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CITIZENSHIPANDEXCLUSION
RadicalDemocracy,Community,and Justice.
Or,WhatIs Wrongwith Communitarianism?
VEITBADER
Universityof Amsterdam
OFSOVEREIGN7Y
1. PARADOXES
ANDCITIZENSHIP
Thedevelopment
Oursis a timefullof paradoxes.
of themodemstatewas
andunification
characterized
of powers.Howby a specificmonopolization
dramatized
as it wasin thejuridico-political
ever,thisdevelopment,
mythof
seemsto be over.I see
absolute,unitary,andindivisiblestatesovereignty,'
of statesovereignty
in anepochmarkedsimultaneously
fourmainparadoxes
andcontradictorily
of "nationby a processof erosionandstrengthening
states":(1) in a worldof fastandthorougheconomic,ecological,political,
we areconfrontedwith"ethnicrevivals,"
andinformational
globalization,
"newtribalism,"
"ethniccleansings,"
theimplosionof states,andthelike.(2)
Themythandpracticesof indivisiblesovereignty
of nation-states
contradict
thedevelopments
of internaldelegation("devolution
of statesovereignty"
to
states,provinces,regions,communities)andexternaldelegation("reconstructionof statesovereignty")
to suprastate
levelsandinternational
organizationsthatare simultaneously
going on. (3) The mythandpracticesof
focusedin thenation-state
unitarysovereignty,
andclaiminga monopolyin
legislation,jurisdiction,currency,taxation,andlegal enforcement,
contradictsthesimultaneous
anddelegationof thosepowers(e.g.,
disentanglement
Europeancurrency,
European
courts).(4) Themythandpracticesof unlimof thenation-state
ited,absolutesovereignty
contradicts
thegrowingfactual,
thatcomplement
moral,2andlegalexternallimitations
thewell-knowninternal limitations(liberal-democratic
constitutions).Limitationsby internationallaw,international
covenants,andcourts,howeverprecarious
theymay
be, areincreasingly
followedby proclamations
andpoliciesof intervention
AUTHOR'S NOTE: For corrections of the English text, I would like to thank T Dekker,
P Pekelharing,and T Strong.
POLITICALTHEORY,Vol. 23 No. 2, May 1995 211-246
? 1995 Sage Publications,Inc.
211
212
POLITICAL
THEORY/May1995
humanrightsareseriouslyandblatantly
in casesin whichthemostelementary
protectionof "civilrights"versusstatesovereignty
violated:international
affairs(e.g.,Helsinki
inthe"internal"
andtheoldprincipleof nonintervention
Ex-Jugoslavia);
Iraq/Kurdistan,
Cambodja,
conferenceonpeaceandsecurity,
(e.g.,Haiti).
democratic
"politicalrights"versusnonintervention
of citizenshipcoincidewith
paradoxes
As I see them,themostimportant
asfollows:(1) withinstates,the
andcanbe summarized
thesedevelopments
tendencytowarduniversalistinclusionis relativelyadvanced(legal and
politicalequalityamongcitizens).However,this equalityof inclusionhas
interwovenwithsystematicexclusion
alwaysbeen,andstillis, intrinsically
(legalandpoliticalinequalitybetweencitizensandnoncitizens(foreigners,
getrights
metics,denizens,etc.).3(2) Noncitizensanddenizensincreasingly
havebeenreservedto citizens,and,by this, citizenship
that,traditionally,
does lose much of its traditionallegal, political,and social importance.
to
thataddsadditional
momentum
Moreover,it is exactlythisdevelopment
is developingin two waysintoa
thetendencyof exclusion.(3) Citizenship
by
concept:politicalcitizenshipis complemented
multipleandmultilayered
of
and
social
citizenship),
citizenship(manyspheres
economic,industrial,
and politicalcitizenshipis gainingimportanceon different,increasingly
suprastatelevels of politicalintegration(manylevels of politicalcitizenself-determination
and
ship).4However,theideaandpracticeof democratic
linkedand limitedto state
democraticcitizenshipis still predominantly
(4) As a consequenceof migrationand
membershipand "nationhood."
societiesand European
processesof Europeanunification(multicultural
citizenship),one findsa strongculturalandpoliticalpressureeven in soof ethnicity,culture,andnatowarda disentanglement
callednation-states
tionhoodfromcitizenship.Yetatthesametime,in a reactivemove,onefinds
of ethnic,"racial,"
cultural,
andamalgamation
the traditional
superposition
andnationalidentityandcitizenshipbecomingevenstronger.
In practicalpolicies,thoseparadoxesrequirea flexibleresponse.Theorethinking.
It is urgent,from
retically,theyaskforquickandthoroughgoing
bothadescriptive
andanexplanatory
aswellasfromanormative
perspective,
asa "bundle"
ofpowersthatcanbedivided,
sovereignty
one,toconceptualize
limited,delegated.Citizenshiphas to be thoughtof as a multipleand
legal and politicaltheoryas well as
multilayeredconcept.'Predominant
politicalphilosophyseemto havemuchtroubleevenstartingsucha process.
