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8/3/2019 OPPD - Democracy Revisited.original
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D e m o c r a c y
r e v i s i t e D
Whh Nn f D f
h eU exnl rln?
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O P P D O i c e o r P r o m o t i o no P a r l i a m e n t a r y D e m o c r a c y
DG EXPO European Parliament
Rue Wiertz 60 (Willy Brandt Building 04M061)
B-1047 Brussels, BELGIUM
e-mail oppd@europarl.europa.eu
tel. +32 (0)2 284 42 29
ax +32 (0)2 284 90 05
h t t p : / / w w w . e u r o p a r l . e u r o p a . e u / o p p d
OPPD Coordinaors: Dick Toornstra and
Thomas Huyghebaert
Research produced by Michael Meyer-Resende,
Democracy Reporting International (DRI) Berlin,
with additional assistance by Jasmin Wisniewska,
assistant at the European University, Viadrina,
Frankurt/Oder.
Manuscrip compleed in Sepember 2009
Brussels, European Parliamen.
The opinions expressed in this document are the sole
responsibility o the authors and do not necessarily
represent the ocial position o the European Parliament.
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D e m o c r a c y r e v i s i t e DWhh Nn f D f h eU exnl rln?
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Execuive Summar 5
1. Inroducion 7
2. Inernaional and Regional Organisaions Eors in Dening Democrac 11
3. Essenial Elemens o a Democrac 17
3.1 Participation in Public Aairs without Discrimination and the Right 17
to Stand and To Vote in Elections
3.2 Freedoms o Expression and Opinion, Association, Assembly 18
3.3 Separation o Powers 19
3.4 The Role o Parliament 20
3.5 The Rule o Law 22
3.6 Pluralistic system o political parties and organisations 23
3.7 Transparency and Accountability 23
3.8 Free Media 25
3.9 Table on Commitments to Democracy by International, Regional 26-27
Organisations and Groupings
4. Poliical Commimens vs. Legal Obligaions 28
5. Conclusion: Wic Noion o Democrac or e EUs Exernal Relaions? 29
Bibliograp 31
Annex - Compilaion o Democrac Commimens b 33
Iner-Governmenal Organisaions
Table o contents
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would also reect the EUs own views. There
are two reasons to reer to defnitions adopted
in the UN. First, using a UN-based defnition o
democracy makes more sense diplomatically.
There is no compelling reason or EU partnercountries to accept a specifc EU defnition;
indeed they may reject it as a unilateral imposi-
tion. In contrast, they cannot easily object to
a defnition originating in the UN. While some
other regional organisations have defned de-
mocracy, they have done so in relation to their
own region, not with a view to external democ-
racy support. Second, the EU has defned the
strengthening o eective multilateralism and
a rule-based international order as a strategic
objective. Engaging in democracy promotion
world-wide based on a UN defnition would be
more in line with these objectives than adopting
a distinct EU defnition.
There is no authoritative defnition o de-
mocracy that claims to include all possible
components o democracy. Indeed, the exact
defnition and scope is an area o some con-
troversy. However, there is an international
consensus on essential elements o democ-
racy. These elements have been best defned in
two resolutions by the UNs General Assembly,
both o which have been adopted by very large
majorities o the UNs member states, with no
objections and only a ew abstentions. These
resolutions are thereore the ideal reerence
The European Union consists o 27 Member
States, each with their own orm o democracy,
shaped by history, culture and circumstance. All
are equally valid, and their individual character-
istics enrich democracy in Europe. The same istrue or democracies in other parts o the world.
Democracy has underpinned the political,
social, cultural and economic development o
the European Union and rom its collective ex-
perience the EU is convinced that it represents
the best orm o government. The development
and consolidation o democracy worldwide has
thereore become a key objective o its Com-
mon Foreign and Security Policy as well as its
Development Cooperation Policy.
For some time now the EU has been discuss-
ing whether it should adopt an ofcial defnition
o democracy as a basis or its democracy
promotion eorts abroad.
This paper argues the opposite, as there are
many available defnitions, emanating rom dier-
ent organisations around the world, which share
many common elements. It may thereore be
advisable or the EU to rely on an existing, com-
prehensive defnition o democracy adopted by
the largest possible group o countries, notably
the UN General Assembly, rather than adopt-
ing its own version. This defnition would not
only have the greatest possible authority, but
Executive Summary
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point or the EUs democracy work abroad.
Those resolutions also very much mirror the EU
views as defned in the Treaties and in various
policies and agreements.
One o the two UN resolutions is dedicated to
democracy promotion by regional organisations
and explicitly includes the ollowing essential
elements o democracy:
Respect or human rights and undamental
reedoms, inter alia, reedom o association
and peaceul assembly, reedom o expres-
sion and reedom o opinion
The right to take part in the conduct o pub-
lic aairs, directly or through reely chosen
representatives, to vote and to be elected at
genuine periodic ree elections by universal
and equal surage and by secret ballot guar-
anteeing the ree expression o the will o the
people
A pluralistic system o political parties and
organisations
Respect or the rule o law The separation o powers and the independ-
ence o the judiciary
Transparency and accountability in public
administration
Free, independent and pluralistic media
In order to strengthen concerted worldwide
actions to promote democracy, the EU could
publicly endorse the UN General Assemblys
defnition as the reerence point o its own
democratisation work. The EU, in its support
to third countries, should ater all enable these
countries to ollow their own specifc path to
democracy.
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government, ederal and non-ederal states,
written and unwritten constitutions, the Execu-
tive drawn rom the Parliament, the Executive
excluded rom the Parliament, and so on. Yet
their citizens and ellow EU members considerall these states democracies, in spite o their
dierences. This suggests that it is not the
ormal nature o the democracy but its practice
that determines its characteristics.1
In 2006 the Policy Unit o the Council Gen-
eral Secretariat presented a discussion paper
on democracy promotion in the EUs external
relations. It claimed that there was a need to
develop a clearer prole, suggesting that a bet-
ter defned, more comprehensive and balanced
approach would be required.
However, this attempt to defne and consoli-
date the EUs democracy assistance agenda,
to defne its meaning and goals, and to identiy
better coordination mechanisms and policies
did not succeed.
A number o changes in geopolitics and
increasing demands on the EU or assistance
in democratisation processes have initiated
renewed thinking on this issue amongst several
recent EU presidencies, notably the French,
Czech and Swedish ones. It seems that the
time is now ripe to strive or a European con-
The Treaties signed in Rome in 1957 estab-
lishing amongst others the European Economic
Community contained no article relating to
democracy or undamental rights. The Treaties
were primarily seen as having a sectoral andmainly economic vocation which did not justiy
the inclusion o an essentially political provision.
It took another 30 years beore a new Treaty,
the Single European Act, came into orce with a
preamble stating that the signatories were de-
termined to work together to promote democ-
racy on the basis o the undamental rights.
In several later texts and policy rameworks,
or example the Copenhagen criteria, the Stabi-
lisation and Association process, the European
Neighbourhood policy, the Cotonou Agreement
or the European Consensus on Development,
this commitment to democracy promotion is
repeated.
Yet the European Union still did not attempt
to explicitly defne democracy or related terms
like democratic governance, democratisation
or even democratic politics.
Within the EU Member States, democracy
takes many dierent orms: constitutional mon-
archies, republics, executive and non-executive
heads o state, unicameral (15) and bicameral
(12) parliaments, centralised and decentralised
Introduction
1. UK Foreign and Commonwealth Ofce, Promoting democratic governance as part o EU CFSP and sustainable development policies, 2008
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to analytical conusion. Chinas one-party-state
has lited millions out o poverty, but this does
not make the country partly democratic.
The EUs dilemma is that any defnition it mayadopt can be rejected by partner states. Why
should they be judged by a standard that the
EU developed unilaterally? Sure, some regional
organisations have adopted democracy defni-
tions, such as the Organization o American
States (OAS) and the Organization or Security
and Co-operation in Europe (OSCE). However,
these are internal defnitions or use in their re-
gions, while the EU looks to defne democracy
in its external dimension, vis--vis other states
and international organisations around the
world. Would it not be more helpul to fnd out
what the world thinks about democracy, and
take that as a base to move orward?
