation (UNDP, 2003).
The fourteen newer democracies are far more mixed. Thus Spain’s
GDP per capita of $20,000 is slightly larger than that of New Zealand,
an older democracy. On the Human Development Index, Spain ranks
slightly higher than two other older democracies, Italy and New
Zealand, while Portugal and Greece are close behind. At the bottom are
Jamaica, with a GDP per capita of $3,720, India with $2,840, and Papua
New Guinea with $2,570.
The newest democratic countries are perhaps even more diverse.
In most of them, democratic institutions have never previously existed.
Yet Chile and Uruguay are exceptions, because both countries experi-
enced many years of democracy before an interval of dictatorship set in.
Some of the newer democracies –Israel, South Korea, Taiwan– have
advanced economies and high levels of personal income, whereas in
some, most people are desperately poor and lack the basic essentials for
a decent life.
As a group, then, the older democracies possess some exception-
al advantages. Yet even in these affluent countries where democratic
political institutions have been well established, political equality, con-
sidered as an ideal, continues to pose a serious challenge, and I believe
will continue to do so.
3 In the following I draw freely from my “The Future of Political Equality,” (2001 [a]).
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4 I provide a fuller account in my Democracy and Its Critics, (1989)and On Democracy (1998). In these
works and elsewhere I have drawn on Stanley I. Benn (1967: 61-78).
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ROBERT A. DAHL
shouldn’t our justifiable desire to attain other goals temper our pursuit
of political equality?
Consider, for example, the conflict that is often said to exist
between equality and liberty. In the second volume of Democracy in
America, Alexis de Tocqueville seems to offer a scenario in which
excessive equality in a democratic society will lead to the impairment
of freedom of thought, expression, and other fundamental rights.
Since his time this view has often been voiced by critics fearful of the
possible “excesses” of democracy. Indeed, Tocqueville is sometimes
interpreted as foreseeing the possibility, or even the likelihood, that
majorities may employ their rights to destroy democracy by support-
ing authoritarian rulers.
What does a century and a half of experience since Tocqueville’s
time reveal?
Before turning to my response, I cannot resist commenting that
I am frequently amazed by assertions about the supposed conflict
between liberty and equality that make no mention of what would
seem to me to be an absolutely essential requirement of any reason-
able discussion about the relation between the two. Whenever we talk
about liberty, freedom or rights, are we not obliged to answer the ques-
tion: liberty or rights for whom?5
As to historical experience: when we examine the course of
democratic development over the past two centuries, and particular-
ly over the century just ended, what we see is a pattern of democrat-
ic development that seems to me to contradict the pessimistic
Tocquevillian scenario.
As democratic institutions become more deeply rooted in a
country, so do fundamental political rights, liberties and opportuni-
ties. As democratic institutions mature in a country, the likelihood that
they will give way to an authoritarian regime approaches zero. As we
all know, democracy can collapse into dictatorship. But breakdowns
are extraordinarily rare in mature democracies. Instead, breakdowns
are likely to occur in countries that encounter times of great crisis and
stress when their democratic institutions are relatively new and frag-
5 Amartya Sen (1992: 17-22) seems to me entirely correct when he says: “It is, I believe, arguable that
to have any kind of plausibility, ethical reasoning on social matters must involve elementary equal con-
sideration for all at some level that is seen as critical. The absence of such equality would make a the-
ory arbitrarily discriminating and hard to defend... Libertarians,” he goes on to say, “must think it impor-
tant that people should have liberty. Given this, questions would immediately arise regarding: who, how
much, how distributed, how equal?”.
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ROBERT A. DAHL
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Actual democracy
As we all know, the democratic ideal I have just described is too
demanding to be fully achieved in the actual world of human society.
