A Critique of the Elitist Theory of Democracy Author(s): Jack L. Walker Source: The American Political Science Review, Vol. 60, No. 2 (Jun., 1966), pp. 285-295 Published by: American Political Science Association Stable URL: http://www.jstor.org/stable/1953356 . Accessed: 28/08/2011 13:58

Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp

JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected].

American Political Science Association is collaborating with JSTOR to digitize, preserve and extend access to The American Political Science Review.

http://www.jstor.org The American Political Science Review

VOL. LX JUNE, 1966 NO. 2

A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY JACK L. WALKER The

During the last thirty years, there have been cept of an active, informed, democratic numerous attempts to revise or reconstitute citizenry, the most distinctive feature of the the "classical" theory of democracy: the traditional theory, is the principal object of familiar doctrine of popular rule, patterned attack. On empirical grounds it is argued that after the New England town meeting, which very few such people can be found in Western asserts that public policy should result from societies. Public policy is not the expression extensive, informed discussion and debate.' By of the common good as conceived of by the extending general participation in decision- citizenry after widespread discussion and making the classical theorists hoped to increase compromise. This description of policy making the citizen's awareness of his moral and social is held to be dangerously naive because it responsibilities, reduce the danger of tyranny, overlooks the role of demagogic leadership, and improve the quality of government. Public mass psychology, group coercion, and the in- officials, acting as agents of the public at large, fluence of those who control concentrated would then carry out the broad policies de- economic power. In short, classical democratic cided upon by majority vote in popular theory is held to be unrealistic; first because assemblies. it employs conceptions of the nature of man Although it is seldom made clear just which and the operation of society which are utopian, of the classical democratic theorists is being and second because it does not provide referred to, contemporary criticism has focused adequate, operational definitions of its key primarily on the descriptive elements of the concepts. theory, on its basic conceptions of citizenship, Since contemporary scholars have found the representation and decision-making.2 The con- classical theory of democracy inadequate, a "revisionist" movement has developed, much I For discussions of the meaning of the classical as it has among contemporary Marxists, seek- theory of democracy see: George Sabine, "The ing to reconstitute the theory and bring it Two Democratic Traditions," The Philosophical into closer correspondence with the latest find- Review, 61 (1952), 451-474; and his A History of ings of empirical research. One major restate- Political Theory (New York, 1958), especially ment, called the "elitist theory of democracy" chs. 31 and 32. Also see J. Roland Pennock, Liberal Democracy: Its Merits and Prospects (New York, 1950); and Sheldon Wolin, Politics and Century (St. Louis, 1960); Seymour Martin Lip- Vision (Boston, 1960), especially chs. 9 and 10. set, Political M1an (New York, 1960); Robert 2 Criticism of the descriptive accuracy of the Dahl, A Preface to Democratic Theory (Chicago, classical theory has been widespread in recent 1956), and Who Governs? (New Haven, 1961), years. The best statement of the basic objections especially pp. 223-325; V. 0. Key, Public Opinion usually made is Joseph Schumpeter, Capitalism, and American Democracy (New York, 1961), espe- Socialism and Democracy (New York, 1942), Part cially Part VI; Lester W. Milbrath, Political Par- IV. See also Bernard Bereison et al., Voting ticipation (Chicago, 1965), especially Chapter VI; (Chicago, 1954), chapter 14; articles by Louis and for a general summary of the position: Henry Hartz and Samuel Beer in W. N. Chambers and Mayo, An Introduction to Democratic Theory. R. H. Salisbury (eds.), Democracy in the Mid-20th (New York, 1960). 285 286 THE AMERICAN POLITICAL SCIENCE REVIEW by ,3 is now employed though he does not initiate policy, because of in many contemporary books and articles on his right to vote (if he chooses) in regularly American politics and political behavior and is scheduled elections. The political leaders, in an fast becoming part of the conventional wisdom effort to gain support at the polls, will shape of political science. public policy to fit the citizens' desires. By an- The adequacy of the elitist theory of democ- ticipating public reaction the elite grants the racy, both as a set of political norms and as a citizenry a form of indirect access to public guide to empirical research, is open to serious policy making, without the creation of any question. It has two major shortcomings: first, kind of formal institutions and even in the ab- in their quest for realism, the revisionists have sence of any direct communication. "A few fundamentally changed the normative signifi- citizens who are non-voters, and who for some cance of democracy, rendering it a more con- reason have no influential contact with voters, servative doctrine in the process; second, the have no indirect influence. Most citizens, how- general acceptance of the elitist theory by con- ever, possess a moderate degree of indirect in- temporary political scientists has led them to fluence, for elected officials keep the real or neglect almost completely some profoundly imagined preferences of constituents constantly important developments in American society. in mind in deciding what policies to adopt or reject."' An ambiguity is created here because I. NORMATIVE IMPLICATIONS OF THE obviously leaders sometimes create opinions as ELITIST THEORY well as respond to them, but since the leaders At the heart of the elitist theory is a clear are constantly being challenged by rivals seek- presumption of the average citizen's inadequa- ing to gain the allegiance of the masses it is cies. As a consequence, democratic systems assumed that the individual citizen will receive must rely on the widsom, loyalty and skill of information from several conflicting sources, their political leaders, not on the population at making it extremely difficult for any one group large. The political system is divided into two to "engineer consent" by manipulating public groups: the elite, or the "political entrepre- opinion. As Lipset puts it: "Representation is neurs,"4 who possess ideological commitments neither simply a means of political adjustment and manipulative skills; and the citizens at large, to social pressures nor an instrument of manip- the masses, or the "apolitical clay",5 of the sys- ulation. It involves both functions, since the tem, a much larger class of passive, inert purpose of representation is to locate the com- followers who have little knowledge of public binations of relationships between parties and affairs and even less interest. The factor that social bases which make possible the operation distinguishes democratic and authoritarian of efficient government."' systems, according to this view, is the provision There has been extensive research and specu- for limited, peaceful competition among mem- lation about the prerequisites for a democratic bers of the elite for the formal positions of system of this kind. There is general agreement leadership within the system. As Joseph that a well developed social pluralism and an Schumpeter summarized the theory; "the extensive system of voluntary groups or associ- democratic method is that institutional ar- ations is needed, along with a prevailing sense rangement for arriving at political decisions in of psychological security, widespread educa- which individuals acquire the power to decide tion and limited disparities of wealth. There by means of a competitive struggle for the must be no arbitrary barriers to political partic- people's vote."6 ipation, and "enough people must participate Democracy is thus conceived primarily in in the governmental process so that political procedural terms; it is seen as a method of leaders compete for the support of a large and making decisions which insures efficiency in ad- more or less representative cross section of the ministration and policy making and yet re- population."9 quires some measure of responsiveness to popu- Elitist theory departs markedly from the lar opinion on the part of the ruling elites. The classical tradition at this point. Traditionally it average citizen still has some measure of effec- was assumed that the most important prereq- tive political power under this system, even uisite for a stable democracy was general agree- ment among the politically active (those who 3 Introduction by Lipset to the Collier Books vote) on certain fundamental policies and basic paperback edition of Robert Michel's, Political Parties (New York, 1962), p. 33. 7Dahl, Who Governs?, p. 164. 4The phrase is Dahl's in Who Governs?, p. 227. 8 Lipset, Introduction to Michels, op. cit., p. 34. 6 Ibid., p. 225. 9 Robert Dahl and Charles Lindblom, Politics, 6 Schumpeter, op. cit., p. 269. Economics and Welfare (New York, 1953), p. 309. A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY 287 values, and widespread acceptance of demo- It has also been suggested by several elitist cratic procedures and restraints on political theorists that democracies have good reason to activity. Political leaders would not violate the fear increased political participation. They basic consensus, or "democratic mold," if they argue that a successful (that is, stable) demo- wished to be successful in gaining their objec- cratic system depends on widespread apathy tives, because once these fundamental restraints and general political incompetence.'4 The ideal were broken the otherwise passive public would of democratic participation is thus transformed become aroused and would organize against the into a "noble lie" designed chiefly to insure a offending leaders. Elitist theorists argue instead sense of responsibility among political leaders. that agreement on democratic values among As Lester Milbrath puts it: the "intervening structure of elites," the very ... it is important to continue moral admonish- elements which had been seen earlier as poten- ment for citizens to become active in politics, not tial threats to democracy, is the main bulwark because we want or expect great masses of them against a breakdown in constitutionalism. to become active, but rather because the admon- Writing in 1959 discards his ishment helps keep the system open and sustains notion of "potential groups," a variation of the a belief in the right of all to participate, which is traditional doctrine of consensus, and calls in- an important norm governing the behavior of stead for a "consensus of elites," a determina- political elites.'5 tion on the part of the leaders of political par- ties, labor unions, trade associations and other If the uninformed masses participate in large voluntary associations to defend the funda- numbers, democratic self-restraint will break mental procedures of democracy in order to down and peaceful competition among the protect their own positions and the basic struc- elites, the central element in the elitist theory, ture of society itself from the threat of an irre- will become impossible. sponsible demagogue.10 V.0. Key, in his Public The principal aim of the critics whose views Opinion and the American Democracy, concludes that "the critical element for the health of a Truman, Key and Dahl seem to rely most heavily democratic order consists in the beliefs, stan- on Samuel Stouffer, Communism, Conformity, and dards, and competence of those who constitute Civil Liberties (New York, 1955), a study based on the influential, the opinion-leaders, the polit- national opinion surveys which was concerned ical activists in the order."" Similarly, Robert with only one issue (McCarthyism) and did not in- Dahl concludes in his study of New Haven that vestigate the relationship between the expressed the skillful, active political leaders in the sys- opinions of its subjects and their behavior under tem are the true democratic "legitimists."''2 stress; and James Prothro and Charles Grigg, Since democratic procedures regulate their con- "Fundamental Principles of Democracy: Bases of flicts and protect their privileged positions in Agreement and Disagreement," Journal of Poli- the system the leaders can be counted on to de- tics, 22 (1960), 276-294, a study of attitudes in fend the democratic creed even if a majority two small cities. More recently, however, Herbert of the voters might prefer some other set of McClosky has produced more convincing data in procedures."3 his "Consensus and Ideology in American Politics," this REVIEW, 58 (1964), 361-382. On 10 David Truman, "The American System in page 377 McClosky concludes that widespread Crisis," Political Science Quarterly, (December, agreement on procedural norms is not a prerequi- 1959), pp. 481-497. See also a perceptive critique site to the success of a democratic system: "Con- of Truman's change of attitude in Peter Bach- sensus may strengthen democratic viability, but rach, "Elite Consensus and Democracy," The its absence in an otherwise stable society need not Journal of Politics, 24 (1962), 439-452. be fatal, or even particularly damaging." Mc- 11Key, op. cit., p. 558. See also Key's "Public Closky's conclusions are called into question by Opinion and the Decay of Democracy," The data presented by Samuel Eldersveld, Political Virginia Quarterly Review, 37 (1961), 481-494. Parties: A Behavioral Analysis (Chicago, 1964), 12 Dahl's position on this issue seems to have pp. 183-219; and Edmond Constantini, "Intra- undergone a transformation somewhat similar to party Attitude Conflict: Democratic Party Truman's. Compare Dahl and Lindblom, op. cit., Leadership in California," Western Political Chapter 11 with Dahl, Who Governs?, Books IV, Quarterly, 16 (1963), 956-972. V, VI. 14 See Bernard Berelson, et al., op. cit., Chapter 13 Dahl, Who Governs?, pp. 311-325. It is im- 14; Lipset, op. cit., pp. 14-16; W. H. Morris- portant to note that these conclusions about the Jones, "In Defense of Apathy," Political Studies, crucial function of an elite consensus in democ- II (1954), 25-37. racy were based on little empirical evidence. 15 Milbrath, op. cit., p. 152. 288 THE AMERICAN POLITICAL SCIENCE REVIEW