In 2005 the international community, repre-
sented by 172 states, including all EU member
states, approved a UN General Assembly
resolution, which defned essential elements
o democracy. No state voted against it and
only 15 abstained. According to the resolution,
the essential elements are: Respect or human
rights and undamental reedoms, inter alia,
reedom o association and peaceul assembly
and o expression and opinion; the right to take
part in the conduct o public aairs, directly or
sensus on democracy, in other words a cross-
institutional umbrella policy document on what
shape the European approach to democracy
support should take2.
I the EU is eager, as it claims, to oster collab-
oration based on genuine partnerships, it would
be helpul, both in the interest o transparency
and airness towards these partners, to clariy
what Europe means by democracy. This im-
mediately raises the question o whether the EU
should defne its own notion o democracy.
International IDEA, the Stockholm-based de-
mocracy assistance think tank, has published
an insightul study3 on international perceptions
o EU democracy promotion. Many people eel
that the EU should not only emphasise the
procedures o democracy, but also its perorm-
ance, in particular in addressing economic
inequalities. Consequently, the study proposes
a broad understanding o democracy, which
includes the question o economic develop-
ment. However, while it is useul to look at
the nexus between development support and
democracy promotion, the two should not be
mixed together. First, the importance o politi-
cal reedoms goes beyond simply procedures.
They have an intrinsic value, and are not only
a means to achieving better incomes. Second,
too broad an understanding o democracy leads
2. Maria Leissner, Ambassador or Democracy in Development Cooperation, 29 September 2008, Stockho lm.
3. Democracy in Development, Global Consultation on the EUs role in democracy building IDEA, July 2009.
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saer when its in the harbour. But that is not
where ships are meant to be.4
In order to stimulate the debate and help
shape an inter-institutional understanding o theEUs role in democracy promotion, the OPPD
has thereore produced this paper containing a
mapping exercise o existing defnitions and key
elements o democracy.
This paper will highlight and explain these
core elements, arguing that the EU should con-
frm existing commitments and use an existing
defnition o essential elements o democracy
by the UN General Assembly as a reerence
point, rather than re-inventing the wheel and
imposing a new unilateral EU denition on
third countries in its external relations.
A compilation o selected texts o democracy
commitments by the UN and regional inter-
governmental organisations is presented in the
Annex.
Dick Toornstra
Special Advisor or the Promotion
o Parliamentary Democracy
through reely chosen representatives, to vote
and to be a candidate; a pluralistic system o
political parties and organisations; respect or
the rule o law; the separation o powers and
the independence o the judiciary; transparencyand accountability in public administration; and
ree, independent and pluralistic media.
The EU should endorse these essential
elements and make clear that they reect its
understanding o democracy. Given that these
are only essential elements, this would leave
the debate open on whether there are other
elements that make a democracy, a debate
that appears, at present, to be inconclusive.
Other states could not object to a defnition
that they have endorsed previously. Working
with a defnition emanating rom the UN context
would also be in line with the EUs objective o
strengthening multilateralism and a rule-based
international order.
The time has come to move ahead and
translate the core value o the European Union
into a priority in its external relations.
This will not be an easy exercise and there
will be conicting interests to reconcile, but this
should not rerain us rom trying. There is lit-
tle o value in political lie that is accomplished
without taking risks. Some say that a ship is
4. Javier So lana, EU High Representative or the CFSP, Ditchley Foundation lecture, London, 11 July 2009.
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maintain that all these components orm part
o international and regional commitments.
However, such a method would not be satis-
actory or the EUs purposes, because the a
prioridefnition o democracy does not emergerom international commitments and would
thereore not command international authority.5
For example, one could argue that fghting cor-
ruption is an integral part o democratic gov-
ernance and then list a range o international
and regional commitments to fght corruption.
But this would only prove that fghting corrup-
tion is an international commitment, not that it
orms part o an internationally agreed notion o
democracy.
The approach o this study to the meth-
odological problem is an approximation to a
democracy defnition in two steps: First, the
ew explicit defnitions o democracy will be
presented and assessed; second given the
breadth o some o these defnitions hints will
be sought or which components are consid-
ered to be particularlyrelevant or democracy
and thereore orm essential elements o de-
mocracy.
MEthODOLOGy
This report identifes international and re-
gional commitments to democracy. The notion
ocommitments reers to texts with a degree
o international authority, adopted in the rame-
work o inter-governmental organisations, andincludes:
Legal obligations stemming rom treaties,
such as the International Covenant or Civil
and Political Rights (ICCPR)
Customary international law, such as parts o
the Universal Declaration o Human Rights
Political commitments (resolutions, declara-
tions, etc.)
A methodological difculty in the search or
a commonly agreed defnition o democracy is
that only a ew texts explicitly defne democracy.
Instead, democracy is oten mentioned along-
side other concepts, such as human rights, the
rule o law, civil society or good governance,
making it difcult to identiy which components
are essential to democracy.
One approach would be to establish a priori
the components o democracy, or example
based on an academic defnition, and then
5. In addition, there is obviously no agreement in academia on how to defne democracy. Defnitions range rom Schumpeters minimalist
competitive struggle o r peoples votes to a long list o indicators, including social and economic rights and the international dimension o
democracy in the University o Essex/International IDEAs methodology.
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in public administration, and ree, independent
and pluralistic media;7
The UN World Summit outcome document8
o the same year reafrms that democracy isa universal value but that there is no single
model. It stresses however that democracy,
development and respect or all human rights
and undamental reedoms are interdependent
and mutually reinorcing.
It will be argued in the conclusion o this pa-
per that this resolution and the World Summit
outcome paper should be used as the main
reerence points or the EUs promotion o de-
mocracy abroad.
Already in 2001 the UN GA adopted a highly
relevant resolution on promoting and con-
solidating democracy9, which contained all the
elements o the 2005 resolution, albeit without
an operational defnition.
The UN GA resolution o 2005 echoed an
earlier defnition by the UN Human Rights Com-
mission10, which declared in 2003:
that the essential elements o democracy
include respect or human rights and unda-
Some United Nations declarations and resolu-
tions defne or explain the notion o democracy.
The UN General Assembly (GA) stated in its
2000 Manila declaration:that democracy is based on the reely ex-
pressed will o the people to determine their
own political, economic, social and cultural sys-
tems and on their ull participation in all aspects
o their lives.6
The most relevant attempt by the UN GA to
defne democracy may have been a 2005 reso-
lution declaring that:
() the essential elements o democracy in-
clude respect or human rights and undamental
reedoms, inter alia, reedom o association and
peaceul assembly and o expression and opin-
ion, and the right to take part in the conduct o
public aairs, directly or through reely chosen
representatives, to vote and to be elected at
genuine periodic ree elections by universal and
equal surage and by secret ballot guarantee-
ing the ree expression o the will o the people,
as well as a pluralistic system o political parties
and organisations, respect or the rule o law,
the separation o powers, the independence o
the judiciary, transparency and accountability
6. UN General Assembly, A/55/L.32/Rev.1, 24 November 2000.
7. UN Genera l Assembly, Enhancing the role o regional, sub-regional and other organisations and arrangements in promoting and
consolidating democracy, 23 March 2005, UN Doc A/RES/59/201.