Although I have described that ideal as applying to any association,
the particular association to which democracy is most important is, of
course, the state. To achieve political equality in a state, so far as may
be possible under the imperfect conditions of the real world, then, cer-
tain political institutions for governing the state –actual if by no means
ideal institutions– would be required. Amid the imperfections of the
real world, these actual institutions would be necessary, but they
would no doubt be far from sufficient to achieve the ideal. Moreover,
democratic institutions in the modern world, unlike the assembly gov-
ernments of the Greek city-states and the medieval republics of Italy,
would have to be suitable for governing a state that encompasses a
large territory, such as a country, and perhaps a very large country, like
the United States. That is, they would need to provide for representa -
tive democracy rather than direct (or assembly or town meeting)
democracy.
There is no need for me to describe in detail the basic political
institutions of representative government in a modern democratic
country, but by now it should be obvious that just as in the ideal so too
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ROBERT A. DAHL
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Challenges
Will a belief in the desirability of democracy, which so many citizens
in the older democratic countries seem to possess, withstand future
challenges?
It is easy to dream up possible scenarios, but impossible, I think,
to gauge with much accuracy their probability or consequences.
Among many possible challenges, a number appear to me to be par-
ticularly important. But since an adequate exploration of any one of
these would require an entire conference, and much more, I shall sim-
ply describe each of them briefly.
a) One is the perennial challenge of achieving a desirable bal-
ance between the needs of the two basic systems, political and
economic. During the last half of the twentieth century, central-
ized, state controlled, predominantly nonmarket economies
revealed themselves not only to be inefficient but, because they
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ROBERT A. DAHL
6 I leave this problem and the three that follow undeveloped here because I have described them more
fully elsewhere. On the tension between a market economy and democracy see On Democracy,
Chapters 13 & 14. This is one of my many efforts over many years to discuss the problem of a market-
economy in the context of democratic theory and practice, beginning in 1940 with an article “On The
Theory of Democratic Socialism,” Plan Age , Vol. 6 (November-December 1940), which was recently
rescued from total oblivion by its republication in Toward Democracy: A Journey, Reflections:
1940–1997 (1997: Vol. II, 553-583). I discuss the problem of democracy and international organiza-
tions in “Can International Organizations be Democratic? A Skeptic’s View,” in Ian Shapiro and Casiano
Hacker-Gordon (1999: 19-36). On the challenge of complexity, see “The Problem of Civic Competence,”
in Toward Democracy (1997: Vol. 1, 211-228). On diversity, see “From Immigrants to Citizens: A New
Yet Old Challenge to Democracies,” (1994) in Toward Democracy (1997: 229-250).
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7 The question has stimulated a great deal of debate. For one view, see my “Can international organi-
zations be democratic? A skeptic’s view,” (1999: 19-36)and “Is Post-national Democracy Possible?”
(2001 [b]pp. 35-46). For more optimistic views, see D. Archibugi and D. Held, Cosmopolitican
Democracy (1995).
8 One must always keep two major exceptions in mind: African Americans and Native Americans (i.e.,
indigenous peoples).
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ROBERT A. DAHL
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9 An early view of the problem is my “From Immigrants to Citizens: A New Yet Old Challenge to
Democracies,” in Dahl (1997 [a]).
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ROBERT A. DAHL
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Table 1
Democratic Countries: 1900-1995
Table 2
Countries steadily democratic since 1950
1 Australia
2 Austria
3 Belgium
4 Canada
5 Denmark
6 Finland
7 France
8 Germany
9 Iceland
10 Ireland
11 Israel
11 Israel
12 Italy
13 Japan
14 Luxembourg
15 Netherlands
16 New Zealand
17 Norway
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ROBERT A. DAHL
Table 2 (Continued)
18 Sweden
19 Switzerland
20 United Kingdom
21 United States
Costa Rica might reasonably be added since it made the transition to democracy a few
years later.
Table 3
The Older Democracies: GDP Per Capita
(Purchasing Power Parity, US $) 2001
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Table 4
The relation between the institutions of actual (large-scale)
democracy and the requirements of an ideal democracy
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ROBERT A. DAHL
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1997 (Institute of Governmental Studies Press: Universidad de
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