we are examining has been to make the theory standing, develop a deeper sense of social re- of democracy more realistic, to bring it into sponsibility, and broaden his perspective closer correspondence with empirical reality. beyond the narrow confines of his private life. They are convinced that the classical theory Although the classical theorists accepted the does not account for "much of the real ma- basic framework of Lockean democracy, with chinery"'6 by which the system operates, and its emphasis on limited government, they were they have expressed concern about the possible not primarily concerned with the policies which spread among Americans of either unwarranted might be produced in a democracy; above all anxiety or cynical disillusionment over the else they were concerned with human develop- condition of democracy. But it is difficult to ment, the opportunities which existed in political transform a utopian theory into a realistic ac- activity to realize the untapped potentials of count of political behavior without changing men and to create the foundations of a genuine the theory's normative foundations. By revis- human community. In the words of John ing the theory to bring it into closer correspon- Stuart Mill: dence with the elitist theorists reality, have . . . the most important point of excellence which transformed democracy from a radical into a any form of government can possess is to promote conservative political doctrine, stripping away the virtue and intelligence of the people them- its distinctive emphasis on popular political selves. The first question in respect to any poli- activity so that it no longer serves as a set of tical institutions is how far they tend to foster in ideals toward which society ought to be striv- the members of the community the various de- ing.'7 sirable qualities, . . . moral, intellectual, and The most distinctive feature, and the prin- active.18 cipal orienting value, of classical democratic theory was its emphasis on individual partic- In the elitist version of the theory, however, ipation in the development of public policy. By emphasis has shifted to the needs and functions taking part in the affairs of his society the of the system as a whole; there is no longer a citizen would gain in knowledge and under- direct concern with human development. The central question is not how to design a political 16 Louis Hartz, "Democracy: Image and system which stimulates greater individual Reality," in Chambers and Salisbury (eds.), op. participation and enhances the moral develop- cit., p. 26. ment of its citizens, but how "to combine a sub- 17 Several articles have recently appeared which stantial degree of popular participation with a attack the elitist theory on normative grounds. system of power capable of governing effectively The best and most insightful is Lane Davis, "The and coherently?"'9 Cost of Realism: Contemporary Restatements of The elitist theory allows the citizen only a Democracy," Western Political Quarterly, 17 passive role as an object of political activity; he (1964), 37-46. Also see: Graeme Duncan and exerts influence on policy making only by ren- Steven Lukes, "The New Democracy," Political dering judgements after the fact in national Studies, 11 (1963), 156-177; Steven W. Rousseas elections. The safety of contemporary democ- and James Farganis, "American Politics and the racy lies in the high-minded sense of responsi- End of Ideology," British Journal of Sociology, 14 bility of its leaders, the only elements of society (1963) 347-360; and Christian Bay, "Politics who are actively striving to discover and im- and Pseudopolitics," this REVIEW, 59 (1965), 39- plement the common good. The citizens are 51. The subject is also treated in: Henry Kariel, left to "judge a world they never made, and The Decline of American Pluralism (Stanford, thus to become a genteel counter-part of the 1961), Chapters 9 and 11; T. B. Bottomore, Elites mobs which sporadically unseated aristocratic and Society (London, 1964), 108-110; Robert governments in eighteenth- and nineteenth- Presthus, Men at the Top (New York, 1964), century Europe."20 3-47; and Robert Agger, Daniel Goldrich and The contemporary version of democratic Bert Swanson, The Rulers and the Ruled (New theory has, it seems, lost much of the vital York) (1964), 93-99, 524-532. For an insightful force, the radical thrust of the classical theory. critique of the work of Dahl and Mills, con- The elitist theorists, in trying to develop a ceived of as opposing ideological positions see: William E. Connolly, Responsible Political Ide- 18 John Stuart Mill, Considerations on Repre- ology: Implications of the Sociology of Knowledge sentative Government (New York, 1862), pp. 39-40. for Political Inquiry, (unpublished doctoral dis- 19 Samuel Beer, "New Structures of Democ- sertation, University of Michigan, 1965), pp. 18- racy: Britain and America," in Chambers and 39. This section of this article depends heavily on Salisbury (eds.), op. cit., p. 46. Lane Davis' analysis. 