Methodology

INTRODUCTION

The Freedom in the World survey provides an annual evaluation of the state of global freedom as experienced by individuals. The survey measures freedom-the opportunity to act spontaneously in a variety of fields outside the control of the government and other centers of potential domination-according to two broad categories: political rights and civil liberties. Political rights enable people to participate freely in the political process, including the right to vote freely for distinct alternatives in legitimate elections, compete for public office, join political parties and organizations, and elect representatives who have a decisive impact on public policies and are accountable to the electorate. Civil liberties allow for the freedoms of expression and belief, associational and organizational rights, rule of law, and personal autonomy without interference from the state.

The survey does not rate governments or government performance per se, but rather the real-world rights and freedoms enjoyed by individuals. Thus, while Freedom House considers the presence of legal rights, it places a greater emphasis on whether these rights are implemented in practice. Furthermore, freedoms can be affected by government officials, as well as by nonstate actors, including insurgents and other armed groups.

Freedom House does not maintain a culture-bound view of freedom. The methodology of the survey is grounded in basic standards of political rights and civil liberties, derived in large measure from relevant portions of the Universal Declaration of Human Rights. These standards apply to all countries and territories, irrespective of geographical location, ethnic or religious composition, or level of economic development. The survey operates from the assumption that freedom for all peoples is best achieved in liberal democratic societies.

The survey includes both analytical reports and numerical ratings for 194 countries and 14 select territories.[1] Each country and territory report includes an overview section, which provides historical background and a brief description of the year's major developments, as well as a section summarizing the current state of political rights and civil liberties. In addition, each country and territory is assigned a numerical rating-on a scale of 1 to 7-for political rights and an analogous rating for civil liberties; a rating of 1 indicates the highest degree of freedom and 7 the lowest level of freedom. These ratings, which are calculated based on the methodological process described below, determine whether a country is classified as Free, Partly Free, or Not Free by the survey.

The survey findings are reached after a multilayered process of analysis and evaluation by a team of regional experts and scholars. Although there is an element of subjectivity inherent in the survey findings, the ratings process emphasizes intellectual rigor and balanced and unbiased judgments.

 

HISTORY OF THE SURVEY

Freedom House's first year-end reviews of freedom began in the 1950s as the Balance Sheet of Freedom. This modest report provided assessments of political trends and their implications for individual freedom. In 1972, Freedom House launched a new, more comprehensive annual study called The Comparative Study of Freedom. Raymond Gastil, a Harvard-trained specialist in regional studies from the University of Washington in Seattle, developed the survey's methodology, which assigned political rights and civil liberties ratings to 151 countries and 45 territories and-based on these ratings-categorized them as Free, Partly Free, or Not Free. The findings appeared each year in Freedom House's Freedom at Issue bimonthly journal (later titled Freedom Review). The survey first appeared in book form in 1978 under the title Freedom in the World and included short, explanatory narratives for each country and territory rated in the study, as well as a series of essays by leading scholars on related issues. Freedom in the World continued to be produced by Gastil until 1989, when a larger team of in-house survey analysts was established. In the mid-1990s, the expansion of Freedom in the World's country and territory narratives demanded the hiring of outside analysts-a group of regional experts from the academic, media, and human rights communities.  The survey has continued to grow in size and scope; the 2010 edition is the most exhaustive in its history.

 

RESEARCH AND RATINGS REVIEW PROCESS

This year's survey covers developments from January 1, 2009, through December 31, 2009, in 194 countries and 14 territories. The research and ratings process involved 50 analysts and 18 senior-level academic advisers-the largest number to date. The analysts used a broad range of sources of information-including foreign and domestic news reports, academic analyses, nongovernmental organizations, think tanks, individual professional contacts, and visits to the region-in preparing the country and territory reports and ratings.

