Thucydides’ History is one of my
favorite books on international relations.
Kant’s Perpetual Peace is the other.
Kant was long neglected by ‘mainstream’ theorists
put off by the words ‘perpetual peace’ that
sound so fuzzily idealistic to the contemporary
mind. But the neglect has been reversed by
a recognition that he was describing phenomena
that have recently emerged in some parts of
the world, notably in most of Europe. The
peace may not be perpetual, but it is actual
in that most states with republican constitutions,
substantial commercial exchange, and ties of
international law and institutions—present-day
equivalents of Kant’s three articles of perpetual
peace—do not fight each other or expect to
do so. The characteristics of law (within
republics, and commercial and international
law between them) in his ‘pacific federation’
of sovereign states create norms and constraints
for citizens and leaders. Equally, the institutions
establish mutual interests so that citizens
and leaders need not be ‘angels’ guided solely
by Kantian norms. Rather, constraints of interest
can make even self-seeking devils well-behaved
‘so long as they possess understanding’. Kant
is the Enlightenment’s empiricist and systematizer
of hope for human freedom in an ordered world.
Thucydides is a very different writer. His
discourse is that of the narrative historian
rather than the philosophical analyst. That
makes him more engaging. Also, those in the
recently predominant realist school of international
relations theory claim Thucydides as their
patron. Thucydides’ time and place fit the
technical definition of anarchy, itself a good
Greek word meaning “without a ruler.” That
does not mean chaos or the absence of some
order, but rather that no legal or military
power is able to enforce laws to provide basic
security to the member units (city states in
ancient Greece), and still fits much of the
international system today. States ultimately
must rely on their own power, and recognition
of its capabilities and limits, to survive
in a fiercely competitive environment. Acts
undertaken for defensive motives may be seen
by others as posing a real offensive threat
whatever the intention. Thucydides is the
Greek historian recounting the tragedy of human
action in a world of powerful forces beyond
control.
Yet Thucydides does not fit a rigid realist
paradigm. He is far too perceptive. Like Kant,
he is deeply concerned with norms of behavior,
and how they include appropriate elements of
self-interest. But he knows that the world
of Greek city-states is no Kantian pacific
federation, so states will be far less restrained
in their behavior, and perhaps less perceptive
about their long-term interests. Most importantly,
Thucydides rejects a standard assumption of
many realists that states can be considered
as if they were rational unitary actors, carefully
calculating (as best they can under conditions
of uncertainty), the costs and benefits of
alternative actions. Changes in relative power
provide the source of states’ insecurity, but
then the perception of relative power, and
choice about how to address it, form the heart
of his story. For Thucydides, domestic politics
matters: democracies and demagogues, passions
and perceptions.
To claim Thucydides as more than a realist
is certainly not to claim him as a proto-Kantian,
or early democratic peace (DP) theorist. He
does not see democracies as more peaceful than
autocracies, and regards different elements
of politics as making democracies either more
or less effective in preserving their security.
Even as “simply” an historical narrative of
fact, it is hard to find much evidence for
a democratic peace in his volume. While there
is some evidence
(Grasping the DP, ch. 3) that pairs of democratically-ruled
states were somewhat less
likely to fight one another than pairs composed
of only one or no democracies, I make no more
than that very weak claim. Rather, I devote
this presentation to some speculation, driven
by evidence and theory for the democratic peace
in the modern world, as to why we should not
be able to garner much support for the DP in
the experience of ancient Greece.
If the Greeks had democracy, why did their
democratically-ruled states not behave as contemporary
DP might be thought to predict? A tentative
answer lies in seeing how various parts of
DP theory apply to both historical eras. I
first make some general comments on what DP
theory most centrally claims, and then show
how it applies to two questions that must be
kept separate: Are democracies peaceful in
general? Or are they peaceful only toward
one another? In discussing both these questions
I consider how well the reasoning and evidence
for each apply to both the modern system of
states and the city-state system of Thucydides’
time, with some reference to their implications
for understanding imperial expansion. All this
depends on clarifying what we mean by democracy
in both eras, and how democracy motivates decisions
for war and peace. I contend that of all the
differences between ancient and modern democracy,
the most relevant is in the degree to which
institutions can enforce accountability on
those who make and execute decisions.
Democratic Peace as a Probabilistic Theory
Despite great progress in refining the theoretical
arguments and empirical support for democratic
peace theory, the effort remains a work in
progress. Continuing the progress is important
just because the theory is likely to be challenged
in this historical moment, and that demands
fully understanding its implications for both
ancient and contemporary peoples. To do so
requires asking precisely what would constitute
evidence for or against DP theory.
