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 Andrew Heywood, Chapter 4: Democracy; pp.71-88
Democracy
Dr Pranav Kumar 1 11/22/2018
Conceptualizing/Defining
• Greek Word: Demos (the many/ people)
& kratos (rule)
• Greek period: pejorative/negative term:
Plato & Aristortle: a system of rule by
the masses (property less & merit, rather than hierarchy/privilege
uneducated) as the expense of wisdom
& property: if unrestrained>mob rule
• Direct Vs Representative (form of
electoral democracy)
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A system of rule that secures the rights
and interests of minorities by placing
checks upon the power of the majority
A means of filling public offices through
a competitive struggle for the popular
votes
A system of government that serves the
interests of the people regardless of the
participation in political life
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 Gauba, An Introduction to political theory, Concept
of Democracy, (chapter 22) pp.472-489
 Asirvatham: chapter (25,26): pp.446-491

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Various Definitions
• A system of rule by the poor and disadvantage
• A form of government in which the people rule
themselves directly, continuously, without the need
for professional politicians or public officers
• A society based on equal opportunity and individual
• A system of welfare and redistribution aimed at
narrowing social inequality
• A system of decision making based on principle of
majority rule
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Direct Vs Indirect
 Abraham Lincoln (at Gettysburg): ‘govt of
the people, by the people, and for the people
 By: public participation in
government…based on idea that public
participation in govt/popular self govt
 For: linked to the notion of public interest/
benefit the people
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• Direct: Classical (up to 19th century)…based on  Indirect: govt is left in the hands of
Athenian democracy…direct & continuous professional politicians having responsibility
participation of all citizens (polis or city- of making decision on behalf of the
state)…hold public office if selected to do so by people….representative…limited/indirect…
lot/rota…direct/participatory democracy…no popular participation brief & infrequent:
distinction between governed & government voting …public is kept at arms length from
…system of ‘town meeting democracy’…still in govt…having limitation but practical…
practice in USA at local level in some part (New
England) & communal assemblies in
Switzerland…plebiscite & referendum (at every
level in Switzerland) …..Ireland for
constitutional amendments
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Procedural Vs Substantive
• Procedural: focuses on how regime is organized & the
process by which representation, accountability, and
legitimacy are acquired Democracy in Practice

– Schumpeter: ‘the democratic method is that Classical-Liberal Theory—A.V.

institutional arrangement for arriving at political
decision in which individual acquire the power to Dicey, James Bryce
decide by means of competitive struggle for the
peoples’ votes’
• Substantive: deals with goals & effectiveness of the
regime ; real democracy can not be defined by process
alone, but also entails efforts to promote equality,
fairness, and inclusion …realise the common good
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 Plato & Aristotle:

Classical-Liberal Theory  Equal participation of all freemen in city
 Liberal: Indirect, representative state (especially in Athens)
 Based on competitive elections
 Clear distinction b/w state & civil society
 Public discussion in an atmosphere of free
discussion
 General respect for law
 Was not regarded as ideal
 Rule of the many (Aristotle)
 Based on false notion of equality (Aristotle)

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Aristotle’s Six
WHO RULES?
forms of govt A.V. Dicey’s (1835-1922)Account
 Law and Opinion in England (1905): democracy
ONE PERSON THE FEW THE MANY
…a form of government under which
majority opinion determines legislation
RULERS TYRANNY Oligarchy Democracy  Unwise for democracy to enforce laws not
WHO
approved by people…demonstrate the
BENEFIT
relation of legislation to the prevailing public
S? ALL MONARCHY Aristocracy Polity opinion…particular laws are product of a
particular historical setting (since public
opinion not uniform)…rule of law
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 Bryce’ Justification for Democracies:

James Bryce (1838-1922)  Based on relativity (Winston Churchill, 1947: Democracy is the
worst form of government except all the other forms that have
been tried from time to time)
 Champions of democracy & sympathetic  Test of Govt: welfare of people, external and internal security,
critique securing justice, efficient administration of common affairs, and
the bestowal of aid to individual citizens in their several
 The American Commonwealth (1893) occupation
 These are done by any other form but democracies do it better
 Modern Democracies (1921)  Additional merit: stimulate men for self education as
participation is the essence
 He treats democracy as a form of govt: “the  It is not actual ‘rule by people’
rule of the people expressing their sovereign  Democracy exercises authority in two ways;
will through the votes”. Ultimately he reduces determines ends towards their govt shall aim
watch over those into whose hands they have placed the actual
it to ‘the rule of the majority’ power