and(neo)connotonlyreactionary
Theyare-as always-in therearguard:
and(neo)republican
servativetheorybutalso mostliberal,communitarian,
theoriesof democracy.6
I shallconsidertheexemplary
difficultiesMichael
By wayof illustration,
Walzerhas, as a radicalsocial democrat,in tacklingthese paradoxesof
ANDEXCLUSION 213
Bader/ CITIZENSHIP
2. CITIZENSHIP
AND EXCLUSION:MORAL,
PRUDENTIAL,REALISTAND ETHICALARGUMENTS
In internationalrelationsof exploitation,oppression,and discrimination,
citizenshiphas always been andstill is the single most importantcriterionof
214
POLITICAL
THEORY/May1995
inclusionandexclusion(see Brubaker1992).Notwithstanding
the strong
universalist
rhetoricin the
languageof humanrightsandtheinternationalist
liberal tradition("free movementof capital"),the socialist tradition
andthe anarchisttradition,those ex("proletarianinternationalism"),
havebeenwidelyignoredin thedominant
theories
clusionaryconsequences
of justice.7
Most recentmoraltheoryhas as its commoncore some versionof a
universalistegalitarianism
(see Kymlicka1990, 5; Goodin1992, 7). The
with this "egalitarian
exclusionaryeffectsof citizenshipareincompatible
plateau."Theegalitarianprincipleof equallibertiesservesas a criterionof
radicalcritiqueof all ascriptiveprivileges.Citizenshiplaws combine,in
differentways,criteriaof birthor descent(jussanguinis)andterritory(jus
soli). Theseascriptivecriteriaaremorallyno moredefensiblethanall the
other,like kinship,sex, age, region,residence,language,habits,culture,
socialclass,membership
inchurches,
lifestyles,gender,religion,nationhood,
inWestern
liberaldemocracies
is themodern
parties,andso on."Citizenship
of feudalprivilege-aninherited
statusthatgreatlyenhancesone's
equivalent
life chances.Likefeudalbirthright
privileges,restrictivecitizenshipis hard
to justify when one thinksaboutit closely"(Carens1987, 252; see also
Carens1992;Dummet1992, 171;Brubaker1992,31f; Walzer1983, 55,
1992,96f; SchuckandSmith1985,2). Theuniversalism
of themoralpoint
of view,evenin its thoughtful
and"weak"versions,whichI favor,8doesnot
allowmoralprivilegeto themembersof particular
communities.
fromjustice,ratherthanarguments
Followingarguments
forfreemobility
as ahumanright,9I thinkonecanplausiblyshowthattheexistinginequalities
withinandbetweenstatescannotbe morallydefended.Carens,Weithman,
andPoggi havereconstructed
Rawls's(1971) argumentto show thatone
shouldunderstand
the originalpositionglobally:the differenceprinciple,
then,requiresfar-reaching
international
redistribution
of resourcesandrewards.Wereone to introducevouchersfor the choiceof citizenshipin a
stateintoDworkin'sideaof anambition-sensitive
particular
andendowmentinsensitiveauctionso as to obtain,initially,a fairdistribution
of resources,
one could,most probably,get similarresults.10
The construction
of such
modelsis intendedto showwhatajustdistribution
in anideal,globalworld
would look like. They wouldmost likely demonstrate
an enormousgap
betweenthoseidealdistributions
andthe existinginternational
relationsof
exploitation,oppression,and exclusion.A just distributionof resources
withinstateswouldimplyredistribution
of controloverresourcesradically
incompatiblewiththeusualaccommodation
withcapitalistmarketeconomies. The international
consequenceswould be, obviously,even more
radical.
ANDEXCLUSION 215
Bader/ CITIZENSHIP
216
THEORY/May1995
POLITICAL
Bader/ CITIZENSHIP
ANDEXCLUSION 217
3. SOCIOLOGICAL
CRITIQUEOFA
COMMUNITARIAN
DEFENSEOF CLOSEDBORDERS
Walzerrepresentsone of the most liberal and pluralistversions of communitarianism.'6Therefore,he cannotbe criticizedfor the usual theoretical
andhistoricalmythsthatcharacterizethe conservativeor protectiveversions:
the basic conceptof communityremainsvague;the historicalrole of violence
and communityconstructionor buildingis ignoredin picturesof an organic
developmentof communities;internalhomogeneityof communitiesis postulatedand cross-cuttingcommunalallegiancesand collective identitiesare
forgotten;in a kind of retrospectivenostalgia,communitiesarethoughtto be
harmonious (traditional) Gemeinschaften and confronted with conflictridden and (modem) strategicGesellschaften;culturalcommunitiesare constructedwithoutany analysisof structuralantagonismandconflict,particularly
class antagonism and conflict;"7the idea of shared meaning, of shared
is verymuchoverstressed.18
cognitiveandnormativeframesandinterpretations
Nevertheless he does sharefour presuppositionswith all hard-corepolitical
communitarians.These are not very plausibleand can easily be refuted:
1. Superimpositionof linguistic, cultural,religious, ethnic, national,political communitiesandthe state.In sociology as well as in normativetheory,
broad container-conceptsof "ethnicity"preclude a detailed analysis of the
analyticallydifferentbut historicallyoverlappingcriteriaof exclusion and
possible communityformation.Elsewhere,I have triedto construct,from a
perspective of inequalities,a disaggregatedscheme of criteriaof exclusion
and correspondingpractices and legitimationsof exclusion."9From a perspective of identity,culture,and collective action, I also triedto show under
which circumstancesparticularcommunitiesdevelop/canbe constructed.20
Even in Walzerone can find the usual mix of ethnic, linguistic, territorial,
cultural,religious, and nationalcommunitiesand statescommon to communitarianlegitimationsof exclusion.It is obvious, however,thatsome of these
communitiesarenot only separatedanalyticallybuthistoricallyas well. They
do not always peacefullyoverlap.Usuallythey arenot coextensive, andthey
conflict with one another.