The question is more than complex enough without
expanding into the whole Kantian Peace including
the effects of commerce and international law/organizations.
While unpersuaded critics certainly remain,
there is now scholarly near-consensus for the
basic empirical claim that over the two centuries
have rarely fought one another. Depending
on how one defines the key terms, full-scale
war between established democratic states is
somewhere between extremely rare and completely
absent. Militarized disputes in a range of
severity from purely diplomatic threat to small-scale
violence falling short of a thousand war dead
are more common, but still much less so than
between non-democratic dyads.
The major component of DP theory is the dyadic
proposition that the more democratic any two
states are, the less frequent and less severe
will be any militarized disputes between them.
Democracy and autocracy are best conceptualized
not as a dichotomy, but at various degrees
on a scale. This point applies both within
a particular historical context and between
such contexts. For example, Athens, with an
enfranchised citizenry amounting to about 10
percent of the population, has been labeled
a “radical” democracy by the standards of its
day. Sparta would be somewhere on the autocratic
side as a militarized oligarchy, but short
of the end characterized by tyrannies of the
time. A common typology for the 19th through
21st centuries employs a 21-point composite
scale reflecting competitiveness of political
participation, openness and competitiveness
of executive recruitment, and the level of
institutionalized constraints on the executive.
It ranges, for example, from Sweden to North
Korea. Even there, the standards for a full
democratic franchise rise from the 19th century
to the middle of the 20th. Comparing Greek
and modern systems of democracy is of course
very difficult, as will be apparent shortly.
It is essential to recognize the probabilistic
aspect of democratic peace theory. Virtually
all political phenomena are too complex, and
thus too interesting, to support a law-like
claim. The other two Kantian articles reinforce
democracy as a force for peace, and such elements
of realist theory as relative power and alliances,
as well as personal perceptions and passion,
can weaken it. The vast majority of analysts
would not expect to find an absolute law that
democracies will never fight each other. Even
a fairly long list of examples of fights between
democracies, ancient or modern, cannot refute
a probabilistic theory until the actual probabilities
are known. It is relatively easy to compute
those probabilities for the modern era, and
much harder for the Greek world in which we
have hardly any information about the characteristics
and behavior of many states, or even of many
states’ existence. Certainly Thucydides does
not have a full record on all the wars and
states in the system, and would not give it
to us if he did. He cares about a particular
set of relationships, and especially wars,
central to his narrative.
Are Democracies Peaceful in General?
A more sweeping claim that democracies are
more peaceful monadically—that is, in general,
with non-democratic states as well as with
fellow democracies—is more contested. The
empirical evidence for this, however, is at
best weak, much less powerful than the dyadic
claim and much less robust (that is, remaining
solid in response to changes in the empirical
domain, what variables are included in a more
complex analysis, and how the variables are
defined and measured).
The most important refinement of the simple
relationship is to look at which side starts
or escalates the fight, moving a largely peaceful
diplomatic dispute up to the level of a militarized
one, and a low-level militarized dispute up
to a full-scale war. On this the evidence
is stronger: even when democracies are involved
in diplomatic disputes with dictatorships they
are less likely than the dictators to initiate
the use of violence, and less likely to escalate
any violence to a high level. In other words,
it is the dictator’s action that tends to produce
the fight.
While this keeps aspects of a generalized (monadic)
version of the DP alive empirically, it doesn’t
help with the problem of imperial powers who
claim a right to preventive military action.
Some further theoretical points are necessary
to dispel an expectation of finding it in all
cases. A big qualification is that great powers
are always nasty. Whether democratic or autocratic,
because of their widespread interests and intervention
capabilities they are more likely than small
ones to get into conflict. That was true of
the United States and the Soviet Union, and
of Athens and Sparta. So the difference in
simple conflict involvement between democratic
and autocratic great powers may be minimal.
Another important qualification is that democracies
are generally more successful in war than are
autocracies. This too is a well-established
fact for the 19th and 20th centuries, during
which democracies won nearly 80 percent of
their wars (all but possibly one or two of
them against autocracies). Under those conditions,
by simple math autocracies must lose more than
half all their wars (half of those fought against
other autocracies, and more than half of those
against democracies). Democracies are more
likely to win when they initiate the conflict
because they are somewhat more likely to choose
their uses of force prudently. They won 93
percent of the wars they initiated, but only
63 percent of those they did not initiate.