20 Davis, Op. Cit., p. 45. A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY 289 theory which takes account of the way the It was the acceptance of this concept that led political system actually operates, have changed the elitist theorists to reject the traditional the principal orienting values of democracy. notion of consensus. It became implausible to The heart of the classical theory was its justifi- argue that the citizenry is watchful and jealous cation of broad participation in the public of the great democratic values while at the same affairs of the community; the aim was the pro- time suggesting that they are uninvolved, un- duction of citizens who were capable enough informed and apathetic. Widespread apathy and responsible enough to play this role. The also is said to contribute to democratic stability classical theory was not meant to describe any by insuring that the disagreements that arise existing system of government; it was an out- during campaigns and elections will not involve line, a set of prescriptions for the ideal polity large numbers of people or plunge the society which men should strive to create. The elitist into violent disorders or civil war. theorists, in their quest for realism, have No one can deny that there is widespread changed this distinctive prescriptive element in political apathy among many sectors of the democratic theory; they have substituted sta- American public. But it is important to ask bility and efficiency as the prime goals of de- why this is so and not simply to explain how mocracy. If these revisions are accepted, the this phenomenon contributes to the smooth danger arises that in striving to develop more functioning of the system. Of course, the reliable explanations of political behavior, polit- citizens' passivity might stem from their satis- ical scientists will also become sophisticated faction with the operation of the political sys- apologists for the existing political order. tem, and thus they would naturally become Robert Lane, in concluding his study of the aroused only if they perceived a threat to the political ideologies of fifteen "common men" in system. Dahl, for one, argues that the political an Eastern city, observes that they lack a system operates largely through "inertia," utopian vision, a well-defined sense of social tradition or habitual responses. It remains justice that would allow them to stand in judge- stable because only a few "key" issues are the ment on their society and its institutions.21 To objects of controversy at any one time, the rest some degree, the "men of Eastport" share this of public policy having been settled and estab- disability with much of the American academic lished in past controversies which are now all elite. but forgotten. Similarly, Nelson Polsby argues II. THE ELITIST THEORY AS A that it is fallacious to assume that the quiescent GUIDE FOR RESEARCH citizens in a community, especially those in the The shortcomings of the elitist theory are lower income groups, have grievances unless not confined to its normative implications. they actually express them. To do so is to Serious questions also arise concerning its de- arbitrarily assign "upper- and middle-class scriptive accuracy and its utility as a guide to values to all actors in the community."23 empirical research. The most unsatisfactory But it is hard to believe, in these days of element in the theory is its concept of the pas- protest demonstrations, of Black Muslins and the Deacons of Defense and Justice, that the sive, apolitical, common man who pays alle- giance to his governors and to the sideshow of mood of cynical apathy toward politics which politics while remaining primarily concerned affects so many American Negroes is an indica- tion of their satisfaction with the with his private life, evenings of television with political sys- his family, or the demands of his job. Occa- tem, and with the weak, essentially meaningless sionally, when the average citizen finds his alternatives it usually presents to them. To primary goals threatened by the actions or in- assume that apathy is a sign of satisfaction in is actions of government, he may strive vigor- this case to overlook the tragic history of the in ously to influence the course of public policy, Negroes America and the system of violent repression long used to deny them any en- but "Homo Civicus" as Dahl calls him, "is not, trance into the channels of democratic by nature, a political animal."22 regular decision-making. 21 Robert Lane, Political Ideology (New York, Students of race relations have concluded 1962), p. 475. See also Donald Stokes' comments that hostile attitudes toward a racial group do on the same topic in "Popular Evaluations of not nessarily lead to hostile actions, and ami- Government: An Empirical Assessment," in cable feelings do not ensure amicable actions. Harlan Cleveland and (eds.), Instead, "it is the social demands of the situa- Ethics and Bigness (Published by the Conference tion, particularly when supported by accepted on Science, Philosophy and Religion in their rela- tion to the Democratic Way of Life, 1962), p. 72. 23 Nelson Polsby, Community Power and Polit- 22 Dahl, Who Governs?, pp. 225. ical Theory (New Haven, 1963), p. 117. 290 THE AMERICAN POLITICAL SCIENCE REVIEW authority figures, which are the effective deter- ble deterrents.27 Before the causes of apathy can minants of individual action.... "24 This in- be established with confidence much more sight might apply to other areas besides race attention must be directed to the role of the relations. It suggests that a society's political mass media. How are the perceptions of in- culture, the general perceptions about the na- dividual citizens affected by the version of ture of authority and the prevailing expecta- reality they receive, either directly or indirectly, tions of significant reference groups, might be a from television, the national wire services, and major influence on the political behavior of the the public schools28-and how do these per- average citizen regardless of his own feelings of ceptions affect their motivations? Political satisfaction or hostility. There have been siz- scientists have also largely neglected to study able shifts in rates of political participation the use of both legitimate and illegitimate sanc- throughout American history which suggests tions and private intimidation to gain political that these rates are not rigidly determined. A ends. How do the activities of the police,29 recent analysis indicates that rates of voter social workers, or elements of organized crime participation are now lower than they were in affect the desires and the opportunities available the Nineteenth Century even though the pop- for individual political participation? ulation is now much better educated and the Certainly the apparent calm of American facilities for communication much better politics is not matched by our general social developed.25 Other studies indicate that there life, which is marked by high crime rates, are marked differences in the political milieu of numerous fads and crazes, and much inter- towns and cities which lead citizens of one area group tension.30 One recent study showed that to exhibit much more cynicism and distrust of during the civil rights protests in Atlanta, the political system than others.26 Although the Georgia, and Cambridge, Maryland, crime studies showed no corresponding changes in rates in the Negro communities dropped sub- feelings of political competence, cynical atti- stantially.3" A finding of this kind suggests that tudes might inhibit many forms of participa- there is some connection between these two tion and thus induce apathy. realms of social conflict and that both may Political apathy obviously has many sources. serve as outlets for individual distress and It may stem from feelings of personal inade- frustration. High crime (or suicide) rates and quacy, from a fear of endangering important low rates of voting may very well be related; personal relationships, or from a lack of interest in the issues; but it may also have its roots in the society's institutional structure, in the 27 For a brief survey of findings on this sub- weakness or absence of group stimulation or ject, see Milbrath, op. cit.; and for a clear, brief support, in the positive opposition of elements summary, see: Morris Rosenburg, "Some Deter- within the political system to wider participa- minants of Political Apathy," Public Opinion tion; in the absence, in other words, of appro- Quarterly. 