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- History and Theoretical Context
- Variety of Forms and System Environment
- Countries and Developmental Background
- National Level
- Regional Level
- Paths to Direct Democracy
- Issues and Controversies
Direct democracy means forms of direct participation of citizens in democratic decision making in contrast to indirect or representative democracy, based on the sovereignty of the people. This can happen in the form of an assembly democracy or by initiative and referendum with ballot voting, with direct voting on issues instead of for candidates or parties. Sometimes the term is also used for electing representatives in a direct vote as opposed to indirect elections (by voting for an electing body, electoral college, etc.), as well as for recalling elected officeholders. Direct democracy may be understood as a full-scale system of political institutions, but in modern times, it means most often specific decision-making institutions in the broader system environment of representative democracy. The following sections (a) introduce some historical background and theoretical ideas, (b) elaborate on various forms of direct democracy, (c) describe regulations and use of direct democracy in some important countries, and (d) present main issues and controversies.
History and Theoretical Context
The most important historical reference of direct democracy is to assembly democracy in ancient Greek city-states, particularly Athens, where decisions were taken by people’s assemblies of some 1,000 male citizens. Later, people’s assemblies were used in many Swiss cantons and towns, as well as in town meetings in some American colonies and states. Early U.S. states also started using procedures in which constitutions or constitutional amendments were ratified by referendums, which later became common in the United States. Popular sovereignty, proclaimed in the French Revolution, had rather been distorted, however, in Napoleon’s autocratic plebiscites. Switzerland and many U.S. states incorporated direct democracy in their constitutions during the 19th century, while Germany and few other countries adopted some elements after World War I. In a more general perspective, the ensuing introduction or practical use of direct-democratic institutions originated from three major types of developments:
- social class conflict to curb the political power of a dominating oligarchy (e.g., Switzerland, U.S. states);
- processes toward political/territorial autonomy or independence for legitimizing and integrating the new state unit (beginning after World War I); and
- processes of democratic transformation from authoritarian rule (e.g., Germany’s regional states after 1945, some Latin American countries).
Some countries show gradual reform developments (e.g., Uruguay).
Modern democracy most often developed not from the starting point of assembly democracy but, under absolutist or feudal conditions, from people gradually claiming a larger share of political representation and extension of representative voting rights. Constitutions, civil rights, and universal suffrage, which had been achieved in European and many other countries (generally by the end of World War I), were usually identified with “democracy” on the normative basis of the principles of popular sovereignty, freedom, and political equality. Thus, in many countries and theories, these principles have been tied to and absorbed by a narrow notion of representative democracy rather than being used to support a more comprehensive concept of democracy.
Normative theory of direct democracy still rests basically on popular sovereignty, freedom, and political equality, with Jean-Jacques Rousseau as the outstanding theorist of unanimous consent of the people for a free republican constitution and subsequent forms of participation. During the 19th century, these principles were increasingly challenged, or they were deprived of their substance beyond representative institutions. So, in many countries, direct-democracy institutions have not been established or implemented since representative elites developed a strong interest in monopolizing power. In addition, pragmatic theories contended that direct democracy could not work under space and time conditions of large modern states.
With this background of historical and theoretical restrictions, the normative theory of direct democracy cannot exclusively rest on popular sovereignty, which is also claimed by representative democracy. More specific arguments originate from the participatory theory of democracy and the critique of a lack of responsiveness and legitimacy of representative (party) democracy. The two sets of democratic institutions are distinguished by basic features of direct participation: (1) direct democracy focuses on specific issues, in contrast to voting on candidates and general programs for long terms of office, and (2) citizens themselves act as decision makers rather than delegating these powers. Like electoral systems, a variety of procedural forms, designs, and regulations are likely to influence processes and outcome. One must also keep in mind that direct-democratic processes cannot operate in isolation but are always linked to the structures of an overall political system that includes major representative institutions. Thus, interactions between the two types of institutions will be an important challenge for analysis. For instance, as George Tsebelis notes, referendum voters can be seen as an additional veto player. Some authors contend that direct democracy may undermine representative democracy, while others focus on the deliberative functions for a democratic public sphere and the capacity for integrating citizens in the democratic process. One can also assume that basic types or forms of direct-democracy procedures may result in different consequences.