(Examples such as Athens against Syracuse and
recent events do not disprove the generalization).
They also may be able to fight more effectively
because they can deploy a better motivated
and educated fighting force, with troops and
commanders capable of taking initiative in
battle.
Thucydides admired Pericles, and recounts his
funeral oration. Pericles’ message (2.37-40)
is one of praise for the culture of Athenian
democracy as the source of Athenian greatness.
Its institutions are for ‘the many and not
for the few’; ‘everyone has equal access to
the law’. The culture of Sparta relies on
discipline, ‘painfully training’ its young
men, whereas education into the culture of
Athens trusts ‘less to our equipment and guile
than to our personal courage in action’. Athenians
are ‘especially daring in our analysis and
performance of whatever we undertake’.
In oligarchic Sparta the elite hoplites were
renowned for their discipline and motivation,
but not for their initiative. Sparta’s greater
weakness, however, was in the helots, a subjugated
class in near-slavery, who could not be relied
on to fight except under compulsion. Indeed,
Spartan generals hesitated to extend their
forces too far from home lest the helots take
that as an opportunity to rebel. In the Athenian
democracy free citizens were enfranchised and
had a stake in the political and economic system.
Free soldiers formed a much larger share of
the population than in Sparta, and were better
educated. Not only was Athens a great power,
it was the richest of all Greek states per
capita. The Athenian navy was manned not by
galley slaves subject to the lash, but by free
men, well-paid thanks to proceeds from the
empire, who rowed willingly and could be depended
on to fight vigorously in the hand-to-hand
combat characterizing much of naval warfare.
They could take remarkable initiatives, as
after the landing on Pylos reported by Thucydides
(4.4). The Athenian position was exposed to
Spartan attack. The officers did nothing,
so the rower-soldiers, unwilling to stay idle,
took it upon themselves to build a strong defensive
wall, at great effort without proper tools.
Democracies also seem more able and willing
to mobilize resources from their economies
in wartime, because the general population
supports the war effort and will get to keep
some of the winnings. Citizens and foreigners
will be more ready to lend to a democratic
state in wartime because their chances of being
paid back are better than with an autocracy.
Consequently, democracies often can spend relatively
more on military forces than can most of their
autocratic counterparts. True, Stalin’s command
economy and totalitarian political system devoted
a very high proportion of the Soviet economy
to military purposes. But once World War II
began Britain outmobilized Germany because
Hitler was reluctant until very late to impose
sufficient sacrifices on the German people.
Kant makes some arguments about the culture
of republican government, but his central one
is about political institutions. He contends
that in states with republican constitutions
the voting masses, both bearing the costs of
wars and making the decisions about whether
to fight, would be more reluctant to go to
war than would the leaders of an oligarchy.
Leaders of oligarchies, by contrast, could
keep most of any benefits of war to themselves
but make the masses pay most of the costs.
Indeed, some of the benefits could be used
to pay off key members of the oligarchy and
the state security forces on which they depend
for their rule. This insight is behind a contemporary
institutional argument as to why oligarchies
and other autocracies go to war more often
than do democracies. I will return to it.
While there is much evidence for this formulation,
it nonetheless misses a key point. A democracy’s
military success may then prime it for further
efforts to exert its military power. This
leads to the matter of democratic imperialism,
which cannot be ignored in ancient Athens,
in the history of Western colonialism, or in
the present day. The same wide franchise that
may restrain the impetus to war allows democracies
to mobilize human and material resources more
fully than oligarchies can. Though other Greek
democracies had some of the mobilizing advantages
Athens did, none had remotely the level of
resources available to it through its empire.
Athens’ mobilizational advantage gave it incentives
for expansionist or imperialist wars, raising
both the probability of winning and the expected
benefits to both elites and wider population.
I have seen this theoretical argument with
illustrations from ancient Greece, Rome, Renaissance
Italy, and more recent history.
For Greek democracies other than Athens the
net effect of cost and benefit could be very
different. Most democracies are not imperialist.
But some are, at some times. That in turn
leads to further questions: Are expansionist
democracies expansionist because a particular
kind of democracy feeds expansionism, or because
expansionism promotes and supports a particular
kind of democracy? Or is it simply that most
great powers, democratic or not, are expansionist
in certain periods of their history? Or does
becoming a great power merely signify a successful policy
of expansionism? Untangling this complex interplay
of influences should prove enlightening about
questions of imperialism and democratic foreign
policy in many eras.
