ALSO BY CONDOLEEZZA RICE
No Higher Honor:
A Memoir of My Years in Washington (2011)
Extraordinary, Ordinary People:
A Memoir of Family (2010)
Germany Unified and Europe Transformed:
A Study in Statecraft (1995) with Philip Zelikow
The Gorbachev Era (1986) with Alexander Dallin
The Soviet Union and the Czechoslovak Army, 1948–1983:
Uncertain Allegiance (1984)
Mission Statement
Twelve strives to publish singular books by authors who have unique perspectives and compelling authority. Books that explain our culture; that illuminate, inspire, provoke, and entertain. Our mission is to provide a consummate publishing experience for our authors, one truly devoted to thoughtful partnership and cutting-edge promotional sophistication that reaches as many readers as possible. For readers, we aim to spark that rare reading experience—one that opens doors, transports, and possibly changes their outlook on our ever-changing world.
12 Things to Remember About TWELVE
1. Every Twelve book will enliven the national conversation.
2. Each book will be singular in voice, authority, or subject matter.
3. Each book will be carefully edited, designed, and produced.
4. Each book’s publication life will begin with a monthlong launch; for that month it will be the imprint’s devoted focus.
5. The Twelve team will work closely with its authors to devise a publication strategy that will reach as many readers as possible.
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12. Each book will matter.
Bibliography
Beeman, Richard. Plain, Honest Men: The Making of the American Constitution. New York: Random House, 2010.
Bowen, Catherine Drinker. Miracle at Philadelphia: The Story of the Constitutional Convention, May to September 1787. Boston: Little, Brown, 1966.
Brown, Dee. Bury My Heart at Wounded Knee: An Indian History of the American West. New York: Picador, 2007; originally published in 1970.
Brown, Michael, Sean Lynn-Jones, and Steven Miller. Debating the Democratic Peace. Cambridge: MIT Press, 1996.
Bushnell, David. The Making of Modern Colombia: A Nation in Spite of Itself. Berkeley: University of California Press, 1993.
Collier, Christopher. Decision in Philadelphia: The Constitutional Convention of 1787. New York: Ballantine, 1986.
de Tocqueville, Alexis. Democracy in America. Translated and edited by Harvey C. Mansfield and Delba Winthrop. Chicago: University of Chicago Press, 2002.
Diamond, Larry. “Facing Up to the Democratic Recession.” Journal of Democracy 26, no. 1 (January 2015): 141–55.
Ellis, Joseph J. Founding Brothers: The Revolutionary Generation. New York: Alfred A. Knopf, 2000.
Finer, Samuel E. The Man on Horseback: The Role of the Military in Politics. London: Pall Mall, 1962.
Fukuyama, Francis. Political Order and Political Decay: From the Industrial Revolution to the Globalization of Democracy. New York: Macmillan, 2014.
Getty, John Arch. Origins of the Great Purges: The Soviet Communist Party Reconsidered, 1933–1938. Cambridge: Cambridge University Press, 1985.
Hornsby, Charles. Kenya: A History Since Independence. London: I. B. Tauris, 2012.
Kline, Harvey F. Historical Dictionary of Colombia. Lanham, MD: Scarecrow Press, 2012.
Linz, Juan J., and Alfred Stepan. “Toward Consolidated Democracies,” Journal of Democracy 7, no. 2 (April 1996): 12–33.
McFaul, Michael. Russia’s Unfinished Revolution: Political Change from Gorbachev to Putin. Ithaca, NY: Cornell University Press, 2001.
Magocsi, Paul R. A History of Ukraine: The Land and Its Peoples. Toronto: University of Toronto Press, 2010.
Manuel, Anja. This Brave New World: India, China, and the United States. New York: Simon & Schuster, 2016.
North, Douglass C. Institutions, Institutional Change and Economic Performance. Cambridge: Cambridge University Press, 1990.
Pevar, Stephen. The Rights of Indians and Tribes. New York: Oxford University Press, 2012; originally published in 1983.
Prucha, Francis Paul. The Great Father: The United States Government and the American Indians. Lincoln: University of Nebraska Press, 1986.