The country and territory ratings were proposed by the analyst responsible for each related report. The ratings were reviewed individually and on a comparative basis in a series of six regional meetings-Asia-Pacific, Central and Eastern Europe and the Former Soviet Union, Latin America and the Caribbean, Middle East and North Africa, sub-Saharan Africa, and Western Europe-involving the analysts, academic advisors with expertise in each region, and Freedom House staff. The ratings were compared to the previous year's findings, and any major proposed numerical shifts or category changes were subjected to more intensive scrutiny. These reviews were followed by cross-regional assessments in which efforts were made to ensure comparability and consistency in the findings. Many of the key country reports were also reviewed by the academic advisors.

 

CHANGES TO THE 2010 EDITION OF FREEDOM IN THE WORLD

The survey's methodology is reviewed periodically by an advisory committee of political scientists with expertise in methodological issues. Over the years, the committee has made a number of modest methodological changes to adapt to evolving ideas about political rights and civil liberties. At the same time, the time series data are not revised retroactively, and any changes to the methodology are introduced incrementally in order to ensure the comparability of the ratings from year to year.

The following changes were made to the 2010 edition of the survey:

  • Territories – Entities designated as related and disputed territories are no longer being identified with any particular country in order to avoid potential misunderstandings about the sometimes unclear relationship between the territory and the principal country or countries relating to them.
  • Kosovo – Kosovo was removed from the list of territories and added as an independent country due to the handover of governance functions from the international community to domestic authorities, and as a result of its recognition by a significant number of states, most of which are classified by Freedom House as Free or Partly Free.
  • Chechnya – Chechnya was dropped as a separate territory, and developments in this jurisdiction are now being addressed in the Russia report, due to the consolidation of power by pro-Kremlin forces, which have effectively eliminated any viable, active independence movement.

           

RATINGS PROCESS

(NOTE: the complete checklist questions and keys to political rights and civil liberties ratings and status are listed in a separate document called “Checklist Questions and Guidelines”.)

Scores – The ratings process is based on a checklist of 10 political rights questions and 15 civil liberties questions. The political rights questions are grouped into three subcategories: Electoral Process (3 questions), Political Pluralism and Participation (4), and Functioning of Government (3). The civil liberties questions are grouped into four subcategories: Freedom of Expression and Belief (4 questions), Associational and Organizational Rights (3), Rule of Law (4), and Personal Autonomy and Individual Rights (4). Scores are awarded to each of these questions on a scale of 0 to 4, where a score of 0 represents the smallest degree and 4 the greatest degree of rights or liberties present. The political rights section also contains two additional discretionary questions: question A (For traditional monarchies that have no parties or electoral process, does the system provide for genuine, meaningful consultation with the people, encourage public discussion of policy choices, and allow the right to petition the ruler?) and question B (Is the government or occupying power deliberately changing the ethnic composition of a country or territory so as to destroy a culture or tip the political balance in favor of another group?). For additional discretionary question A, a score of 1 to 4 may be added, as applicable, while for discretionary question B, a score of 1 to 4 may be subtracted (the worse the situation, the more that may be subtracted). The highest score that can be awarded to the political rights checklist is 40 (or a total score of 4 for each of the 10 questions). The highest score that can be awarded to the civil liberties checklist is 60 (or a total score of 4 for each of the 15 questions).

The scores from the previous survey edition are used as a benchmark for the current year under review. In general, a score is changed only if there has been a real world development during the year that warrants a change (e.g., a crackdown on the media, the country's first free and fair elections) and is reflected accordingly in the narrative.

In answering both the political rights and civil liberties questions, Freedom House does not equate constitutional or other legal guarantees of rights with the on-the-ground fulfillment of these rights. While both laws and actual practices are factored into the ratings decisions, greater emphasis is placed on the latter.

For states and territories with small populations, the absence of pluralism in the political system or civil society is not necessarily viewed as a negative situation unless the government or other centers of domination are deliberately blocking its operation. For example, a small country without diverse political parties or media outlets or significant trade unions is not penalized if these limitations are determined to be a function of size and not overt restrictions.