The Dyadic Democratic Peace: Why So Little in Ancient Greece?
Evidence for a democratic peace between states
in the era of the Peloponnesian War is weak
at best. Democratic states or factions often
felt strong ties of affinity—a sense of common
norms of behavior, maybe linked to constitutional
principles—with other democratic states or
factions within them. Those ties seem to have
been expressed in greater trust, and sometimes
in alliances or at least a sense of solidarity
against common adversaries. But they were
not strong enough to overcome more immediate
forces such as competing alliances, past injury,
or the risk that another democracy might nevertheless
become an adversary if its relative power increased.
In other words, the realist principle that
today’s friends or allies can readily become
tomorrow’s enemies all too often triumphed.
Democracies often did not come to each other’s
aid. It was a self-help system, and long-term
alliances were not reliable.
Modern democracies are more likely to conclude
formal alliances with each other than one would
expect without knowing anything about their
political regimes. But they are not more likely
to come to each other’s aid when one of them
gets into a war. Great powers fairly often
come to the aid of weak states, but weak ones
usually do their best to stay out of the way
if they can. Small or weak states individually
can contribute little to the likelihood that
a strong state will win in wartime, but a strong
state can readily make all the difference for
a weak one. Thus small states have great incentive
to free-ride on or ‘hide’ from the big state’s
military efforts, even when they have stakes
in the big state’s efforts. In short, material
and security interests typically trump ties
of shared democratic norms when it comes to
decisions about joining an ongoing war. Kant
expected his ‘federation’--more correctly,
only a weak confederation--of commercial republics
to serve as a collective security system both
for solidarity within and protection from outsiders.
But that probably requires a higher degree
of institutionalization than existed among
the Greeks or among many modern allies.
The need to add other influences that affect
war and peace decisions before concluding that
democratic peace does or does not exist in
any international system has wider applications.
Distant states rarely fight each other, as
they usually lack both the capability and the
incentive to do so. Only great powers are
frequent exceptions, as discussed already.
So both distance and power should be included
in any dyadic analysis. This has not yet been
done in systematic analyses of the Greek city-state
system, and it should be before reaching conclusions
either way. Distance is easy, but a reliable
measure of relative power is not. It would
be equally important to add the rest of Kant’s
prescription, for republican governments, commercial
ties, and international law/organizations as
mutually supporting influences within his federation.
To look at the effect of democracy alone is
to miss the degree to which the other elements
may be conflated with it. In the Greek system
international organizations other than the
Delian League (under Athenian hegemony) did
not exist, and not enough data on trade patterns
is available for a system-wide analysis. Greek
trade data may, however, be adequate to analyze
its role in promoting peace or war in specific
cases.
A better understanding of why we see little
evidence for the DP in Thucydides’ time, however,
emerges from looking closely at the causal
arguments offered for the contemporary democratic
peace. Theories often distinguish between
cultural/normative explanations and structural/institutional
ones. Normative explanations generally say
that leaders and citizens of democratic states
expect political conflicts of interest to be
settled largely without violence by means of
negotiation, mediation, and arbitration. Democratic
peoples have a cultural aversion to violence,
and prefer to settle international conflicts
by similar means. When they see other states
whose regimes are founded on similar principles,
they can expect conflicts of interest between
their states similarly to be subject to peaceful
settlement rather than the use or threat to
use military force. By contrast, they expect
states governed by autocratic principles not
to share a cultural preference for peace and
so behave more assertively in their interactions
with such states.
Democratic norms provided only weak restraints
on interstate behavior in the Greek system.
I also am coming to believe that while shared
democratic culture and norms significantly
influence peace between democracies in the
modern era, their effect is less powerful than
are democratic institutions. Some institutional
theories emphasize deliberative institutions
and a separation of powers that may slow down
decision making to avoid rash actions and provide
time for diplomacy to address the conflicts.
A more influential version of institutional
theory emphasizes open political competition
and regular free elections in keeping decision-makers
accountable to a wide electorate. I regard
this as the most compelling explanation of
the DP. By this view what matters is the invention
of institutions of representative government
constrained by free elections. That means
a wide franchise and institutions which produce
truly competitive elections that the incumbent
can actually lose. In a long or losing war,
large parts of the electorate pay severe costs
in money and blood. If that happens, the democratic
leader and his party can expect to be thrown
out of office, especially if it was a “war
of choice” rather resisting a clear attack.