8. UN General Assembly, A/RES/60/1, 16 September 2005.
9. UN General Assembly, Promoting and consolidating democracy, 4 December 2000, UN Doc A/RES/55/96.
10. The UN Human Rights Commission was replaced in 2006 by the Human Rights Council.
2. International and Regional OrganisationsEorts in Defning Democracy
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12
Some o these elements are explained in
greater detail in another declaration by the Hu-
man Rights Commission, which states:
() that the rights o democratic governance
include, inter alia, the ollowing:(a) The rights to reedom o opinion and expres-
sion, o thought, conscience and religion, and
o peaceul association and assembly;
(b) The right to reedom to seek, receive and
impart inormation and ideas through any me-
dia;
(c) The rule o law, including legal protection o
citizens rights, interests and personal security,
and airness in the administration o justice and
independence o the judiciary;
(d) The right o universal and equal surage, as
well as ree voting procedures and periodic and
ree elections;
(e) The right o political participation, including
equal opportunity or all citizens to become
candidates;
() Transparent and accountable government
institutions;
(g) The right o citizens to choose their govern-
mental system through constitutional or other
democratic means;
(h) The right to equal access to public service in
ones own country.12
As explained in the introduction, the EU never
ormally defned democracy and it was only in
mental reedoms, inter alia reedom o associa-
tion, reedom o expression and opinion, and
also include access to power and its exercise
in accordance with the rule o law, the holding
o periodic ree and air elections by universalsurage and by secret ballot as the expression
o the will o the people, a pluralistic system o
political parties and organisations, the separa-
tion o powers, the independence o the judici-
ary, transparency and accountability in public
administration, and ree, independent and plu-
ralistic media; ()
Recognizes the comprehensive nature o
democracy as a system o governance that en-
compasses procedures and substance, ormal
institutions and inormal processes, majorities
and minorities, mechanisms and mentalities,
laws and their enorcement, government and
civil society.11
The UN GA resolution and the Human Rights
Commissions declaration are most relevant, be-
cause they provide a ull defnition o democracy.
By talking o essential elements, they outline
the core components, while acknowledging that
there may be others as well. They also imply that
some human rights are particularly relevant or
the notion o democracy, namely the reedoms
o association, expression and opinion, as well
as the right to vote and to stand in elections.
11. Commission on Human Rights, Interdependence between democracy and human rights, 23 April 2003, UN Doc E/CN.4/2003/L.11/Add.4.
12. Commission on Human Rights, Promoting and consolidating democracy, 25 April 2000, UN Doc E /CN.4/RES/2000/47.
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pean Union will become legally binding. While
the Charter is mainly ocused on human rights
protection, it also includes several provisions on
elements o democracy. Conscious o its spir-
itual and moral heritage, the Union is ounded onthe indivisible, universal values o human dignity,
reedom, equality and solidarity; it is based on the
principles o democracy and the rule o law.18
The Lisbon Treaty, as well as the existing Treaty
on European Union, also reers to other Europe-
an documents such as the Charter o Paris or a
New Europe (1990) where democracy is reerred
to and defned in greater detail: We undertake to
build, consolidate and strengthen democracy as
the only system o government o our nations
Democratic government is based on the will o
the people, expressed regularly through ree and
air elections. Democracy has as its oundation
respect or the human person and the rule o law.
Democracy is the best saeguard o reedom o
expression, tolerance o all groups o society,
and equality o opportunity or each person
Democracy, with its representative and pluralist
character, entails accountability to the electorate,
the obligation o public authorities to comply with
the law and justice administered impartially. No
one will be above the law.19
the 1980s and 1990s that the importance o
democracy, which had been central to its own
development and integration, was underlined.
The Treaty on European Union or instance
states that the EU is ounded on the principles odemocracy, human rights and the rule o law and
that these are objectives o its oreign policy. Fur-
thermore, or the process o enlargement, the EU
has adopted political criteria that acceding states
need to ulfl: stability o institutions guaranteeing
democracy, the rule o law, human rights and
respect or and protection o minorities.13 These
criteria are recalled in the Stabilisation and Asso-
ciation process which covers the Western Balkan
countries and includes provisions on eventual
uture EU membership.14 The same objectives
guide the European Neighbourhood Policy.15
Likewise, EU policy on governance and develop-
ment16 includes the protection and promotion o
human rights and democracy as priority issues
to be integrated in country strategies, dialogues
and all relevant external assistance instruments.
They are acknowledged in the European Con-
sensus on Development17 as a common value
or the EU vision o development.
Should the Lisbon Treaty enter into orce,
the Charter o Fundamental Rights o the Euro-
13. Copenhagen European Council, 1993.14. Zagreb summit in November 2000. http://europa.eu.int/comm/enlargement/ intro/sap/summit_zagreb.htm.
15. Strategy Paper COM(2004) 373 fnal o 12.5.2004, Council conclusions o 14.7.2004.
16. Commission Communication COM(2003)615 fnal o 20 October 2003; Council conclusions o 17.11.2003.
17. Joint Statement by the Council and the representatives o the governments o the Member States. Meeting within the Council, the European
Parliament and the Commission: The European Consensus on Development.
18. Preamble, Charter o Fundamental Rights o the European Union, 2000.
19. OSCE, Charter o Paris or a New Europe, 1990, pp. 3-5.
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14
the EU on democracy, it is worth looking at
the practice and essential characteristics o
EU democracies. In a recent UK Foreign and
Commonwealth Ofce paper on promoting
democratic governance as part o EU CFSPand sustainable development policies21, an
interesting overview is given o what is common
to all EU democracies:
All adult citizens have the right to vote in elec-
tion and to run or public ofce
Elected representatives are chosen in regular,
ree and air elections, with secret ballots
Elected representatives have power to con-
trol government decisions about policy
Elected representatives exercise their con-
stitutional powers without acing overriding
opposition rom unelected ofcials
People have the right to express themselves
on political matters, defned broadly, without
the risk o state punishment
People have the right to seek out diverse
sources o inormation, such as the media,
and such sources enjoy legal protection rom
improper intererence
People have the right to orm independent
associations and organisations, including
independent political parties and interest
groups
Elected representatives have eective control
over state orce, whether civilian or military
People are able to enjoy their human rights,
Some EU agreements provide urther details,
such as the Cotonou Partnership Agreement
concluded between the European Commission
and Arican, Caribbean and Pacifc states:
(...) The Parties reer to their international ob-ligations and commitments concerning respect
or human rights (...) Democratic principles are
universally recognised principles underpin-
ning the organisation o the State to ensure
the legitimacy o its authority, the legality o its
actions refected in its constitutional, legisla-
tive and regulatory system, and the existence
o participatory mechanisms. On the basis o
universally recognised principles, each country
develops its democratic culture. The structure
o government and the prerogatives o the di-
erent powers shall be ounded on rule o law,
which shall entail in particular eective and ac-
cessible means o legal redress, an independ-
ent legal system guaranteeing equality beore
the law and an executive that is ully subject to
the law (...).20
This does not amount to a ull list o essential
elements o democracy, but a number o com-
ponents o the UN GA resolution are included,
such as participation, human rights, the rule o
law, transparency and accountability, ree me-
dia and the independence o the judiciary.
Beyond what has been ormally stated by
20. Article 9, Partnership Agreement ACP-EC, signed in Cotonou on 23 June 2000, revised in Luxembourg on 25 June 2005.
21. UK Foreign and Commonwealth Ofce, Promoting democratic governance as part o EU CFSP and sustainable development policies, 2008
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o society, and equality o opportunity or each
person.
Democracy, with its representative and plu-
ralist character, entails accountability to theelectorate, the obligation o public authorities to
comply with the law and justice administered
impartially. No one will be above the law.22
This OSCE commitment includes elements o
the UN GAs defnition, but is less detailed.
The Organizaion o American Saes (OAS)
states:
Essential elements o representative democ-
racy include, inter alia, respect or human rights
and undamental reedoms, access to and the
exercise o power in accordance with the rule o
law, the holding o periodic, ree, and air elec-
tions based on secret balloting and universal
surage as an expression o the sovereignty
o the people, the pluralistic system o political
parties and organizations, and the separation o
powers and independence o the branches o
government.
Transparency in government activities, probity,
responsible public administration on the part o
governments, respect or social rights, and ree-
dom o expression and o the press are essential
components o the exercise o democracy.
The constitutional subordination o all state
and without any discrimination as to race,
colour, sex, language, religion, political or
other opinion, national or social origin, prop-
erty, birth or other status
The rule o law prevails, so that no one isabove the law and all are equal beore the
law
Government is shared between state, na-
tional, regional and local authorities, so that
public participation and representation is
wide and deep
EU member states support democratic
principles in international relations, abide by
international law and resolve their dierences
through peaceul means
These characteristics reect to a large extent
what is in the UN GA resolution, while being a
little more specifc on a ew aspects.