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 Demerits a/c to Bryce

Power of money may distort it
politics become trades/business
Extravagance
abuse of doctrine of equality & against meritocracy
party politics
malpractices for votes
Elite Theory—Vilfredo Pareto,
Although, he argues, first three are common in all forms of Gaetano Mosca, Robert Michels
government, last three are specific to democracy
Problems may include self-interest & irresponsibility of power,
but these can be checked by
Law
Public Opinion
Bryce fails to analyze social phase of democracy
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• Elite Theory  Michels: tendency within all organization (however

 A critique of egalitarian views of democracy
 Classical elitists: Vilfredo Pareto (1848-1923, Gaetano Mosca
(1857-1941), Robert Michels (1876-1936)
 Democracy is not more than a foolish delusion, b/c political
power is always exercised by a privileged minority: an elite
 For exmample, in the Ruling Class (1896), Mosca proclaims:
in all societies, ‘two classes of people appear-a class that rule and a
class that is ruled’….resources/attributes to rule are always
unequally distributed….cohesive minority (organizing capacity)
will always be able to manipulate and control the masses.
Pareto: Mind & Society Qualities to rule: foxes (cunning &
manipulative) & Lions (coercive/ violent dominance )
democratic may be) for power to be concentrated in the
hands of small group: ‘Iron law of Oligarchy’….this argument
was further developed by James Burnham, The Managerial
Revolution (1941), Manegerial Class
 C Wright Mills’ account of USA’s power structure< The Power
Elite (1956): USA dominated by a nexus of leading
group…Military, economic power (Industrialists- Mainly those
who are involved in Military equipments), bureaucratic
control, access to highest level…power-elite
 Other book-White Collar (1949)

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 Some others argue that there is democratic accountability

…competitive elitism…democratic elitism (fractured
elite)….capitalism, Socialism & Democracy (1942)< Joseph
Schumpeter
 Capitalism leads to ‘Creative Destruction (Innovation)’, from
inside not from outside (unlike Marx)…..inequality & Economic
Monopoly…..Monopolistic Practices…. Pluralist-Robert Dhal, Karl
 ….(democracy is rule of politician: Joseph Schumpeter)
Mannheim, A.F. Bentley, David
 Anthony Dawns (1957): An economic theory of democracy Truman
(1957) …electoral competition provides a market …individual
voters consumer….based on rational choice theory
 “political parties and voters act rationally in the pursuit of
certain clearly specified goals”

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 Traced back to early liberal ideas of Locke & Montesquieu

 First systematic development: James Madison: The Federal  Two categories
Paper (1787-89): analyses in the context of emergence of USA  A. the elitist-democratic: plurality of elites: Karl
from loose confederation of states into the federal USA; Mannheim, Raymond Aron
Madison was concerned about ‘problem of faction’ &  B.The Group Theory: democracy as a process of
‘unchecked democratic rule might simply lead to bargaining among relatively autonomous groups; the
majoritanianism’ ….multiplicity of interest and groups in existence and functioning of these groups in a
society..rule by multiple minority (also known as Madisonian democracy lends a pluralist character of the polity : A.F.
democracy) Bentley; David Truman; Robert Dahl
 Pluralist Democracy:
 a form of liberal democracy wherein electoral competition between
a number of political parties
 Operates through the capacity of organized groups and interest to
articulate popular demands
 There is wide dispersal of power among competing groups (absence
of elites)
 High degree of internal responsiveness
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inside groups 11/22/2018 24 11/22/2018