So a wise democratic leader will anticipate
electoral retaliation and avoid war in the
first place. In the United States, this is
most likely when at least one branch of the
legislature is controlled by the opposition
party, giving it a more informed and credible
platform if it chooses to oppose him.
This then becomes the basis for a theory of
strategic interaction, as leaders contemplate
the incentives and constraints on each other’s
choices. A democratic leader will especially
avoid war with another democracy, since she
knows that other democracies, like her own,
are able to mobilize their resources and populations
for long and effective resistance. Autocratic
leaders, however, have much less fear of being
driven from office if their wars go badly,
and whether or not they are successful in wars
they may be able to make the general populace
pay most of the costs and able to retain enough
gains to hold the loyalty of their narrow base
of supporters in the oligarchy and the domestic
security forces. Much systematic evidence
supports this theory even though one may find
exceptions where democratic leaders are yet
able to hang onto office.
As I said earlier, comparisons between ancient
and modern forms of government are hazardous.
We already know that it is a simplification
to think of contemporary democracy and autocracy
on a unidimensional scale, or to regard all
democracies as having equally accountable executives
and all autocracies as equally unaccountable.
A free press is highly correlated with democracy,
and contributes importantly to democratic accountability.
But the degree of press freedom varies within
contemporary democracies and autocracies, and
so may its effect on foreign policy behavior.
Other institutions and competitive practices
vary notably across democracies and autocracies.
Such differences can elucidate rather than
undermine how the democratic peace may operate.
And while there is little evidence of a corresponding
autocratic peace, we know that certain types
of autocracies get along better with each other
than do other types. Institutional distinctions
among autocracies and democracies are complex
and hardest to make in the mid-range of the
scale. Correspondingly, the effect of regime
type on behavior is weakest there, and much
stronger for the more uniform types at the
highest and lowest ends of the scale. That
gives all the more reason for caution in generalizing
about the equally great variation within simple
dichotomy of democracy and autocracy in the
Greek world, or about similarities between
ancient and modern eras.
By these interpretations, the failure to find
much democratic peace in ancient Greece should
not be surprising. One reason could be that
the Athenians had many slaves, and only men
voted in what was by our standards a narrow
electorate. More important, however, may have
been the lack of institutional constraints
in the form of separation of powers and representatives
subject to periodic and regular electoral removal.
The assembly of citizens met at least 40 days
per year. There was no higher authority than
the assembly, and its decisions were final.
Only it could reverse its own decisions (as
it did hastily reverse its initial hasty decision
to slaughter the Mytilenians). Generals and
treasurers were chosen by election, but the
nine chief administrative officers (archons)
were chosen by lot without any special capacity
or training. So too was a Council of 500,
whose members each served for a year. Its
executive committee changed composition ten
times a year. So there was no professional
bureaucracy or representative institution resist
rash action or to be held responsible. The
free citizens of the assembly, with their stake
in retaining and expanding the system, were
not especially pacifist. That they, rather
than their elected representatives, took the
decision to go to war made it harder to blame
leaders (even demagogues) as responsible.
Kant expects the citizens of a republic to
hesitate greatly before taking on a dangerous
enterprise like war, for that ‘would mean calling
down on themselves all the miseries of war,
such as doing the fighting themselves, supplying
the costs of the war from their own resources,’
and carrying the burden of debt. But he distinguishes
a republic, where ‘the executive power (the
government) is separated from the legislative
power,’ from the possible despotism of ‘badly
organized constitutions of ancient and modern
times (e.g., of democracies without a system
of representation)’. The Athenian combination
of citizens who had the potential to gain from
war, with the lack of representative institutions,
was a citizenry with neither pacific preferences
nor restraint.
Very possibly, representative institutions
and constrained executives are best produced
by the wealth and culture of modernity in modern
republics, though modernity is neither a sufficient
nor necessary condition for such institutions.
If they are especially common under the conditions
of modernity, they constitute not just another
aspect of modernity but a greater perfection
of democracy itself, one far better suited
to a largish contemporary state which might
have served even the Athenians better. Modernity
would therefore be a major ‘cause’ of democratic
institutions, yet it could remain true that
those institutions constitute the direct cause
of peace among democracies. How well the combination
of broad suffrage and republican institutions
can sufficiently restrain the resort to war
by powerful democracies against nondemocracies
is less clear. The better we can understand
how the differences between Greek democracies
and modern affected their foreign policies,
the better we will be able to understand the
purposes and consequences of those policies,
including imperialism.
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