Some regional governmental organisations
have also made declarations, seeking to clariy
the meaning o democracy. The Organizaion
or Securi and Co-operaion in Europe
(OSCE) states:
Democratic government is based on the will
o the people, expressed regularly through ree
and air elections. Democracy has as its oun-
dation respect or the human person and the
rule o law. Democracy is the best saeguard o
reedom o expression, tolerance o all groups
22. OSCE, Charter o Paris or a New Europe, 1990.
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8. Transparency and airness in the manage-
ment o public aairs;
9. Condemnation and rejection o acts o cor-
ruption, related oenses and impunity;
10. Condemnation and total rejection o uncon-stitutional changes o government;
11. Strengthening political pluralism and recog-
nising the role, rights and responsibilities o
legally constituted political parties, including
opposition political parties, which should be
given a status under national law.24
The AU charter includes all essential elements
outlined in the UN GA resolution, although in
its reerence to human rights it does not single
out the reedoms o expression, assembly and
association.
Numerous other organisations have declared
their commitment to respecting democratic
standards, including the Commonwealth, the
Arab League, the Association o South East
Asian States (ASEAN) and the Economic Com-
munity o West Arican States (ECOWAS). These
have not however defned essential elements
o democracy. Relevant documents adopted by
these organisations are quoted in the Annex.
institutions to the legally constituted civilian
authority and respect or the rule o law on the
part o all institutions and sectors o society are
equally essential to democracy.23
The OAS defnition includes all elements o
the UN GA defnition, but is broader in some
aspects, in particular in its reerence to the re-
spect o social rights.
TheArican Unions Charter on Democracy,
Elections and Governance includes as princi-
ples:
1. Respect or human rights and democratic
principles
2. Access to and exercise o state power in
accordance with the constitution o the
State Party and the principle o the rule o
law;
3. Promotion o a system o government that
is representative;
4. Holding o regular, transparent, ree and air
elections;
5. Separation o powers;
6. Promotion o gender equality in public and
private institutions;
7. Eective participation o citizens in demo-
cratic and development processes and in
governance o public aairs;
23. OAS, Inter-American Democratic Char ter, 2001.
24. The Charter was concluded in January 2007, but is not yet in orce or lack o sufcient ratifcations by AU member states.
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and o the Universal Declaration o Human Rights
(article 21), as well as the International Covenant
or Civil and Political Rights (ICCPR) (article 25).
Participation in public aairs can take placedirectly, or example by reerenda, or more gen-
erally by being politically active26 or indirectly, by
voting or elected representatives. Standards or
democratic elections, such as equality, secrecy,
universal surage, periodic elections, have
been well defned, or example by the UN27, the
Council o Europe28, the OSCE29 or the South
Arican Development Community (SADC)30.
Article 25 ICCPR makes clear that states not
only have to give the right to citizens to take part
in the conduct o public aairs, to vote and to
be elected, but to also provide them the oppor-
tunity to do so. This means that states should
adopt positive measures or example to allow
detainees or physically disabled people to vote.
Article 25 ICCPR also makes clear that these
rights should be granted to citizens without any
o the distinctions mentioned in article 2. Article 2
prohibits discrimination o any kind such as race,
colour, sex, language and political or other opinion.
From the defnitions quoted above one can
extract the core elements o democracy. It is
noteworthy that these defnitions by intergovern-
mental bodies go beyond minimalist academic
defnitions o democracy, such as those by Dahlor Schumpeter. Dahls inuential polyarchy
concept does not include the separation o
power as a core element o democracy.25 What
he considers institutional guarantees or de-
mocracy are all based on political rights, while
the above-mentioned inter-governmental defni-
tions include institutional aspects o democracy
touching on the shape and inter-relationships o
the dierent branches o power.
Based on the quoted documents, the ollow-
ing can be considered to be essential elements
o democracy:
3.1. Paricipaion in Public Aairs wiou
Discriminaion and e Rig o Sand and
o Voe in Elecions
The right to participation in the conduct o public
aairs and to stand and to vote in elections is
recognised in all commitments as a core element
o democracy. It is also part o even the most
minimalist academic defnitions o democracy
25. Robert Dahl, Democracy and its Critics, 1989.
26. The UN Human Rights Committee, which moni tors the implementation o the ICCPR, ound a violation o the right to take part in the conducto public aairs in a situation where membership o one party was a pre-condition or political activities. Individual Communication o the
Committee in the case oBwalya v. Zambia, No.314/1988.
27. General Comment on Article 25 ICCPR (1996) by the UN Human Rights Committee.
28. Guidelines on elections (2002) by the Venice Commission, which is the Council o Europes advisory body on constitutional matters.
29. Among others the Copenhagen Meeting o 1990.
30. SADC Principles and Guidelines Governing Democratic Elections (2004). For a detailed overview o international election standards, see:
Compendium o International Standards or Elections, Second Edition, 2007, Network o European Experts or Democracy Suppor t (NEEDS).
3. Essential Elements o a Democracy
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Freedom o expression includes reedom
to hold opinions without intererence and to
seek, receive and impart inormation and ideas
through any media and regardless o rontiers.
(Article 19, Universal Declaration o HumanRights). The European Court o Human Rights
has declared and oten repeated that reedom
o political debate is at the very core o the
concept o a democratic society.31 The right
to reedom o expression has wide-ranging
implications on access o opposition to state-
controlled media, election campaign regula-
tions, media legislation and the right to access
to inormation (see below).32
Freedom o assembly protects intentional,
temporary gatherings o several persons or a
specic purpose33 and has a clear democratic
unction in the process o orming, expressing
and implementing political opinions.34
Freedom o association is indispensable or
a democracy, because political interests can be
eectively championed only in community with
others (as a political party, proessional interest
group, organisation or other association or
pursuing particular public interests).35
These rights are well defned in legally bind-
ing treaties, such as the ICCPR, the European
Specifc conventions reiterate the prohibition
o discrimination and call or specifc measures
to overcome existing inequalities. The Conven-
tion on the Elimination o all Forms o Discrimi-
nation against Women (CEDAW) calls on statesto take measures to eliminate discrimination
against women in the political and public lie o
a country. Art.4 CEDAW states: Adoption by
States Parties o temporary special measures
aimed at accelerating de acto equality between
men and women shall not be considered dis-
crimination as dened in the present Conven-
tion (...). This covers or example prescribing
quota or emale candidates in elections.
There are other conventions and commit-
ments in avour o specifc groups, reiterating
the need or participation without discrimination,
including the UN Convention on the Elimination
o All Forms o Racial Discrimination (CERD),
the UN Convention on the Rights o Persons
with Disabilities (CPRD) and the GA resolution
on the Rights o Persons belonging to National
or Ethnic, Religious or Linguistic Minorities.
3.2. Freedoms o Expression and Opinion,
Associaion, Assembl
These core political rights are mentioned in the
democracy declarations by the UN GA and the
UN Human Rights Commission.
31. Lingens v. Austria, Judgment o 8 July 1986, Series A no. 103, at para. 42.
32. For in-depth inormation, see: The article 19 Freedom o Expression Handbook, 1983.
33. Manred Nowak, ICCPR Commentary, 2nd revised edition, page 482.
34. ibid, page 481.
35. ibid, page 496.
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Several country reports by the UN Human
Rights Commission make clear that there is a
requirement under the ICCPR or courts to be
independent, beyond the realm o criminal law.
For example, the Commission reerred to thecase o Egypt: The Presidents role as both
part o the executive and part o the judiciary
system is noted with concern by the Commis-
sion (...)38.
The UNs Basic Principles on the Independ-
ence o the Judiciary39 give operational guid-
ance on how to secure the independence and
tenure o judges. Regional organisations have
also adopted detailed standards or an inde-
pendent judiciary.40
Courts can play a vital role in ensuring ac-
countability by adjudicating conicts between
dierent branches o power, or example in the
realm o administrative or constitutional law.
The Relationship between
e Legislaive and e Execuive
The separation o powers is a complex issue as
ar as legislative executive relations are con-
cerned, because much depends on the given
Convention on Human Rights and the American
Convention on Human Rights.