18 (1954-55), 349-366. Also see David priate spurs to action, or the presence of tangi- Apter (ed.), Ideology and Discontent (New York, 1964), especially chapters by Converse and Wolfinger, et al. 24 Herbert Blumer, "Recent research [on race 28 A major study of the influence of secondary relations in the] of America," schools on political attitudes is underway at the International Social Science Bulletin (UNESCO), University of Michigan under the direction of M. 10 (1958), p. 432. Similar arguments concerning Kent Jennings. the relationship of beliefs and action can be 29 An extensive investigation of the role of the found in J. D. Lohman and D. C. Reitzes, "De- police and the courts in city politics is being con- liberately Organized Groups and Racial Be- ducted at by James Q. Wil- havior," American Sociological Review, 19 (1954), son. 342-344; and in Earl Raab (ed.), American Race 30 It is very difficult to compare crime rates or Relations Today (Garden City, 1962). other indications of social disorganization in the 26 Walter Dean Burnham, "The Changing United States with those in other countries. For a Shape of the American Political Universe," this discussion of some of the difficulties see: UNESCO REVIEW, 59 (1965), 7-28. 1963 Report on the World Social Situation (New 26 Robert Agger, Marshall Goldstein and York, 1963). Stanley Pearl, "Political Cynicism: Measure- 31 Fredric Solomon, Walter L. Walker, Garrett ment and Meaning," The Journal of Politics 23 O'Connor and Jacob Fishman, "Civil Rights Ac- (1961), 477-506; and Edgar Litt, "Political tivity and Reduction of Crime Among Negroes," Cynicism and Political Futility," The Journal of Archives of General Psychiatry, 12 (March, 1965), Politics, 25 (1963) 312-323. 227-236. A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY 291 the former may represent "leakage" from the those which occurred in the Negro ghettos of political system.32 several large American cities during the summers Once we admit that the society is not based on of 1964 and 1965, phenomena not directly re- a widespread consensus, we must look at our lated to the achievement of any clearly con- loosely organized, decentralized political par- ceived political goals, may be touched off by ties in a different light. It may be that the par- unresolved tensions left untended by the soci- ties have developed in this way precisely be- ety's political leaders. cause no broad consensus exists. In a fragmented The American political system is highly com- society which contains numerous geographic, plex, with conflicting jurisdictions and numer- religious and racial conflicts, the successful ous checks and balances. A large commitment politican has been the man adept at negotia- in time and energy must be made, even by a tion and bargaining, the man best able to play well-educated citizen, to keep informed of the these numerous animosities off against each issues and personalities in all levels of govern- other, and thereby build ad hoc coalitions of ment. Most citizens are not able or willing to support for specific programs. Success at this pay this kind of cost to gain the information delicate business of coalition building depends necessary for effective political participation. on achieving some basis for communication This may be especially true in a political sys- among the leaders of otherwise antagonistic tem in which weak or unclear alternatives are groups and finding a formula for compromise. usually presented to the electorate. For most To create these circumstances sharp conflicts citizens the world of politics is remote, be- must be avoided; highly controversial, poten- wildering, and meaningless, having no direct tially explosive issues shunned. Controversy is relation to daily concerns about jobs or family shifted to other issues or the public authorities life. Many citizens have desires or frustrations simply refuse to deal with the question, claim- with which public agencies might be expected ing that they have no legitimate jurisdiction in to deal, but they usually remain unaware of the case or burying it quietly in some committee possible solutions to their problems in the room or bureaucratic pigeonhole.33 public sphere. This group within our political In other words, one of the chief characteris- system are citizens only from the legal point of tics of our political system has been its success view. If a high degree of social solidarity and in suppressing and controlling internal conflict. sense of community are necessary for true dem- But the avoidance of conflict, the suppression ocratic participation, then these marginal of strife, is not necessarily the creation of satis- men are not really citizens of the state. The faction or consensus. The citizens may remain polity has not been extended to include them.34 quiescent, the political system might retain its For the elitist theorist widespread apathy is stability, but significant differences of opinion merely a fact of political life, something to be remain, numerous conflicts are unresolved and anticipated, a prerequisite for democratic sta- many desires go unfulfilled. The frustrations bility. But for the classical democrat political resulting from such deprivations can create apathy is an object of intense concern because conflict in other, non-political realms. Fads, the overriding moral purpose of the classical religious revivals, or wild, anomie riots such as theory is to expand the boundaries of the polit- ical community and build the foundations for 32 For an excellent study of the Black Muslims human understanding through participation by which portrays the movement as a non-political the citizens in the affairs of their government. outlet for the frustration and bitterness felt by III. LEADERS AND FOLLOWERS many American Negroes see the study by an African scholar: E. V. Essien-Udom, Black Na- While most elitist theorists are agreed in tionalism: A Search for an Identity in America conceiving of the average citizen as politically (Chicago, 1962). passive and uncreative, there seems to be a dif- 33 