Political Rights and Civil Liberties Ratings – The total score awarded to the political rights and civil liberties checklist determines the political rights and civil liberties rating. Each rating of 1 through 7, with 1 representing the highest and 7 the lowest level of freedom, corresponds to a range of total scores (see tables 1 and 2).

Status of Free, Partly Free, Not Free – Each pair of political rights and civil liberties ratings is averaged to determine an overall status of "Free," "Partly Free," or "Not Free." Those whose ratings average 1.0 to 2.5 are considered Free, 3.0 to 5.0 Partly Free, and 5.5 to 7.0 Not Free (see table 3). The designations of Free, Partly Free, and Not Free each cover a broad third of the available scores. Therefore, countries and territories within any one category, especially those at either end of the category, can have quite different human rights situations. In order to see the distinctions within each category, a country or territory's political rights and civil liberties ratings should be examined. For example, countries at the lowest end of the Free category (2 in political rights and 3 in civil liberties, or 3 in political rights and 2 in civil liberties) differ from those at the upper end of the Free group (1 for both political rights and civil liberties). Also, a designation of Free does not mean that a country enjoys perfect freedom or lacks serious problems, only that it enjoys comparably more freedom than Partly Free or Not Free (or some other Free) countries.

Indications of Ratings and/or Status Changes – Each country or territory's political rights rating, civil liberties rating, and status is included in a statistics section that precedes each country or territory report. A change in a political rights or civil liberties rating since the previous survey edition is indicated with a symbol next to the rating that has changed. A brief ratings change explanation is included in the statistics section.

Trend Arrows – Positive or negative developments in a country or territory may also be reflected in the use of upward or downward trend arrows. A trend arrow is based on a particular development (such as an improvement in a country's state of religious freedom), which must be linked to a score change in the corresponding checklist question (in this case, an increase in the score for checklist question D2, which covers religious freedom). However, not all score increases or decreases warrant trend arrows. Whether a positive or negative development is significant enough to warrant a trend arrow is determined through consultations among the report writer, the regional academic advisers, and Freedom House staff. Also, trend arrows are assigned only in cases where score increases or decreases are not sufficient to warrant a ratings change; thus, a country cannot receive both a ratings change and a trend arrow during the same year. A trend arrow is indicated with an arrow next to the name of the country or territory that appears before the statistics section at the top of each country or territory report. A brief trend arrow explanation is included in the statistics section.

 

GENERAL CHARACTERISTICS OF EACH POLITICAL RIGHTS AND CIVIL LIBERTIES RATING

POLITICAL RIGHTS

Rating of 1 – Countries and territories with a rating of 1 enjoy a wide range of political rights, including free and fair elections. Candidates who are elected actually rule, political parties are competitive, the opposition plays an important role and enjoys real power, and minority groups have reasonable self-government or can participate in the government through informal consensus.

Rating of 2 – Countries and territories with a rating of 2 have slightly weaker political rights than those with a rating of 1 because of such factors as some political corruption, limits on the functioning of political parties and opposition groups, and foreign or military influence on politics.

Ratings of 3, 4, 5 – Countries and territories with a rating of 3, 4, or 5 include those that moderately protect almost all political rights to those that more strongly protect some political rights while less strongly protecting others. The same factors that undermine freedom in countries with a rating of 2 may also weaken political rights in those with a rating of 3, 4, or 5, but to an increasingly greater extent at each successive rating.

Rating of 6 – Countries and territories with a rating of 6 have very restricted political rights. They are ruled by one-party or military dictatorships, religious hierarchies, or autocrats. They may allow a few political rights, such as some representation or autonomy for minority groups, and a few are traditional monarchies that tolerate political discussion and accept public petitions.

Rating of 7 – Countries and territories with a rating of 7 have few or no political rights because of severe government oppression, sometimes in combination with civil war. They may also lack an authoritative and functioning central government and suffer from extreme violence or warlord rule that dominates political power.

 

CIVIL LIBERTIES

Rating of 1 – Countries and territories with a rating of 1 enjoy a wide range of civil liberties, including freedom of expression, assembly, association, education, and religion. They have an established and generally fair system of the rule of law (including an independent judiciary), allow free economic activity, and tend to strive for equality of opportunity for everyone, including women and minority groups.