3.3 Separaion o Powers
The separation o powers is mentioned as anessential element o democracy in international
commitments. The Commonwealth govern-
ments endorsed detailed Principles on the
Accountability o and the Relationship between
the three Branches o Government.36
The meaning o the separation o power is
relatively clear as regards the independence o
the judiciary rom other branches o power, but
more complex as ar as the distinction between
the executive and the legislative branches o
power are concerned.
Independent Judiciary
The independence o the judiciary is an obliga-
tion under international law in relation to crimi-
nal law. Article 14 ICCPR states: (...) In the
determination o any criminal charge against
him, or o his rights and obligations in a suit
o law, everybody shall be entitled to a air and
public hearing by a competent, independent
and impartial court established by law. (...).37
36. These principles, which are also known as Latimer House Principles, were endorsed by the Commonwealth Heads o Government in Abuja,
Nigeria in 2003.
37. The leading ICCPR commentary notes: The wording and historical background o Art.14 thus demonstrate that agreement was reached ina universal human rights treaty on a provision based on liberal principles o the separation o powers and the independence o the judiciary
vis--vis the executive., Nowak, op.cit., article 14, 2.
38. Concluding Observations o the Human Rights Commit tee, Egypt, U.N. Doc. CCPR/C/79/Add.23 (1993) para. 9. For other cases, see De-
mocracy Reporting international, Discussing International Standards or Democracy, page 6.
39. Adopted by the Seventh United Nations Congress on the Prevention o Crime and the Treatment o Oenders, Milan, 26 August to 6
September 1985; endorsed by Genera l Assembly resolutions 40/32 o 29 November 1985 and 40/146 o 13 December 1985.
40. For example OSCE commitments and a recommendation by the Counci l o Europes Committee o Ministers.
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The separation o powers, as defned above,
ollows logically rom the right to vote and to
stand in elections (article 25 ICCPR). In its
general comment on article 25 ICCPR the UNs
Human Rights Commission has noted that:Where citizens participate in the conduct o
public aairs through reely chosen representa-
tives, it is implicit in article 25 that those rep-
resentatives do in act exercise governmental
power and that they are accountable through
the electoral process or the exercise o that
power.43
Indeed in its case law the Human Rights
Commission deals regularly with situations
where the executive is too powerul. In order
or the legislature to play a meaningul role a
number o specifc prescriptions, which also
guide parliamentary strengthening assistance,
need to be in place. Those will be addressed in
the ollowing section (3.4).44
3.4 te Role o Parliamen
Without strong parliaments there can be no
democracy. The need or strong parliaments
is implicit in many o the essential elements o
democracy: the right to vote implies that the
elected institution plays a decisive role; the
political system. Presidential systems have a
clearer separation o legislative executive
powers, because directly elected presidents
do not depend on parliamentary confdence,
their term is independent o that o a parliamentand they can name and direct their cabinet. In
contrast, in parliamentary systems the execu-
tive authority o a prime minister and his or her
cabinet is granted by the parliament and can
be dismissed by a non-confdence vote.41
For these reasons the notion o a balance
o power is sometimes preerred to that o a
separation.
From the point o view o international stand-
ards or democracy, the issue is not the regime
type: presidential and parliamentary systems
are equally acceptable.42 The salient question is
whether elected legislators have sufcient pow-
ers. In many struggling democracies legisla-
tures are dominated by the executive branches
o power, undermining checks and balances
and rendering parliamentary elections almost
irrelevant. It is in this sense that separation o
powers should be understood as a standard
requiring that each branch o power has the
capacity to play a meaningul and sufciently in-
dependent role, whatever the political system.
41. For an overview see M.S. Shugart, Comparative Executive Legislative Relations, The Oxord Handbook o Political Institutions, 2006.
42. This has been made explicit in the UN Human Rights Commissions declaration Promotion o the Right to Democracy (1999): The Com-
mission on Human Rights () arms () the right o citizens to choose the ir governmental system through constitutional or other democratic
means, UN Doc E/CN.4/Res/1999/57.
43. Point 7, General Comment on article 25.
44. Ibid, page 10 and in detail: Toward the Development o International Standards or Democratic Legislatures, National Democratic Institute,
January 2007.
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Legislatures should have three main unc-
tions: passing laws, maintaining oversight o
the executive, and acting as a orum or public
debate. These roles have been acknowledged
in a number o international documents. Forexample, the Inter-Parliamentary Union (IPU),
the international organisation o parliaments,
stresses that Democracy () requires the
existence o representative institutions at all
levels and, in particular, a Parliament in which
all components o society are represented and
which has the requisite powers and means to
express the will o the people by legislating and
overseeing government action.50 The IPU also
urges States to saeguard the role o parlia-
ments and political institutions so as to enable
parliamentarians to play their role properly and
reely, inter alia by adopting legislation, oversee-
ing the government and debating major societal
issues.51
Parliaments must be ree to organise their
work autonomously or enjoy eective inde-
pendence.52. The IPU also mentions the need
separation o power and the notion o account-
ability suggests that the legislative branch over-
sees the executive branch o power; the rule
o law requires that all important legislation be
adopted by parliament; a pluralistic system oparties is based on parliamentary competition
and transparency results rom public consulta-
tion on drat legislation and debates on public
aairs in Parliament. Thus, Parliament is the
lynchpin o democratic institutions.45 Some
argue that stronger parliaments are automati-
cally better or democratisation46, but this may
be contested47.
Yet the prime importance o institutions in a
democracy is ully recognised; in the words o
ormer UN Secretary-General, Mr Kof Annan:
In the end, it is all about institutions48. Similarly,
as the Swedish Ambassador or Democracy
recently underlined: Even though civil society is
an incredibly important part o the democracy
scene in a country, it cannot and should not
substitute the ormal democratic institutions,
such as parliaments!49
45. ECOWAS states that empowerment and strengthening o parliaments and guarantee o parliamentary immunity is a constitutional principle
o all its member states, Protocol on Democracy and Good Governance, 2001.
46. Steve Fish, Stronger Parliaments, Stronger Democracy, Journal o Democracy, vol.17 nr.1, 2006.
47. Taeko Hiroi; Sawa Omor i, Perils o Parliamentarism Political systems and stability o democracy revisited, Democratization, Volume 16, Issue 3.
48. Clingendael Institute Symposium, 9 December 2008, The Hague.
49. Maria Leissner, Ambassador or Democracy in Development Cooperation, 29 September 2008, Stockholm.50. IPU, op.cit. The study tests post-communist countries in Europe and Central Asia. However, it does not test whether more signifcant democ-
ratisation may be an eect o European Union enlargement. Furthermore, it does not test i the propensity or electoral raud may impact on
Parliaments perormances.
51. Ensuring lasting Democracy By Forging Close Links Between Parliament and the People, Resolution adopted by the 98th Inter-Parliamentary
Conerence, Cairo, 16 September 1997.
52. OSCE Human Dimension Seminar on Democratic Institutions and Democratic Governance, Warsaw, 12-14 May 2004, Consolidated Sum-
mary, p.12.
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recognition and ull acceptance o the supreme
value o the human personality and guaranteed
by institutions providing a ramework or its ull-
est expression.57
Sometimes the rule o law is narrowly con-
strued as an efcient system o justice and law
enorcement. The OSCE Copenhagen commit-
ment and the Charter o Paris or a New Europe
make clear that it is a much broader concept,
which is closely linked to human rights and a
democratic order.
The rule o law commits all public authorities
to comply with independently administered law
and justice systems. The OSCE commitments
stress the duty o the government and public
authorities to comply with the constitution and
to act in a manner consistent with the law.58
They also make clear that the authority o the
law implies certain standards or the legislative
process, namely:
Legislation will be ormulated and adopted
as the result o an open process refecting the
will o the people, either directly or through their
elected representatives59; and:
legislation adopted at the end o a public
procedure, and regulations will be published,
or legislatures to have the requisite powers
and means to express the will o the people by
legislating and overseeing government action. 53
Detailed standards or democratic parliaments
have equally been elaborated in a discussionpaper by the National Democratic Institute54
and have since been urther discussed, deep-
ened and internalised within international and
regional parliamentary associations such as
the Commonwealth Parliamentary Assembly
(CPA)55, the Assemble Parlementaire de la
Francophonie (APF)56 and the Southern Arican
Development Community Parliamentary Forum
(SADC PF). Those exercises should eventually
lead to the adoption or recognition by the inter-
national community o a set o key standards
or democratic parliaments.