Variety of Forms and System Environment
Direct democracy comes in a variety of institutional forms, with the common feature of procedures focusing on popular votes on political issues. Their main forms can be distinguished by the actors who start the procedure: Mandatory referendums have to be held when a referendum vote is required by law (e.g., a constitution) for deciding a specific subject. Referendums of governmental authorities take place when a president, cabinet, or legislature decides, under preregulated conditions or ad hoc, to call a popular vote on a particular issue. Sometimes, a minority of a legislature also is entitled to demand such a vote. Citizens’ initiatives that are supported by a required number of signatures allow the electorate to vote on political measures proposed by a group, on legislative acts by a parliament not yet in force, or on existing laws (citizen-demanded referendums). A popular vote may be binding according to the simple or specific majority or turnout requirements for a valid vote or may be defined as only consultative or advisory.
Some jurisdictions provide an agenda initiative that allows citizens with the support of a minimum number of signatures to place a particular issue on the agenda of a government or legislative authority. Such proposals have to be considered by the authority addressed, but they do not lead to a referendum vote.
There is some ambiguity and controversy as to whether procedures with a focus on directly electing or recalling holders of public office (executive positions, legislators) may be meaningfully included in the concept of direct democracy. These procedures refer, in fact, to the institutional system of representative democracy and its typical processes and, therefore, are not at the core of debates on direct democracy. However, there may be some differences in the degree to which voters have a direct influence on the final outcome of an electoral procedure (e.g., fixed or flexible list of candidates, direct vote, or vote for members of an intermediate body). In recall procedures, interrupting routine patterns of fixed office terms may stress the aspect of citizens reclaiming control of office functions. In practice, recall options of executive office holders are much more common than of members of legislative bodies or of complete legislatures.
Procedural types of direct democracy should be distinguished according to the main initiating actor of a procedure because they typically show different features regarding the agenda setter, the contents and wording of the proposal, the function of the ballot vote in terms of legitimation, innovation, and so on.
Governmental authorities initiating a referendum vote generally seek legitimation for policies on the government agenda, will regularly advocate an affirmative vote, and will have many ways of influencing process and outcome, including official communication resources. Therefore, the term plebiscite is often used, even more so when they are employed by autocratic or dictatorial regimes that cannot be called democratic at all.
Mandatory referendums also very often originate from governmental authorities entitled to bring forward proposals for which ratification by a referendum vote is required, particularly in the case of constitutional amendments or matters of state sovereignty, territory, or identity. Thus, whereas a popular vote on such specific subjects is required by law, the agenda and the substance of the referendum proposal are most often determined by governmental authorities. In some jurisdictions, however, specific issues, again like constitutional amendments, may also be proposed by citizens’ initiative and lead to a mandatory ballot vote (Switzerland, the United States, or German states).
In citizens’ initiative procedures, the agenda for issues and the proposals generally originate “bottom up” from some opposition or civil society groups that demand new political measures or legislation (law-promoting initiative) or object to a particular government project or legislative act (law-controlling initiative). In such a setting, the political initiative comes from social or minority forces, whereas governmental authorities are likely to be in a defensive position and want to defeat the proposals in a referendum vote.
Except for ad hoc referendum calls by governmental authorities, procedures of direct democracy, particularly citizen-initiated procedures, are regulated in various aspects. The area of admissible subject matters may be very restrictive, the number of signatures required for qualifying an initiative for a ballot vote may range from about 1% to one third of eligible voters, the time allowed for collecting signatures may be very short. Requirements for the validity of a popular vote may also vary from a majority of voters to qualified or double majorities or to specific turnout quorums. Usage will clearly be restrained by high initiating or validity requirements and initiating actors with strong resources will be privileged. Yet a higher level of approval may support the legitimacy of a vote.