Rakove, Jack N. Original Meanings: Politics and Ideas in the Making of the Constitution. New York: Alfred A. Knopf, 1996.
Rashid, Ahmed. Descent into Chaos: The US and the Disaster in Pakistan, Afghanistan, and Central Asia. New York: Penguin Books, 2009.
Rosefielde, Steven. Russia in the 21st Century: The Prodigal Superpower. Cambridge: Cambridge University Press, 2005.
Sheldon, Garrett Ward. The Political Philosophy of James Madison. Baltimore: Johns Hopkins University Press, 2001.
Stalin, Josef. On the Opposition, 1921–1927. Peking: Foreign Language Press, 1974.
Stewart, David O. The Summer of 1787: The Men Who Invented the Constitution. New York: Simon & Schuster, 2007.
Zunz, Olivier. Philanthropy in America: A History. Princeton, NJ: Princeton University Press, 2012.
Notes
Introduction: Is Democracy in Retreat?
1. Larry Diamond, “Facing Up to the Democratic Recession,” Journal of Democracy 26, no. 1 (January 2015): 141–155.
2. A long line of distinguished scholars has emphasized the role of institutions in political and economic development, even as they have differed on some of the details of how those processes work. This book’s conception of democracy—and various types of non-democratic regimes, as detailed later in the introduction—builds off this foundation. By using Douglass North’s definition of institutions as “rules of the game” that “structure incentives,” the book acknowledges the role of institutions as mechanisms for bargaining. It also recognizes their relation to state capacity, echoing the work of Samuel Huntington and Francis Fukuyama, who have focused on how institutions help bring order—without which political or economic development is not possible. The book’s typology also places considerable weight on the institutional space afforded to various actors and the degree to which they are able to contest political issues. In that sense it is similar to the work of Douglass North, John Joseph Wallis, and Barry R. Weingast, who contrasted “open access” and “limited access” societies; and Daron Acemoglu and James A. Robinson, who similarly wrote of “inclusive” and “extractive” institutions. These concepts generally map onto the meanings of “democracy” and “non-democracy” as used in this book.
3. Douglass C. North, Institutions, Institutional Change and Economic Performance (Cambridge: Cambridge University Press, 1990), 3.
4. This phrase was popularized by Juan J. Linz and Alfred Stepan in “Toward Consolidated Democracies,” Journal of Democracy 7, no. 2 (April 1996): 12–33. They credit Giuseppe di Palma with coining the phrase.
Chapter 1: The American Experience
1. For more on the Constitutional Convention of 1787, see Catherine Drinker Bowen, Miracle at Philadelphia: The Story of the Constitutional Convention, May to September 1787 (Boston: Little, Brown, 1966); Richard Beeman, Plain, Honest Men: The Making of the American Constitution (New York: Random House, 2010); David O. Stewart, The Summer of 1787: The Men Who Invented the Constitution (New York: Simon & Schuster, 2007); Jack N. Rakove, Original Meanings: Politics and Ideas in the Making of the Constitution (New York: Alf
red A. Knopf, 1996); Christopher Collier, Decision in Philadelphia: The Constitutional Convention of 1787 (New York: Ballantine, 1986). For a broader but very rich account of the founding period and the republic’s first years, see Joseph J. Ellis’s Founding Brothers: The Revolutionary Generation (New York: Alfred A. Knopf, 2000).
2. The “Fourth Estate” usually refers to an entity outside the traditional power structure of a society—in this case, a free press. The original “three estates” of the ancien régime in prerevolutionary France were the nobility, clergy, and commoners. According to Thomas Carlyle, Edmund Burke coined the term when observing a parliamentary debate in 1787. Wrote Carlyle, “Burke said there were Three Estates in Parliament; but, in the Reporters’ Gallery yonder, there sat a Fourth Estate more important far than they all.”