3.5 te Rule o Law
There are ew defnitions o the rule o law in
the context o international organisations. The
clearest explanations can be ound in OSCE
commitments:
(The participating states) consider that the
rule o law does not mean merely a ormal
legality which assures regularity and consist-
ency in the achievement and enorcement o
democratic order, but justice based on the
53. IPU, op. cit.
54. See National Democratic Institute, Towards the Development o International Standards or Democratic Legislatures, January 2007.
55. CPA, Recommended benchmarks or Democratic Legislatures, Study Group Report, 2007
56. APF, http://ap.rancophonie.org/spip.php?article1001 , 2009
57. Point 2, Copenhagen Meeting 1990.
58. Ibid, 5.3.
59. Point 18.1., Moscow Meeting 1991.
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ing the Cold War it was controversial whether
the reedom o association could be exercised
in one-party systems.63 Since then it seems
clear that the existence o a one-party state
or the prohibition o political parties equatesto a lack o reedom o association and related
reedoms.64
Nevertheless, by mentioning a pluralistic
system o political parties suggests that states
should not hinder the development o political
parties; indeed, they have an obligation to a-
vour it. Pluralism indicates that a party system
should not only consist o a multitude o parties,
but it should also include parties that represent
genuinely alternative policy choices. Political
systems with a mere aade o several parties,
which disguise the state-sponsored dominance
o one or several parties over them, all short o
this core element o democracy.
3.7 transparenc and Accounabili
Transparency and accountability in public ad-
ministration is mentioned in both the 2005 UN
GA resolution and the 2003 declaration by the
UN Human Rights Commission.
that being the condition or their applicability.
Those texts will be accessible to everyone.60
Similar points are made in the UN Human
Rights Commissions resolution on democracyand the rule o law.61
The rule o law as an inherent element o
democracy also means that the will o the ma-
jority has limits, not only in the orm o universal
human rights, but also in the constitutional
ramework o a state. For example, reerenda
should not be used to trump constitutional
provisions.62
The rule o law is organically linked to the
other core components o democracy, namely
the separation o powers, an independent judi-
ciary, and transparency and accountability.
3.6 Pluralisic ssem o poliical
paries and organisaions
One could argue that the need or a pluralistic
system o political parties and organisations
naturally results rom the protection o the ree-
dom o association, including parties. Yet dur-
60. Point 5.8., Copenhagen Meeting 1990.
61. Resolution 2005/32 o 19 April 2005.
62. The Council o Europes Venice Commission notes that the use o reerendums must comply with the legal system as a whole and especiallythe rules governing the revision o the Constitution. Point B.3. Guidelines or Constitutional Reerendums at National Level, 6-7 July 2001.
63. While in 1988 the UN Human Rights Committee ound a violation o the reedom o association in a case where a candidate was barred rom
running in elections outside the only party recognised by the constitution, it did not rule explicitly on the merit o the one-party system, see
Bwalya v. Zambia, No.314/1988.
64. The UN Human Rights Committee noted in its 1996 General Comments on article 25 that the right o persons to stand or elections should
not be limited unreasonably by requiring candidates to be members o parties or specic parties and political parties and membership in
parties play a signicant role in the conduct o pub lic aairs and the election process.
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reedom to seek, receive and impart inorma-
tion and ideas o all kinds ().
The precise limits o the right to inormation
are controversial, but at the international levelthe UN Special Rapporteur on reedom o ex-
pression has provided guidance:
the Special Rapporteur (...) emphasizes, that
everyone has the right to seek, receive and im-
part inormation and that this imposes a positive
obligation on States to ensure access to inorma-
tion, particularly with regard to inormation held by
Government in all types o storage and retrieval
systems - including lm, microche, electronic
capacities, video and photographs - subject only
to such restrictions as reerred to in article 19,
paragraph 3, o the International Covenant on
Civil and Political Rights.66
This view was welcomed by the UN Human
Rights Commission.67 The Council o Europes
Committee o Ministers pointed out the im-
portance in a pluralistic, democratic society o
transparency o public administration and o
the ready availability o inormation on issues
o public interest.68 Twelve member states o
the Council o Europe signed a convention on
access to ofcial documents.69
The notion o accountability was explained in
the Inter-Parliamentary Unions Universal Decla-
ration on Democracy:
Public accountability, which is essential to
democracy, applies to all those who hold publicauthority, whether elected or non-elected, and to
all bodies o public authority without exception.
Accountability entails a public right o access to
inormation about the activities o government,
the right to petition government and to seek
redress through impartial administrative and
judicial mechanisms.
Accountability thus implies answerability, i.e.
the obligation to provide inormation and explana-
tion, as well as holding those who are responsible
accountable or their actions (enorcement)65.
Public authority can be held accountable through
elections, through parliaments, as well as through
the courts or other independent institutions such
as human rights institutions, anti-corruption bod-
ies, and so on. It is thus a concept closely linked
to elections and the rule o law.
The concept o transparency is underpinned
by reedom o expression. For example, article
19 (2) states that everyone shall have the right
to reedom o expression; this right shall include
65. ODonnell distinguishes answerability and enorcement as the two main aspects o accountability. Horizontal Accountability in New Democ-
racies., in: A. Schedler, L. Diamond and M. F. Plattner (eds.), Conceptualizing Accountab ility, Boulder, 1999.
66. UN Special Rappor teur on the protection and promotion o the right to reedom o opinion and expression, 1999 Report to the Commission
on Human R ights, E/CN.4/1996/64.
67. Resolution 1999/36, para. 2.
68. Recommendation R(2002)2 on access to ofcial documents, 21 February 2002.
69. The convention will enter into orce once it is ratifed by fve states.
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expression. For instance, little attention has so
ar been given to the act that, because o the
development o modern mass media, eec-
tive measures are necessary to prevent such
control o the media as would interere with theright o everyone to reedom o expression in a
way that is not provided or in paragraph 3.72
Freedom o expression thus includes an ob-
ligation on states to prevent excessive media
concentration.73 Special representatives on me-
dia reedoms o our international organisations
noted: In recognition o the particular impor-
tance o media diversity to democracy, special
measures, including anti-monopoly rules, should
be put in place to prevent undue concentration
o media or cross-media ownership (...).74
Article 13 o the American Convention on Hu-
man Rights contains a ar-reaching provision in
avour o media pluralism: The right o expres-
sion may not be restricted by indirect methods
or means, such as the abuse o government or
private controls over newsprint, radio broad-
casting requencies, or equipment used in the
dissemination o inormation, or by any other
means tending to impede the communication
and circulation o ideas and opinions.75
A study on reedom o inormation notes: It
is perhaps as an underpinning o democracy
that reedom o inormation is most important.
Inormation held by public authorities is not
acquired or the benet o ocials or politiciansbut or the public as a whole. Unless there are
good reasons or withholding such inormation,
everyone should be able to access it.70 Indeed,
without sufcient inormation there is no basis
or holding state authorities accountable. The
right to vote becomes less meaningul without
sufcient public inormation allowing voters to
judge a governments perormance.
3.8 Free Media
The Council o Europes Committee o Minis-
ters noted: media reedoms and pluralism are
vital or democracy, given their essential role in
guaranteeing ree expression o opinions and
ideas and in contributing to peoples eective
participation in democratic processes.71
The reedom o the media is largely encom-
passed by the reedom o opinion, expression
and inormation. The UN Human Rights Com-
mission noted in relation to article 19 ICCPR:
Not all States parties have provided inorma-
tion concerning all aspects o the reedom o
70. Toby Mendel, Freedom o Inormation as an Internationally Protected Human Right, briefng paper by article 19.71. Declaration o the Committee o Ministers on protecting the role o the media in democracy in the context o media concentration, 31 January 2007.
