department of political science center for middle eastern studies rutgers university why democracy?...
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Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Why Democracy? The Historyand Development of a Concept
Eric Davishttp:// fas-polisci.rutgers.edu
[email protected]://new-middle-east.blogspot.com/
Democracy InstituteWashington Township High School
October 4-5, 2012
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
“It has been said that democracy is the worst form of government except
all the others that have been tried.” Winston Churchill, Nov. 1947
“I believe in democracy, because it releases the energies of every human being
Woodrow Wilson, Sept, 1912
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Why is democracy a misunderstood concept?
Democracy – demo (Greek for the people) and kratia (rule by, namely “rule by the people”)
Why do so few students understand and show an interest in the concept?
What can be done to stimulate student interest in democratic institutions and processes?
Under what conditions does democracy thrive and under what conditions does it falter?
What are the challenges currently facing American democracy?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Democracy’s social requisites
Democracy is a fragile type of political system A democracy requires its citizens to share a
national identity and national goals To sustain itself, democracy requires an
informed and committed citizenry Democracy is a system based on contestation Democracies cannot survive without struggle Democracies require an active civil society
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
An exercise in imagination
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Building a democracy from scratch
Why should students be interested in the concept of democracy?
We can stimulate their interests by asking them to imagine a group of students like themselves being stranded on a desert island
What would they do? How would they sustain themselves over time?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Building a democracy from scratch Unless they decided that life would be every
person for her/himself, students would face the problem of social organization
They would need to organize themselves as a community
They would be faced with a number of decisions which all societies face – how do all the members divide up critical social tasks?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Democracy and choice Students could decide that their new mini-society
would be organized as a democracy Some students would be administrators (leaders) and
others citizens (the ruled) To have a democracy, the administrators would need
to report to the larger group on the decisions which they made and the reasons why they made them
Or the group could choose to delegate complete authority to the administrators, allowing them to establish authoritarian rule – a dictatorship in effect
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Core concepts of democracy
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Key concepts students need to learn
Social stratification – we all occupy different roles when we choose to live in a social setting
Citizenship – once we opt to live socially, we become citizens and receive benefits
Civic responsibility – with citizenship benefits also comes social responsibilities
Political participation – citizen participation is central to a society’s effective functioning
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Key concepts students need to learn Informed choice – citizens can only receive benefits
and fulfill their civic responsibilities if they have access to necessary information
Checks and balances – citizens require mechanisms to control those who rule them
Institutions – these are the “rules of the game” which determine how politics functions
Elections – this institution allows citizens to decide periodically to keep or reject their leaders
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Key concepts students need to learn
Legitimacy – when citizens feel that those who rule them have authority and ought to be obeyed
Minority rights – the dominant opinion(s) in society should never lead to the “tyranny of the majority”
Rule of law – everyone should be judged equally before the law which should not discriminate against citizens based on race, gender, religion, national origin, or political ideology
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Core concepts of democracy A true democracy must allow all (legal) views
to be expressed in society Democracy requires citizens to have certain
liberties: freedom of expression, assembly, religion (or atheism), property rights, and to be treated fairly according to the rule of law
Democracies must now discriminate against its citizens based on race, gender, national origin or social class – all citizens are equal
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The origins of democracy
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The contributions of ancient Mesopotamia Early components of democracy developed
long before the Greeks in classical Athens The idea of democracy began in the “land
between the two rivers” or what is also know as the Fertile Crescent, i.e., present-day Iraq
Ancient Iraq developed several firsts: First use of term “freedom” as we understand
it today, first parliament, and first example of a parliament controlling the executive branch
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The contributions of ancient Mesopotamia
Mesopotamia saw development of first language (Cuneiform)
First comprehensive legal code in 1772 BCE Hammurabi’s code comprises 282 laws and
still is part of most modern legal systems today The longest known ancient text, Hammurabi’s
Code shows concern for society’s less fortunate members
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Example of cuneiform writing as developed byMesopotamian merchants
The 5th Law: If a judge try a case, reach a decision, and present his judgment in writing; if later error shall appear in his decision, and it be through his own fault, then he shall pay twelve times the fine set by him in the case, and he shall be publicly removed from the judge's bench, and never again shall he sit there to render judgment.