Herbert Agar makes a similar analysis and ference of opinion (or at least of emphasis) over argues for the retention of the system in The the likelihood of some irrational, anti-demo- Price of Union, (Boston, 1950). On page 689 he cratic outburst from the society's common men. states: Dahl does not dwell on this possibility. He seemingly conceives of homo civicus, the aver- The lesson which Americans learned [from the Civil War] was useful: in a large federal nation, when a problem is passionately felt, and is discussed in terms of morals, each party may divide 34For a study of several important factors af- within itself, against itself. And if the parties divide, the nation fecting the degree of participation in American may divide; for the parties, with their enjoyable pursuit of politics see: E. E. Schattschneider, The Semi- power, are a unifying influence. Wise men, therefore, may seek to dodge such problems as long as possible. And the easiest way Sovereign People (New York, 1960), especially to dodge them is for both parties to take both sides. chs. 5 and 6. 292 THE AMERICAN POLITICAL SCIENCE REVIEW age citizen, as a man who consciously chooses entrepreneur"; only such a leader can break to avoid politics and to devote himself to the through the inherent conservatism of organiza- pleasures and problems of his job and family: tions and shake the masses from their habitual Typically, as a source of direct gratifications passivity. political activity will appear to homo civicus as less It is obvious that political leaders (especially attractive than a host of other activities; and, as a chief executives) have played a very important role in American politics, but it is also clear that strategy to achieve his gratifications indirectly political action will seem considerably less efficient the American system's large degree of internal the of than working at his job, earning more money, bargaining, lack many strong hierarchical taking out insurance, joining a club, planning a controls and its numerous checks and balances, vacation, moving to another neighborhood or both constitutional and political, place power- ful constraints on the of city, or coping with an uncertain future in mani- behavior political exec- fold other ways.35 utives. American presidents, governors and mayors usually find themselves caught in a web Lipset, on the other hand, seems much more of cross pressures which prevent them from concerned with the danger that the common making bold departures in policy or firmly man might suddenly enter the political system, attaching themselves to either side of a con- smashing democratic institutions in the process, troversy. The agenda of controversy, the list of as part of an irrational, authoritarian political questions which are recognized by the active force. He sees "profoundly anti-democratic participants in politics as legitimate subjects of tendencies in lower class groups,"36 and he has attention and concern, is very hard to change. been frequently concerned in his work with Just as it can be argued that the common Hitler, McCarthy and other demagogic leaders citizens have a form of indirect influence, so it who have led anti-democratic mass movements. can also be argued that the top leaders of other Although there are obviously some important institutions in the society, such as the business differences of opinion and emphasis concerning community, possess indirect influence as well. the political capacities of average citizens and As Banfield suggests in his study of Chicago, the relative security of democratic institutions, the top business leaders have great potential the elitist theorists agree on the crucial im- power: "if the twenty or thirty wealthiest men portance of leadership in insuring both the in Chicago acted as one and put all their safety and viability of representative govern- wealth into the fight, they could easily destroy ment. This set of basic assumptions serves as a or capture the machine."38 The skillful politi- foundation for their explanation of change and cian, following Carl Friedrich's "rule of antici- innovation in American politics, a process in pated reactions,"39 is unlikely to make pro- which they feel creative leadership plays the posals which would unite the business com- central role. munity against him. The aspiring politician Running throughout the work of these learns early in his career, by absorbing the writers is a vision of the "professional" politi- folklore which circulates among the politically cian as hero, much as he is pictured in Max active, which issues can and cannot be ex- Weber's essay, "Politics as a Vocation." Dahl's ploited successfully. It is this constellation of Mayor Lee, Edward Banfield's Mayor Daley, influences and anticipated reactions, "the Richard Neustadt's ideal occupant of the peculiar mobilization of bias" in the commu- White House all possess great skill and drive, nity, fortified by a general consensus of elites, and are engaged in the delicate art of persua- that determines the agenda of controversy.40 sion and coalition building. They are actively The American political system, above all moving the society forward toward their own goals, according to their own special vision. All of them possess the pre-eminent qualities of 38 Edward Banfield, Political Influence (New Weber's ideal-type politician: "passion, a feel- York, 1961), p. 290. ing of responsibility, and a sense of propor- 39 Carl Friedrich, Constitutional Government and tion."37 As in Schumpeter's analysis of capital- Politics (New York, 1939), pp. 17-18. ism, the primary source of change and innova- 40 This point is made persuasively by Peter tion in the political system is the "political Bachrach and Morton Baratz, "The Two Faces of Power," this REVIEW, 56 (1962), 947-952. Also 35Dahl, Who Governs?, p. 224. see their "Decisions and Nondecisions: An 36 Lipset, op. cit., p. 121. Analytical Framework," this REVIEW, 57 (1963), 37 Hans Gerth and C. Wright Mills (eds.), 632-642; and Thomas J. Anton, "Power, Plural- From Max Weber: Essays in Sociology (New York, ism and Local Politics," Administrative Quarterly, 1946), p. 115. 7 (1963), 425-457. A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY 293