72. General Comment nr. 10, adopted by the HRC at its 461st meeting on 27 July 1983, UN Doc. A/38/40, 109. 1983.
73. Nowak, op.cit., p. 448.
74. Joint Declaration on Diversity in Broadcasting, 12 December 2007, UN Special Rapporteur on Freedom o Expression and Opinion, the OSCE
Representative on Freedom o the Media, the OAS Special Rapporteur on Freedom o Expression, the Special Rapporteur on Freedom o
Expression and Access to Inormation o the Arican Commission on Human and Peoples Rights.
75. American Convention on Human Rights (entered into orce on 18 July 1978).
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commitments o international and regional
organisations and other groupings to democ-
racy, organised along the essential elements o
democracy.
3.9 table on Commimens o Democrac
b Inernaional, Regional Organisaions
and Groupings
The table below provides an overview o the
Grid o Commimens o Democrac b Inernaional, Regional Organisaions and Groupings
E reers to commitments that were marked as essential elements o democracy by the organisation in question
X reers to commitments which are not specifcally marked as an essential.
UN GA UN Human RightsCommission EU
76 Councilo Europe
OSCE77
Take Part in Conduct o Public Aairs E E access to power X X
Elections (right to vote and to stand) E E X X
Freedom o Association E E X X84 X
Freedom o Assembly E X X X
Freedom o Expression/Opinion E E X X E85
Separation o Powers E E X
Rule o Law E E X86 X87 X
Pluralistic System o Political Parties E E X X88 X
Transparency and Accountability E E X X X89
Free, pluralistic media E E X X90
76. Charter o Fundamental Rights o the European Union, signed by the Presidents o the European Parliament, Council and Commission on 7
December 2000 in Nice.77. I not otherwise indicated, this is based on commitments made at the Copenhagen meeting o 1990.
78. I not otherwise indicated, based on the Declaration on Democracy, Political, Economic and Corporate Governance signed by Heads o State
and Government o the Member States o the Arican Union, 9 March 2003.
79. Aso Rock Commonwealth Declaration on Development and Democracy, Abuja, 7/8 December 2003.
80. Arab Charter o Human Rights, entered into orce on 15 March 2008.
81. IPU Universal declaration on democracy, 1997.
82. Towards a Community o Democracies, Ministerial Conerence, Warsaw 2000.
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OAS AU78 ECOWAS Common-wealth79
ArabLeague80
IPU81 Community oDemocracies82
X83 X X X
E E X X X E X
E X X X X E X
E X X X X E X
E X X X X E X
E E
E E X X X E X
E X X
E X X X X X
E X X X
83. OAU/AU Declaration on the Principles Governing Democratic Elections in Arica, Durban, 8 July 2002.84. First optional protocol o the ECHR, article 3.
85. Budapest 1994, point 36.
86. EU Treaty.
87. Recommendation by the Committee o Ministers on the Independence, Efciency and Role o Judges, 1994.
88. Resolution 800 (1983) by the Council o Europes Parliamentary Assembly.
89. Copenhagen 5.2. and Maastricht 2003, point 2.2.4.
90. Moscow 1991, point 26.
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4. Political Commitments vs. LegalObligations
28
sub-regional and other organisations and ar-
rangements in promoting and consolidating
democracy, a large majority o 172 states
approved the resolution with no rejections and
only 15 abstentions.
93
Given that the contento the resolution is also widely practised, one
could thus argue that the democracy defni-
tion o the resolution represents international
customary law. The case is strengthened by
the act that the earlier 2001 UN GA resolution
on promoting and consolidating democracy,
which was even broader than the 2005 reso-
lution, was also approved by a large majority
without rejections (157 states voted in avour
and 16 abstained).
However, even i the UN GA resolutions could
not be interpreted as legal obligations, they are
at least or those who voted in avour an ex-
pression o political commitment, against which
the conduct o these states can be measured.
In that sense it serves as an appropriate reer-
ence point or the EUs democratisation eorts
abroad.
When talking about international standards it
is useul to distinguish between legal obligations
and political commitments. As ar as the notion
o democracy is concerned, its status under
international law remains uncertain.
92
How-ever, it is clear that some essential elements
o democracy represent international law, or
example all those based on the International
Covenant or Civil and Political Rights, which
has been ratifed by a large number o states.
Another source o international law is custom-
ary international law, which can be inuenced
by non-treaty standards. Many provisions o
the Universal Declaration o Human Rights are
widely considered to be customary international
law and thus legally binding anywhere. Resolu-
tions by the General Assembly may be an indi-
cation that their content represents customary
international law, in particular when they were
approved by a signifcant majority o states.
In the case o the above-mentioned UN
GA resolution enhancing the role o regional,
92. J.Wouters, B. de Meester, C. Ryngaert, Democracy and International Law, Netherlands Yearbook o International Law, 2003, p.195.
93. The ollowing states abstained: Belarus, Bhutan, China, Cuba, Democratic Peoples Republic o Korea, Lao Peoples Democratic Republic,
Libya, Myanmar, Saudi Arabia, Syria, Turkmenistan, United Arab Emirates, Venezuela, Viet Nam, Zimbabwe. The ollowing states were
absent: Congo, Kiribati, Saint Kitts and Nevis, Tonga.
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5. Conclusion: Which Notion o Democracyor the EUs External Relations?
29
made by states in the context o the UN and
numerous regional inter-governmental organi-
sations, as is shown in the Annex
The defnition produced by the General Assembly would thereore serve as an ideal
reerence or the EUs promotion o democracy
abroad. This defnition is all the more relevant
because the resolution was specifcally aimed
at regional organisations.
Furthermore, there are a number o political
reasons that make it more appropriate or the
EU to reer to a notion o democracy emerg-
ing rom the UN context, rather than adopt
an EU denition o democracy: First, the EU
has defned eective multilateralism and a
rule-based international order as strategic
objectives.94 Engaging in democracy promotion
world-wide based on a UN defnition would be
more in line with these objectives than a distinct
EU defnition o democracy. While many re-
gional organisations have adopted declarations
on democracy, these have served to clariy their
work inside their particular geographic region.
In contrast, the EUs search or a consensus on
democracy is related to promoting democracy
outside the EU.
Second, using a UN-based defnition o
democracy makes more sense diplomatically.
A wide range o statements by international
and regional organisations confrm a commit-
ment to democracy. Yet only a ew o these
texts defne democracy. The clearest defnition
is contained in the UN General Assemblysresolution on Enhancing the role o regional,
sub-regional and other organisations and ar-
rangements in promoting and consolidating
democracy o 23 March 2005, which contains
a range o essential elements o democracy.
The resolution echoes an earlier declaration o
2003 by the UN Human Rights Commission.
The defnition o democracy contained in the
resolution is relatively broad, including not only
the respect o political rights o citizens, but
also obligations related to the organisation o
a state. It thus provides a meaningul defnition,
beyond some minimalist defnitions based on
electoral competition that have occasionally
been proposed by political scientists. At the
same time the defnition is not so broad as to
make it meaningless. It also very much reects
the EU democratic practice and views.
The General Assemblys resolution was ap-
proved by 172 states, including all EU member
states. While 15 states abstained rom a vote,
no member state o the UN rejected the resolu-
tion. All the elements contained in the resolution
appear in treaties and political commitments
94. The development o a stronger international society, well unctioning international institutions and a rule-based international order is our
objective, A Secure Europe in a Better World European Security Strategy, 12 December 2003.
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30
nationally agreed standards and norms, to be
used in political dialogue.95
In order to clariy its stance on democracy
promotion abroad, the EU could publicly reiter-ate and endorse the UN GAs resolution and the
essential elements o democracy listed in the
resolution, and declare that promoting and sup-
porting these essential elements is the purpose
o its democracy support in third states.
There is no reason why EU partner countries
should accept an EU-prescribed defnition;
rather, they may reject it as a unilateral impo-
sition. In contrast, they cannot object to the
UN GAs defnition, which most o them haveapproved and to which no state has objected.