Countries and Developmental Background
Provisions for direct-democratic instruments as well as their usage are distributed rather unevenly across continents, countries, and different levels of states.
On the national level, procedures and usage are most frequent in Europe and Latin America, whereas in Africa, Asia, or North America their number is small. Switzerland traditionally has the most elaborated system of direct democracy at the national, cantonal, and municipal levels. On the national level, mandatory referendums on constitutional amendments were introduced in 1848, citizen-demanded rejective referendums on new legislation of parliament in 1874, citizens’ initiatives on constitutional amendments in 1891, and mandatory referendums on major international treaties in 1921. Up to 2008, 222 mandatory referendums on constitutional and treaty issues, 162 rejective (“facultative”) referendums, and 165 citizen-initiated referendums on constitutional amendments have been held. On the lower levels, even more instruments are often available, such as the mandatory financial referendum and legislative citizens’ initiative. More than one of the instruments of direct democracy are also provided for and practiced on the national level in Uruguay and, more recently, in some of the Eastern European countries such as Latvia, Lithuania, or Hungary.
On the national level in most other countries, basically one specific instrument stands out. In Italy, for instance, most of the popular votes originated from citizens’ initiatives for an “abrogative referendum” to repeal an existing law or parts thereof (some 60 cases since 1970). In Australia and Ireland, only mandatory referendums on constitutional amendments are possible. In Austria, the national parliament can call a vote (used only once). In the Fifth Republic of France, the president has the right to call a referendum on important matters of sovereignty and state structure since 2008; one fifth of the National Assembly in combination with 10% of the electorate can also do so. In many countries, governmental authorities call referenda not on a preregulated but on an ad hoc basis. The subjects of these referenda have included accession to the European Economic Community or to the European Union (EU), independence or national unity in Canada, and ratification of a new constitution or of an agreement for conflict or constitutional settlement in Bolivia, Chile, Kenya, Russia, Spain, and South Africa.
The level of regional states within federations also offers important examples of direct democracy. In particular, about half of the states in the United States provide citizens’ initiative rights and some other procedures that quite often allow referendum votes on public finance. In many of these states, including Oregon, California, Colorado, and North Dakota, citizens’ initiatives (introduced before 1914) are frequently used. In Germany, all regional states (Lander) have introduced citizens’ initiatives, which, on the average, are used less often due to more restrictive requirements. In the United States and in Germany, initiatives and referendums are available and frequently used on the municipal level as well. In some countries, including the Czech Republic, Japan, Norway, and Poland, initiatives and referendums are only possible at the municipal level.
Paths to Direct Democracy
In systems of representative democracy, the introduction of instruments of direct democracy is not very likely since they are regarded as undermining established power structures. The historical origins of direct democracy institutions can be distinguished in typical paths:
- antioligarchic conflict, where initiative and referendum are directed against economic-political domination, like in Switzerland and the progressive movement in the Western states of the United States before 1914;
- system transformation toward democracy, like in post-Fascist Italy (implementation delayed until 1970), in German regional states after dictatorships in 1945 and 1990, or in Latin America in the 1980s and 1990s;
- state independence, like in Ireland (1922/1937) or in Latvia, Lithuania, and Slovenia after Soviet or Yugoslav domination.
From the first two paths, initiative instruments with lower requirements quite often emerged, whereas national independence often coincided with requirements stressing majoritarian unity. The origins of referendums called by governmental authorities are much more dispersed since they are mainly regarded as under government control and, thus, less dangerous to the governmental system. Issues of state independence, but also accession of states to supranational organizations such as the EU, very often are dealt with in government-initiated or in mandatory referendums. The first instrument of direct democracy with a transnational character is the European Citizens’ Initiative of the Lisbon Treaty, entered into force on December 1, 2009 (Article 11.4), an agenda initiative that allows 1 million European citizens to propose legislation to the European Commission (without a referendum).