2. Walzer, of course, knows that states are not necessarily, or even
commonly,ethnic or culturalhomogeneousentities.2'Nevertheless,he does
speak of states as "nations"or "communities"all the time, even when this is
obviously false.22This is not just a conceptualweakness, it plays a crucial
role in the first (hermeneutic)of the four argumentsin favorof states as most
appropriateunities for argumentsabout distributivejustice. Without it he
would not be able to writethese normativelycrucialsentences:"thepolitical
community is probably the closest we can come to a world of common
218
THEORY/May1995
POLITICAL
meanings.Language,history,andculturecometogether(comemoreclosely
togetherherethananywhereelse) to producea collectiveconsciousness"
(1983, 28).23Stateswouldonly be legitimate,in this regard,as worldsof
commonmeaning,sharedlanguages,andcommoncognitiveandnormative
weakandhistorically
morethandubious.
frames.Butthislinkis theoretically
It is obviousthathistoricalstatesdifferin degreeof linguisticandcultural
areveryimportant.
Forthreereasons,
andthatthesedifferences
homogeneity
mustberefuted:(i) it is obviouslywrongto assume,even
Walzer'sstatement
underpresentconditions,thata "statelessworld"wouldbe a "worldwithout
menand
deracinated
particular
meaning"(1983,34),inhabited
by"radically
women"(p. 39);(ii) his argument,
obviously,doesnotholdformulticultural
andbi- ormultilingual
states;(iii) therearemanyinter-"national"
linguisticculturalcommunities,old ones as well as new (religious,professional,
artistic,political),andWalzerhimselfknowsperfectlywellthatmanysmaller
"infra-state
units"showmuchstronger"worldsof commonmeaning"and
muchstrongeraffiliationandcommitments.
notonlycommunitarians24-conceive
3. Notallcommunitarians-and
of
the state as apolitical community. Walzerhalfheartedly,but no less mislead-
clubsandfamilies"
ingly,treatsthestatein analogywith"neighborhoods,
(pp. 35-42). Historicalstatesare not such warm,horizontalVergemeinbasedonconsent,butrather
schaftungenorfreeanddemocratic
associations,
basednotonfreeentrybutonenforcedmembership
coldverticalinstitutions,
andphysicalviolence.Strictlyspeaking,theyarenot "associations"
at all,
butinstitutions.
Ofcourse,therearedifferences
in thisregardbetweenstates,
andthesedifferencesareimportant.
Buteven"nation-states"
thatareculturally fairlyhomogeneousand ratherdemocratichave been statesin class
societies.Toevadetheconnotations
of coldness,verticalhierarchies,
bureaucracy,centralism,culturalnormalization,
and illegitimatedominationso
commonlyassociatedwithstates,Walzermisleadinglyprefersto speakof
"countries"
or"political
communities."
Hemaybeperfectly
rightinstatingthat
"thecommunity
is itselfa good-conceivablythemostimportant
good"(p.29),
butthis communitarian
convictionprobablytells less in favorthanagainst
the state,or moreprecisely,it couldbe mobilizedin its favoronlyif andto
thedegreein which,empirically,
statesweretoresemblethenormative
ideals
in the booksof democratic
If one recognizesthatstatesare
consent-theory.
notculturallyhomogeneous
ordemocratic
politicalcommunities,
themoral
andethicallegitimacy
of theirexclusionary
"righttocommunal
self-detenrnination"getsseverelyundermined.
4. Walzerthereforetriesto backup the ethicallegitimacyof statesby
ascribingto thema crucialrolein the defenseandreproduction
of cultural
diversity:
Bader/ CITIZENSHIP
ANDEXCLUSION 219
canbe openonlyif countriesareatleastpotentially
Neighborhoods
closed.... Neighsomecohesiveculturefora generation
borhoodsmightmaintain
ortwo on a voluntary
basis,butpeoplewouldmovein, peoplewouldmoveout;soonthecohesionwouldbe
of culturesandgroupsdependsuponclosureand,withoutit,
gone.Thedistinctiveness
cannotbe conceivedas a stablefeatureof humanlife. If distinctiveness
is a value...
thenclosuremustbe permitted
somewhere.
(pp.38-9)
220
/ May1995
POLITICAL
THEORY
Bader/ CITIZENSHIP
ANDEXCLUSION 221
4. HOW TO COMBINETHEREQUIREMENTS
OF
UNIVERSALIST
JUSTICEAND RADICALDEMOCRACY
Formsof democracystrongerthanthosepredominant
in developedcapitaliststatesshouldbefavouredforfourreasons:(i) politicaldemocracy
itself
is, intrinsically,
a formof goodlife;(ii) thereproduction
of thindemocracy
asksforstrongerformsof politicalallegiancethanit cancreateby itself;(iii)
ecologicaldisastersandthe destructionof naturecan be prevented,in a
democraticway,only by strongerformsof democracy;31
(iv) radicalredistributions,withinand betweenstates,can be realized,legitimatelyand
effectively,onlyin strongerdemocracies.
Yetall knownhistoricalformsof
strongerdemocracyandmosttheoretical
modelsof republican,
neorepublican,andcommunitarian
democracy
havebeenlinkedwithrigorouspolicies
of exclusion.Thedevelopment
of theoretical
modelsof "strong,"
"empowered"democracy,"pluralist
republicanism,"
"associational,"
"associative,"
or "liberal-socialist"
democracyhas,up till now,not sufficientlydealtwith
thisproblem.32
222
POLITICAL
THEORY
/ May1995
of growingnumbers
of migrants
Recently,as a consequence
andrefugees,
"the contradictionbetween the universalistprinciples of rule of law and
223
224
"pluralist
perspective"
(p.98),thecivilsocietyis a settingof settings,giving
as international
some hope to domesticatenationalism(101), particularly
civil society.
Inweakerversionsof thisdisentanglement,
commonlanguageandhistory
are still acceptedas legitimatecriteria,in strongerversionsthey are not
crucialanymorefor the conceptandpracticeof democraticcitizenship.39
someversionof thedisentanglement
fromascriptive
criteriaand
Historically,
identitieshasbecomea crucialelementin themythandhasbeen,to a lesser
andpracticesof French,American,andSwiss
degree,in the constitutions
republicanism.