 Govt machine sufficiently fragmented

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Karl Mannheim
 Reconciliation between the elite theory & democratic theory
 Ideology and Utopia: An Introduction to Sociology of
Knowledge (1929): society did not cease to be democratic by
entrusting the actual shaping of policy of elites. The people
can not directly participate in government, but they can make
their aspirations felt at certain intervals, and this sufficient for
democracy : ‘in a democracy the governed can always act to
remove their leaders of force them to take decisions in the
interest of the many’. He focuses on selection by merit and
shortening of distance between the elite and masses in order
to ensure compatibility between elite rule and democratic
government.
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A.F. Bentley & David Truman
 Bentley: The Process of Government (1908)
 Truman: the Governmental Process (1951)
 B. Latham: the Group Basis of the Politics (1952)
 Democracy is political game played by a great variety of
groupes
 Government is a focal point for public pressure and its task is
to make policies which reflect the highest common group
demand . Thus democratic society is seen as a pluralist,
differentiated society where the management of public affairs
is shared by a number of groups having different values,
sources and methods of influence
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 In yet another book, Dahl, Who Governs? Democracy in
an American City (1961): empirical study of the
distribution power and was happy about dispersal of
power in some of states of USA
 In a later work, however, he worried about economic
resource concentration (A Preface to Economic
Democracy, 1985)
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Raymond Aron
 Social Structure and the Ruling Class (1950):reconciled with
elite theory: Liberal democracy, according to Aron, is
characterized by a general system of checks and balance and
plurality of elites. He points pout that Soviet type society is
distinguished by a unified elites belonging to the Communist
Party while the Western type society (liberal democracy) is
characterized by a divided elite, which makes it pluralistic
society. With the plurality of elites, government becomes a
business of compromise. Those in power are well aware of
their precarious position. They are not only sensitive to public
opinion but are also conscious of the opposition with which
they have to change seats in due course . However, the
initiatives still remains in the hands of the elites, the masses
are left to play the relatively passive role of choosing the
ruling elites and to pressurize 26them in functioning 11/22/2018
Robert Dahl
 A Preface to Democratic Theory (1956)
 Polyarchy: (with Lindblom) democratic process, Rule by Many
 The pluralism was used in sociological (nature of democratic
society), philosophical sense (political ideal); pluralist
sovereignty
 Policy making seems centralized but highly decentralized sytem
of bargaining among relatively autonomous groups
 Revision of both democratic theory and elitist theory