Issues and Controversies
Discussions on direct democracy institutions deal with several issues. The strongest normative grounds for direct democracy are the democratic principles of popular sovereignty, political equality, and all the arguments for participative democracy that support the idea that all citizens should have the right not only to elect representatives but also to vote on policy issues in referendums. Since assembly democracy cannot be an option in modern societies, direct democracy institutions are not regarded as a full-scale system alternative to representative democracy but as a supplement to or counterweight within democratic systems with major representative features. Nevertheless, the institutional difference and competition between representative and direct democratic processes lie at the core of the controversy whether direct democracy contributes to undermining representative democracy or can offer enrichments of democracy.
In general, representative democracy is often seen as superior because general elections give citizens an encompassing choice between alternative governments and complex and coherent programs, because governments and parliaments have greater capacity for informed decisions including expert judgment, and because representatives can be held accountable for their decisions. Arguments in support of direct democratic instruments refer to various aspects:
- Direct democratic issue voting can, during terms of office, deal with issues that have not been discussed at general elections. Citizens’ initiatives in particular can enrich the political agenda and, thus, contribute to the function of political articulation and innovation. The range of political actors tends to be broader than already present in the party system.
- Direct democracy also offers citizens additional and more specific instruments of political control during terms of office, particularly initiative proposals and citizen-demanded referendums to reject new legislation or delete existing laws.
- One major area of controversy deals with information, competence, and the quality of decision making. While representative institutions may indeed hold intense deliberations on many subjects, direct-democratic decision-making processes can also provide for specific issues the opportunity of intense and widespread public debates, during which citizens can become informed about controversial value and factual considerations. Yet as voters are often described as badly informed and incompetent, the danger of manipulation by resourceful actors (parties, strong interest organizations, corporations, media) is a major issue. Design and regulations, however, can make a difference, for example, comparing Switzerland and U.S. states such as California, since Switzerland does not allow TV advertising in referendum campaigns. Hanspeter Kriesi (2005) and Daniel Smith and Caroline Tolbert (2004) especially found that, as a general trend, referendum debates and campaigns provide a major potential for dissemination of information and for political education. Important factors are a broader field of political actors in such campaigns and more intense communication of arguments in the media.
- How voters select their choice in referendum voting attracted two rather opposite assumptions. According to one, party orientations might be simply duplicated in issue voting behavior; the other one contends that interest groups, media, and even “demagogues” can influence voters strongly. The trend in the literature seems to be that the less informed parts of the electorate look for party orientation, while voters who are better informed and educated may take a more independent choice by using more arguments for forming opinions. Thus, as Ian Budge (1996) notes, direct democracy must not be unmediated, since governments and parties can also play an important mediating role. This may be particularly true when government authorities initiate a referendum vote in optional or mandatory referendums.
- One promise of direct democracy is that more political participation can be realized. This is surely the case since more opportunities and occasions to debate policy issues and to vote in referendums are offered. Nevertheless, some criticism remains that the participation goal is not realized, particularly for social groups that also participate little in electoral politics. It is argued that in referendums turnout is often lower than in general elections and that referendums lead to a lower turnout in elections also. Yet this cannot be generalized since turnout varies significantly dependent on issues, for example, in Switzerland from 30% to around 80% of registered voters. In addition, when ballot votes regularly do not take place in conjunction with general elections (like in Switzerland), turnout variation will be stronger than when referendum votes are mostly held on election days (like in the United States). Other shortcomings of extended participation of direct democracy are seen in a “social bias,” where lower social strata with deficits in status, income, and education tend to be less motivated or competent to participate in discussions or in voting. Again, at least to some degree, this seems to be balanced by policy issues specifically relevant for these groups in which they participate to a larger degree. Finally, if a larger share of citizens do not participate, but abstain from voting, legitimation problems in referendum votes may arise. In some jurisdictions, regulations respond by requiring a qualified majority for a valid vote in the form of turnout or approval quorums. The disadvantage of turnout quorums is that, in turn, it invites even more abstentions and campaigns to abstain even from voting “no,” while approval quorums at least devaluate majority votes.