Rating of 2 – Countries and territories with a rating of 2 have slightly weaker civil liberties than those with a rating of 1 because of such factors as some limits on media independence, restrictions on trade union activities, and discrimination against minority groups and women.

Ratings of 3, 4, 5 – Countries and territories with a rating of 3, 4, or 5 include those that moderately protect almost all civil liberties to those that more strongly protect some civil liberties while less strongly protecting others. The same factors that undermine freedom in countries with a rating of 2 may also weaken civil liberties in those with a rating of 3, 4, or 5, but to an increasingly greater extent at each successive rating.

Rating of 6 – Countries and territories with a rating of 6 have very restricted civil liberties. They strongly limit the rights of expression and association and frequently hold political prisoners. They may allow a few civil liberties, such as some religious and social freedoms, some highly restricted private business activity, and some open and free private discussion.

Rating of 7 – Countries and territories with a rating of 7 have few or no civil liberties. They allow virtually no freedom of expression or association, do not protect the rights of detainees and prisoners, and often control or dominate most economic activity.

Countries and territories generally have ratings in political rights and civil liberties that are within two ratings numbers of each other. For example, without a well-developed civil society, it is difficult, if not impossible, to have an atmosphere supportive of political rights. Consequently, there is no country in the survey with a rating of 6 or 7 for civil liberties and, at the same time, a rating of 1 or 2 for political rights.

 

ELECTORAL DEMOCRACY DESIGNATION

In addition to providing numerical ratings, the survey assigns the designation "electoral democracy" to countries that have met certain minimum standards. In determining whether a country is an electoral democracy, Freedom House examines several key factors concerning the last major national election or elections.

To qualify as an electoral democracy, a state must have satisfied the following criteria:

  1. A competitive, multiparty political system;
  2. Universal adult suffrage for all citizens (with exceptions for restrictions that states may legitimately place on citizens as sanctions for criminal offenses);
  3. Regularly contested elections conducted in conditions of ballot secrecy, reasonable ballot security, and in the absence of massive voter fraud, and that yield results that are representative of the public will;
  4. Significant public access of major political parties to the electorate through the media and through generally open political campaigning.

The numerical benchmark for a country to be listed as an electoral democracy is a subtotal score of 7 or better (out of a possible total score of 12) for the political rights checklist subcategory A (the three questions on Electoral Process) and an overall political rights score of 20 or better (out of a possible total score of 40). In the case of presidential/parliamentary systems, both elections must have been free and fair on the basis of the above criteria; in parliamentary systems, the last nationwide elections for the national legislature must have been free and fair. The presence of certain irregularities during the electoral process does not automatically disqualify a country from being designated an electoral democracy. A country cannot be an electoral democracy if significant authority for national decisions resides in the hands of an unelected power, whether a monarch or a foreign international authority. A country is removed from the ranks of electoral democracies if its last national election failed to meet the criteria listed above, or if changes in law significantly eroded the public's possibility for electoral choice.

Freedom House's term "electoral democracy" differs from "liberal democracy" in that the latter also implies the presence of a substantial array of civil liberties. In the survey, all Free countries qualify as both electoral and liberal democracies. By contrast, some Partly Free countries qualify as electoral, but not liberal, democracies.



[1]These territories are selected based on their political significance and size. Freedom House divides territories into two categories: related territories and disputed territories. Related territories consist mostly of colonies, protectorates, and island dependencies of sovereign states that are in some relation of dependency to that state, and whose relationship is not currently in serious legal or political dispute. Disputed territories are areas within internationally recognized sovereign states whose status is in serious political or violent dispute, and whose conditions differ substantially from those of the relevant sovereign states. They are often outside of central government control and characterized by intense, longtime, and widespread insurgency or independence movements that enjoy popular support. Generally, the dispute faced by a territory is between independence for the territory or domination by an established state.