This defnition could also underpin the concept
o benchmarking. For example, the ACP-EU
Cotonou Agreement specifcally calls or the
development o benchmarks on human rights
and democracy within the parameters o inter-
95. Article 2, Annex VII, Partnership Agreement ACP-EC, signed in Cotonou on 23 June 2000, revised in Luxembourg on 25 June 2005.
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31
ing democracy, 23 March 2005, UN Doc A/
RES/59/201
General Assembly, Promoting and consolidating
democracy, 4 December 2000, UN Doc A/
RES/55/96
General Assembly, Declaration on the Rightso Persons belonging to National or Ethnic,
Religious or Linguistic Minorities, 18 December
1992, UN Doc A/RES/47/135
Commission on Human Rights, Interdependence
between democracy and human rights, 23 April
2003, UN Doc E/CN.4/2003/L.11/Add.4
Commission on Human Rights, Promoting and
consolidating democracy, 25 April 2000, UN Doc
E/CN.4/RES/2000/47Human Rights Committee, General Comment nr.
10, adopted by the HRC at its 461st meeting on
27 July 1983, UN Doc. A/38/40, 109. 1983
Convention on the Elimination o all Forms o
Racial Discrimination, entry into orce on 4
January 1969
Covenant or Civil and Political Rights, entry into
orce on 23 March 1976
Convention on the Elimination o all Forms oDiscrimination against Women, entry into orce 3
September 1981
Convention on the Rights o Persons with Dis-
abilities, entry into orce 2 May 2008
UN Special Rapporteur on Freedom o Expres-
sion and Opinion, the OSCE Representative on
Freedom o the Media, the OAS Special Rap-
porteur on Freedom o Expression, the Special
Rapporteur on Freedom o Expression and
Access to Inormation o the Arican Commission
on Human and Peoples Rights,Joint Declaration
on Diversity in Broadcasting, 12 December 2007
Article 19, The article 19 Freedom o Expression
Handbook, 1983
Dahl, R., Democracy and its Critics, New Haven,
1989
Democracy Reporting International, Discussing
International Standards or Democratic Govern-ance, Berlin 2007
International IDEA, Handbook on Democracy
Assessment, 2002
Mendel, T., Freedom o Inormation as an
Internationally Protected Human Right, briefng
paper by article 19 (http://www.article19.org/
pds/publications/oi-as-an-international-right.pd)
National Democratic Institute, Toward the Devel-
opment o International Standards or DemocraticLegislatures, January 2007
Nowak, M., CCPR Commentary, 2nd revised
edition, Kehl, 2005
ODonnell, G., Horizontal Accountability in New
Democracies, in Conceptualizing Accountability,
A. Schedler, L. Diamond and M.F. Plattner (eds.),
Boulder, 1999
Schumpeter, J.A., Capitalism, Socialism and
Democracy, New York, 1943
Shugart, M.S., Comparative Executive Leg-
islative Relations, in: The Oxord Handbook o
Political Institutions, 2006
Wouters, J., de Meester, B., Ryngaert, C.,
Democracy and International Law, Netherlands
Yearbook o International Law, 2003, pp.137-198
UN DOCUMENtS:
General Assembly, Enhancing the role o
regional, sub-regional and other organisations
and arrangements in promoting and consolidat-
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I. UNItED NAtIONS
General Assembl, Enancing e role o re-
gional, subregional and oer organisaions
and arrangemens in promoing and consoli-
daing democrac, 23 Marc 2005, UN Doc A/
RES/59/201
The General Assembly, () 1. Declares that the
essential elements o democracy include respect
or human rights and undamental reedoms, inter
alia, reedom o association and peaceul assembly
and o expression and opinion, and the right to
take part in the conduct o public aairs, directly or
through reely chosen representatives, to vote and
to be elected at genuine periodic ree elections by
universal and equal surage and by secret ballot
guaranteeing the ree expression o the will o thepeople, as well as a pluralistic system o political
parties and organisations, respect or the rule o
law, the separation o powers, the independence
o the judiciary, transparency and accountability in
public administration, and ree, independent and
pluralistic media; ()
General Assembl, Promoing and consoli-
daing democrac, 4 December 2000 UN Doc
A/RES/55/961. Calls upon States to promote and consolidate
democracy, inter alia, by:
(a) Promoting pluralism, the protection o all human
rights and undamental reedoms, maximizing the
participation o individuals in decision-making and
the development o eective public institutions,
including an independent judiciary, accountable
legislature and public service and an electoral sys-
tem that ensures periodic, ree and air elections;
(b) Promoting, protecting and respecting all human
rights, including the right to development, and
undamental reedoms, in particular:
(i) Freedom o thought, conscience, religion, belie,
Annex Compilation o Democracy Commitmentsby Inter-Governmental Organisations
peaceul assembly and association, as well as ree-
dom o expression, reedom o opinion, and ree,
independent and pluralistic media;
(ii) The rights o persons belonging to national,
ethnic, religious or linguistic minorities, including
the right reely to express, preserve and developtheir identity without any discrimination and in ull
equality beore the law;
(iii) The rights o indigenous people;
(iv) The rights o children, the elderly and persons
with physical or mental disabilities;
(v) Actively promoting gender equality with the
aim o achieving ull equality between men and
women;
(vi) Taking appropriate measures to eradicate all
orms o racism and racial discrimination, xeno-phobia and related intolerance;
(vii) Considering becoming parties to international
human rights instruments;
(viii) Fulflling their obligations under the interna-
tional human rights instruments to which they are
parties;
(c) Strengthening the rule o law by:
(i) Ensuring equality beore the law and equal pro-
tection under the law;
(ii) Ensuring the right to liberty and security operson, the right to equal access to justice, and
the right to be brought promptly beore a judge or
other ofcer authorized by law to exercise judicial
power in the case o detention with a view to avoid-
ing arbitrary arrest;
(iii) Guaranteeing the right to a air trial;
(iv) Ensuring due process o law and the right to
be presumed innocent until proven guilty in a court
o law;
(v) Promoting the independence and integrity o
the judiciary and, by means o appropriate educa-
tion, selection, support and allocation o resources,
strengthening its capacity to render justice with
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34
participation o all members o civil society in the
promotion and consolidation o democracy, by:
(i) Respecting the diversity o society by promot-
ing associations, dialogue structures, mass
media and their interaction as a means o strength-
ening and developing democracy;(ii) Fostering, through education and other means,
awareness and respect or democratic values;
(iii) Respecting the right to reedom o peaceul as-
sembly and the exercise o the right reely to orm,
join and participate in non-governmental organisa-
tions or associations, including trade unions;
(iv) Guaranteeing mechanisms or consultations
with and the contribution o civil society in proc-
esses o governance and encouraging cooperation
between local authorities and non-governmentalorganisations;
(v) Providing or improving the legal and administra-
tive ramework or non- governmental, community-
based and other civil society organisations ;
(vi) Promoting civic education and education on
human rights, inter alia, in cooperation with organi-
sations o civil society;
() Strengthening democracy through good govern-
ance as reerred to in the United Nations Millennium
Declaration5 by, inter alia:(i) Improving the transparency o public institutions
and policy-making procedures and enhancing the
accountability o public ofcials;
(ii) Taking legal, administrative and political meas-
ures against corruption, including by disclosing
and investigating and punishing all those involved
in acts o corruption and by criminalizing payment
o commissions and bribes to public ofcials;
(iii) Bringing government closer to the people by
appropriate levels o devolution;
(iv) Promoting the widest possible public access to
inormation about the activities o national and lo-
cal authorities, as well as ensuring access by all to
airness and efciency, ree rom improper or cor-
rupt outside inuence;
(vi) Guaranteeing that all persons deprived o their
liberty are treated with humanity and with respect
or the inherent dignity o the human person;
(vii) Ensuring appropriate civil and administrativeremedies and criminal sanctions or violations o
human rights, as well as eective protection or
human rights deenders;
(viii) Including human rights education in the training
or civil servants and law enorcement and military
personnel;
(ix) Ensuring that the military remains accountable
to the democratically elected civilian government;
(d) Developing, nurturing and maintaining an
electoral system that provides or the ree and airexpression o the peoples will through genuine and
periodic elections, in particular by:
Recommended