As a second,muchmorecontested,step,democratic
citizenshipoughtto
asstatemembership.
bedisentangled
fromcitizenship
someversion
Historically,
is at the rootof all versionsof economic,
of this type of disentanglement
industrial,
orsocial(associational)
democracy
andof all formsof local,town
hall,provincialpoliticaldemocracyas well. In recentpoliticalphilosophy,
theconceptualdisentanglement
is perhapsmostclearlystatedbyHabermas.40
Politicalphilosophy,withtheusualtimelag,reflectspracticalprocesses, forcingus to disconnectdemocraticcitizenshipfromboth"ethnicity/
andfromstatemembership.4"
nationhood"
Thisis quiteobviousin thecase
of European"unification."
At the sametime,this case remindsus of the
enormouspracticaltensionsandcontradictions
thereformulation
of collective political,particularly
national,identitiesbringwiththemin an age of
democraticpluralism,multiculturalism,
andthe formationof
immigration,
inter-"national"
politicalunits.Onlyextremeright-wingneonationalist
and
conservativephilosophyandpoliticscan openlyavoidthis dilemma.The
hiddenneonationalist
ideologyof conservative
partiesandgovernments,
at
leastinEurope,is putundermuchstress,andliberal,democratic,
andsocialist
positionshaveto cometo termswiththesetensions.
4.2 Thickor ThinConceptsof Citizenship?
DifferentCitizenship
Statuses
Theuglyinternalconsequences
of republican
conceptsof citizenshipare
criticizedin anexcellentwaybyBenjamin
Barber(1984,chaps.8 and9) and,
moresuperficially,
by Walzer(1990a,217f;1992,91f, 105ff)andHabermas
(1992, 6580).Strongdemocraticcitizenship,however,does not, unfortunately,excludeillegitimateexternalexclusion,even if it is completely
fromall ethnicornationalcriteriaandidentities.Inthisrespect
disentangled
it is symptomatic
thatbothmodemstatesmentionedby Habermas(1992,
642f) to show the possibilityof this disconnection,
the UnitedStatesand
Bader/ CITIZENSHIP
ANDEXCLUSION 225
haveexternalpoliciesmarkedbycollectiveegotismandcondiSwitzerland,
Toavoidthismorallyillegitimateexclusion
tionalinclusionor exclusion.42
and to defendstrongerversionsof democracy,one shoulddifferentiate
andpracticallybetweendifferent
levelsof citizenshipandargue
conceptually
for a "legal"and"lowthresholdconcept"of citizenship(Carens1993)with
law andpolicies.The
regardto immigration,
refugee,and naturalization
in Habermas43
indicationsfor such a strategyin Carensand,particularly,
remaintoo vaguein legalandpracticalterms.Theyshouldurgentlybe made
more specific.In a very shortoutlineof such a program,I proposeto
distinguishthefollowinglevelsof discourseandrelatedstatusesof citizenshipandduties:
Discourse
Moral
Citizenship Status
1. Passive status of person
Duties
moral duties
legal duties
status subjectionis
legal duties
Political
Ethical
ethical duties
Legal
Figure 1.
is a bridgebetweenmoralandlegalconcepts.Historically,
(Grawert),
it is the
resultof externalandinternallimitations
of statesovereignty.
Theprotection
of a sphereof individuality
by specificrightsof privacyanddueprocessis
226
THEORY
/ May1995
POLITICAL
to allhumanbeingsenteringtheterritory
guaranteed
of a state;it is notlimited
to Staatsangehorige.Therefore,it is not called a status civilis but a human
horigkeit,usuallycontainstwothings:legalprotectionanddueprocessand
"claimson the administrative
activitiesof the statefor individualinterest"
(Jellinek1928,420) or claimsto publicgoodsandservices(likehousing,
education,healthcare,socialsecurity,andservices),whetheror not articulated constitutionally
as "socialrights."Jellinekhas conceptualized
this
positivestatusas a kindof compensation
forall thesacrificesthestateasks
fromits "subjects."
thesesacrificesformtheirstatussubjectionis:
Together,
theirlegal dutiesto performdirectlyor indirectlyfor the state(obey,pay
taxes,or performpublicwork)and/orto fulfillpublicservices(military,45
social,judicial).Concerning
ourproblem,I'dliketomentiononlytwopoints.
(i) Justlike claimsto legalprotection(includingrightsof privacyanddue
process),claimsto publicsocial insurancesand servicesincreasinglyno
longerdependon statemembership:
"statuspositivus"is not any longer
coextensivewith"statuscivitatis."
As I statedalreadyin section1,legalstate
loses importance
in this regard(see Grawert1984, 184).All
membership
legal residentscan legallyclaimprotectionand services(theypay taxes,
socialsecurity,andold age contributions),
andevenillegalresidentshave
bettermoralclaimsthelongertheystay.(ii)If oneacceptsthatsheerduration
of stay,andwithit growingsocialrelationsandexpectations-irrespective
of the character
(legalor illegal)of the firstentryintoa statewhateverits
or
criterion motivation-isa soundbasisforenhanced
moralandlegalclaims
to citizenship,the crucialissue becomesincreasinglythe legitimacyand
effectivenessof controlof firstentry(seeWalzer1983,34f).Furthermore,
if
oneacceptsthatalldifferent
statuses
of long-term
second-orthird-class
citizenship,"metics,"
"denizens,"
"Gastarbeiter"
aremorallyindefensible,
andthat,
allstatemembers
accordingly,
andatleastalllong-term
residentsshouldhave
activeandpassivedemocratic
politicalrights(see theexcellenttreatment
in
Walzer1993,53ff),thiscrucialrole,forallrestrictive
policies,offirstadmission
decisionsandeffectivebordercontrol,becomeseven moreevident.