Hammurabi’s Code (282 laws)
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Bas-relief of Hammurabi in the U.S. House of Representatives chamber
Hammurabi onSupreme Court frieze
Hammurabi’s impact on the US government
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The development of democracy
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Athenian polis Athenian Polis was famous for its direct democracy Americans can find the origins of their own New
England town meetings in ancient Athens Athenian democracy lasted from 510 BCE to 338
BCE when Macedonians defeated Athens at the Battle of Chaeroneain
Athens was unique since other Greek city-states, e.g., Sparta, did not develop democratic systems
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Acropolis – artist rendering and contemporary image
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
What were the polis’ qualities? The polis developed around the Acropolis which
was originally built as a protective fortress Participation in Athenian democracy was limited Membership in the polis was hereditary and could
not be transferred, i.e., it was defined by blood Politics was dominated by male citizens; women,
non-property owners and slaves were excluded Only 10% of polis’ males could hold office
(estimated 14,000 of 140,000 inhabitants)
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
What were the polis’ qualities? Polis was organized around the agora (market) Agora became the polis’ intellectual center
where important political discourse occurred Citizens had duties but no rights They debated each other in public assemblies,
indicating a commitment to the polis Polis was small – Plato said ideal size would
be a population of 5040 adults
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
What were the polis’ qualities?
Citizens were linked by blood and family All citizens joined in political, religious, legal,
intellectual, artistic, and athletic activities A key quality of the polis – civic participation A vibrant civil society existed in which a
strong sense of community developed Still, majority of inhabitants were excluded
from public life
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Why is Greek tradition so important? It is not only due to the political institutions and
processes alone It is more due to ideas of the Greek thinkers in The Republic, Plato asked: what is the nature of
the just society? Socrates developed the Socratic method. In The Politics, Aristotle wrote a treatise on different forms of government
Athens produced great playwrights, historians, scientists and mathematicians
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Republican tradition
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Roman Republic The Roman Republic lasted from 509 BCE until 27
BCE (others argued that Julius Caesar’s assassination in 44 BCE ended the Republic)
Republic: Res Publica or Commonwealth Ended with Senate granting Octavian (Caesar
Augustus) dictatorial powers in 27 BCE Importance of Republic was the form of government
it bequeathed to the world Idea of the Republic contrasts with the polis because
the size of the Roman Empire did not allow for direct democracy
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Roman Republic Overthrow of Roman monarchy in 509 BCE marked
the beginning of Republican period The Roman Republic’s most important contributions
to democracy are its institutions Most renowned was the Roman Senate which was
designed to be more structured than Athenian polis Second most important institution was its legal
system, including an unwritten constitution Key idea in Roman Republic was that ultimate
sovereignty lay with the people
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The Curia Julia - Roman Senate building
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Comparing Athens and the Roman Republic
Both political systems shared a face-to-face and oral culture
Both lacked strong a bureaucratic structure The “social glue” which held the political system
together was honor, patriotism and civic duty Ancient Athens and Rome provided a model for the
European Renaissance and the onset of modern thinking about democracy
But both societies favored the well-to-do and ignored the interests of the common people
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Modern liberalism and Social Contract theory
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The rise of liberalism The rise of liberalism in Continental Europe and
the British Isles was caused in large measure by the beginnings of the Industrial Revolution
Feudal concept of society which was comprised of 4 groups: monarchy, clergy, nobility, and serfs
Gradually, the rise of the concept of individualism replaced notion of divine right of kings
Rising commercial and entrepreneurial class challenged church, landowners and Medieval guild structure
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The rise of liberalism The idea of absolute monarchy began to be eroded
in England in 1215 with Magna Carta Beheading of Charles I in 1649
ended notion of divine right of kings Kings now forced to consult with
parliament which held real power With growth in urban areas as result of Industrial
Revolution, more people began to think in political terms and desire political participation
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The rise of liberalism The rise of liberalism and curtailing power of
the king was a result of economic growth Merchants and small industrialists could
now challenge the monarchy and landowners Guild system lost its ability to control
production in urban areas Parliament acquired ever more power, even
if its members were from prosperous classes
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The development of liberal ideas One of the key ideas of liberal thought was
the notion of the social contract This was a fiction upon which to base the
ideas of liberalism How could liberals explain and justify the
rights of individual subjects and the need of the sovereign (king) to heed their wishes?