others, seems to be especially designed to frus- fear of instability and their failure to recognize trate the creative leader. the elements of rigidity and constraint existing But as rigid and inflexible as it is, the politi- in the political system. But if one holds that cal system does produce new policies; new pro- view and at the same time recognizes the ten- grams and schemes are approved; even basic dency of the prevailing political system to procedural changes are made from time to frustrate strong leaders, it becomes difficult to time. Of course, each major shift in public explain how significant innovations in public policy has a great many causes. The elitist policy, such as the social security system, the theory of democracy looks for the principal Wagner Act, the Subversive Activities Control source of innovation in the competition among Act of 1950, or the Civil Rights Bill of 1964, rival leaders and the clever maneuvering of ever came about. political entrepreneurs, which is, in its view, the During the last century American society has most distinctive aspect of a democratic system. spawned numerous social movements, some of Because so many political scientists have worn which have made extensive demands on the the theoretical blinders of the elitist theory, political system, while others have been highly however, we have overlooked the importance of esoteric, mystical, and apolitical. These move- broadly based social movements, arising from ments arise because some form of social disloca- the public at large, as powerful agents of inno- tion or widespread sense of frustration exists vation and change. within the society. But dissatisfaction alone is The primary concerns of the elitist theorists not a sufficient cause; it must be coupled with have been the maintenance of democratic sta- the necessary resources and the existence of bility, the preservation of democratic proce- potential leadership which can motivate a dures, and the creation of machinery which group to take action designed to change the would produce efficient administration and co- offending circumstances.43 Often such move- herent public policies. With these goals in ments erupt along the margins of the political mind, social movements (if they have been system, and they sometimes serve the purpose studied at all) have usually been pictured as of encouraging political and social mobiliza- threats to democracy, as manifestations of tion, of widening the boundaries of the polity.44 "political extremism." Lipset asserts that such movements typically appeal to the "disgruntled in First Student Sit-in Demonstration." Journal and the psychologically homeless, to the personal of Social Issues, 20 (1964), 36-45; and "Psycho- failures, the socially isolated, the economically social Meaning of Nonviolence in Student Civil insecure, the uneducated, unsophisticated, and Rights Activities," Psychiatry, 27 (1964) 91-99. authoritarian persons at every level of the so- Also see the October, 1964 issue of The Journal of ciety."4' Movements of this kind throw the Social Issues, entitled "Youth and Social Ac- political system out of gear and disrupt the tion," edited by Fredric Solomon and Jacob mechanisms designed to maintain due process; Fishman; and Jack L. Walker, "Protest and Nego- if the elites were overwhelmed by such forces, tiation: A Case Study of Negro Leaders in Atlanta, democracy would be destroyed. This narrow, Georgia," Midwest Journal of Political Science, 7 antagonistic view of social movements stems (1963), 99-124. from the elitist theorists' suspicion of the polit- 43 Sociologists usually study social movements ical capacities of the common citizens,42 their under the rubric of collective behavior. For gen- eral treatments see: Herbert Blumer, "Collective 41 Lipset, op. cit., p. 178. Behavior" in J. B. Gittler (ed.), Review of 42 Ruth Searles and J. Allen Williams, in a Sociology (New York, 1957); Rudolph Heberle, study of Negro students who took part in the sit- Social Movements, (New York, 1951); Lewis in demonstrations, found no evidence that they Killian, "Social Movements" in Robert Faris were authoritarian or posed threats to democracy. (ed.), Handbook of Modern Sociology (Chicago, "Far from being alienated, the students appear 1964); Charles King, Social Movements in the to be committed to the society and its middle United States (New York, 1956); Karl Lang and class leaders": "Negro College Students' Par- Gladys Lang, Collective Dynamics (New York, ticipation in Sit-ins," Social Forces, 40 (1962), p. 1961); Neil Smelser, Theory of Collective Behavior 219. For other studies of this particular social (New York, 1963); Ralph Turner and Lewis movement see: Robert Coles, "Social Struggle Killian, Collective Behavior (Englewood Cliffs, and Weariness," Psychiatry, 27 (1964), 305-315; N.J., 1957). For a brief historical sketch of some and three articles by Fredric Solomon and Jacob American social movements see: Thomas Greer, Fishman; "Perspectives on Student Sit-in Move- American Social Reform Movements: Their Pat- ment," American Journal of Ortho-psychiatry, 33 tern Since 1865 (Englewood Cliffs, N.J., 1946). (1963), 872-882; "Action and Identity Formation 44 For a book which investigates social move- 294 THE AMERICAN POLITICAL SCIENCE REVIEW

Through movements such as the Negroes' respond to the movement by resisting it, driv- drive for civil rights, or the Midwestern farmers' ing it underground or destroying it; they may crusade for fair prices in the 1890's, the Ku try to co-opt the movement's leaders by grant- Klux Klan, or the "radical right" movements ing them privileges or by accepting parts of its of the 1960's, "pre-political people who have program, or even by making the leaders part of not yet found, or only begun to find, a specific the established elite; they may surrender to the language in which to express their aspirations movement, losing control of their offices in the about the world"46 are given new orientation, political system in the process. The nature of confidence, knowledge, sources of information the political leader's response is probably a and leadership. prime determinant of the tactics the movement Social movements also serve, in Rudolf He- will adopt, the kind of leadership that arises berle's words, as the "creators and carriers of within it, and the ideological appeals it develops. public opinion."46 By confronting the political Other factors might determine the response of authorities, or by locking themselves in peace- the leadership, such as the existence of com- ful-or violent47-conflict with some other peting social movements with conflicting de- element of the society, social movements pro- mands, the resources available to the political voke trials of strength between contending leaders to satisfy the demands of the move- forces or ideas. Those trials of economic, politi- ment, the social status of the participants in cal or moral strength take place in the court of the movement, the presence of competing sets public opinion and sometimes place enormous of leaders claiming to represent the same move- strain on democratic institutions and even the ment, and many other elements peculiar to social fabric itself. But through such trials, as each particular situation. In this process social tumultuous as they may sometimes be, the movements may be highly disruptive and some agenda of controversy, the list of acceptable, institutions may be completely destroyed; the "key" issues may be changed. In an effort to story does not always have a happy ending. conciliate and mediate, the political leaders But one major consequence (function, if you fashion new legislation, create unique regula- will) of social movements is to break society's tory bodies and strive to establish channels of log jams, to prevent ossification in the po- communication and accommodation among the litical system, to prompt and justify major in- combatants. novations in social policy and economic or- Of course, members of the political elite may ganization.48 This relationship of challenge and response ments which have served this function among between the established political system and Italian peasants see: E. J. Hobsbawn, Primitive social movements has gone without much sys- Rebels (Manchester, 1959). See also: Vittorio tematic study by political scientists. Sociolo- Lanternari, The Religions of the Oppressed (New gists have been concerned with social move- York, 1963) for a study of the relationship of ments, but they have directed most of their Messianic Cults and revolutionary movements attention to the causes of the movements, their on five continents; and George Rude, The Crowd "natural history," and the relationship between in History (New York, 1964) for a study of popu- leaders and followers within them.49 Historians lar uprisings in England and France from 1730- have produced many case studies of social 1848. movements but little in the way of systematic 45 Hobsbawn, op. cit., p. 2. 46 Heberle, op. cit., pp. 417-418. 48 Lewis Coser has discussed the role of con- 47 American political scientists have not been flict in provoking social change in his The Func- sufficiently concerned with the role of violence in tions of Social Conflict (Glencoe: 1956); and in the governmental process. Among all the articles his "Social Conflict and the Theory of Social published in The American Political Science Re- Change" British Journal of Sociology, 9 (1957) view between 1906 and 1963, there was only one 197-207. See also Irving Louis Horowitz, "Con- whose title contained the word "violence," only sensus, Conflict and Cooperation: A Sociological one with the word "coercive" (it concerned In- Inventory," Social Forces, 41 (1962), 177-188. dia), and none with the word "force." During the 49 For an insightful and stimulating example, same period there were forty-nine articles on see Joseph Gusfield, Symbolic Crusade (Urbana, governmental reorganization and twenty-four on 1963), which makes an excellent analysis of the civil service reform, See Kenneth Janda (ed.), causes of the Temperance movement and Cumulative Index to The American Political changes in its leadership but makes only brief Science Review (Evanston, 1964). Efforts to re- mention of the movement's impact on the gov- trieve this situation have begun in: Harry Eck- ernment and the responses of political leaders to stein (ed.), Internal War (New York, 1964). its efforts. A CRITIQUE OF THE ELITIST THEORY OF DEMOCRACY 295 explanation.50 This would seem to be a fruitful democracy of much of its radical elan and have area for investigation by political scientists. diluted its utopian vision, thus rendering it in- But this research is not likely to appear unless adequate as a guide to the future. The elitist we revise our concept of the masses as politically theorists generally accept the prevailing distri- inert, apathetic and bound by habitual re- bution of status in the society (with exceptions sponses. We must also shift our emphasis from usually made for the American Negro), and find theories which conceive of the "social structure it "not only compatible with political freedom in terms of a functionally integrated system but even ... a condition of it."52 They place held in equilibrium by certain patterned and great emphasis on the limitations of the aver- recurrent processes," to theories which place age citizen and are suspicious of schemes which greater emphasis on the role of coercion and might encourage greater participation in public constraint in the political system and which affairs. Accordingly, they put their trust in the concentrate on the influences within society wisdom and energy of an active, responsible which produce "the forces that maintain it in elite. an unending process of change."51 The greatest Besides these normative shortcomings the contribution of Marx to the understanding of elitist theory has served as an inadequate guide society was his realization that internal conflict to empirical research, providing an unconvinc- is a major source of change and innovation. ing explanation of widespread political apathy One need not accept his metaphysical assump- in American society and leading political sci- tions to appreciate this important insight. entists to ignore manifestations of discontent not directly related to the political system. IV. CONCLUSION Few studies have been conducted of the use of In a society undergoing massive social change, force, or informal, illegitimate coercion in the fresh theoretical perspectives are essential. American polticial system, and little attention Political theorists are charged with the respon- has been directed to the great social movements sibility of constantly reformulating the dogmas which have marked American society in the of the past so that democratic theory remains last one hundred years. relevant to the stormy realities of Twentieth If political science is to be relevant to soci- Century American society with its sprawling ety's pressing needs and urgent problems, pro- urban centers, its innumerable social conflicts, fessional students of politics must broaden and its enormous bureaucratic hierarchies. their perspectives and become aware of new In restating the classical theory, however, problems which are in need of scientific investi- contemporary political scientists have stripped gation. They must examine the norms that guide their efforts and guard against the danger of uncritically accepting the values of the going 50 John Higham is somewhat of an exception of system in the name of scientific objectivity. this generalization. See his Strangers in the Land: Political scientists must strive for heightened Patterns of American Nativism 1860-1925 (New awareness and self-knowledge; they must avoid York, 1963). Also see his: "Another Look at rigid presumptions which diminish their vision, Nativism," Catholic Historical Review, 44 (1958), destroy their capacities for criticism, and blind 147-158; and his "The Cult of the 'American them to some of the most significant social and Consensus': Homogenizing Our History." Com- political developments of our time. mentary (February, 1959), p. 159. 51 Ralf Dahrendorf, Class and Class Conflict in 52 Sabine, "The Two Democratic Traditions," Industrial Society (Stanford, 1959), p. 159. op. cit., p. 459.