- Direct democracy institutions have also been reflected in their relation to majorities and minorities. Citizen-initiated procedures are supposed to serve as potential instruments of minorities since they can present new proposals or demand a referendum on new legislation. This is likely to be true for placing issues on the agenda. In the referendum vote, however, the majority principle applies, which means that minority rights or interests can be endangered. Specific concerns relate to basic rights of minorities, which, however, can best be protected against offensive majority rule by constitutional guarantees, courts, and prereferendum constitutionality checks. Sometimes, the validity of referendum votes is regulated by qualified or double majorities to protect minorities. More generally, referendums can also support developments toward autonomy or even independence of regional “minority” populations.
- Policy impacts of direct democratic decision making also received attention. Research on economic and financial effects at the regional and local levels of Swiss and U.S. direct democratic institutions found beneficial consequences in macroeconomic and fiscal performance. According to one thesis, strong interest groups will gain more from initiatives and referendums, whereas empirical economic studies, such as the one by John Matsusaka (2004), tend to find advantages rather with the broader population. In other policy issues such as the environment or moral topics, tentative and controversial evidence prevails.
- Other consequences attributed to direct democracy refer to structural or system impacts on representative democracy or the overall system of democracy. In the case of Switzerland, particularly, it has been argued that direct democracy had a long-term effect toward a system of consensus democracy as opposed to majoritarian democracy. Mechanisms of consensus governments may indeed have developed to anticipate and integrate as many interests as possible, which otherwise might be able to initiate referendums against new legislation (instruments such as citizens’ initiatives and mandatory referendums would be less relevant here).
In other jurisdictions, however (e.g., in Italy or German or U.S. states), similar effects away from majoritarian party competition and toward consensus democracy could not be observed; in presidential systems such as in the U.S. states legislative majorities and the executive are disconnected anyway. Thus, generalizations from the Swiss example on a developmental logic toward consensus government should not be easily drawn.
One should keep in mind that government-initiated and government-controlled referendums may in many respects show distinct features from citizen-initiated procedures. Government-driven instruments tend to be more influenced by policy projects and campaign capacities of central political authorities. Citizen-initiated procedures are more open for minorities, participation, innovation, and government control, yet they are less likely to succeed in the ballot vote. Nevertheless, as a process, they tend to offer a greater potential for supplementing and balancing the institutional shortcomings and power structures of representative democracy. Particularly in times of political crises, direct democracy can provide an important function in offering channels for reactivating popular sovereignty as the fundamental value and force of democracy. This power of preserving the sources of popular sovereignty alone makes it worthwhile to keep direct democracy going under routine conditions of democracy.
- Altman, D. (in press). Power to the people? A global view on direct democracy. Santiago, Chile: Instituto de Ciencia Politica-Pontificia Universidad Catolica de Chile.
- Budge, I. (1996). The new challenge of direct democracy. Cambridge, UK: Polity Press.
- Butler, D., & Ranney, A. (Eds.). (1994). Referendums around the world: The growing use of direct democracy. Basingstoke, UK: Macmillan.
- Initiative and Referendum Institute Europe. (2008). Guidebook to direct democracy in Switzerland and beyond. Marburg, Germany: Author.
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- Kriesi, H. (2005). Direct democratic choice: The Swiss experience. Lanham, MD: Lexington Books.
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- Smith, D. A., & Tolbert, C. J. (Eds.). (2004). Educated by initiative: The effects of direct democracy on citizens and political organizations in the American states. Ann Arbor: University of Michigan Press.