Ad 4. The statusactivusincludesall activeandpassivepoliticalrights
(universal,free,equal,secret,directballot,andrightto getelectedin office)
and the freedomsof politicalcommunication.
In most liberal-democratic
theserightsarenotconnectedto a corresponding
constitutions,
legaldutyto
227
228
TABLE 1
Forms of Citizenship
Representative
Democracy
Unitary
Democracy
Strong
Democracy
Citizens conceived
legal persons
brothers
neighbors
Bound together by
contract
blood
Related to
govemment as
sovereign but
also subject
corporate body
active participant
vertical (citizen
to government)
horizontal (citizen
to citizen)
dialectical ("levels"
vanish)
Political style
distrusfful,
passive
self-abnegating,
submissive
cooperative, active
Civic virtue
accountability
(reciprocal
control)
fratemrity
(reciprocal love
and fear)
civility (reciprocal
empathy and
respect)
Status of citizenship
(vis A vis other
social identities
discretionary
(one among
many)
omnicompetent
(the only
permissible one)
Ideal ground
(actural ground
is territory)
common contract
(generic
consensus)
common beliefs,
valuec, ends,
identity
(substantive
consensus)
common talk,
decision, work
(creative
consensus)
SOURCE:FromBenjaminBarbers StrongDemocracy:Participatory
Politicsfora New
Age. (1984, Figure3, p. 219). Reprnted by pernission fromthe UniversityofCalifomiaPress.
I sharemostof Barber'sarguments
against"thin"49
and"unitary"
democand
in
of
racy
favor theinstitutions,
cultures,virtues,andpracticesof stronger
democracy.
However,it seemsnecessaryto stresstwopoints,bothsignaling
thatmostrecentneorepublican
theorieshavetroubleavoiding"strongdemocracy"to fall backinto "unitarydemocracy."
Theytherebycross,in a
thoughtlessbutsystematicway,thelinebetweenlegitimatemoral,political
duties and legal duties. (i) Internally,this line should function as a legal
safeguardagainstbothtotalitarianism
andtheethicalmonismof republican
versionsof a good life, whichare incompatible
with ethicalpluralismin
modernsocieties.It is truethatsome ingredientsof strongerdemocratic
culture,virtues,habits,andpracticesarerequiredfor the reproduction
of
"thin"democracyandthat,therefore,completestateneutralityis wrong.50
Thestateandotherpublicagentssimplyhaveto optforandrealizepolicies
thatsocialize,educate,andtraininbornandimmigrant
citizensin theneces-
Bader/ CITIZENSHIP
ANDEXCLUSION 229
saryhabits,customs,andvirtuesof a "minimal
publicorpoliticalmorality."
of liberal-democratic
Withoutsuch,thereproduction
andpublic
institutions
politicalculturewouldbe seriouslyundermined,
andwithit thesafeguards
of preciselythatethicalpluralism.
Defendinga minimalthreshold
conceptof
statusactivusthusdoesnotpreventonefromdefendingandarguingformuch
"thicker"
education.
conceptionsof politicalcitizenshipandof democratic
It
onlypreventsonefromdoingso in anilliberalway.
(ii) Externally,thickrepublicanconceptionsof citizenshipnecessarily
workand are meantto workin favorof highlyrestrictiveimmigration,
asylum,andnaturalization
policieswheneverthelineis crossedthatseparates
theethical,moral,andpoliticalduties,anddemocratic
virtuesthatarepraised
in all citizensfromlegaldutiesandcriteriaof entry.5"
Ad6. Inmost(neo)republican
theories,strong-democratic
politicalconceptionsof citizenship
areintimately
tiedup withethico-political
for
arguments
ethnic,cultural,or nationalconceptions
of citizenship
andthe corresponding
ethicaldutiesandvirtues.Most"civil"religionsareinfactethnicist,
denominaornationalist.
tionalist,
culturalistic,
This,again,demonstrates
howdifficultit is
to distinguishbetweendifferentversionsof democratic
politicalcultureand
virtuesthatare,inprinciple,
universalist
andparticularist
ethicalconceptions.52
hereI canonlystatethattheseconceptual
Unfortunately,
distinctions
open
up a promisingandnew strategyin normativetheorizing,allowingone to
combinetheadvantages
of minimal,neutral,orso-calledliberalconceptions
of politicsand citizenship(usingtheircriticalpoweragainstillegitimate
exclusion)with thoseof conceptionsandtheoriesof strongerdemocratic
politicsand citizenship,necessaryfor the continuityandreproduction
of
"liberal"
democracy.
Suchan argument
is confronted
by two serioustheoretical
andpractical
Howis itpossibletodistinguish
problems:
thehardcoreof universalist
liberal
anddemocraticpoliticalculturefromparticularist
ethnic-cultural
formsin
whichit is inevitablyembedded?
Howis oneto overcomethe"impotence
of
the ethical,"the weak motivationalforce of universalistmoraltalk and
minimalthresholdconceptsof politicsandcitizenship?Thesearethehard
questions"communitarian"
criticismposestouniversalist
"liberal"
defenders
of humanrights,democracy,
andtheruleof law.
4.3 WhatIs the Hard Core of LiberalDemocratic Culture?
Even analyticallyandtheoretically,
the proposeddistinctionbetweena
liberal, democraticpublic or political cultureand "ethical-culturalforms of
230
interpretation
hasalwaysbeen,andstillis, contested:a shortlook in books
in politicalphilosophymakesthisevident.Thereis notevenconsensuson
whatthe basicprinciplesare,whetherthereis one or many.If many,how
many? How do they relateto each other?This means, however, at best that
theyshouldnotbe identifiedwithspecificinterpretations
andrecentcodifications.Theprocessof theirunderstanding
andarticulation
is open-ended,
butsuchthatitshowsacleardirectiontowarduniversalist
inclusion.Itmeans,
second,thatthey can alwaysbe challenged.A fundamental
disagreement
even on principlesis possible andis protectedby somethinglike a metanorm
of "consensusto dissent,""agreement
to disagree."Third,it meansthatthe
processof theirchangingarticulations
cannotbe steeredcompletelyby
propositionally
articulated
principles.