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 The concept of polyarchy (i.e., rule by many) is an
attempt by Robert Dahl to develop an empirical
definition of the process of democratization as well as
elaborating a set of normative criteria for deciding
whether or not a political system can be counted as a
democracy.
 Polyarchy, as presented by Dahl, should be understood as
a process developing a set of institutions that comes
close to what one could call the ideal type of democracy.
 Therefore, that public power is essential and authority is
effectively controlled by societal organizations and civil
associations (e.g., interest groups and political parties).
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 Hence, in Dahl’s view, the extent to which these societal
actors can and do operate autonomously, as well as
independently from the state, will enhance the
democratic quality of a polity.
 Obviously, central to the adequate functioning of
polyarchy is not only the existence and working of
institutions, but also the existence and actual room for
maneuver of societal groups and their organization.
 The institutionalization of the democratic process of
accountable government is a prerequisite, not yet the
establishment of a regime as a fully fledged democracy, as
many students of democracy appear to think.
 These necessary institutions are, according to Dahl:
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 Dahl’s concept of polyarchy is not only a seminal contribution
to (normative) democratic theory, but has also been a
powerful incentive for empirical analysis.
 Almost by definition, this type of research has been of a
comparative nature and has induced a great number of
attempts to measure polyarchy as well as its performance
according to the democratic ideals.
 It is therefore important to distinguish between the
operationalization of polyarchy aiming at the process of
democratization and those that measure the level of
democratization.
 The concept of polyarchy is currently one of the most widely
used terms in political science because it has prescriptive
qualities—enhancing democracy as ideal government—
combined with empirical options. Both help analyze extant
democracies and how they can be further developed.
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 Heywood, 88:
 Rooted in class analysis….political power can not
be understood in narrowly in terms of electoral
rights, or ability of groups to articulate their
interests by lobbying and campaigning ….rather
power reflects in distribution of economic
power, in particular unequal ownership of
productive wealth. The Marxist critiques of liberal
democracy thus focuses upon the inherent
tension between democracy and capitalism . i.e.,
between the political equality that liberal
democracy proclaims and the social inequality
that a capitalist economy inevitably generates.
Liberal democracies thus is considered as
‘bourgeois’ or ‘capitalist democracies
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 universal suffrage and the right to run for public office;
 free and fairly conducted elections for all adults;
 availability and observance of the right to free speech and
protection to do so;
 the existence and free access to alternative information (not
controlled by government);
 the undisputed right to form and to join relatively
autonomous organizations, in particular, political parties
(and, crucially, parties in opposition);
 responsiveness of government (and parties) to voters and
accountability of government (and parties) to election
outcomes and government.
This set of institutions taken together distinguishes polyarchy
from other regimes. The coming about of these institutions can
then be seen as the process toward democratization. The
enduring existence and observance of the whole set is the
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hallmark of an established democracy
Marxist Theory of Democracy
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 While criticizing Pluralism, Marxists argue that power can
not be widely dispersed in society as long as class power is
unequally distributed. Just similar to that of elitist critique
they also believe that power is ultimately concentrated in a
few hands: power elites/ruling class
 But unlike elitist who describes various sources of power
(education, social status, bureaucratic positions, political
connections, wealth, and so on), Marxists emphasize the
decisive importance of economic factors, notably the
ownership and control of the means of production
 They believe that the ruling class is bent on pursuing its own
economic interests, and that it makes concessions to other
class only in order to stabilize capitalism & perpetuate a
system of unequal power.
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 The executive of the modern state is but a committee for
managing the common affairs of whole bourgeoisie (Communist
Manifesto, 1948): ‘Modern state’ refers to the prevalent model of
liberal democracy.
 John Plamenatz in his Democracy and Illusion-An Examination of
Certain Aspects of Modern Democratic Theory (1978), called
‘bourgeois democracy’
 Where there are Great inequalities of wealth, there, whatever form of
government is there, power and influence always belong mostly to the
wealthy, alone can afford to provide their children with the expensive
schooling needed to fit them for positions carrying power and influence
 Where the political system, to work effectively, calls for large organizations,
power and influence belong to their leaders rather than to rank and file
 Where there are great social inequalities, leaders, no matter how modest
their social origins, soon acquire the attitude and ambitions of the privileged
class
 Power and influence depend greatly on information and the wealthy are
better placed than the poor to get information
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and so control the distribution
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Dictatorship of Proletariat
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 CB Macpherson’s (1911-87)(View was in favour of
more participatory & radical conceptualization of
democracy
 Ultimate authority should rest with the people
themselves
 He believes that in representative democracy it is
possible that the people may become inactive
after choosing their representatives till the next
general elections
 More geographical, social diversity, population
lead to more distance between people and their
representative
 Very few people can participate in any discussion
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 Modern Marxist, however, have been less willing to dismiss
electoral democracy as nothing more than a sham,
Eurocommunists abandon the idea of revolution, embracing
instead the notion of peaceful, legal, democratic ‘road to
socialism’ Neo Marxists such as Jurgen Habermas and Claus