3. David M. Kennedy, “The American Presidency: A Brief History,” lecture at Stanford University, fall 2016.
4. The Posse Comitatus Act of 1878 was passed to prevent federal troops from ever again serving a domestic law enforcement purpose. The one exception stemmed from the Insurrection Act of 1807, which allowed the president to deploy federal troops within the United States in the event of an “insurrection, or obstruction to the laws.” After Hurricane Katrina, the Insurrection Act was amended in 2006 to allow the president to deploy federal troops to restore order in the wake of a natural disaster, terrorist attack, or other public emergency. That amendment would have hastened the federal response to Hurricane Katrina had it been in place when the storm struck, but it also raised complaints from governors and states’ rights activists, and it was repealed in 2008.
5. Samuel E. Finer raised this question in his classic on civil-military relations, The Man on Horseback: The Role of the Military in Politics (London: Pall Mall, 1962), 5. As he put it, “Instead of asking why the military engage in politics, we ought surely ask why they ever do otherwise. For at first sight the political advantages of the military vis-à-vis other and civilian groupings are overwhelming. The military possess vastly superior organization. And they possess arms” (italics in original).
6. Between 1786 and 1787, former Continental army captain Daniel Shays led a group of four thousand rebels in a series of uprisings over high tax rates, including an attempt to capture a U.S. armory. Although the rebellion was eventually quelled, it spurred economic reforms and, more important, shaped debates about the scope of the new U.S. government by highlighting the weakness of a limited national government like the one put in place by the Articles of Confederation.
7. One of Madison’s mentors at Princeton, Dr. John Witherspoon, once argued that religion benefits from the spread of political liberty: “Knowledge of God and his truths have from the beginning… been confined to those parts of the earth where some degree of liberty and political justice were to be seen.… Knowledge of divine truth… has been spread by liberty,” he said. (Garrett Ward Sheldon, The Political Philosophy of James Madison [Baltimore: Johns Hopkins University Press, 2001], 28, which cites Jeffery Hays Morrison, “John Witherspoon and ‘The Public Interest of Religion,’” Journal of Church and State 41 [Summer 1999]: 597.)
8. U.S. Bureau of Economic Analysis, “Value Added by Industry as a Percentage of Gross Domestic Product,” 2015, http://www.bea.gov/iTable/iTableHtml.cfm?reqid=51&step=51&isuri=1&5114=a&5102=5. This same fact can be demonstrated by comparing government spending as a percentage of GDP. According to 2015 data from the World Bank, government spending as a percentage of GDP in the United States (14.4 percent) was considerably lower than in a variety of other countries, including France (23.9); Canada (21.2); Japan (20.4); Brazil (20.2); and the United Kingdom (19.4). See: World Bank, “General Government Final Consumption Expenditure (% of GDP),” 2016, http://data.worldbank.org/indicator/NE.CON.GOVT.ZS.
9. Olivier Zunz, Philanthropy in America: A History (Princeton, NJ: Princeton University Press, 2012), 8.
10. Ken Stern, “Why the Rich Don’t Give to Charity,” Atlantic, April 2013.
11. Arthur C. Brooks, “A Nation of Givers,” American, American Enterprise Institute, March/April 2008, https://www.aei.org/publication/a-nation-of-givers/.
12. Alexis de Tocqueville, Democracy in America, vol. 1, ch. 14.
13. The Alien and Sedition Acts were actually four pieces of legislation, and only one of them, the Sedition Act, targeted speech. The act prohibited “writing, printing, uttering or publishing any false, scandalous and malicious writing or writings against the government.” The law had a built-in sunset provision and was allowed to expire in 1801. The other three acts were related to the treatment and naturalization of non-American citizens within the United States.
14. As my colleague Francis Fukuyama notes, despite the progress under Teddy Roosevelt, “the end of the patronage system at a federal level did not arrive until the middle of the twentieth century.” Political Order and Political Decay: From the Industrial Revolution to the Globalization of Democracy (New York: Macmillan, 2014), 160.
15. Dred Scott v. John F. A. Sandford (1857), opinion of Chief Justice Taney, Supreme Court of the United States, available at http://memory.loc.gov/cgi-bin/query/r?ammem/llst:@field(DOCID+@lit(llst022div3))).
16. Frederick Douglass, “The Dred Scott Decision,” speech before the American Anti-Slavery Society, May 14, 1857, available at https://www.lib.rochester.edu/index.cfm?PAGE=4399.