Itassumessomethinglikea metalegal,
metaconstitutionalbasic commitmentor democratichabitbeyond construc-
tivistrationalism.
Thismustbe embeddedin the evolutionof culture54
and
cannotbecontrolled
byReasonwithacapitalR.Finally,forallthishistorical,
social, cultural, or hermeneuticboundedness, there still is no cause for
historicismor socialandculturalrelativism.Manycommunitarian
andhermeneuticphilosophers
orculturalanthropologists
thinkit is thefinalblowto
Bader/ CITIZENSHIP
ANDEXCLUSION 231
232
POLITICAL
THEORY
/ May1995
233
a politicalidentityhaveenoughpractical,motivatingforceto combatand
overcomethe "strong"identificationsalong ethnic,cultural,nationalist,
statistlines?Orto be moreprecise:wouldit be strongenoughto tackleall
versionsof conservative
premodern
as well as thereaccommunitarianism,
tionaryappealto ethnic,racist,nationalist"communities,"
so successful
intheformerSovietUnion,butalsoinmany"respecttodayinex-Jugoslavia,
able"statesin WesternEurope?Andwouldit be strongenoughto copewith
and"democratic-communitarian"
theneorepublican
appealforfairlyclosed
borders?
2. How may one deal with the "impotenceof morality"in normative
theory?Intermsof recentnormative
themost
theory,thisproblemis probably
problematicconsequenceof the analyticalseparationfrom moralityand
Sittlichkeit.
Habermas,
again,clearlyrecognizesthisproblem.Themotivationaldeficitof procedural,
communicative
reasonis a resultof thefactthat
thisreasoncanonlypresentthe"weakforceof rationalmotivation."
"Anyway,it cannotguarantee
the transmission
of insightsin motivatedaction"
(1992, 19). This is the core problemthatHabermasshareswith Kant's
autonomous
moralwill (seeHabermas
1992,145,202),withRawls'stheory
of justice,whichlooksfor"themotivational
thrustof a convivial(entgegenkommend)politicalculture"(86), and with Dworkin'sattemptto embed
principlesof law intoa liberalethics(p. 87).
The action-relevanceof such a moralitythat has been absorbedback into the cultural
system remainslatentas long as it is not actualizedby motivatedactorsthemselves.They
must be in a disposition to act conscientiously.RationalMoralitythus depends upon
convivial socializing processes. These should producecorrespondinginstancesof conscientiality, that is to say correspondingformationsof the superego. Although the
motivatingforces of the good reasons of such a moralityare weak it becomes stronger
only to the degree thatmoralprinciplesare intemalizedand anchoredin the personality
system. (Habermas1992, 145f)
Thisskepticismwithregardtothemotivational
forceof universal,"moralpoint-of-view"
arguments
wasoneof themainreasonsforthestrongparticularist bias in Walzer'sSpheres.Interestinglyenough,Walzerhimselfis
immediately
confronted
withthesameproblemas soonas he triesto tackle
the nastyinternalandexternalconsequences
of "thenation,"whichaskfor
a domestication
by civil society.He feels somewhatuneasywiththe civil
societyargument:
It cannotbe said thatnothingis lost when we give up the singlemindednessof democratic
citizenship or socialist cooperationor individualautonomyor nationalidentity.There
was a kind of heroism in those projects-a concentrationof energy, a clear sense of
234
THEORY
/ May1995
POLITICAL
of friendsandenemies.Tomakeoneof themone's
direction,anunblinldng
recognition
ownwasa seriouscommitment.
(1992,105)
loss of commitment
is particularly
seriousin comAndthisthreatening
identifications.
Both
parisonwith the very strongnationalist/ethnic/racist
positions,universalistdemocraticdiscoursetheoryandcivic pluralismin
asBrianBarrycalledit,havetotacklethesame
"national
populardiscourse,"
problem.Theydo so startingfromdifferentangles,but,as faras I cansee,
theydo notdiffermuchin topicsandpolicies.
Thetask
3. Howtodeveloployaltyto universalist
democracy
practically?
withcivility
is threefold:(i) to socializepeoplein a waythatthey"identify"
andculture;(ii) to educate
andliberal-democratic
principles,constitutions,
to
themeffectivelyin a democratic
manner;62
(iii) createinstitutional
opporanddemocracy
in allspheresof life,notonly
toleration
tunitiesforpracticing
All "liberal"
democratscan only hopethatthis is not only
in "politics."63
possible,buteffectivelydone,andwe should,as politicaltheorists,not be
thatit shouldbe donebutworkout moredetailed
contentwithreiterating
andpracticalproposals.
institutional
4. Whichpublicshouldone talk to? The preferreddiscoursesdiffer:
discourseversus"national-popular
universalistmoral-political
discourse."
But again,in the end,the differenceis not as greatas one mightexpect:(i)
Onemustwriteforor speakto a public.Buttherearenumerous
publicsand
arenasof publicity.Mostwriteforan(international)
academicpublicas well
as fora broader(mostlynational)publicof citizens.Walzerdoesit in a style
andrhetoricthatonlyslightlydiffersfromonegrouptotheother.Habermas's
style andrhetoricin his academictextsis verydifferentfromthosein his
broaderpublicinterventions.
He, rightly,thinksthatthereis a necessary
divisionof discoursesandworkandthattheoreticalandpoliticalprojects
botharecooperativeendeavors.
