What Democracy Is. . . and Is Not

What Democracy Is . . . and Is Not Philippe C. Schmitter (bio) and Terry Lynn Karl (bio) For some time, the word democracy has been circulating as a debased currency in the political marketplace. Politicians with a wide range of convictions and practices strove to appropriate the label and attach it to their actions. Scholars, conversely, hesitated to use it—without adding qualifying adjectives—because of the ambiguity that surrounds it. The distinguished American political theorist Robert Dahl even tried to introduce a new term, "polyarchy," in its stead in the (vain) hope of gaining a greater measure of conceptual precision. But for better or worse, we are "stuck" with democracy as the catchword of contemporary political discourse. It is the word that resonates in people's minds and springs from their lips as they struggle for freedom and a better way of life; it is the word whose meaning we must discern if it is to be of any use in guiding political analysis and practice. The wave of transitions away from autocratic rule that began with Portugal's "Revolution of the Carnations" in 1974 and seems to have crested with the collapse of communist regimes across Eastern Europe in 1989 has produced a welcome convergence towards a common definition of democracy.1 Everywhere there has been a silent abandonment of dubious adjectives like "popular," "guided," "bourgeois," and "formal" to modify "democracy." At the same time, a remarkable consensus has emerged concerning the minimal conditions that polities must meet in order to merit the prestigious appellation of "democratic." Moreover, a number of international organizations now monitor how well [End Page 75] these standards are met; indeed, some countries even consider them when formulating foreign policy.2 What Democracy Is Let us begin by broadly defining democracy and the generic concepts that distinguish it as a unique system for organizing relations between rulers and the ruled. We will then briefly review procedures, the rules and arrangements that are needed if democracy is to endure. Finally, we will discuss two operative principles that make democracy work. They are not expressly included among the generic concepts or formal procedures, but the prospect for democracy is grim if their underlying conditioning effects are not present. One of the major themes of this essay is that democracy does not consist of a single unique set of institutions. There are many types of democracy, and their diverse practices produce a similarly varied set of effects. The specific form democracy takes is contingent upon a country's socioeconomic conditions as well as its entrenched state structures and policy practices. Modern political democracy is a system of governance in which rulers are held accountable for their actions in the public realm by citizens, acting indirectly through the competition and cooperation of their elected representatives.3 A regime or system of governance is an ensemble of patterns that determines the methods of access to the principal public offices; the characteristics of the actors admitted to or excluded from such access; the strategies that actors may use to gain access; and the rules that are followed in the making of publicly binding decisions. To work properly, the ensemble must be institutionalized—that is to say, the various patterns must be habitually known, practiced, and accepted by most, if not all, actors. Increasingly, the preferred mechanism of institutionalization is a written body of laws undergirded by a written constitution, though many enduring political norms can have an informal, prudential, or traditional basis.4 For the sake of economy and comparison, these forms, characteristics, and rules are usually bundled together and given a generic label. Democratic is one; others are autocratic, authoritarian, despotic, dictatorial, tyrannical, totalitarian, absolutist, traditional, monarchic, oligarchic, plutocratic, aristocratic, and sultanistic.5 Each of these regime forms may in turn be broken down into subtypes. Like all regimes, democracies depend upon the presence of rulers, persons who occupy specialized authority roles and can give legitimate commands to others. What distinguishes democratic rulers from nondemocratic ones are the norms that condition how the former come to power and the practices that hold them accountable for their actions. [End Page 76] The public: realm encompasses the making of collective norms and choices...