Social contract theory was the answer
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The development of early liberal ideas Thomas Hobbes (1588-1679) is best known
for his concept of the state of nature He argued all men wanted to escape this
state where life was “nasty, brutish and short” Hobbes argued that men exchanged the right
to live in a state of nature for the security they received from ceding authority to a sovereign
But unless the sovereign repressed his people, they could not challenge his authority
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The contributions of John Locke Hobbes’ system allowed citizens very little
room to challenge their ruler (the monarch) John Locke (1632-1704) – is known as the
“Father of Classic Liberalism” Locke gave citizens more rights than Hobbes With Hobbes, and other English and Scottish
liberals, Locke argued for limited government and the right to own private property
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The contributions of John Locke Locke affected Voltaire and Rousseau, and
Scottish Enlightenment thinkers such as Adam Smith, and American revolutionaries
Thomas Jefferson, Alexander Hamilton, James Madison were some of the American thinkers affected by Locke’s writings
Unlike Hobbes, Locke believed that human nature was both tolerant and based in reason
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
The fundamentals of liberal thought The rights of the individual (vs. the state) The natural equality of all men The idea of civil society – that public space where
citizens organize to pursue their mutual interests uncontrolled by the state
The idea that political authority is only legitimate when it is representative, namely based on the consent of the governed
That citizens have the right to do whatever they wish, unless it is explicitly forbidden by the law
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Communitarian liberal thought While Locke sought to reduce the state’s intrusion
into the citizen’s life, others viewed democratic thought in more activist terms
Rousseau (1712-1778) believed man reached his potential when he left the state of nature
But left on his own, man would not pursue liberty or democracy
For Rousseau, man had to be “forced to be free” through adhering to the “General Will”
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Communitarian liberal thought Rousseau wanted a more activist form of
government which worked for all of society He was one of the theorists of democracy to
challenge the idea of private property Rousseau wanted a state in which social
inequality is eliminated He differed from Locke who emphasizes
“negative liberty” and the individual, and avoids the concept of community
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
John Locke
Three thinkers closely associatedwith the development of liberalism
Thomas Hobbes Jean-Jacques Rousseau
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
What have we learned?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
How has the past affected the present? Two very different traditions inform the concept of
democracy Early Greek and Roman concepts were narrow in
scope and limited to the privileged elite Hobbes and Locke’s foremost task was to protect the
individual and expand his rights in relation to state Rousseau supported social democracy, where the
state actively involves itself in lessening inequality One idea of democracy is directed at the individual
while the other promotes community building
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Tensions in democratic thought What are the main tensions that confront the
institutions and processes of democracy? The tension between civic obligations and the
rights of the individual The tension between individual freedom and
the need for order and stability The tension between strong institutions and
the exercise of democratic freedoms and individual liberty
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Democracy between theory and practice The ancient Greeks laid the foundation for much
subsequent democratic theory Why is Greek thought still so relevant today? What are the contradictions of ancient Greek
political theory? If the polis excluded large numbers of its members,
in what sense was it democratic? Can democratic theory be derived from political
processes that are inherently undemocratic in nature?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Republican concepts of democracy How did Republican thinkers respond to the
collapse of the Athenian polis? How do Republican thinkers today confront
the problem of order in democratic polities? How can the Republican form of democracy
insure that elected officials do not create a dictatorship?
Why does property loom so large in their thinking about democratic processes?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Participation and democratic rule What type for political participation is required
to have democratic rule? How does the notion of participation among the
ancient Greeks differ from modern notions? What do citizens today owe their country? How does Rousseau’s notion of participation
infringe upon individual rights? How then do we reconcile the requirements of
civic engagement with individual liberty?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Summary comments Critical to realize that democracy differs
over time and space in dramatic ways But democracy does have certain constants:
freedom, liberty, representative government, fair and periodic elections, accountability, transparency in decision-making, social inclusion, the rule of law, minority rights
Core debates today include the role of the state in everyday life – what should it be?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
Summary Comments II Is the government the friend or the enemy of the
people? Is it the solution or the problem? How can government serve the interests of its
citizenry without becoming an uncontrolled, bureaucratic Behemoth?
Should government be concerned with income inequality and expanding human rights, e.g., gay marriage?
Or is its role only that of the “night watchman state,” i.e., defending the nation, providing public works and insuring legal contracts are enforced?
Department of Political ScienceCenter for Middle Eastern Studies
Rutgers University
BibliographyDahl, Robert, On Democracy Held, David, Models of Democracy Hobbes, Thomas, LeviathanKramer, Sidney Noah, History Begins at SumerLocke, John, Two Treatises of GovernmentMcPherson, C.B., The Theory of Possessive IndividualismRousseau, Jean-Jacques, The Social Contract and Emile, or On EducationWolin, Sheldon, Politics and Vision