Walzerseemsto be reluctant
in thisregard,
showingat least someremnantsof the integratedtheoreticalandpolitical
"onemanshow,"so characteristic
of theforerunners
he admires,theHebraic
prophets.(ii)Bothmustkeepin touchwithspecificpublics;interestingly,
the
of
Walzer's
discourse
is
public
national-popular
increasingly
aninternational
stillmostlyacademic.If I understand
one,althoughunfortunately
his articles
from1989oncorrectly,
the"nation"
becomesa progressively
moreproblematicpublic.If therestill doesnotexista globalpublicof citizens,thisdoes
not meanthatone shouldnot contribute
to creatingone (as Chomskyand
otherswishto do). (iii) Whatto tell thepublic?Oneshouldavoidnotonly
the dangerof speakingto a globalpublicthatdoes notyet exist or cannot
understand
butalsothedangerof tellingthelocalpublicwhatit wantstohear.
In mostquestions,Walzer-againlikehis belovedprophets-clearlycount-
ANDEXCLUSION 235
Bader/ CITIZENSHIP
ersthisdanger.Withregardto citizenshipasexclusion,histalkunfortunately
I believethatbothhopethatsomethinglike
is moredubious.Nevertheless,
civil societyis actuallydeveloping,withglobalor at least
an international
organizations
nongovernmental
arenas,publics,socialmovements,
interstate
organizations.
(NGOs),anda varietyof officialinternational
4.5 RadicalDemocraticCommunitarians
As NewConservatives?
andNeorepublicans
democracy-Isee myselfas one
Politicaltheoristsof radical,universalist
andpractroublefindingconvincingtheoretical
of them-have considerable
tical answersto the problemsthatI dealtwithin the precedingtwo parado havereallyhard
andneorepublicans
communitarians
graphs.Democratic
times in combiningjustice and democracywithoutmorallyillegitimate
exclusionaryconsequences.All "good"reasonsfor strongerversionsof
all reasonsfor solvingin a radicaldemocratic
way
democracy,
particularly
century,namely,the
the two mostparamount
problemsof the twenty-first
andmigrainequalities
ecologicalproblemandtheproblemof international
intojustas many"bad"reasonsforexclusion.This
tion,canbe transformed
will happenif it provesto be impossibleto elaborateconceptsandpractices
in sucha wayas to preventoratleastseverelyhinder
of strongerdemocracy
devices.Otherwise,boththeorieswouldjust add
theiruse as exclusionary
treeof exclusionary
ideology:besidesthe
anotherbranchto thefast-growing
ideologies,one is increasingly
all too familiarracistand neonationalist
andneorepublican
versionsof
confronted
withnewliberal,communitarian,
wouldturn
Radicalandprogressive
democrats
fundamentalism."'4
"cultural
intodefendersof morallyillegitimateprivilegesin a
out to be transformed
similarway as liberaldefendersof privilegesof wealthandeducationin the
againstthetrendtoward
nineteenth
centuryarguedandactedasconservatives
inclusion.
internallyuniversalist
Notes
1. See Bader and Benschop (1989, chap. 8, 4.4), for the cross-cutting and analogous
development of "absolute private property."Pogge's (1992) treatmentis much too vague,
analyticallyas well as historically.See the classical historicalstudiesof v. Gierke,Kern,Hintze,
Max Weber,Elias, Tilly,andmanyothers.See the shortandexcellenttreatmentin Ruggie (1993).
2. The increasingfactuallimitationis a consequenceof growing internationalinterdependencies in economic (capitalistworldeconomy,InternationalMonetaryFund[IMF],Worldbank,
236
etc.), political (alliances, etc.), ecological, and cultural perspective. The increasing moral
limitationis due to the impactof humanrightsdiscourses,internationalsocial movements,and
nongovernmentalorganizations(NGOs; like Amnesty International).See for the latteraspect:
Habermas(1992, 659f) andWalzer(1992a, 1993, 53).
3. See Walzer(1983) ("metics"),Heater(1990), Brubaker(1992), Tassin (1992), Meehan
(1993), Muus (1993) for excellent treatmentsof second-classcitizenship.See v. Dijk (1992) for
an excellent treatmentof the so-called Schengenparadox:free movementwithinthe EU. On the
other hand, states are requiredto lead policies to make "people stay where they are" and to
radicallyclose the EuropeanFortressexternally.
4. See the relation of "Citizenshipof the Union" and Danish citizenship in the Danish
Declarationin EdinboroughDecember 11-12, 1992 (quotedin Lange 1993).
5. See for sovereignty:Ruggie (1993). His treatmentis very similarto my protheoretical
strategyof disaggregation,elaboratedin Bader(1989, 1991). This strategyopens up promising
perspectivesfor normativetheoryandpolitical philosophyas well. See Kymlickaand Norman
(1994, 309f) andParekh(1990, 702).
6. It is a clear symptomthatthe exclusionaryeffects of citizenshipare completely lacking
in two recent readers:Gemeinschaftund Gerechtigkeit(Brumlikand Brunkhorst,eds., 1993;
exception:Wellmer)andAuf der Suchenach der gerechtenGesellschaft(Frankenberg1993) in
which many different"third"positionsaregatheredbetween"liberalism"and "communitarianism." In KymlickaandNorman(1994) they are,explicitlybut not surprisingly,excluded.In this
article, I exclude so-called differentialistor postmodernattemptsto deal with the problem
because they have still not overcome their fundamentalstrangenessto ethics and political
philosophy, particularlytheir really terriblelack of institutionalconcreteness (see the more
interesting versions of Connolly 1991; Young 1990; Benhabib 1993; in some respect also
Brunkhorst1994).