17. The KKK was refounded in the early twentieth century and had a strong following in the Midwest.
18. Today, there are more than a hundred historically black colleges operating across the country, granting undergraduate and graduate degrees to thousands of students of all races.
19. One judge from Alabama exemplifies the notion of judicial independence. Judge Frank M. Johnson, appointed to the federal judiciary by President Eisenhower in 1955, played a central role in helping to overturn Jim Crow–era laws in Alabama, even as it came at a high cost to himself in the form of harassment and ostracism from his segregationist neighbors. On the bench, he interpreted the law as he saw it, repeatedly ruling in favor of equal rights by applying the same principles upheld by the Supreme Court in Brown v. Board of Education, not just to schools, but to all areas of public life.
20. For further explanation of Native American history, consider the following books: Francis Paul Prucha, The Great Father: The United States Government and the American Indians (Lincoln: University of Nebraska Press, 1986); Dee Brown, Bury My Heart at Wounded Knee: An Indian History of the American West (New York: Picador, 2007; originally published in 1970); and Stephen Pevar, The Rights of Indians and Tribes (New York: Oxford University Press, 2012; originally published in 1983).
21. There were actually two matters before the Court, one involving undergraduate admissions at the University of Michigan (which were ultimately deemed unconstitutional), and one involving admissions to the University of Michigan Law School (which were not).
Chapter 2: Russia and the Weight of History
1. Josef Stalin, On the Opposition, 1921–1927 (Peking: Foreign Language Press, 1974).
2. For example, the Strategic Defense Initiative (SDI) was a satellite-based missile defense system designed to protect America from nuclear attack. While SDI never became fully operational, its real impact was on the Soviets’ thinking. It raised the stakes in the arms race and convinced many in the Soviet military that maintaining technological parity with the United States was either impossible or not worth the cost. For more on these issues, see two articles from earlier in my career: “The Party, the Military, and Decision Authority in the Soviet Union,” World Politics 40, no. 1 (October 1987): 55–81; and “The Military-Technical Revolution and the General Staff in the Soviet Union,” in Herbert Goodman, Science and Technology in the Soviet Union (Stanford Conference Report on Soviet Technology, 1984).
3. John Arch Getty, Origins of the Great Purges: The Soviet Communist Party Reconsidered, 1933–1938 (Cambridge: Cambridge University Press, 1985), 8.
4. First performed in front of Tsar Nichola
s I in 1836, this five-act satirical comedy takes place in a provincial town outside Saint Petersburg. A government copying clerk named Ivan Khlestakov is mistaken by the town officials for the anxiously anticipated inspector general. Upon realizing their mistake, Khlestakov accepts bribes from the officials in exchange for promising to leave the town’s corruption unreported. Despite its harsh satire of the Russian civil service, the play was received well by Tsar Nicholas I, who insisted that it be produced in the Imperial Theater. The story was popularized in modern times by a film starring Danny Kaye.
5. Michael McFaul, Russia’s Unfinished Revolution: Political Change from Gorbachev to Putin (Ithaca, NY: Cornell University Press, 2001), 65.
6. Ibid.
7. Steven Rosefielde, Russia in the 21st Century: The Prodigal Superpower (Cambridge: Cambridge University Press, 2005), 41.
8. “Four Power Rights and Responsibilities” refers to the post–World War II agreement between the United States, the United Kingdom, France, and the Soviet Union on the status of East and West Germany and the divided city of Berlin.
9. Michael McFaul, borrowing from the language of the French Revolution, has helpfully spoken of three Russian “republics” during this period, of which the Gorbachev reforms were the first, connecting analytically the changes in reforms of the final years of the Soviet Union to the early years of Russia’s independence. In reality, that connection was broken—severed by the chaotic events surrounding the birth of a new Russia.
10. Branko Milanovic, “Income, Inequality, and Poverty During the Transition from Planned to Market Economy” (World Bank, February 1998), 12.
11. Ibid., 9.
12. Ibid., 68.
13. Matthew Johnston, “The Russian Economy Since the Collapse of the Soviet Union,” Investopedia, January 21, 2016, http://www.investopedia.com/articles/investing/012116/russian-economy-collapse-soviet-union.asp.
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