Offe have drawn the attention to the contradictions, and
perhaps inherent instability, of capitalist democracy
 On the one hand, democratic process forces government to
respond to popular demands, leading to an inexorable rise of
public spending and a progressive expansion of state’s
responsibilities, especially in economic and social life
 On the other hand, the long-term survival of capitalism is threaten
a fiscal crisis in which high taxes become a disincentive to
enterprise
 In the situation it is difficult to maintain legitimacy
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C.B. Macpherson’s Concept of
Democracy
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 He was critical to both elitist & pluralist models
 Critical to Schumpeter’s conceptualization of fractured
elitist & politics conducted by professional politicians & also
to Robert Dahl’s pluralist theory of democracy that
reconciles with low level of participation
 CB Macpherson (Democratic Theory-Essays in Retrieval, 1973)
: Schumpeter-Dahl axis treats democracy as a mechanism of
designed to maintain equilibrium. They conceive democracy
as competition between two or more elite groups for the
power to govern the whole society, requiring only a low level
of citizen participation. Macpherson argues that this view is
distorted view of democracy wherein democracy is reduced
from a humanist aspiration to a market equilibrium system
(Gauba, 499)
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 In participatory democracy political participation is
considered to be essence of democracy. PP denotes the
active involvement of individuals and groups in the
governmental processes effecting their lives (active role in
policy formulation & implementation of public policy and
decisions
 Conventionally, political participation includes voting,
standing for office, campaigning for a political party or
contribution to the management of a community project like
public safety, cleanliness drive
 Public protest is also considered as a political participation :
signing of petition, attending peaceful demonstration,
protest march, Civil Disobedience, passive resistance,
Satyagraha
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Radical Democracy &
Macpherson
 (Gauba, 515-518) (Ashirvatham, 488-491)
 Tries to expand & broaden the scope of democracy
 Revival of normative theory
 Combine procedural & substantive
 Based on humanistic view
 The Real World of Democracy (1966):monograph: liberal
society that grants universal suffrage, a choice between
political parties, and civil liberties, have no exclusive claim to
the title of democracy
 Democracy is a wider phenomenon, he identifies three variants
of democracy which are equally valid if they fulfil certain
conditions 45 11/22/2018
 He has pointed out that classical theory of democracy was
created on moral foundation but under other interpretation
‘democracy is reduced from a humanist aspirations to market
equilibrium system. And although the new orthodox theory
claims scientific neutrality , its value judgment is clear enough,
whatever works is right-that is, whatever enables the existing
class-stratified society to operate without intolerable fiction
is best’
 The classical from of democracy was for oppressed, their
claims for recognizing equal human beings….enjoy & develop
their human capacities…but-elitist-pluralist theory relegates
principle of equality …
 Macpherson’s theory of democracy based on humanist vision
…talks about emancipation of human being from constraints
of the capitalist world and usher in a new society which will
promote ‘creative freedom’ 47 11/22/2018
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 Forms of PP (Gauba 501):
 Citizen initiated contact
 Initiative
 Recall
 Public Hearing
 Advisory Council
 Referendum
 Protest
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1. Liberal Democracy: needs more humane touch
2. Communist Countries: qualify for democracy if grants full
intra-party democracy
3. Third World Countries: are not use to western individualism
based democracy; but have their own historical experiences
Main purpose should be to fulfill aspirations of people & enjoy
support of people & provide opportunity for amelioration of
masses
In his elaborate work: Democratic Theory-Essays in Retrieval
(1973): He was against elitist-pluralist views of Schumpeter (1883-
1950) & Dahl (1915-)& also of Utilitarian view of Bentham (1748-
1832)
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 He further argues that empirical theory interpret democratic
politics as market mechanism and ignores the basic class
conflict operating in market situation. Macpherson argues
that real character of capitalism has two elements:
 (a) the principle of utility-maximization: treating human
being as consumer of utilities: utilitarianism
 (b) the principle of power-maximization: JS Mill: , man
becomes doer & creator rather than only consumer….
 power according to Macpherson are having of two types
 Developmental power: ability of human being to use his own
capabilities creatively, for fulfillment of his self appointed goal
 Extractive Power: stands for power on others
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 In capitalist system, he argues, non-owner of property enjoy
negligible amount of developmental power whereas
extractive power remains the sole preserve of the owners of
land and capital
 The concept of possessive individualism-the underlying idea
behind liberalism since its inception –asserts that the individual
is essentially the proprietor of his own person and capacity,
owing nothing to society for these endowments. The idea
gives rise a system in which social relationship between
individual transformed into market relations.
 In a simple exchange economy individual is owner of means of
production and means of labor; but in capitalist economy
where means of production are complex and very expensive,
the means of labor are detached from means of production.
As a result labor is regarded as commodity which can be
bought and sold in an open market
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 Means of production are owned by a small capitalist class
which operates from them solely with profit motive, with
little regard for humanist values. Members of the working
class are forced to sell their labor according to needs of
market, with little scope for using their energies and skills
creatively in an atmosphere of freedom
 Macpherson concedes that the existing liberal
democracies have conserved civil and political liberties
more effectively than the existing socialist regimes.
However, he advocates to combine a system of socialist
ownership with institutions of liberal democracy in order
to prevent the use of extractive power and prompts
developmental powers of all human beings
 Welfare state: combining capitalism & socialism
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