7. Only very recentlyone finds a growingamountof studies on these topics (Singer 1972;
Barry 1973, chap. 12; 1989, chap. 12 and 16; Beitz 1979;Beitz, Cohen,Scanlon, andSimmons
1985; Dowty 1987; Shue 1988; Veldhuis1990; Shklar1991; Barryand Goodin 1992). My own
sketch (for a more extendedversion, see Bader 1993b) is very much informedby the writings
of Joe Carensand Goodin.
8. See Waldron(1987); Bader(1990).
9. See Carens (1992) and Dummett(1992) along those lines. Both strategiesencounter
serious internalconsistency problemsand externalcriticism(see the commentariesby Woodward [1992] and Finnis and the illuminatingcomparisonof alternativeperspectivesby Terry
Nardin [1992]). Without being able to show this here, argumentsfrom justice seem more
promisingto me. FrankCunninghamhas rightly criticizedmy essay for not giving reasons in
this respect.
10. Suggestionmade by Robertv.d. Veen.
11. This is as seriousan omissionin the sketchof my argumentas the fact thatI have to leave
out the questionof how andby whomjustice will be democraticallyimplemented(bothMichael
Walzer and Frank Cunninghamdid remind me in their comments of the seriousness of this
omission).
12. See Goodin (1992, 8f) for the logic of this indirectmoralargument.
13. See Raz (1975), Habermas(1991, 1992). A note on terminologyseems urgenthere:the
distinctionbetween "morality"and "ethics"follows Habermas'sterminology."Ethics"refersto
Sittlichkeitandcouldperhapsbetterbe translatedwith "ethos."The Hegeliandistinctionbetween
"Moral"(Kant) and "Sittlichkeit"(Aristotle) shows analogies but is not identical with the
distinctionbetween the "right"andthe "good"in the Rawlsiantradition.
237
238
their way somewhereelse, but even this example shows the limits: morallyillegitimatecriteria
of exclusion on one hand,exclusion withoutalternativeson the other.The analogywiththe state
is frivolous for two reasons:(i) so long as statemembershipis such an importantasset in many
respects (includinghousing, work, etc.), it should not be simply comparedto membershipin
"neighborhoodsand clubs";(ii) if all states apply the same exclusionarypolicy (see Carens's
critique of the legitimacy of the state system and the asymmetryof "exit" and "entry";see
Brubaker1992).
26. See Kymlicka(1990, chap.9) for consequencesin the normativedebateaboutpluralism
and state neutrality.See also Carens(1990); see analytically:Baderand Benschop (1989, IV, ?
4.6.3 "Selective association"vs. ? 4.6.4 "Patronage."
27. See E. Weber,Elias, Foucault,E. P. Thompson,AnthonySmith,B. Anderson,Brubaker,
Hobsbawm,and many others.
28. See Kymlicka(1989b) for nativeIndiansin Canadaand the UnitedStates.
29. See Ruggie(1993, 174);Pogge (1992) for a critiqueof this "idealfit of institutionswithin
territorialstates."This "presumptionof State of Spheres"(Berg 1993) and the corresponding
statementof statesovereigntyis muchqualifiedin laterwritingsof Walzer(see 1993, 54). Pogge
(1992, 61ff) discusses four main reasons for a vertical dispersalof sovereignty in his "multilayeredscheme":peace/security,reducingoppression,global economicjustice, and ecology.
30. This "voluntaristrhetoricof exclusion"is quite commonlanguagein right-wingparties
(see for France:Brubaker1992, 157).
31. Achterberg(1994).
32. See (Barber 1984; Unger 1987 II; Walzer 1989; Hirst 1994; Cohen and Rogers 1992;
Held 1992; Brunkhorst1994). For an excellent treatmentof the historicaltraditionsof the "two
conceptionsof citizenship"andthe respectivelegitimationsof exclusion, see Schuckand Smith
(1985).
33. See (Gutman1985;Greschner1989;Kymlicka1988, 1989, 1990;Selznick 1992;Etzioni
1988).
34. See Barber(1984) (very little on parochialism,nothingon exclusion);Greschner(1989,
140); (Hirst1994) is muchmoreawareof the problem.In his laterwritings,Walzermoreclearly
distinguishesbetween "nasty"and"noblenationalism"(1989, 1990) andtriesto discuss nations
in different historical contexts of dominance (1992a, 164, 166, 169f): historical forms of
nationalismandthe consequencesfor the "manyconceivablearrangementsbetweendominance
and detribalizationand dominanceand separation";see also his defense of moral minimalism
as a standardfor dealing with "tribalzealots." Of course there is some hope that internal
democraticorganizationat least helps to temperexternaloppression,exploitation,andexclusion
(see Cunningham1991, 317, who is more friendlyto the communitarianposition than I) for a
restatementof FriedrichEngels's hope in this respect, which has a hardtime with Athenian,
Venetian,Dutch,Americanimperialism,andSwiss xenophobia.See also Macedo's(1991, 279)
questionablestatementthat "no two liberalregimes have ever gone to war with one another."
Unfortunately,thereis, in my mind, more reasonfor skepticism.
35. See Habermas(1992, 333-48): Discourse theory "breakswith an ethical conceptionof
civic autonomy,"which "drawsits legitimatingpowerfromthe convergenceof familiarethical
convictions," and presupposesan ascriptivemembershipin an intersubjectivelife-form and
coherenceof tradition,a "commonlife," a "commonpast,"anda substantialconceptof a people
(Volksbegriff), which apprehendsthe constitutionas a "civic" or "nationalreligion," which
"understandsStaatsburgerschaftor citizenship not legally but ethically, and which favors
(austragt)a dominantethicalmeaningin politicsandpoliticaldiscourse."Accordinglythis does
not make sharpenough the "actualdifferencebetweenpolitics andethics"(p. 346).
239
240
241
242
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